RFC 3577

Network Working Group                                      S. Waldbusser
Request for Comments: 3577                                       R. Cole
Category: Informational                                             AT&T
                                                          C. Kalbfleisch
                                                             Verio, Inc.
                                                            D. Romascanu
                                                             August 2003

   Introduction to the Remote Monitoring (RMON) Family of MIB Modules

Status of this Memo

   This memo provides information for the Internet community.  It does
   not specify an Internet standard of any kind.  Distribution of this
   memo is unlimited.

Copyright Notice

   Copyright (C) The Internet Society (2003).  All Rights Reserved.


   The Remote Monitoring (RMON) Framework consists of a number of
   interrelated documents.  This memo describes these documents and how
   they relate to one another.

Table of Contents

   1.  The Internet-Standard Management Framework . . . . . . . . . .  2
   2.  Definition of RMON . . . . . . . . . . . . . . . . . . . . . .  2
   3.  Goals of RMON. . . . . . . . . . . . . . . . . . . . . . . . .  3
   4.  RMON Documents . . . . . . . . . . . . . . . . . . . . . . . .  4
       4.1.  RMON-1 . . . . . . . . . . . . . . . . . . . . . . . . .  6
       4.2.  Token Ring Extensions to RMON MIB. . . . . . . . . . . .  7
       4.3.  The RMON-2 MIB . . . . . . . . . . . . . . . . . . . . .  9
       4.4.  RMON MIB Protocol Identifiers. . . . . . . . . . . . . . 10
       4.5.  Remote Network Monitoring MIB Extensions for Switched
             Networks (SMON MIB). . . . . . . . . . . . . . . . . . . 10
       4.6.  RMON MIB Extensions for Interface Parameters Monitoring
             (IFTOPN) . . . . . . . . . . . . . . . . . . . . . . . . 12
       4.7.  RMON Extensions for Differentiated Services (DSMON MIB). 12
       4.8.  RMON for High Capacity Networks (HCRMON MIB) . . . . . . 13
       4.9.  Application Performance Measurement MIB (APM MIB). . . . 14
       4.10. RMON MIB Protocol Identifier Reference Extensions. . . . 15
       4.11. Transport Performance Metrics MIB (TPM MIB). . . . . . . 16

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       4.12. Synthetic Sources for Performance Monitoring MIB
             (SSPM MIB) . . . . . . . . . . . . . . . . . . . . . . . 17
       4.13. RMON MIB Extensions for High Capacity Alarms . . . . . . 17
       4.14. Real-Time  Application Quality of Service Monitoring
             (RAQMON) MIB . . . . . . . . . . . . . . . . . . . . . . 17
   5.  RMON Framework Components. . . . . . . . . . . . . . . . . . . 18
       5.1.  MediaIndependent Table . . . . . . . . . . . . . . . . . 18
       5.2.  Protocol Directory . . . . . . . . . . . . . . . . . . . 19
       5.3.  Application Directory and appLocalIndex. . . . . . . . . 21
       5.4.  Data Source. . . . . . . . . . . . . . . . . . . . . . . 22
       5.5.  Capabilities . . . . . . . . . . . . . . . . . . . . . . 22
       5.6.  Control Tables . . . . . . . . . . . . . . . . . . . . . 23
   6.  Relationship of the SSPM MIB with the APM and TPM MIBs . . . . 24
   7.  Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . 26
   8.  References . . . . . . . . . . . . . . . . . . . . . . . . . . 27
       8.1.  Normative References . . . . . . . . . . . . . . . . . . 27
       8.2.  Informative References . . . . . . . . . . . . . . . . . 27
   9.  Security Considerations. . . . . . . . . . . . . . . . . . . . 29
   10. Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . 30
   11. Full Copyright Statement . . . . . . . . . . . . . . . . . . . 31

1.  The Internet-Standard Management Framework

   For a detailed overview of the documents that describe the current
   Internet-Standard Management Framework, please refer to section 7 of
   RFC 3410 [RFC3410].

