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6.4 Trace Management Services
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6.4.0 Overview
Trace management services allow a Trace MnS Provider to report file-based or streaming trace records to the Trace MnS Consumer. Trace Control provides the ability for the Trace Consumer to start a trace session by configuring a Trace Job via the Trace Control IOC or by establishing a trace session that propagates trace parameters to other trace management providers via signaling. There are multiple levels of trace that can be supported on the provider as described in 3GPP TS 32.421 [11], clause 4.1. The Trace Provider may be configured to support file-based trace reporting or streaming trace reporting. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 35 Trace Management Services specified in 3GPP TS 32.421 [11], 3GPP TS 32.422 [12] and 3GPP TS 32.423 [13] and supported on an applicable O-RAN ME include Call Trace, Minimization of Drive Testing (MDT), RRC Connection Establishment Failure (RCEF) and Radio Link Failure TCE (RLF). All of these services follow a similar management paradigm. Trace Sessions are configured on the provider with information on where and how to send the trace information to the consumer. The provider creates trace records within a trace session as the trigger mechanism occurs. Trace records are produced and provided to the consumer until the trace session is terminated. File-based trace collects trace records in files that are available to the consumer with a time delay. In the case of streaming trace, the data is sent in bursts across a WebSocket connection to the consumer, maintaining the relevance of the data while minimizing transport overhead. Stage 1 Trace Management Service is specified in 3GPP TS 32.421 [11]. Use cases for trace are specified in clause 5.8 and elaborated in 3GPP TS 32.421 [11], Annex A. General Trace Requirements are found in 3GPP TS 32.421 [11], clause 5.1. Stage 2 Trace Operations are found in 3GPP TS 32.422 [12] for 5G support of Call Trace and for streaming trace. Stage 2 Trace Control IOC for management-based control is specified in ETSI TS 128 622 [7]. Stage 2 for signaling based activation is found in 3GPP TS 32.422 [12]. Stage 3 definitions of trace record content for all trace types, XML trace file format, and streaming trace GPB record definition are found in 3GPP TS 32.423 [13]. Stage 3 Trace Control IOC mapping for management-based control is specified in ETSI TS 128 623 [23], clause D.2.10. Stages 2 and 3 definitions for streaming data reporting are specified in ETSI TS 128 532 [3].
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6.4.1 Call Trace
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6.4.1.1 Trace Data Reporting
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6.4.1.1.1 Description
Trace Data can be reported from the Trace Provider to the Trace Consumer via trace files or via a streaming interface. For management-based activation, Trace Data is collected after the TraceJob is configured on the Trace Provider, the Trace Session is activated, and the triggering event occurs. For signaling-based activation, the Trace Recording Session starts when the NF receives trace control and configuration parameters via one of the signalling messages specified in 3GPP TS 32.422 [12], clause 4.2.3.12. When the Trace Provider collects trace data to a file, the file is periodically provided to the Trace Consumer. When the provider supports streaming trace, the trace is sent to the consumer via data bursts which are sent frequently enough to retain the relevance of the data while conserving transport resources. The WebSocket connection carrying the streaming trace is preserved for the duration of the streaming trace.
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6.4.1.1.2 Requirements
Requirements for Trace data specified in 3GPP TS 32.421 [11], clause 5.2 shall apply to both file-based and streaming trace.
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6.4.1.1.3 Procedures
Trace Data is binary encoded and reported in Trace Records. The procedures for reporting data are specified in 3GPP TS 32.422 [12], clause 7. File-based trace reporting procedures are found in 3GPP TS 32.422 [12], clauses 7.1.1 and 7.2.1. Streaming trace reporting procedures are found in 3GPP TS 32.422 [12], clauses 7.1.2 and 7.2.2. Trace Record Contents are specified in 3GPP TS 32.423 [13], clause 4. The Trace Record content is the same for trace jobs controlled by management-based activation and signaling-based activation. The raw trace record content is the same for file-based trace and streaming trace. Trace data is binary encoded in ASN.1. File-based trace is delivered in XML format with trace records encoded in ASN.1. Streaming trace is delivered in GPB encoded data bursts with the trace record payload containing ASN.1 encoded data. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 36 Procedures for naming the trace data file are found in 3GPP TS 32.423 [13], Annex B. File Naming Convention is fully specified in 3GPP TS 32.423 [13], clause B.1. Trace files are produced in XML format. The XML format is specified in 3GPP TS 32.423 [13], clause A2.2. Example XML files are provided in 3GPP TS 32.423 [13], Annex D. If a trace file cannot be created, a trace failure notification file XML schema can be sent. The XML schema is provided in 3GPP TS 32.422 [12], clause A.5 and the naming convention for the file containing the failure is specified in clause A.4. For streaming trace, raw trace data is collected on the node and sent to the trace collector. The trace data is binary encoded. The format of the streaming trace data is provided in 3GPP TS 32.423 [13]. The reportStreamData operation is specified in ETSI TS 128 532 [3], clause 12.5.1.1.4.
