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3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply: AV Anti-virus CA Certificate Authority CIS Center for Internet Security EDR Endpoint Detection and Response Software MFA Multi-Factor Authentication NAT Network Address Translation OEM Original Equipment Manufacturer OS Operating System PAW Pr...
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4 PAWs
A Privileged Access Workstation (PAW) shall be a physical device (e.g. laptop). It is designed to be a highly trusted device enabling secure system administration to be undertaken. The PAW device and management system shall be designed to mitigate well known, common types of attacks faced by running an externally facin...
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5 Threats
The MITRE Attack framework [i.2] describes a number of persistence, privilege escalation and defence evasion techniques that could be used with the overall aim being to gain access to privileged information and exfiltrate data. These are the threats that the present document focusses on addressing. Threat Vector Risk D...
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6 Specification
A PAW shall be a physical device. A PAW shall support UEFI, secure boot and a hardware root of trust (e.g. TPM 2.0 or later) and shall ensure these are enabled. A PAW shall have a unique set of credentials (i.e. not shared with a Corporate Identity Provider) and shall use hardware based Multi-Factor Authentication (MFA...
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7 How does a PAW mitigate the threats
Given all the defensive mechanisms in place against the initial access threats, the ability of an adversary to gain further access is severely limited. All event logging shall be captured and sent to a SIEM system where it should be monitored. The restrictive policy lockdown and the limited application scope should mea...
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1 Scope
The present document defines baseline security requirements for AI models and systems. This includes systems that incorporate deep neural networks, such as generative AI. For consistency, the term "AI systems" throughout the present document when framing the scope of provisions and "AI security" which is considered a s...
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2 References
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2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. Referenced documents which a...
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2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. NOTE: While any hyperlinks i...
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3 Definition of terms, symbols and abbreviations
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3.1 Terms
For the purposes of the present document, the following terms apply: adversarial attack: attempt to manipulate an AI model by introducing specially crafted inputs to cause the model to produce errors or unintended outcomes AI system: engineered system that generates outputs such as content, forecasts, recommendations o...
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3.2 Symbols
Void.
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3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply: AI Artificial Intelligence API Application Programming Interface ETSI ETSI TS 104 223 V1.1.1 (2025-04) 8
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4 Audience
This clause defines the stakeholder groups that form the AI supply chain. An indication is given for each principle on which stakeholders are primarily responsible for its implementation. Importantly, a single entity can hold multiple stakeholder roles in the present document as well as responsibilities from different ...
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5 AI Security Principles and Provisions
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5.1 Secure Design
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5.1.1 Principle 1: Raise awareness of AI security threats and risks
Primarily applies to: System Operators, Developers, and Data Custodians References: [3], [4], [5], [6], [7], [8], [9], [10], [11]. Provision 5.1.1-1 Organizations' cyber security training programme shall include AI security content which shall be regularly reviewed and updated, such as if new substantial AI-related sec...
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5.1.4 Principle 4: Enable human responsibility for AI systems
Primarily applies to: Developers and System Operators References: [7], [8], [16] Provision 5.1.4-1 When designing an AI system, Developers and/or System Operators should incorporate and maintain capabilities to enable human oversight. Provision 5.1.4-2 Developers should design systems to make it easy for humans to asse...
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5.2 Secure Development
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5.2.1 Principle 5: Identify, track and protect the assets
Primarily applies to: Developers, System Operators and Data Custodians References: [7], [21], [15], [16], [11], [12], [17], [20] Provision 5.2.1-1 Developers, Data Custodians and System Operators shall maintain a comprehensive inventory of their assets (including their interdependencies/connectivity). Provision 5.2.1-2...
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5.2.2 Principle 6: Secure the infrastructure
Primarily applies to: Developers and System Operators References: [7], [8], [6], [15], [20] Provision 5.2.2-1 Developers and System Operators shall evaluate their organization's access control frameworks and identify appropriate measures to secure APIs, models, data, and training and processing pipelines. Provision 5.2...
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5.2.3 Principle 7: Secure the supply chain
Primarily applies to: Developers, System Operators and Data Custodians References: [2], [7], [15], [5] Provision 5.2.3-1 Developers and System Operators shall follow secure software supply chain processes for their AI model and system development. Provision 5.2.3-2 System Operators that choose to use or adapt any model...
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5.2.4 Principle 8: Document data, models and prompts
Primarily applies to: Developers References: [7], [6], [15], [11], [20] Provision 5.2.4-1 Developers shall document and maintain a clear audit trail of their system design and post-deployment maintenance plans. Developers should make the documentation available to the downstream System Operators and Data Custodians. Pr...