   Managed objects are accessed via a virtual information store, termed
   the Management Information Base or MIB.  MIB objects are generally
   accessed through the Simple Network Management Protocol (SNMP).
   Objects in the MIB are defined using the mechanisms defined in the
   Structure of Management Information (SMI).  This memo specifies a MIB
   module that is compliant to the SMIv2, which is described in STD 58,
   RFC 2578 [RFC2578], STD 58, RFC 2579 [RFC2579] and STD 58, RFC 2580

2.  Definition of RMON

   Remote network monitoring devices, often called monitors or probes,
   are instruments that exist for the purpose of managing and/or
   monitoring a network.  Often these remote probes are stand-alone
   devices and devote significant internal resources for the sole
   purpose of managing a network.  An organization may employ many of
   these devices, up to one per network segment, to manage its internet.
   In addition, these devices may be used to manage a geographically
   remote network such as for a network management support center of a
   service provider to manage a client network, or for the central
   support organization of an enterprise to manage a remote site.

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   When the work on the RMON documents was started, this device-oriented
   definition of RMON was taken quite literally, as RMON devices were
   purpose-built probes and dedicated to implementing the RMON MIB
   modules.  Soon, cards were introduced that added RMON capability into
   a network hub, switch or router.  RMON also began to appear as a
   software capability that was added to the software of certain network
   equipment, as well as software applications that could run on servers
   or clients.  Despite the variety of these approaches, the RMON
   capability in each serves as a dedicated network management resource
   available for activities ranging from long-term data collection and
   analysis or for ad-hoc firefighting.

   In the beginning, most, but not all, of RMON's capabilities were
   based on the promiscuous capture of packets on a network segment or
   segments.  Over time, that mixture included more and more
   capabilities that did not depend on promiscuous packet capture.
   Today, some of the newest documents added to the RMON framework allow
   multiple techniques of data gathering, where promiscuous packet
   capture is just one of several implementation options.

3.  Goals of RMON

      o  Offline Operation

         There are sometimes conditions when a management station will
         not be in constant contact with its remote monitoring devices.
         This is sometimes by design in an attempt to lower
         communications costs (especially when communicating over a WAN
         or dialup link), or by accident as network failures affect the
         communications between the management station and the probe.

         For this reason, RMON allows a probe to be configured to
         perform diagnostics and to collect statistics continuously,
         even when communication with the management station may not be
         possible or efficient.  The probe may then attempt to notify
         the management station when an exceptional condition occurs.
         Thus, even in circumstances where communication between
         management station and probe is not continuous, fault,
         performance, and configuration information may be continuously
         accumulated and communicated to the management station
         conveniently and efficiently.

      o  Proactive Monitoring

         Given the resources available on the monitor, it is potentially
         helpful for it to continuously run diagnostics and to log
         network performance.  The monitor is always available at the
         onset of any failure.  It can notify the management station of

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         the failure and can store historical statistical information
         about the failure.  This historical information can be played
         back by the management station in an attempt to perform further
         diagnosis into the cause of the problem.

      o  Problem Detection and Reporting

         The monitor can be configured to recognize conditions, most
         notably error conditions, and to continuously check for them.
         When one of these conditions occurs, the event may be logged,
         and management stations may be notified in a number of ways.

      o  Value Added Data

         Because a remote monitoring device represents a network
         resource dedicated exclusively to network management functions,
         and because it is located directly on the monitored portion of
         the network, the remote network monitoring device has the
         opportunity to add significant value to the data it collects.
         For instance, by highlighting those hosts on the network that
         generate the most traffic or errors, the probe can give the
         management station precisely the information it needs to solve
         a class of problems.

      o  Multiple Managers

         An organization may have multiple management stations for
         different units of the organization, for different functions
         (e.g., engineering and operations), and in an attempt to
         provide disaster recovery.  Because environments with multiple
         management stations are common, the remote network monitoring
         device has to deal with more than one management station,
         potentially using its resources concurrently.

4.  RMON Documents

   The RMON Framework includes a number of documents.  Each document
   that makes up the RMON framework defines some new useful behavior
   (i.e., an application) and managed objects that configure, control
   and monitor that behavior.  This section lists those documents and
   describes the role of each.