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6.4.1.2 Trace Session Activation
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6.4.1.2.1 Description
A trace session starts on a provider configured to support a TraceJob via management or signaling-based activation. Management-based trace session activation is initiated from the Provisioning Management Service Consumer to activate a TraceJob which has been configured on the provider. See clause 6.4.5 of the present document. With signaling-based trace session activation, the provider receives a signaling message that contains trace consumer ID address (IP address for file-based or URI for streaming) along with trace control parameters. Each Trace session has a unique trace session identifier that is associated with all of the trace data collected for this session. If the trace session is configured to be file-based, the provider collects the data and stores the data in a file. The provider optionally sends the file directly to the consumer or sends the location of the file to the consumer. File transport approach is not standardized. ETSI TS 128 532 [3] supports the streaming of trace data from the provider to the consumer. Trace data for a trace session is collected and transmitted to the provider across a secure WebSocket connection in data bursts which are emitted frequently enough to ensure the relevance of the data while conserving transport resources. See clause 6.4.6 and Annex C of the present document for details on the streaming service.
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6.4.1.2.2 Requirements
Requirements for Trace Session Activation for file-based and streaming trace specified in 3GPP TS 32.421 [11], clause 5.3.1 shall apply.
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6.4.1.2.3 Procedures
Procedures for activating a Trace Session via management-based control are found in 3GPP TS 32.422 [12], clause 4.1.1.1 for general procedures and 3GPP TS 32.422 [12], clause 4.1.1.9 for NGRAN specific procedures. Procedures for activating a Trace Session via signaling are found in 3GPP TS 32.422 [12], clauses 4.1.2.1 and 4.1.2.16.
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6.4.1.3 Trace Session Deactivation
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6.4.1.3.1 Description
A Trace Session is terminated/deactivated when any of the defined stop triggering events occur as specified in 3GPP TS 32.421 [11], such as a timer expiring, or the TraceJob Session is deactivated via management control.
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6.4.1.3.2 Requirements
Requirements for Trace Session Deactivation specified in 3GPP TS 32.421 [11], clause 5.4.1 shall apply.
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6.4.1.3.3 Procedures
Procedures for Trace Session Deactivation are found in 3GPP TS 32.422 [12], clause 4.1.3.10 for management-based trace deactivation and clause 4.1.4.1.2 for signalling-based trace deactivation. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 37
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6.4.1.4 Trace Recording Session Activation
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6.4.1.4.1 Description
A trace recording session is a specific instance of the data specified to be collected for a particular trace session, for example, a specific call. For management-based activation, the trace recording session starts on a provider configured with an active trace session when a triggering event occurs, such as a new call starting. Each Trace recording session within a trace session has a unique trace recording session reference. This recording session reference and the session reference are included with each trace record, uniquely identifying the trace record as belonging to a particular trace recording session. For signaling-based activation, the Trace Recording Session starts when the NF receives trace control and configuration parameters via a control signalling message. 3GPP TS 32.422 [12], clause 4.3.2.12 outlines the procedures the node is to follow when determining when to begin a new trace recording session and when to continue with an existing session.
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6.4.1.4.2 Requirements
Requirements for Trace Recording Session Activation specified in 3GPP TS 32.421 [11], clause 5.3.2 shall apply.
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6.4.1.4.3 Procedures
Procedures for starting a Trace Recording Session are found in 3GPP TS 32.422 [12], clause 4.2.1 for general requirements. 3GPP TS 32.422 [12], clause 4.2.2.10 has requirements for management-based trace session activation and clause 4.2.3.12 has requirements when the trace session was activated via signaling.
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6.4.1.5 Trace Recording Session Termination
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6.4.1.5.1 Description
A Trace Recording Session is terminated when any of the defined stop triggering events occur or the Trace Session is deactivated.
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6.4.1.5.2 Requirements
Requirements for Trace Recording Session Termination specified in 3GPP TS 32.421 [11], clause 5.4.2 shall apply.
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6.4.1.5.3 Procedures
Procedures for Trace Recording Session Termination are found in 3GPP TS 32.422 [12], clauses 4.2.4.10 and 4.2.5.13.
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6.4.2 Minimization of Drive Testing (MDT)
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6.4.2.1 Description
ETSI TS 137 320 [i.9] provides an overall description for MDT. An O-RAN network function may support Immediate and Logged MDT as described in ETSI TS 137 320 [i.9]. Logged MDT is always file-based. Immediate MDT may be configured to be file-based or streaming. MDT measurements are described in ETSI TS 137 320 [i.9]. 3GPP TS 32.421 [11], 3GPP TS 32.422 [12] and 3GPP TS 32.423 [13] describe the management of MDT and have been updated to support 5G.
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6.4.2.2 Requirements
Requirements for managing MDT specified in 3GPP TS 32.421 [11], clause 6 shall apply.
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6.4.2.3 Procedures
Procedures for Trace Session Activation are the same for MDT as for Call Trace and are found in 3GPP TS 32.422 [12], clause 4.1. Procedures for specifying MDT Trace selection conditions are found in 3GPP TS 32.422 [12], clause 4.1.5. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 38 Procedures for Trace Recording Sessions start and stop for MDT are found in 3GPP TS 32.422 [12], clause 4.2. Procedures for handling MDT sessions at handover for Immediate MDT are found in 3GPP TS 32.422 [12], clause 4.4 and Logged MDT in 3GPP TS 32.422 [12], clause 4.5. Procedures for user consent handling in MDT are specified in 3GPP TS 32.422 [12], clause 4.6. Procedures for MDT reporting are specified in 3GPP TS 32.422 [12], clause 6. MDT Trace Record Contents are specified in 3GPP TS 32.423 [13], clause 4. Trace file format for MDT Trace is specified in 3GPP TS 32.423 [13], clause A.2.1. Example XML files are provided in 3GPP TS 32.423 [13], clause D.1.4.