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5.2.5 Principle 9: Conduct appropriate testing and evaluation
Primarily applies to: Developers and System Operators References: [7], [6], [21], [15], [14], [9], [17] Provision 5.2.5-1 Developers shall ensure that all models, applications and systems that are released to System Operators and/or End-users have been tested as part of a security assessment process. Provision 5.2.5-2 ...
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5.3 Secure Deployment
5.3.1 Principle 10: Communication and processes associated with End-users and Affected Entities NOTE: As part of an organization's wider deployment practices, pre-deployment testing of AI systems is to be considered alongside the requirements below. Provision 5.3.1-1 System Operators shall convey to End-users in an acc...
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5.4 Secure Maintenance
5.4.1 Principle 11: Maintain regular security updates, patches and mitigations Primarily applies to: Developers and System Operators References: [20] Provision 5.4.1-1 Developers shall provide security updates and patches, where possible, and notify System Operators of the security updates. System Operators shall deliv...
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5.4.2 Principle 12: Monitor the system's behaviour
Primarily applies to: Developers and System Operators References: [7], [6], [21], [14], [16], [11], [12], [17], [20] Provision 5.4.2-1 System Operators shall log system and user actions to support security compliance, incident investigations, and vulnerability remediation. Provision 5.4.2-2 System Operators should anal...
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5.5 Secure End of Life
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5.5.1 Principle 13: Ensure proper data and model disposal
Primarily applies to: Developers and System Operators Provision 5.5.1-1 If a Developer or System Operator decides to transfer or share ownership of training data and/or a model to another entity they shall involve Data Custodians and securely dispose of these assets. This will protect AI against security issues that ca...
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1 Scope
The present document specifies test cases for conformance testing and interoperability testing of the Non-RT RIC and the Near-RT RIC over the A1 interface.
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2 References
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2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. Referenced documents which a...
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2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. NOTE: While any hyperlinks i...
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3 Definition of terms, symbols and abbreviations
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3.1 Terms
For the purposes of the present document, the terms given in A1GAP [i.1], A1AP [4] and A1TD [i.2] apply.
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3.2 Symbols
Void.
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3.3 Abbreviations
For the purposes of the present document, the abbreviations given in A1GAP [i.1], A1AP [4], A1TD [i.2], and the following apply: DUT Device Under Test
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4 Test methodology
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4.1 General
This clause describes the methodology for conformance and interoperability testing of Non-RT RIC and Near-RT RIC over A1 interface. For conformance tests, simulators are used for testing A1 procedures. These simulators will have capability of generating HTTP requests and responses for GET, PUT, POST and DELETE operatio...
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4.2 Conformance testing Non-RT RIC
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4.2.1 General
Non-RT RIC is the device under test, clause 5 of the present document specifies conformance tests for A1-P Consumer and A1-EI Producer functionality as specified in document A1AP [4].
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4.2.2 Test configuration
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4.2.2.0 Overview
The test configuration for A1 conformance testing of Non-RT RIC is illustrated in figure 4.2.2.0-1. ETSI ETSI TS 103 989 V4.2.0 (2025-05) 15 A1-P Producer A1-P Consumer A1-EI Producer A1-EI Consumer A1 A1 Test Simulator Non-RT RIC (DUT) Figure 4.2.2.0-1: Illustration of Non-RT RIC A1 conformance test setup
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4.2.2.1 Device under test (Non-RT RIC)
For enabling conformance testing, the Non-RT RIC has implemented A1-P Consumer and/or A1-EI Producer functionality and the procedures specified in A1AP [4] that are required to perform testing of the applicable test cases. It also supports one agreed policy type and/or one agreed EI type. 4.2.2.2 Test simulator The tes...
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4.3 Conformance testing Near-RT RIC
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4.3.1 General
Near-RT RIC is the device under test, clause 6 of the present document specifies conformance tests for A1-P Producer and A1-EI Consumer functionality as specified in document A1AP [4]. ETSI ETSI TS 103 989 V4.2.0 (2025-05) 16
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4.3.2 Test configuration
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4.3.2.0 Overview
The test configuration for A1 conformance testing of Near-RT RIC is illustrated in figure 4.3.2.0-1. A1-P Producer A1-P Consumer A1-EI Producer A1-EI Consumer A1 A1 Near-RT RIC (DUT) Test Simulator Figure 4.3.2.0-1: Illustration of Near-RT RIC A1 conformance test setup
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4.3.2.1 Device under test (Near-RT RIC)
For enabling conformance testing, the Near-RT RIC has implemented A1-P Producer and/or A1-EI Consumer functionality and the procedures specified in A1AP [4] that are required to perform testing of the applicable test cases. It also supports one agreed policy type and/or one agreed EI type. 4.3.2.2 Test simulator The te...