   One of the key ways to differentiate the various RMON MIB modules is
   by noting at which layer they operate.  Because the RMON MIB modules
   take measurements and present aggregates of those measurements, there
   are 2 criteria to quantify for each MIB:

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      1. At which layers does the MIB take measurements?

         For example, the RMON MIB measures data-link layer attributes
         (e.g., packets, bytes, errors), while the APM MIB measures
         application layer attributes (e.g., response time).  Supporting
         measurement at higher layers requires analysis deeper into the
         packet and many application layer measurements require stateful
         flow analysis.

      2. At which layers does the MIB aggregate measurements?

         This criteria notes the granularity of aggregation.  For
         example, the RMON MIB aggregates its measurements to the link,
         hardware address, or hardware address pair - all data-link
         concepts.  In contrast, the RMON-2 MIB takes the same data-link
         metrics (packets, bytes, errors) and aggregates them based on
         network address, transport protocol, or application protocol.

   Note that a MIB may take measurements at one level while aggregating
   at different levels.  Also note that a MIB may function at multiple
   levels.  Figure 1 and Figure 2 show the measurement layers and
   aggregation layers for each MIB.

   Measurement Layers

               Data Link       Network     Transport   Application
                   Layer         Layer         Layer         Layer
   RMON-1              X
   TR-RMON             X
   RMON-2              X
   SMON                X
   IFTopN              X
   HCRMON              X
   APM                                                           X
   TPM                                             X

                                  Figure 1

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   Aggregation Layers

               Data Link       Network     Transport   Application
                   Layer         Layer         Layer         Layer
   RMON-1              X
   TR-RMON             X
   RMON-2                            X             X             X
   SMON                X
   IFTopN              X
   HCRMON              X
   APM                               X             X             X
   TPM                               X             X             X

                                  Figure 2

4.1.  RMON-1

   The RMON-1 standard [RFC2819] is focused at layer 2 and provides
   link-layer statistics aggregated in a variety of ways.  In addition,
   it provides the generation of alarms when thresholds are crossed, as
   well as the ability to filter and capture packet contents.  The
   components of RMON-1 are:

      The Ethernet Statistics Group

         The ethernet statistics group contains statistics measured by
         the probe for each monitored Ethernet interface on this device.

      The History Control Group

         The history control group controls the periodic statistical
         sampling of data from various types of network media.

      The Ethernet History Group

         The ethernet history group records periodic statistical samples
         from an ethernet network and stores them for later retrieval.

      The Alarm Group

         The alarm group periodically takes statistical samples from
         variables in the probe and compares them to previously
         configured thresholds.  If the monitored variable crosses a
         threshold, an event is generated.  A hysteresis mechanism is
         implemented to limit the generation of alarms.

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      The Host Group

         The host group contains statistics associated with each host
         discovered on the network.  This group discovers hosts on the
         network by keeping a list of source and destination MAC
         Addresses seen in good packets promiscuously received from the

      The HostTopN Group

         The hostTopN group is used to prepare reports that describe the
         hosts that top a list ordered by one of their statistics.  The
         available statistics are samples of one of their base
         statistics over an interval specified by the management
         station.  Thus, these statistics are rate based.  The
         management station also selects how many such hosts are

      The Matrix Group

         The matrix group stores statistics for conversations between
         sets of two MAC addresses.  As the device detects a new
         conversation, it creates a new entry in its tables.

      The Filter Group

         The filter group allows packets to be matched by a filter
         equation.  These matched packets form a data stream that may be
         captured or may generate events.

      The Packet Capture Group

         The Packet Capture group allows packets to be captured after
         they flow through a channel.

      The Event Group

         The event group controls the generation and notification of
         events from this device.

4.2.  Token Ring Extensions to RMON MIB

   Some of the functions defined in the RMON-1 MIB were defined specific
   to Ethernet media.  In order to operate the functions on Token Ring
   Media, new objects needed to be defined in the Token Ring Extensions
   to RMON MIB [RFC1513].  In addition, this MIB defines additional
   objects that provide monitoring functions unique to Token Ring.

