1. 16 June 2009 3GPP2 TSG-X FMOAHG Subject:Femto Management Object Ad Hoc Group Kickoff Date: 16 June 2009 Source: Chair, FMOAHG Airvana Contact: Doug Knisely dknisely@airvana.com cdma2000® is the trademark for the technical nomenclature for certain specifications and standards of the Organizational Partners (OPs) of 3GPP2. Airvana, Inc., grants a free, irrevocable license to 3GPP2 and its Organizational Partners to incorporate text or other copyrightable material contained in the contribution and any modifications thereof in the creation of 3GPP2 publications; to copyright and sell in Organizational Partner's name any Organizational Partner's standards publication even though it may include all or portions of this contribution; and at the Organizational Partner's sole discretion to permit others to reproduce in whole or in part such contribution or the resulting Organizational Partner's standards publication. Airvana, Inc., is also willing to grant licenses under such contributor copyrights to third parties on reasonable, non-discriminatory terms and conditions for purpose of practicing an Organizational Partner’s standard which incorporates this contribution. This document has been prepared by Airvana, Inc., to assist the development of specifications by 3GPP2. It is proposed to the Committee as a basis for discussion and is not to be construed as a binding proposal on Airvana, Inc. Airvana, Inc., specifically reserves the right to amend or modify the material contained herein and to any intellectual property of Airvana, Inc.,other than provided in the copyright statement above.

2. 3GPP2 TSG-X FMOAHG 16 June 2009 Overview Quick overview of approved 3GPP2 management architecture Background of TR-069 selection 3GPP2 MO standardization process and liaison relationship with BBF (and FF, if applicable) Overview of existing TR-196 MO Proposal for MO spec format and TSG inputs Proposed workplan Proposed process for working with BBF Recommendations

3. 3GPP2 TSG-X FMOAHG 16 June 2009 3GPP2 Femtocell Architecture – 1x Circuit

4. 3GPP2 TSG-X FMOAHG 16 June 2009 3GPP2 Femtocell Architecture – Packet Data (1x+DO)

5. 3GPP2 TSG-X FMOAHG 16 June 2009 Role of The TR-069 Standard in Femtocell Management (1) Broadband Forum TR-069 universally selected as the framework for femtocell management  Supported by all 3GPP & 3GPP2 vendors and carriers  Endorsed by Femto Forum  Rich set of features » Configuration/operation/sw download/logging » Scalable & robust  Will be used also in LTE for Home eNB (HeNB) management Management architecture and TR-069 ACS are the backbone of the key femtocell operational and provisioning call flows in 3GPP and 3GPP2  Discovery  Registration  Redirection to alternate SeGW, ACS, or Femto Gateway  Self-organizing network  Location verification  Provisioning and radio parameter assignments are managed only by ACS  AAA and back-office interfaces are required only on ACS

6. 3GPP2 TSG-X FMOAHG 16 June 2009 Role of The TR-196 Standard in Femtocell Management (2) Femto Forum created a Universal Femto Management Object framework  Includes placeholders for radio technology-specific pieces TR-196 defines a Universal Management Object for all vendors’ FAPs  Initial version of TR-196 supports 3GPP Home Node B (HNBs) » UMTS air interface objects » Security/IP connectivity » Configuration Management (CM) » Fault Management (FM) » Performance Management (PM) Implications:  Single, integrated ACS-based management system for all FAPs  Common radio engineering, radio resource assignment and coordination, etc.  Single interface point to back-office, CRM, etc.  Common logging, error tracking, and customer support interface TR-196 will also be used in LTE for Home eNB management

7. 3GPP2 TSG-X FMOAHG 16 June 2009 TR-196 FAP Data Model High-Level Organization 7

8. 3GPP2 TSG-X FMOAHG 16 June 2009 Proposed Femtocell Management Standardization Process Femto Forum 3GPP RAN3->SA5 3GPP2 TSG-X/A/C-> fmoahg TR-196 Femto Mgmnt Objects Mgmnt Object Framework Broadband Forum 3GPP AI MO Contents (UMTS, LTE) 3GPP2 AI MO Contents (1x, EVDO) 3GPP Specific Procedures (Disc., etc.) 3GPP2 Specific Procedures (Disc., etc.) Mgmnt Object Framework TR-069 Framework

9. 3GPP2 TSG-X FMOAHG 16 June 2009 Scope of Work for 3GPP2 Femto MOs Management Object contents  Attributes  Range of values  Structure that is appropriate for 3GPP2 AIs  3GPP2 will document these in a new specification X.S00xx managed under TSG-X PDS, but based on inputs from TSG-A/C/X  This will serve as input to BBF to drive the 3GPP2 AI extensions to TR-196 Normative procedures that are required for the proper interworking between the FMS (TR-069 ACS) and the FAP(s)  Procedures for discovery, registration, location verification, provisioning, etc.  Sequences/high level call flows for those procedures  Any additional normative semantic rules for Mos  3GPP2 will document these in a new specification X.S00xx managed under TSG-X PDS, but based on inputs from TSG-A/C/X  FMOAHG will serve as owner of X.S00xx  FMOAHG will handle baselining, R&F, and V&V for X.S00xx