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4.4.1 General
Both Non-RT RIC and Near-RT RIC are the devices under test or constitutes a system under test, they may be from different vendors or from the same vendor. Clause 7 of the present document specifies interoperability test cases for A1-P and A1-EI functionality as specified in document A1AP [4]. Test methodology is concei...
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4.4.2 Test configuration
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4.4.2.0 Overview
The test configuration for A1 interoperability testing between Non-RT RIC and Near-RT RIC is illustrated in Figure 4.4.2.0-1. Non-RT RIC (DUT) Near-RT RIC (DUT) E2 node functionality (simulator or real) 4G/5G Core functionality (simulator or real) UEs (simulator or real) O1 functionality (simulator or real) Protocol An...
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4.4.2.1 System under test (Non-RT RIC and Near-RT RIC)
Non-RT RIC and Near-RT RIC will have a minimal set of matching functionalities to facilitate testing of A1-P and/or A1-EI procedures. As an entry criterion for interoperability testing, Non-RT RIC and Near-RT RIC need to have at least one matching policy type and/or EI type. ETSI ETSI TS 103 989 V4.2.0 (2025-05) 18
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4.4.2.2 Test tools and simulators (SMO framework, E2 nodes, UEs, etc.)
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4.4.2.2.1 SMO O1 functionality (Simulator or real)
SMO O1 functionality may be needed if Non-RT RIC relies on O1 functionality for provisioning. This interface is also needed if the Non-RT RIC collects performance metrics via O1 interface.
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4.4.2.2.2 UEs and RAN (simulator or real)
For triggering A1-P and A1-E1 procedures across A1 interface, Near-RT RIC may need one or more E2 Node(s). These can be real or simulated nodes with supported E2 Service Model functionality as needed by Near-RT RIC involved in the tests. A simulated or real UE call activity may be needed to invoke the appropriate Near-...
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4.4.2.2.3 4G/5G Core Network
Depending on the Non-RT RIC, Near-RT RIC and/or E2 Nodes used, a simulated or real 4G/5G Core Network may be needed for UE activity.
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4.4.2.2.4 Tap interface and protocol analysanalyser
A tap interface and protocol analysanalyser can be used on A1 interface to passively capture and analyse packets for test case validation.
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5 Test cases for Non-RT RIC
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5.1 General
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5.1.1 Device under test requirements
The Non-RT RIC that acts as Device Under Test (DUT) in the test scenarios of this clause can be a function that is under development, or it can be a finalized commercial product. The requirements on the DUT for these tests are that it can handle the procedures defined for a Non-RT RIC and the purpose of the test scenar...
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5.1.2 Test simulator capabilities
The test simulator has the same basic capabilities as required for a Near-RT RIC. In addition, it has the following capabilities: • Recording of received HTTP requests and responses and analysing them regarding conformance to the A1 service definitions; • Controlled initiation of procedures with configurable URIs and p...
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5.2 Conformance test cases for A1-P Consumer
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5.2.1 Query policy type test scenarios
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5.2.1.1 Query all policy type identifiers (positive case)
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5.2.1.1.1 Test description and applicability
The purpose of this test case is to test the query policy types functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.3.2. The expected outcome is successful validation of the Query all policy type identifiers request. This test case is conditionally mandatory if the DUT claims to support A1-P service and ...
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5.2.1.1.2 Test entrance criteria
1) The DUT has functionality to initiate A1-P Query all policy type identifiers procedure. 2) A set of policy types (at least two) are supported in the test simulator.
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5.2.1.1.3 Test methodology
5.2.1.1.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.1.1.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Query all policy type identifiers request. Step 2. At the test simulator the contents of the received...
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5.2.1.2 Query single policy type (positive case)
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5.2.1.2.1 Test description and applicability
This purpose of this test case is to test the query policy type functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.3.3. The expected outcome is successful validation of the Query single policy type request. This test case is conditionally mandatory if the DUT claims to support A1-P service and the Query...
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5.2.1.2.2 Test entrance criteria
1) The DUT has the functionality to initiate A1-P Query single policy type procedure. 2) A known set of policy types are supported in the test simulator. 3) Policy type identifiers used for this test are known in advance and used in DUT to formulate the Query single policy type request, and in test Simulator for select...
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5.2.1.2.3 Test methodology
5.2.1.2.3.1 Initial conditions 1) The test Simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.1.2.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Query single policy type request with a known policyTypeId. Step 2. At the test Simulator the content...