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   The components of the Token Ring Extensions to RMON MIB are:

      The Token Ring Statistics Groups

         The Token Ring statistics groups contain current utilization
         and error statistics.  The statistics are broken down into two
         groups, the Token Ring Mac-Layer Statistics Group and the Token
         Ring Promiscuous Statistics Group.  The Token Ring Mac-Layer
         Statistics Group collects information from the Mac Layer,
         including error reports for the ring and ring utilization of
         the Mac Layer.  The Token Ring Promiscuous Statistics Group
         collects utilization statistics from data packets collected

      The Token Ring History Groups

         The Token Ring History Groups contain historical utilization
         and error statistics.  The statistics are broken down into two
         groups, the Token Ring Mac-Layer History Group and the Token
         Ring Promiscuous History Group.  The Token Ring Mac-Layer
         History Group collects information from the Mac Layer,
         including error reports for the ring and ring utilization of
         the Mac Layer.  The Token Ring Promiscuous History Group
         collects utilization statistics from data packets collected

      The Token Ring Ring Station Group

         The Token Ring Ring Station Group contains statistics and
         status information associated with each Token Ring station on
         the local ring.  In addition, this group provides status
         information for each ring being monitored.

      The Token Ring Ring Station Order Group

         The Token Ring Ring Station Order Group provides the order of
         the stations on monitored rings.

      The Token Ring Ring Station Config Group

         The Token Ring Ring Station Config Group manages token ring
         stations through active means.  Any station on a monitored ring
         may be removed or have configuration information downloaded
         from it.

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      The Token Ring Source Routing Group

         The Token Ring Source Routing Group contains utilization
         statistics derived from source routing information optionally
         present in token ring packets.

4.3.  The RMON-2 MIB

   The RMON-2 MIB [RFC2021] extends the architecture defined in RMON-1,
   primarily by extending RMON analysis up to the application layer.

   The components of the RMON-2 MIB are:

      The Protocol Directory Group

         Every RMON-2 implementation will have the capability to parse
         certain types of packets and identify their protocol type at
         multiple levels.  The protocol directory presents an inventory
         of those protocol types the probe is capable of monitoring, and
         allows the addition, deletion, and configuration of protocol
         types in this list.

      Protocol Distribution Group

         This function controls the collection of packet and octet
         counts for any or all protocols detected on a given interface.
         An NMS can use this table to quickly determine bandwidth
         allocation utilized by different protocols.

      Address Mapping Group

         This function lists MAC address to network address bindings
         discovered by the probe and on which interface they were last

      Network Layer Host Group

         This function counts the amount of traffic sent from and to
         each network address discovered by the probe.

      Network Layer Matrix Group

         This function counts the amount of traffic sent between each
         pair of network addresses discovered by the probe.

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      Application Layer Host Group

         This function counts the amount of traffic, by protocol, sent
         from and to each network address discovered by the probe.

      Application Layer Matrix

         This function counts the amount of traffic, by protocol, sent
         between each pair of network addresses discovered by the probe.

      User History

         This function allows an NMS to request that certain variables
         on the probe be periodically polled and for a time-series to be
         stored of the polled values.  This builds a user-configurable
         set of variables to be monitored (not to be confused with data
         about users).

      Probe Configuration

         This group contains configuration objects that configure many
         aspects of the probe, including the software downloaded to the
         probe, the out of band serial connection, and the network

4.4.  RMON MIB Protocol Identifiers

   The RMON-2 MIB identifies protocols at any layer of the 7 layer
   hierarchy with an identifier called a Protocol Identifier, or
   ProtocolID for short.  ProtocolIDs also identify the particular
   configuration of layering in use, including any arbitrary
   encapsulations.  The RMON MIB Protocol Identifiers document [RFC2896]
   is a companion document to the RMON-2 MIB that defines a number of
   well-known protocols.  Another document, the RMON MIB Protocol
   Identifiers Macros [RFC2895], defines a macro format for the
   description of these well-known protocols and others that may be
   described in the future.

   As the RMON Framework has grown, other documents have been added to
   the framework that utilize ProtocolIDs.

4.5.  Remote Network Monitoring MIB Extensions for Switched Networks
      (SMON MIB)

   Switches have become pervasive in today's networks as a form of
   broadcast media.  SMON [RFC2613] provides RMON-like functions for the
   monitoring of switched networks.