10. 3GPP2 TSG-X FMOAHG 16 June 2009 SeGW TR-069/196 Management Architecture Vendor A FAP Vendor A FAP Vendor A FAP Vendor B FAP FMS (TR-069 ACS) CRM Centralized NMS Customer Premises Operator Core Network/NOC SeGW Discovery/Provisioning Femto Gateway Provisioning FAP Location Verification SON/Radio Resource Provisioning and Management Other Provisioning Error Logging and Reporting/Fault Management Performance Management Standardized Northbound Interfaces (NBIs)

11. 3GPP2 TSG-X FMOAHG 16 June 2009 FMS Role in Femtocell Power-up Initialization Sequence Source: TSG-A A.S0024 working draft. FMS involvement (partial list): Retrieve FAP characteristics (e.g., vendor, model, hw capabilities, etc.) Redirects (via reconfiguration) the FAP to different gateway, FMS, and/or CN elements as needed Downloads basic operating parameters (e.g., bandclasses that should be searched, etc.) Verifies FAP location (e.g., based on GPS, REM results, CRM-provisioned info, DSL line, etc.) Retrieves and/or sets radio operating parameters (auto-configuration) Enables FAP to begin operation and turn on its xmitter

12. 3GPP2 TSG-X FMOAHG 16 June 2009 Overview of Existing TR-196 (Initially Drafted in Femto Forum and Contributed to BBF and 3GPP) Contents courtesy of Yoshizawa Taka, Thomson [Taka.Yoshizawa@thomson.net] and based on BBF contributions. Used with permission. Portions may not reflect final published version of TR-196.

13. © 2008 Airvana. All Rights Reserved. 13 FAP Data model Structure Data model definition exists in the current draft (pending further update, review/approval). Open area. General aspect to control the FAP’s operation. General aspect to configure the FAP for proper operation. General aspect to monitor the operation of the FAP.

14. © 2008 Airvana. All Rights Reserved. 14 Data Model – FAPDevice FapDevice object  Description object » FAP type (integrated vs. standalone)  Capabilities object » Description of the capability HW supports » Which UMTS band(s) supported, GSM Rx supported or not, etc. Hardcoded static values in FAP (i.e. never change). Read-only by FMS. Basis for 3GPP2 design, but all new contents.

15. © 2008 Airvana. All Rights Reserved. 15 Data Model – FAPControl FapControl object  State mgmt related » Command from ACS: lock/unlock, enable/disable, turn-on/off RF transmitter » Current state in the FAP: Admin-state, Op-state, RF-state  UMTS object » HNB-GW “discovery” related GW identities that ACS can overwrite (factory default values = iPoC GWs) » HNB-GW “name” or “ip address” » SeGW “name” or “ip address” FMS to control/monitor FAP status FMS to control the FAP where to connect to. FMS reads/writes, FAP reads. Basis for 3GPP2 design, but all new contents.

16. 3GPP2 TSG-X FMOAHG 16 June 2009 16 Data Model – AccessManagement AccessManagement object  ACL » Allowed-IMSI list, etc.  LIA (Local IP Access) – TBD FMS to define FAP access behavior. FMS writes, FAP reads. Basis for 3GPP2 design, but all new contents.

17. © 2008 Airvana. All Rights Reserved. 17 Data Model – CellConfig CellConfig object – actual configuration parameters provided by ACS necessary for the HNB to provide service  Based on 3GPP 32.642 (config mgmt)  UMTS object » CN related » PLMN type, MCC/MNC, LAC, RAC, etc… » RAN related » Cell_ID, RNC_ID, SAC, » Timers, counters, etc…(???) – currently not included in the text. » Neighbor list » RF related » PSC, UARFCN, Max allowable Tx power, etc… FMS to configure FAP FMS writes, FAP reads. Basis for 3GPP2 design, but all new contents.

18. © 2008 Airvana. All Rights Reserved. 18 Data Model – Transport Transport object – related to transport between FAP and FGW.  Tunnel object related to IPsec tunnels. » As part of the IPsec specification (RFC4301), a packet filtering function (aka Security Policy Database (SPD)) is defined. It appears very similar in its implementation to QoS classification. So, modeling it afterTR-098 QueueManagement, is suggested.  Real Time object related to RTP/RTCP. SRTP is also addressed by this object when necessary.  VPN object related to the IPsec inner IP layer  Security object related to credentials (Shared-secrets, UICC, certificates) and their management FMS to control/monitor transport/IPsec tunnel status FMS to define the FAP’s transport behavior. FMS reads/writes, FAP reads. Common object with 3GPP; minor deltas as needed.