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6.4.3 Radio Link Failure (RLF)
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6.4.3.1 Description
Radio Link Failure (RLF) reporting is a special Trace Session which provides the detailed information when a UE experiences an RLF event, and the reestablishment is successful to the source gNB. 3GPP TS 32.421 [11], 3GPP TS 32.422 [12] and 3GPP TS 32.423 [13] describe the management of RLF.
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6.4.3.2 Requirements
Requirements for RLF specified in 3GPP TS 32.421 [11], clause 7 shall apply.
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6.4.3.3 Procedures
Procedures for Trace session activation and deactivation for RLF reporting are found in 3GPP TS 32.422 [12], clauses 4.3.1 and 4.3.2. Procedures for specifying the RLF reporting job type when configuring the RLF reporting session are found in 3GPP TS 32.422 [12], clause 5.9a. Procedures for RLF reporting follow standard trace reporting procedures documented in 3GPP TS 32.422 [12], clause 7.
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6.4.4 RRC Connection Establishment Failure (RCEF)
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6.4.4.1 Description
Radio Resource Control (RRC) Connection Establishment Failure (RCEF) is activated on the gNB as a special Trace Session where the job type indicates RCEF reporting only. The records are produced when a UE experiences an RCEF event and the RRC establishment is successful to the same gNB.
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6.4.4.2 Requirements
Requirements for RCEF specified in 3GPP TS 32.421 [11], clause 7 shall apply.
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6.4.4.3 Procedures
Procedures for trace session activation of RCEF are found in 3GPP TS 32.422 [12], clause 4.8.1. Procedures for trace session deactivation for RCEF reporting are found in 3GPP TS 32.422 [12], clause 4.8.2. Procedures for specifying the job type for RCEF are found in 3GPP TS 32.422 [12], clause 5.9a. Procedures for RCEF Reporting are specified in 3GPP TS 32.422 [12], clause 7. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 39
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6.4.5 Trace Control
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6.4.5.1 Description
Starting with 3GPP Release 16, Management-based Trace Control is supported with IOCs with attributes that can be read and/or set using generic provisioning mechanisms in the Trace Control Service. For Trace Control, this includes operations such as Create TraceJob, Activate TraceJob, Deactivate TraceJob, and Query TraceJobs. TraceJobs can be created, activated, deactivated, and queried by setting and/or getting attributes in the TraceJob IOC. The TraceJob IOC supports Management-based activation for Call Trace, MDT, RLF and RCEF. Trace sessions can also be activated and deactivated via Signaling-based configuration initiated from another NF to propagate a configured trace, such as a UE trace when the UE moves from one NF to another.
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6.4.5.2 Requirements
Management-based activation and deactivation shall be done via the TraceJob IOC defined in ETSI TS 128 622 [7] clause 4.30. Requirements for TraceJob Activation specified in 3GPP TS 32.421 [11], clause 5.3.1 and requirements for TraceJob deactivation specified in 3GPP TS 32.421 [11], clause 5.4.1 shall apply for both Management and Signaling activation.
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6.4.5.3 Procedures
Management-based activation and deactivation accomplished using CRUD operations specified in clause 6.1 of the present document. The attributes of the TraceJob are specified in ETSI TS 128 622 [7], clause 4.3.30.2. Constraints on these attributes are specified in ETSI TS 128 622 [7], clause 4.3.30.3. Trace Control IOC mapping for management- based control is specified in ETSI TS 128 623 [23]. The YANG model for the Trace Control IOC is specified in ETSI TS 128 623 [23], clause D.2.10. Procedures for Signaling-based Trace Session Activation are found in 3GPP TS 32.422 [12], clause 4.1.2. Procedures for Trace Session Deactivation are found in 3GPP TS 32.422 [12], clause 4.1.4.
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6.4.6 Streaming Trace
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6.4.6.0 Overview
A NF can be configured to deliver trace data via a file or via a streaming interface. The streaming capability was introduced in 3GPP Release 16. The additional requirements and procedures supported for streaming trace are provided in this clause. An example of the configuration, activation, recording and termination of a streaming trace connection are shown in Informative Annex C.