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   Switches today differ from standard shared media protocols because:

      1) Data is not, in general, broadcast.  This MAY be caused by the
         switch architecture or by the connection-oriented nature of the
         data.  This means, therefore, that monitoring non-broadcast
         traffic needs to be considered.

      2) Monitoring the multiple entry and exit points from a Switching
         device requires a vast amount of resources - memory and CPU,
         and aggregation of the data in logical packets of information,
         determined by the application needs.

      3) Switching incorporates logical segmentation such as Virtual
         LANs (VLANs).

      4) Switching incorporates packet prioritization.

      5) Data across the switch fabric can be in the form of cells.
         Like RMON, SMON is only concerned with the monitoring of

   Differences such as these make monitoring difficult.  The SMON MIB
   provides the following functions that help to manage switched


         This function provides traffic statistics per Virtual LAN for
         802.1q VLANs.


         This function provides traffic statistics per priority level
         for 802.1q VLANS.


         This function identifies all supported data sources on a SMON
         device.  An NMS MAY use this table to discover the RMON and
         Copy Port attributes of each data source.


         Many network switches provide the capability to make a copy of
         traffic seen on one port and sending it out to another port for
         management purposes.  This occurs in addition to any copying
         performed during the normal forwarding behavior of the switch.

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         The portCopyConfig function provides control of the port copy
         functionality in a device.

4.6.  RMON MIB Extensions for Interface Parameters Monitoring (IFTOPN)

   Many network switches contain hundreds of ports, many with only one
   attached device.  A common operation when managing such a switch is
   to sort the interfaces by one of the parameters (e.g., to find the
   most highly utilized interface).  If the switch contains many
   interfaces it can be expensive and time consuming to download
   information for all interfaces to sort it on the NMS.  Instead, the
   ifTopN MIB [RFC3144] allows the sorting to occur on the switch and
   for only the top interfaces to be downloaded.

4.7.  RMON Extensions for Differentiated Services (DSMON MIB)

   This MIB [RFC3287] defines extensions of RMON for monitoring the
   traffic usage of Differentiated Services [RFC2474] codepoint values.
   The 6-bit DiffServ codepoint portion (DSCP) of the Type of Service
   (TOS) octet in the IP header provides for 64 different packet
   treatments for the implementation of differentiated network devices.
   DSMON-capable RMON probes collect and aggregate statistics based on
   the inspection of the DSCP value in monitored packets.

   The DSMON MIB defines a DSCP counter aggregation mechanism to reduce
   the total number of counters by configuring the agent to internally
   aggregate counters based on the DSCP value.  This mechanism is
   designed to overcome the agent data collection limitation, perform
   data reduction at the agent and applications level, and optimize the
   application for cases in which some codepoint values are not used, or
   lead to similar packet treatment in the monitored network domain.

   The components of the DSMON MIB are:

      The Aggregate Control Group

         The Aggregate Control Group enables the configuration of the
         counter aggregation groups.

      The DSMON Statistics Group

         The DSMON Statistics Group contains per counter aggregation
         group distribution statistics for a particular RMON data

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      The DSMON Protocol Distribution Group

         The DSMON Protocol Distribution Group reports per counter
         aggregation distribution statistics for each application
         protocol detected on a particular RMON data source.

      The DSMON Host Group

         The DSMON Host Group contains host address distribution
         statistics for each counter aggregation group, detected on a
         particular RMON data source.

      The DSMON Capabilities Group

         The DSMON Capabilities Group reports the DSMON MIB functional
         capabilities of the agent implementation.

      The DSMON Matrix Group

         The DSMON Matrix Group contains host address pair distribution
         statistics for each counter aggregation group, detected on a
         particular RMON data source.

4.8.  RMON for High Capacity Networks (HCRMON MIB)

   This MIB [RFC3272] defines extensions to RMON for use on high
   capacity networks.  Except for the mediaIndependentTable, each of the
   tables in this MIB adds high capacity capability to an associated
   table in the RMON-1 MIB or RMON-2 MIB.