19. 3GPP2 TSG-X FMOAHG 16 June 2009 19 Data Model – Timing Timing object  NTP (still need to determine the overlap with “.Time.” within TR- 098 and TR-106) » Parameters to configure NTP » Based on NTP MIB draft as guideline FMS to define timing derivation behavior. FMS reads/writes, FAP reads. Common object with 3GPP; minor deltas as needed.

20. 3GPP2 TSG-X FMOAHG 16 June 2009 20 Data Model – REM REM (Radio Environment Monitoring) object – Info captured by “macro scanning/sniffing”, “network-listen”, etc.  Contains both RF level Info and BCCH Info  WcdmaFdd object » Data captured from each macro NodeB and other HNB(s)  Gsm object » Data captured from each GSM BTS  AutoConfig object » Auto-selected “candidate” parameters derived by HNB based on the REM result above » To be sent to EMS for approval or to take into account for final parameter definition for the HNB  GPS object » Location info (latitude, longitude) derived by GPS receiver (if equipped) FAP to store and report environment info to FMS. FAP writes, FMS reads. Basis for 3GPP2 design, but mostly new contents.

21. 3GPP2 TSG-X FMOAHG 16 June 2009 21 Data Model – ServiceEvents ServiceEvents object –defines the event mgmt behavior  Management object maintains the configuration of the FAP Service Events  ActiveEvents object maintains a list of active events on the FAP which are events which have an associated lifecycle (Raised, Modified, Cleared etc.. )  History object maintains a cyclic history of generated events on the FAP  PeriodicDelivery object maintains the event messages waiting to be delivered to the upstream EMS FMS to define FAP event report behavior. FAP to store events. EMS reads/writes, FAP reads/writes. Common object with 3GPP; FFS.

22. 3GPP2 TSG-X FMOAHG 16 June 2009 Example #1 of Input format from 3GPP to BBF Parameter TypeDescriptionReference SCTP related parameters SCTP related parameters including: 1) heartbeat interval, 2) maximum number of retransmit, 3) retransmission timeout, 4) valid cookie life during the 4-way start up handshake procedure, 5) association peer status, 6) peer IP address and port number, n/a RTP/RTCP related parameters DSCP values for CS traffic (Conversation, Streaming). DSCP values for PS traffic (Conversation, Streaming, Interactive, Background) n/a Tunnel related parameters IKE specific information including: 1) status, 2) peer IP address, 3) virtual IP address and subnet mask assigned by IKEv2, 4) DNS and DHCP servers assigned by IKEv2. Child SA specific information including: 1) Parent ID, 2) SPI, 3) direction, 4) creation time. n/a Security related parameters Shared secret information including: 1) type, 2) status, 3) UICC card ID. Public key information including: 1) last modification time, 2) serial number in X.509 certificate, 3) issuer of X.509 certificate, 4) valid period of X.509 certificate. Crypto profile information including: 1) selector destination IP address and port number, 2) selector protocol, 3) IKEv2 encryption algorithm, 4) IKEv2 pseudo-random function, 5) IKEv2 integrity function, 6) IPsec encryption algorithm, 7) IPsec integrity function, 8) anti-replay window size, 9) rekey lifetime (in second, in byte), 10) DPD timeout, 11) NATT keepalive timer n/a Transport Network Related Parameter Types

23. 3GPP2 TSG-X FMOAHG 16 June 2009 Example #2 of Input format from 3GPP to BBF InformationDescription / NotePresence3GPP Reference RF informationUARFCNDLUARFCN (DL)M25.104, sec.5.4 32.642 sec. 6.3.11 CPICHRSCPRSCP of CPICHM PSCPrimary Scrambling CodeM32.642 sec. 6.3.11 Broadcast information PLMN Type« GSM-MAP » or « ANSI- 41 » M25.331, sec.10.3.1.12 MCCMobile Country CodeM24.008 32.642 sec. 6.3.10 MNCMobile Network CodeM24.008 32.642 sec. 6.3.10 LACLocation Area CodeM24.008, sec.10.5.1.3 32.642 sec. 6.3.10 RACRouting Area CodeM24.008, sec.10.5.1.12.3 25.413, sec.9.2.3.7 32.642 sec. 6.3.10 CellID M25.331, sec.10.3.2.2 CSG Cell Info OApplicable to Rel.8 compliant cell only. UTRAN Cell Information