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5.2.2 Create policy test scenarios
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5.2.2.1 Create single policy (positive case)
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5.2.2.1.1 Test description and applicability
This purpose of this test case is to test the create policy functionality of A1-P Consumer as specified in A1AP [4] clause .2.4.3. The expected outcome is successful validation of the Create single policy request. This test case is conditionally mandatory if the DUT claims to support A1-P service. ETSI ETSI TS 103 989 ...
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5.2.2.1.2 Test entrance criteria
1) The DUT has the functionality to initiate A1-P Create single policy procedure. 2) The DUT and the test simulator have agreed on a policy type to use for this test. 3) The policyTypeId and the JSON schemas of the policy type used for this test are available and used in DUT to formulate the create policy request, and ...
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5.2.2.1.3 Test methodology
5.2.2.1.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 2) No policy exists in the test simulator for the agreed policy type with the same policyId that will be used by the DUT. NOTE: The DUT is required to generate a unique policyId duri...
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5.2.3 Query policy test scenarios
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5.2.3.1 Query all policy identifiers (positive case)
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5.2.3.1.1 Test description and applicability
The purpose of this test case is to test the query policies functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.4.2. The expected outcome is successful validation of the Query all policy identifiers request. This test case is conditionally mandatory if the DUT claims to support A1-P service and the Query...
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5.2.3.1.3 Test methodology
5.2.3.1.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.3.1.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Query all policy identifiers request. Step 2. At the test simulator the contents of the received HTTP...
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5.2.3.2 Query single policy (positive case)
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5.2.3.2.1 Test description and applicability
The purpose of this test case is to test the query policy functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.4.5. The expected outcome is successful validation of the Query single policy request. This test case is conditionally mandatory if the DUT claims to support A1-P service and the Query single pol...
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5.2.3.2.2 Test entrance criteria
1) The DUT has functionality to initiate A1-P Query single policy procedure. 2) A policy exists in test simulator and the policyTypeId and the policyId is known to DUT.
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5.2.3.2.3 Test methodology
5.2.3.2.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.3.2.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Query single policy request for the existing policy identified by policyTypeId and policyId. Step 2. ...
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5.2.3.3 Query policy status (positive case)
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5.2.3.3.1 Test description and applicability
The purpose of this test case is to test the query policy status functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.4.7. The expected outcome is successful validation of the Query policy status request. This test case is conditionally mandatory if the DUT claims to support A1-P service and the Query pol...
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5.2.3.3.2 Test entrance criteria
1) The DUT has functionality to initiate A1-P Query policy status procedure. 2) A policy exists in test simulator and the policyTypeId and the policyId is known to DUT.
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5.2.3.3.3 Test methodology
5.2.3.3.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.3.3.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Query policy status request for the existing policy identified by policyTypeId and policyId. Step 2. ...
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5.2.4 Update policy test scenarios
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5.2.4.1 Update single policy (positive case)
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5.2.4.1.1 Test description and applicability
The purpose of this test case is to test the update policy functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.4.4. The expected outcome is successful validation of Update single policy request. This test case is conditionally mandatory if the DUT claims to support A1-P service and the Update single poli...
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5.2.4.1.2 Test entrance criteria
1) The DUT has functionality to initiate A1-P Update single policy procedure. 2) A policy exists in test simulator and the policyTypeId and the policyId is known to DUT. 3) The JSON schemas of the policy type used for this test are available and used in DUT to formulate the Update single policy request, and in test sim...
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5.2.4.1.3 Test methodology
5.2.4.1.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP request from the DUT. 5.2.4.1.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Update single policy request for the existing policy identified by policyTypeId and policyId. Step 2. ...
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5.2.5 Delete policy test scenarios
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5.2.5.1 Delete single policy (positive case)
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5.2.5.1.1 Test description and applicability
This purpose of this test case is to test the delete policy functionality of A1-P Consumer as specified in A1AP [4] clause 5.2.4.6. The expected outcome is successful validation of the Delete single policy request. This test case is conditionally mandatory if the DUT claims to support A1-P service.
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5.2.5.1.2 Test entrance criteria
1) The DUT has the functionality to initiate A1-P Delete policy procedure. 2) A policy exists in test simulator and the policyTypeId and the policyId is known to DUT.
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5.2.5.1.3 Test methodology
5.2.5.1.3.1 Initial conditions 1) The test simulator has A1-P Producer service ready and available to receive HTTP requests from the DUT. 5.2.5.1.3.2 Procedure Step 1. Initiate appropriate action in the DUT to initiate Delete policy request for the existing policy identified by policyTypeId and policyId. Step 2. At the...
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5.2.6 Notify policy status test scenarios