   The mediaIndependentTable provides media independent utilization and
   error statistics for full-duplex and half-duplex media.  Prior to the
   existence of the HCRMON MIB, a new table needed to be created for
   RMON monitoring of each data-link layer media.  These tables included
   many statistical attributes of the media, including packet and octet
   counters that are independent of the media type.  This was not
   optimal because there was no way to monitor media types for which a
   media-specific table had not been defined.  Further, there were no
   common objects to monitor media-independent attributes between media

   In the future, for media other than ethernet and token ring, the
   mediaIndependentTable will be the source for media-independent
   statistics.  Additional media-specific tables may be created to
   provide attributes unique to particular media, such as error

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4.9.  Application Performance Measurement MIB (APM MIB)

   The APM MIB [APM] provides analysis of application performance as
   experienced by end-users.

   Application performance measurement measures the quality of service
   delivered to end-users by applications.  With this perspective, a
   true end-to-end view of the IT infrastructure results, combining the
   performance of the application, desktop, network, and server, as well
   as any positive or negative interactions between these components.

   Despite all the technically sophisticated ways in which networking
   and system resources can be measured, human end-users perceive only
   two things about an application: availability and responsiveness.

      Availability - The percentage of the time that the application is
      ready to give a user service.

      Responsiveness - The speed at which the application delivers the
      requested service.

   The APM MIB includes the following functions:

      The APM Application Directory Group

         The APM Application Directory group contains configuration
         objects for every application or application verb monitored on
         this system.

      The APM User Defined Applications Group

         The APM User Defined Applications Group contains objects that
         allow for the tracking of applications or application verbs
         that are not registered in the protocolDirectoryTable.

      The APM Report Group

         The APM Report Group is used to prepare regular reports that
         aggregate application performance by flow, by client, by
         server, or by application.

      The APM Transaction Group

         The APM Transaction Group is used to show transactions that are
         currently in progress and ones that have ended recently, along
         with their responsiveness metric.

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         One important benefit of this table is that it allows a
         management station to check on the status of long-lived
         transactions.  Because the apmReport and apmException
         mechanisms act only on transactions that have finished, a
         network manager may not have visibility for some time into the
         performance of long-lived transactions, such as streaming
         applications, large data transfers, or (very) poorly performing
         transactions.  In fact, by their very definition, the apmReport
         and apmException mechanisms only provide visibility into a
         problem after nothing can be done about it.

      The APM Exception Group

         The APM Exception Group is used to generate immediate
         notifications of transactions that cross certain thresholds.
         The apmExceptionTable is used to configure which thresholds are
         to be checked for which types of transactions.  The
         apmTransactionResponsivenessAlarm notification is sent when a
         transaction occurs with a responsiveness that crosses a

         The apmTransactionUnsuccessfulAlarm notification is sent when a
         transaction, for which exception checking was configured,

      The APM Notification Group

         The APM Notification Group contains 2 notifications that are
         sent when thresholds in the APM Exception Table are exceeded.

4.10.  RMON MIB Protocol Identifier Reference Extensions

   The protocol identifier defined in RMON-2 [RFC2021] can identify any
   protocol at any layer and its encapsulation.  The protocol identifier
   macro document [RFC2896] defines a convenient human readable and
   machine parseable format for documenting well-known protocols.

   For the most part, the protocol identifiers used by RMON-2
   implementations have described protocols at any layer, including the
   application layer, but have not gone any deeper into the application.
   In order to differentiate an application's behavior while performing
   different tasks (logging in vs. downloading, for example), it is
   important to have a separate protocol identifier for each application
   "verb".  The macro defined in [RFC2896] is inconvenient for defining
   application verbs because it assumes that most protocols are
   identified by an integer type field and many or most applications use
   other means for identifying verbs, including character strings.

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   These extensions define another macro for defining application verbs
   that are children of an application.  The parent application can be
   defined with the original protocol identifier macro and the
   application verbs are defined with the new macro.