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6.4.6.1 Streaming Trace Requirements and Procedures
As noted above, trace session and recording activation and deactivation, as well as the content of the trace record, are the same for file-based and streaming trace. The requirements for streaming trace delivery specified in 3GPP TS 32.421 [11], clause 5.5 shall apply. Operations for establishing the streaming connection, adding, and deleting streams from the connection and reporting streaming trace data shall be as specified in ETSI TS 128 532 [3], clause 11.5. O-RAN NFs supporting streaming trace shall support the establishStreamingConnection, reportStreamData and terminateStreamingConnection operations. O-RAN NFs that support the multiplexing of trace streams across a single connection shall support the addStream and deleteStream operations. Optionally, the NF may also support the getConnectionInfo and getStreamInfo operations which allow the provider to query for information on the connection and streams on the connection. No notifications have been defined for streaming trace. Stage 3 information on the streaming operations is provided in ETSI TS 128 532 [3], clause 12.5 with Open API YAML definition provided in clause A.6.1.2. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 40 The procedure for establishStreamingConnection is an HTTP POST operation to provide the information on the stream to the consumer and to receive the Connection ID as a response. The HTTP POST is followed by an HTTP GET to upgrade the connection to a WebSocket connection. This operation is used when no connection is established between the provider and the consumer. The WebSocket connection can contain one or more streams of data from streaming trace or streaming PM. See ETSI TS 128 532 [3], clause 12.5.1.1.2. The terminateStreamingConnection is a WebSocket close frame operation. This operation is used when all streams on a connection have terminated. See ETSI TS 128 532 [3], clause 12.5.1.1.3. The addStream Operation is an HTTP POST to indicate that additional streams are being added to the connection. A stream corresponds to a trace job or a streaming PM job. See ETSI TS 128 532 [3], clause 12.5.1.1.5. The deleteStream Operation is an HTTP DELETE to indicate that a stream has been terminated from the connection. See ETSI TS 128 532 [3], clause 12.5.1.1.6. The reportStreamData is a WebSocket data frame sent across the connection containing the streaming trace or streaming PM data or an optional alive message indicating that the stream is active, but no data is available. See ETSI TS 128 532 [3], clause 12.5.1.1.4. The getConnectionInfo Operation is an HTTP GET from the provider to the consumer to obtain information about the connection, such as which streams are supported. See ETSI TS 128 532 [3], clause 12.5.1.1.7. The getStreamInfo Operation is an HTTP GET from the provider to the consumer to obtain information on the stream. See ETSI TS 128 532 [3], clause 12.5.1.1.8. Annex C in the present document provides a streaming trace activation example for management-based activation control.
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6.4.7 UE Identifiers for Trace Records
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6.4.7.1 Description
The contents of the Trace Records are specified in 3GPP TS 32.423 [13], clause 4 and Trace Record Header in 3GPP TS 32.423 [13], clause 5.2.2. The Trace Record containing protocol related messages may contain 3GPP defined UE identifiers corresponding to the protocol. These UE identifiers are a part of protocol messages sent as Trace Records. The Trace Header also contains RAN UE ID as an optional information element. However, for correlation of Trace Records from different O-RAN entities, the UE identifiers embedded in the protocol messages and the RAN UE ID in Trace Header may not be sufficient and may need to be complemented by other information. Hence a set of UE Identifiers and Node Identifiers are defined in O-RAN-Architecture-Description document [15], clause 5.5 for O-RAN ecosystem. To enable correlation of Trace Records between O-RAN entities, Trace MnS provider includes the optional RAN UE ID in the Trace Header when available and other applicable 3GPP UE identifiers defined in O-RAN-Architecture- Description document [15], clause 5.5 in the optional vendorExtension IE defined in 3GPP TS 32.423 [13], clause 5.2.2. in the Trace Header. Refer to Annex D for the recommendation for UE Identifier format for vendorExtension IE in the Trace Header.
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6.5 File Management Services
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6.5.0 Overview
File management services allow a File Management MnS Consumer to get notification of new available files; query available files and request the transfer of files between the File Management MnS Provider and the File Management MnS Consumer. Relevant 3GPP specifications for file transfer are ETSI TS 128 537 [4], ETSI TS 132 341 [8], ETSI TS 132 342 [9] and ETSI TS 132 346 [i.8]. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 41
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6.5.1 File Ready Notification
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6.5.1.1 Description
The File Ready Notification notifies a File Management MnS Consumer that a file is available for retrieval from the File Management MnS Provider. In general, File Management MnS Provider sends a notifyFileReady notification for files that the File Management MnS Consumer has configured the File Management MnS Provider to collect on a periodic basis, such as file-based Trace Data or PM Measurement Reports.
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6.5.1.2 Requirements
The notifyFileReady notification shall be as specified in ETSI TS 128 532 [3], clause 11.6.1.1.
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6.5.1.3 Procedures
File Management MnS Consumer configures a File Management MnS Provider to collect data files with specific characteristics that the File Management MnS Consumer desires, such as file-based Trace Data or PM Measurement Reports described in the Performance Assurance clause of the present document. After configuration, the File Management MnS Consumer terminates the configuration session and waits for the File Management MnS Provider to report that the file is ready for collection. When a file is available, the File Management MnS Provider sends a notifyFileReady notification to the File Management MnS Consumer using REST/HTTPS. @startuml skin rose Title notifyFileReady Notification Autonumber participant "File Management MnS Consumer" as consumer participant "File Management MnS Provider" as provider Note over provider : New file is available provider ->> consumer : <<HTTP/TLS>> notifyFileReady Notification @enduml Figure 6.5.1.3-1: File Available for Transfer to Consumer Pre-condition: - A new file is available on the File Management MnS Provider. Procedure: 1) File Management MnS Provider sends notifyFileReady notification to File Management MnS Consumer over HTTP/TLS. Mutual certificate authentication is performed. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 42
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6.5.1.4 Operations and Notifications
A File Ready notification shall be in one of the following formats: - SDO O1 format: - An O1-supported 3GPP-specified File Ready notification, as specified in ETSI TS 128 532 [3]. - VES O1 format: - A Harmonized VES event, as specified in the VES Event Listener Specification [18], containing stndDefinedFields with a "data" element that contains an O1-supported 3GPP-specified File Ready notification, as specified in ETSI TS 128 532 [3]. The O1-supported 3GPP-specified File Ready notification is: - notifyFileReady
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6.5.1.5 File Types Supported
File Type requirements are documented in ETSI TS 132 341 [8], clause 5.2.
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6.5.1.6 File Naming Requirements
Unless explicitly stated in the present document for particular File Types, the File Naming Convention specified in ETSI TS 132 342 [9] Annex A shall apply.