24. 3GPP2 TSG-X FMOAHG 16 June 2009 Example #3 of Input format to BBF (Final Version) NameTypeWriteDescriptionObject Default.FAPService.{i}.object-The top level object for a Femto Access Point (FAP).- EnablebooleanWEnables or disables this FAPService instancefalse RFNumberOfEntriesunsignedInt-The number of RF instances for this FAP Service instance.-.FAPService.{i}.FAPDevice.object-This object contains parameters relating to the general description of the FAP device. -.FAPService.{i}.FAPDevice.Desc ription. Object-This object contains parameters relating to the general description of the FAP device. - DeviceTypeString-The type of FAP device. Enumeration of: “Standalone” “Integrated” Product dependent.FAPService.{i}.FAPDevice.Cap abilities. Object-This object contains parameters relating to the HW capabilities of the FAP device. - GPSEquippedBoolean-Indicates whether the FAP is equipped with a GPS receiver or not. True: GPS receiver is equipped. False: GPS receiver is not equipped. - MaxTxPowerunsignedInt-Indicates the maximum possible Tx power the FAP HW can support. The unit in dBm. - SupportedSystemstring-The type of system the FAP supports. Enumeration of: “UMTS" Other values are FFS. -.FAPService.{i}.FAPDevice.Cap abilities.UMTS. Object-This object contains parameters relating to the system and RF aspect of the FAP device that supports the UMTS system (i.e. 3G HNB). - DuplexModestring-This attribute indicates the mode supported by the FAP. Enumeration of: "FDDMode" Other values are FFS. -

25. 3GPP2 TSG-X FMOAHG 16 June 2009 BBF References TR-196 Specification  http://www.broadband-forum.org/technical/download/TR-196.pdf http://www.broadband-forum.org/technical/download/TR-196.pdf XML Data Model  http://broadband-forum.org/cwmp/tr-196-1-0-0.xml http://broadband-forum.org/cwmp/tr-196-1-0-0.xml

26. 3GPP2 TSG-X FMOAHG 16 June 2009 Workplan, Process, and Recommendations

27. 3GPP2 TSG-X FMOAHG 16 June 2009 Proposal for MO Spec Format and TSG Inputs Based on offline discussions with BBF experts, it seems the following format would be appropriate for the 3GPP2 input to BBF:  Format from TR-196 in Example #3  Bibliography for the appropriate 3GPP2 specifications in which detailed information can be found Note: Bibliography information is preserved by BBF in the XML MO definition as well TSG-A/C/X input to the FMOAHG should be in the format in Example 2 (along with a reference list)  Simple reference numbers in the “reference” column are sufficient and consistent with our conventions  Any additional normative procedures that need to be documented in X.S00xx  AHG will ensure consistency of formatting  AHG will perform manual transformation to data types shown in Example #3

28. 3GPP2 TSG-X FMOAHG 16 June 2009 28 Preliminary Draft Workplan Preliminary discussions with BBF indicates:  Tentative proposal to incorporate 3GPP2 AI MO extensions into a new version of TR-196 makes sense  They would like to receive inputs from 3GPP2 as early as possible  Prefer to receive preliminary draft of MO contents early  Final (extremely) stable version as a followup  Crude estimate is 6 months from final MO inputs to publication Initial proposal for 3GPP2 workplan:  June – Call for MO inputs from TSG-A/C/X  August – First draft of MO inputs from TSG-A/C/X  November – Harmonized draft of X.S00xx containing MOs baselined  November – Transmit X.S00xx to BBF as first draft  December-January 2010 – Transmit final version of X.S00xx to BBF  ~March 2010 – BBF Straw Ballot  ~June 2010 – BBF Final Ballot completes

29. 3GPP2 TSG-X FMOAHG 16 June 2009 Proposed Process for Working with BBF Complete establishment of liaison relationship (secretariat)  Establish document sharing rules  Document sponsorship and working rules for joint calls and/or meetings (e.g., who’s running the meeting under what rules and with which IPR policies)  Negotiate rules for comments provided to/from 3GPP2 from/to BBF Complete establishment of day-to-day working liaison relationship (fmoahg)  Document process and workplan (described earlier) and liaise to BBF at their upcoming meeting in September  Negotiate final format for delivery of MO parameters Add periodic leadership calls between BBF and 3GPP2 to coordinate (esp. after exchanges start occurring)

30. 3GPP2 TSG-X FMOAHG 16 June 2009 Miscellaneous Volunteer editor for X.S00xx -- TBD  QCOM has indicated intent (currently editor of X.S0059-300, which will not be defunct) Preparation of a template document containing the approved input format to be distributed to TSG-A/C/X Please join the femtomoahg email list!

31. 3GPP2 TSG-X FMOAHG 16 June 2009 Recommendations X.S00xx replaces previously planned X.S0059-300, which can be rescinded Discuss, revise, and adopt initial workplan Discuss, revise, and adopt proposed work process with BBF Liaise call for MO inputs to TSG-A/C/X  Process  Schedule, including target deliverables  Template for MO parameters (select a format, verified by BBF) Transmit initial proposal to BBF at meeting week of 14 September  Working relationship and process  Proposed workplan and working relationship