4.11.  Transport Performance Metrics MIB (TPM MIB)

   The TPM MIB [TPM] monitors selected performance metrics and
   statistics derived from the monitoring of network packets and sub-
   application level transactions.  The MIB is defined to compliment the
   APM reports by providing a 'drill-down' capability to better
   understand selected applications' performance.  The metrics are
   defined through reference to existing IETF, ITU and other standards
   organizations' documents.  The monitoring covers both passive and
   active traffic generation sources.

   The TPM MIB includes the following functions:

      The tpmCapabilities Group

         The tpmCapabilitiesGroup contains objects and tables that show
         the measurement protocol and metric capabilities of the agent.

      The tpmAggregateReports Group

         The tpmAggregateReportsGroup is used to provide the collection
         of aggregated statistical measurements for the configured
         report intervals.

      The tpmCurrentReports Group

         The tpmCurrentReportsGroup is used to provide the collection of
         uncompleted measurements for the current configured report for
         those transactions caught in progress.  A history of these
         transactions is also maintained once the current transaction
         has completed.

      The tpmExceptionReports Group

         The tpmExceptionReportsGroup is used to link immediate
         notifications of transactions that exceed certain thresholds
         defined in the apmExceptionGroup [APM].  This group reports the
         aggregated sub-application measurements for those applications
         exceeding thresholds.

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4.12.  Synthetic Sources for Performance Monitoring MIB (SSPM MIB)

   The Synthetic Sources for Performance Monitoring MIB [SSPM] covers
   the artificial generation of a) application-level, b) transport-
   level, and c) link-level traffic for the purpose of monitoring system
   performance.  There are situations where it is useful to be able to
   control the generation of synthetic traffic when evaluating system
   performance.  There are other situations where system performance
   evaluation can rely upon naturally generated application-level
   traffic, in which case one needs only monitor existing traffic and
   not instrument synthetic traffic.  The SSPM MIB provides the ability
   to configure and control the generation of this synthetic traffic.

4.13.  RMON MIB Extensions for High Capacity Alarms

   There is a need for a standardized way of providing the same type of
   alarm thresholding capabilities for Counter64 objects, as already
   exists for Counter32 objects.  The RMON-1 alarmTable objects and
   RMON-1 notification types are specific to 32-bit objects, and cannot
   be used to properly monitor Counter64-based objects.  Extensions to
   these existing constructs are needed which explicitly support
   Counter64-based objects.  These extensions are completely independent
   of the existing RMON-1 alarm mechanisms.

   This MIB [RFC3434] contains the following functions:

      The hcAlarmControlObjects group

         Controls the configuration of alarms for high capacity MIB
         object instances.

      The hcAlarmCapabilities group

         Describes the high capacity alarm capabilities provided by the

      The hcAlarmNotifications group

         Provides new rising and falling threshold notifications for
         high capacity objects.

4.14.  Real-Time Application Quality of Service Monitoring
       (RAQMON) MIB

   There is a need to extend the RMON framework to monitor end devices
   such as IP phones, pagers, Instant Message Clients, mobile phones,
   and PDA devices.  This memo proposes an extension of RMON Framework
   to allow Real-time Application QoS information of these types of end

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   devices to be retrieved with SNMP, independent of the technology used
   to perform the measurements.  An end-to-end user experience of the
   quality of service (QoS) and performance for such an application is a
   combination of device performance, transport network performance and
   specific application context.

   RAQMON [RAQMON-FRAMEWORK] defines a common framework to identify a
   set of application QoS parameters and a reporting mechanism using a
   common protocol data unit (PDU) format used between a RAQMON Data
   Source (RDS) and a RAQMON Report Collector (RRC) to report QOS
   statistics using RTCP and SNMP as underlying transport protocol.

   See the RAQMON MIB [RAQMON-MIB] for more information about its

5.  RMON Framework Components

   The collection of documents in the RMON Framework are associated by
   1) A common purpose and similar collection methodologies; and, 2) Use
   of common infrastructure components.

   These common infrastructure components are:

      -  MediaIndependent Table
      -  Protocol Directory
      -  appDirectory
      -  DataSource
      -  Capabilities
      -  Control Tables

5.1.  MediaIndependent Table

   While many data-link media types exist and they each have unique
   features, there are many statistics that are common across most
   media.  For example, counts of packets and octets are interesting for
   most media.  The media independent table contains the most common
   such statistics and forms a super class from which specific interface
   types are inherited.  This means that the common statistics can be
   monitored even for media types that are unknown.