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6.5.2 List Available Files
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6.5.2.1 Description
File Management MnS Consumer queries the File Management MnS Provider to identify files that are available on the File Management MnS Provider. Upon receipt of the available files and their locations, the File Management MnS Consumer can determine the next appropriate action.
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6.5.2.2 Requirements
Requirements on the types of files specified in clause 5.2 of ETSI TS 132 341 [8] shall apply.
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6.5.2.3 Procedures
List Available Files Use Case allows the File Management MnS Consumer to obtain a list of available files and their locations by reading the AvailableFileList IOC as specified in ETSI TS 132 342 [9]. A File Management MnS Consumer may use this management service in scenarios where the File Management MnS Provider is collecting information, such as logs, on a standard basis in support of debugging activities. Under normal operations, the File Management MnS Provider does not send this data to the File Management MnS Consumer as the File Management MnS Consumer does not need it. The File Management MnS Provider retains the data with the oldest data being over- written when space is exhausted. In some scenarios, the File Management MnS Consumer may want to retrieve some, or all, of the available log files to resolve an issue. In this case, File Management MnS Consumer sends a NETCONF <get> command to the File Management MnS Provider to obtain the list of available files. File Management MnS Provider responds with AvailableFileList which contains a list of available files and their locations and file types. File Management MnS Consumer may use this information to transfer the desired files. See Transfer File Service clause 6.5.3. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 43 The File Management MnS Consumer does not have to initiate a file retrieval as a result of the obtaining the list of available files. There are use cases where the File Management MnS Consumer may want to verify that files are being collected or verify that all files of a particular type (PM for example) have been retrieved. @startuml Title List Available Files autonumber "[0]" participant "File Management MnS Consumer" as NMS participant "File Management MnS Provider" as ME NMS <-> ME : Establish NETCONF Session NMS -> ME: NETCONF <get> <filter> ME --> NMS: NETCONF <rpc-reply> <data> NMS <-> ME : Terminate NETCONF Session @enduml Figure 6.5.2.3-1: List Available Files 1) File Management MnS Consumer establishes NETCONF session with File Management MnS Provider. 2) File Management MnS Consumer sends NETCONF <get> <filter> to the File Management MnS Provider to retrieve the contents of the AvailableFileList. 3) File Management MnS Provider sends NETCONF <rpc-reply> <data>to the File Management MnS Consumer with list of available files on the File Management MnS Provider. 4) File Management MnS Consumer terminates NETCONF session with File Management MnS Provider.
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6.5.3 File Transfer to and from File Management MnS Provider
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6.5.3.1 Description
The File Transfer by File Management MnS Consumer Use Case provides the capability for a File Management MnS Consumer to transfer files from or to the File Management MnS Provider. In this use case, File Management MnS Consumer is the client and File Management MnS Provider is the file server. The File Management MnS Consumer can perform this action as a result of: 1) notifyFileReady notification from the File Management MnS Provider informing the File Management MnS Consumer that a file(s)is available. 2) Querying the File Management MnS Provider for the list of available files (see clause 6.5.2). 3) A need to transfer a file from a known location on the File Management MnS Provider. 4) A need to transfer a file to a known location on the File Management MnS Provider. Some examples of files that could be transferred to the FileManagement MnS Provider are: - Beamforming configuration file (Opaque Vendor specific data). ETSI ETSI TS 104 043 V11.0.0 (2024-06) 44 - Machine Learning. - Certificates. File Transfer is performed using a secure file transfer protocol (SFTP, FTPeS or HTTPS) from or to the File Management MnS Provider.
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6.5.3.2 Requirements
File Transfer Requirements specified in clause 7.1.3 of ETSI TS 128 537 [4] shall apply.
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6.5.3.3 Procedures
Case 1: File Management MnS Consumer determines that a file needs to be transferred from the the location provided by the File Management MnS Provider as a result of receiving a notifyFileReady notification from the File Management MnS Provider (described in clause 6.5.1). Case 2: File Management MnS Consumer determines that a file needs to be transferred from the File Management MnS Provider as a result of receiving a list available files from the File Management MnS Provider (described in clause 6.5.2). Case 3: File Management MnS Consumer determines that a file needs to be transferred from the File Management MnS Provider from a known location on the File Management MnS Provider. Case 4: File Management MnS Consumer determines that a file needs to be transferred to the File Management MnS Provider to a known location on the File Management MnS Provider. File Management MnS Consumer initiates a secure file transfer using FTPeS, SFTP or HTTPS to transfer a file from or to the File Management MnS Provider. @startuml skin rose Title File Transfer by File Management MnS Consumer. Autonumber participant "File Management MnS Consumer" as NMS participant " File Management MnS Provider" as ME NMS -> ME : <<FTPeS, SFTP or HTTPS>> Transfer File @enduml Figure 6.5.3.3-1: File Transfer by File Management MnS Consumer
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6.5.4 Download File from remote file server
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6.5.4.1 Description
The File Management MnS Consumer has a file that needs to be downloaded to the File Management MnS Provider such as: - Software file to upgrade software version executed on the File Management MnS Provider - Beamforming configuration file (Opaque Vendor specific data) ETSI ETSI TS 104 043 V11.0.0 (2024-06) 45 - Machine Learning - Certificates The File Management MnS Consumer triggers the file download. The File Management MnS Provider uses a secure file transfer protocol to download the file from the location specified by the File Management MnS Consumer and then notifies the File Management MnS Consumer of the result of the download. In this use case, the File Management MnS Provider is the client. The file could be located on any File Server reachable by the File Management MnS Provider.
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6.5.4.2 Requirements
General File Download requirements specified in clause 7.4.3 of ETSI TS 128 537 [4] shall apply.
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6.5.4.3 Procedures
@startuml skin rose Title File Download autonumber "[0]" participant "File Management MnS Consumer" as NMS participant "File Management MnS Provider" as ME Participant "File Server" as FS NMS <-> ME : Establish Netconf Session NMS -> ME: NETCONF <rpc><file-download><remote-file-path> ME --> NMS: NETCONF <rpc-reply><file-download><status> NMS <-> ME : Terminate Netconf Session ME <-> FS : <<FTPeS, SFTP or HTTPS>> file download Opt Download Progress Notifications ME ->> NMS : <<HTTP/TLS>> downloadFile Event End ||| ME ->> NMS : <<HTTP/TLS>> downloadFile Event @enduml Figure 6.5.4.3-1: File Download Procedure: 1) File Management MnS Consumer establishes NETCONF session with File Management MnS Provider. 2) File Management MnS Consumer sends NETCONF RPC file-download request, including the location of the file to download, to the File Management MnS Provider to trigger a file download. 3) File Management MnS Provider replies with its ability to begin the download. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 46 4) File Management MnS Consumer terminates NETCONF session with File Management MnS Provider. 5) File Management MnS Provider sets up a secure connection and downloads the file via FTPeS, SFTP or HTTPS. SFTP is authenticated with username/password, SSH keys or X.509 certificates. FTPES is authenticated with X.509 certificates. HTTPS is mutually authenticated with X.509 certificates. 6) (Optional) If the download takes a long time, File Management MnS Provider sends periodic downloadFile notifications to the File Management MnS Consumer with the current status of the download (download in progress). 7) When download completes, File Management MnS Provider sends a downloadFile notification to the File Management MnS Consumer with the final status of the download (success, file missing, failure).
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6.5.4.4 Operations and Notifications
A File Download notification shall be in one of the following formats: - SDO O1 format: - Either a 3GPP-specified notifyFileDownload or an O-RAN-specified o1NotifyFileDownload notification should be defined. - VES O1 format: - A Harmonized VES event, as specified in the VES Event Listener Specification [18], containing stndDefinedFields with a "data" element that contains either a 3GPP-specified notifyFileDownload or an O-RAN-specified o1NotifyFileDownload notification.
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6.5.5 File push from a MnS producer to a MnS consumer
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6.5.5.1 Description
Refer to ETSI TS 128 537 [4] clause 7.3.1.
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6.5.5.2 Requirements
Requirements specified in ETSI TS 128 537 [4] clause 7.3.3 shall apply.
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6.5.5.3 Procedures
@startuml skin rose participant "File Management MnS Consumer" as consumer participant "File Management MnS Producer" as producer participant "file server" as fs autonumber 1 consumer <--> producer: Establish NETCONF session consumer --> producer: NETCONF <rpc><file-push><remote-file-path> consumer <-- producer: NETCONF <rpc-reply><file-push><status> consumer <--> producer: Terminate NETCONF session producer --> fs: <<FTPeS, SFTP, HTTPS>> file push opt progress notification desired loop for each progress update in file transfer producer -->consumer: <<HTTPS>> pushFile Event (progress) end end producer -->consumer: <<HTTPS>> pushFile Event (completion) @enduml ETSI ETSI TS 104 043 V11.0.0 (2024-06) 47 Figure 6.5.5.3-1: File Push Procedure: 1) File Management MnS Consumer establishes NETCONF session with File Management MnS Provider. 2) File Management MnS Consumer sends NETCONF RPC file-push request, including the location of the file to download, to the File Management MnS Provider to trigger a file push. 3) File Management MnS Provider replies with its ability to begin the push. 4) File Management MnS Consumer terminates NETCONF session with File Management MnS Provider. 5) File Management MnS Provider sets up a secure connection and pushes the file via FTPeS, SFTP or HTTPS. SFTP is authenticated with username/password, SSH keys or X.509 certificates. FTPES is authenticated with X.509 certificates. HTTPS is mutually authenticated with X.509 certificates. 6) (Optional) File Management MnS Provider sends periodic pushFile notifications to the File Management MnS Consumer with the current status of the push (push in progress). 7) When push completes, File Management MnS Provider sends a pushFile notification to the File Management MnS Consumer with the final status of the push (success, file missing, failure).
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6.5.5.4 Operations and Notifications
A File Pushed notification shall be in one of the following formats: - SDO O1 format: - Either a 3GPP-specified notifyPush or an O-RAN-specified o1NotifyFilePush notification should be defined. - VES O1 format: - A Harmonized VES event, as specified in the VES Event Listener Specification [18], containing stndDefinedFields with a "data" element that contains either a 3GPP-specified notifyFilePush or an O-RAN-specified o1NotifyFilePush notification. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 48
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6.6 Heartbeat Management Services
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6.6.0 Overview
Heartbeat MnS allow a Heartbeat MnS Provider to send heartbeats to the Heartbeat MnS Consumer and allow the Heartbeat MnS Consumer to configure the heartbeat services on the Heartbeat MnS Provider. Stage 1 Heartbeat MnS is specified in ETSI TS 128 537 [4]. This 3GPP specification is aligned with the Services Based Management Architecture (SBMA) approach defined in ETSI TS 128 533 [i.4], clause 4 and contains Use Cases, Requirements and Procedures for configuring the heartbeat period, reading the heartbeat period, triggering an immediate heartbeat notification and emitting a periodic heartbeat notification. Stage 2 notifyHeartbeat notification is specified in ETSI TS 128 532 [3]. Stage 2 HeartbeatControl IOC is specified in ETSI TS 128 622 [7]. Stage 3 Solution Sets for XML, JSON and YANG are specified in ETSI TS 128 623 [23].
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6.6.1 Heartbeat Notification
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6.6.1.1 Description
Heartbeat MnS Provider sends asynchronous heartbeat notifications to Heartbeat MnS Consumer at a configurable frequency to allow Heartbeat MnS Consumer to supervise the connectivity to the Heartbeat MnS Provider.
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6.6.1.2 Requirements
Requirements for heartbeat notifications specified in ETSI TS 128 537 [4], clause 4.2.2.2 shall apply.
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6.6.1.3 Procedures
Procedures for heartbeat notifications are specified in ETSI TS 128 537 [4], clauses 4.3.2 and 4.3.3.
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6.6.1.4 Operations and Notifications
A Heartbeat notification shall be in one of the following formats: - SDO O1 format: - An O1-supported 3GPP-specified notifyHeartbeat notification, as specified in ETSI TS 128 532 [3]. - VES O1 format: - A Harmonized VES event, as specified in the VES Event Listener Specification [18], containing stndDefinedFields with a "data" element that contains an O1-supported 3GPP-specified notifyHeartbeat notification, as specified in ETSI TS 128 532 [3].
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6.6.2 Heartbeat Control
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6.6.2.1 Description
Starting with 3GPP Release 16, dedicated operations for Management Services Use Cases are supported by IOCs with attributes that can be read and/or set using generic provisioning mechanisms. For Heartbeat MnS, a Heartbeat Control IOC is specified in ETSI TS 128 622 [7] that includes attributes to Get/Set Heartbeat Period, (heartbeatNtfPeriod) and Trigger Immediate Heartbeat (triggerHeartbeatNtf).
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6.6.2.2 Requirements
Requirements for heartbeat control specified in ETSI TS 128 537 [4], clause 4.2.2.1 shall apply. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 49 HeartbeatControl IOC definition shall be as specified in ETSI TS 128 622 [7], clause 4.3. YANG solution set for HeartbeatControl IOC shall be as in ETSI TS 128 623 [23], clause D.2.6a.
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6.6.2.3 Procedures
Procedures for heartbeat control are specified in ETSI TS 128 537 [4], clauses 4.3.1 and 4.3.2. NETCONF protocol and YANG data models are used to read and configure the heartbeatNtfPeriod and triggerHeartbeatNtf in the HeartbeatControl IOC. Refer to the Provisioning management services clause for procedures to read MOI attributes and modify MOI attributes using NETCONF.
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6.6.2.4 Void
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6.7 PNF Startup and Registration Management Services
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6.7.0 Overview
PNF Startup and Registration management services allow a physical PNF Startup and Registration MnS Provider to acquire its network layer parameters either via static procedures (pre-configured in the element) or via dynamic procedures (Plug-n-Connect) during startup. During this process, the PNF Startup and Registration MnS Provider also acquires the IP address of the PNF Startup and Registration MnS Consumer for PNF Startup and Registration MnS Provider registration. Once the PNF Startup and Registration MnS Provider registers, the PNF Startup and Registration MnS Consumer can then bring the PNF Startup and Registration MnS Provider to an operational state. Relevant 3GPP specifications for PNF Plug-n-Connect (PnC) are ETSI TS 128 314 (V17.0.0) [1], ETSI TS 128 315 [2] and ETSI TS 128 316 [i.2].
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6.7.1 PNF Plug-n-Connect
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6.7.1.1 Description
PNF Plug-n-Connect (PnC) scenario enables a PNF Startup and Registration MnS Provider to obtain the necessary start-up configuration to allow it to register with a PNF Startup and Registration MnS Consumer for subsequent management.
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6.7.1.2 Requirements
Specification requirement for Plug and Connect specified in ETSI TS 128 314 [1], clause 6.2.1 shall apply.
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6.7.1.3 Procedures
Functional elements involved in Plug and Connect Mns Service, for example, IP Autoconfiguration services, DNS server, Certification Authority server, Security gateway and Software and Configuration Server (SCS) are described in ETSI TS 128 315 [2], clause 4.2. Plug-and-Connect and related procedures are specified in ETSI TS 128 315 [2], clause 5.
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6.7.2 PNF Registration
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6.7.2.1 Description
PNF Startup and Registration MnS Provider sends an asynchronous pnfRegistration or o1NotifyPNFRegistration event to a PNF Startup and Registration MnS Consumer after PnC to notify PNF Startup and Registration MnS Consumer of new PNF Startup and Registration MnS Provider to be managed. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 50
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6.7.2.2 Requirements
REQ-PNFR-FUN-1: The PNF Startup and Registration MnS Provider shall support sending the PNF Registration Notifications (see clause 6.7.2.4) upon PNF reset and/or registration events resulting in O1 connection re-establishment.
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6.7.2.3 Procedures
PNF Registration procedures are illustrated by Figure 6.7.2.3-1. @startuml skin rose Title PNF Registration Notification Autonumber participant "PNF Startup and Registration MnS Consumer" as NMS participant " PNF Startup and Registration MnS Provider" as ME Note over ME : PnC completes ME ->> NMS : <<HTTP/TLS>> pnfRegistration or o1NotifyPNFRegistration Event Note over NMS : Register PNF @enduml Figure 6.7.2.3-1: PNF Registration Notification Pre-condition: - PNF completes Plug-n-Connect. Procedure: 1) PNF Startup and Registration MnS Provider sends pnfRegistration or o1NotifyPNFRegistration notification event to PNF Startup and Registration MnS Consumer over HTTP/TLS. Mutual certificate authentication is performed. Post-condition: - PNF Startup and Registration MnS Consumer registers the PNF Startup and Registration MnS Provider so that it can be managed.
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6.7.2.4 Operations and Notifications
A PNF Registration notification can be either an o1NotifyPNFRegistration or a pnfRegistration event. They shall be in one of the following formats: o1NotifyPNFRegistration: - SDO O1 format: - The O-RAN-specified o1NotifyPnfRegistration notification defined in Table 6.7.2.4-1. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 51 Table 6.7.2.4-1 Parameter Name S Information Type Comment objectClass M ManagedEntity.objectClass Class of the managed object, registering for service. objectInstance M ManagedEntity.objectInstance Instance of the managed object, registering for service. notificationId M NotificationId Notification identifier as defined in Recommendation ITU-T X.733 [i.18] notificationType M "o1notifyPnfRegistration" eventTime M DateTime Time when the NF is sending the registration. systemDN M SystemDN DN of the MnS provider of the notification o1SpecVersion M number Version of the O1 Specification defining the format of this PNF registration notification serialNumber M string ETSI TS 128 632 [i.7] serialNumber = serial number of the unit vendorName M string ETSI TS 128 632 [i.7] vendorName = name of the NF vendor. oamV4IpAddress CM string IPv4 m-plane IP address to be used by the manager to contact the NF. oamV6IpAddress CM string IPv6 m-plane IP address to be used by the manager to contact the NF. macAddress O string MAC address of the OAM of the unit unitFamily O string ETSI TS 128 632 [i.7] vendorUnitFamilyType = general type of HW unit unitType O string ETSI TS 128 632 [i.7] vendorUnitTypeNumber = vendor name for the unit modelNumber O string ETSI TS 128 632 [i.7] versionNumber = version of the unit from the vendor softwareVersion O string ETSI TS 128 632 [i.7] swName = software release name. This is the software provided by the vendor at onboarding to be run on this version of the NF and can contain multiple underlying software images. restartReason O string Reason the NF restarted, if known manufactureDate O string ETSI TS 128 632 [i.7] dateOfManufacture = manufacture date of the unit; e.g. 2016-04-23 lastServiceDate O string ETSI TS 128 632 [i.7] dateOfLastService = date of last service; e.g. 2017-02-15 additionalFields O hashMap Additional registration fields if needed, provided as key-value pairs. CM: Either oamV4IpAddress or oamV6IpAddress shall be provided depending upon what the network function supports. NOTE: Table 6.7.2.4-1 describes the content of o1NotifyPnfRegistration may be revised when the IM/DM work (capturing the notification details) is complete. - VES O1 format: - A Harmonized VES event, as specified in the VES Event Listener Specification [18], containing stndDefinedFields with a "data" element that contains an O-RAN-specified o1NotifyPnfRegistration notification. pnfRegistration: - VES O1 format: - A legacy pnfRegistration VES event, as specified in the VES Event Listener Specification [18].
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6.8 PNF Software Management Services
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6.8.0 Overview
Software management services allow a PNF Software MnS Consumer to request a physical PNF Software MnS Provider to download, install, validate and activate a new software package and allow a physical PNF Software MnS Provider to report its software versions. ETSI ETSI TS 104 043 V11.0.0 (2024-06) 52
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6.8.1 Software Package Naming and Content
PNF Software Package naming, content and format are vendor specific and do not require standardization in O-RAN. A PNF Software Package contains one or more files. Some of the files in the Software Package are optional for the PNF (example: a file that has not changed version). The PNF is aware of the content and format of its available Software Packages and can determine which files it needs to download. The softwarePackage Managed Object Class (MOC) contains attributes about a software package such as: - software package name, version; - fileList; - integrityStatus (valid, invalid, empty); - runningState (active, passive); - vendor; - productName; - softwareType (operational, factory); - etc. This MOC is applicable to VNFs and PNFs and is a generic term that O-RAN will use to refer to the software available on the PNF rather than the legacy term of software slot. The PNF creates one instance of softwarePackage for each software package supported concurrently on the PNF. Typically, a PNF will have two softwarePackage MOIs for operational software; one with runningState = active and one with runningState = passive. Some PNFs also have a softwarePackage MOI for the factory software which would be read only. O-RAN can have PNFs that support more than one passive slot. In this case the inventory query result would show multiple MOIs with runningState=passive.
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6.8.2 Software Inventory
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6.8.2.1 Description
The PNF Startup and Registration MnS Consumer sends a Software Inventory Request and retrieves information about the software packages on the PNF Software MnS Provider.
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6.8.2.2 Requirements
REQ-SWI-FUN-1: The PNF software management service provider shall have the capability to provide its authorized consumer information about the software packages on the PNF software management service provider.