   For example, if the mediaindependentTable had existed prior to the
   definition of the etherStatsTable, the etherStatsTable could have
   omitted the etherStatsDropEvents, etherStatsOctets, etherStatsPkts

   The Media Independent Table is defined in the High Capacity RMON MIB

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5.2.  Protocol Directory

   The second of the RMON infrastructure components is the Protocol
   Directory Group defined in the RMON-2 MIB [RFC2021].  The main
   objective of RMON-2 was to extend the remote network monitoring
   agents capabilities beyond the link layer to higher level protocol
   monitoring.  This required a means to globally identify individual
   protocol encapsulations.  This capability is provided by the Protocol
   Directory Group, specifically the protocolDirID found in the
   protocolDirTable in the RMON-2 MIB.

   The Protocol Directory allows the agent to provide an inventory of
   the protocols that the agent can decode, count, categorize and time.
   The directory and its objects are designed to allow for the addition,
   deletion and configuration of the protocol encapsulations in the
   directory list.  Protocol Directory entries are identified primarily
   by an object called the protocolDirID.  The protocolDirID is a
   hierarchically formatted OCTET STRING that globally identifies
   individual protocol encapsulations.  A protocol descriptor macro has
   been defined in RFC 2895 [RFC2895] to describe the various protocol
   layers supported in the protocolDirID protocol hierarchy.  The
   protocolDirID is defined as a tree built up from successive protocol
   encapsulations.  Each layer is identified by a 4-octet identifier
   that identifies the child protocol within the context of the parent
   protocol identified by the preceding identifiers.

   Associated with each protocol layer in the protocolDirID is a 1-octet
   parameter field.  Each parameter identifies potential options
   specific to that protocol, such as the agent's capability to count
   fragmented packets correctly and to track sessions for port mapped
   protocols, e.g., TFTP.  These 1-octet parameter fields are
   concatenated, in order, in the protocolDirParameters object.

   The protocolDirTable index is comprised of the protocolDirID, the
   protocolDirParameters and their associated length fields.  The index
   format is shown in Figure 3.

      | c !                          | c !  protocolDir  |
      | n !  protocolDirID           | n !  Parameters   |
      | t !                          | t !               |

         Figure 3: the protocolDirTable INDEX format.

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   An example protocolDirTable INDEX for SNMP over UDP over IP over
   Ethernet is:

      |  |       |       |        |         | |       |
       c  ether2    ip      udp      snmp    c  param.

       c = 1-subidentifier count field

      Figure 4: A protocolDirTable INDEX example for
         SNMP over UDP over IP over Ethernet.

   The set of defined protocol layers currently described is found in
   RFC 2896 [RFC2896].  RFC 2895 [RFC2895] defines a process for
   submitting new protocols to add to the currently defined set.
   Periodic updates to RFC 2896 will be published to incorporate new
   protocol definitions that have been submitted.  In fact, RFC 2896 is
   the second version of the defined protocol macros, obsoleting RFC
   2074 [RFC2074].  RFC 2895 also defines how to handle protocols that
   do not map into this well-defined tree hierarchy built up from
   encapsulation protocol identifiers.  An example of such a protocol
   encapsulation is RTP, which is mapped to specific UDP ports through a
   separate signaling mechanism.  These are handled by the ianaAssigned
   protocols, as described in RFC 2895.

   The protocolDirTable is defined (and used) in the RMON-2 MIB
   [RFC2021], and is being used in other RMON WG MIBs, as well as other
   IETF defined MIBs.  Examples include the APM MIB [APM], the TPM MIB
   [TPM] and the SSPM MIB [SSPM].

   As mentioned in previous sections, the protocolDirID is being
   extended in two ways.  First, work is underway on a new set of
   protocol descriptor macros to extend the protocol encapsulation model
   to identify application layer verbs [RFC3395].  This extension was
   motivated by the work on the APM MIB and the TPM MIB.  Second, the
   APM MIB defines the apmAppDirectoryTable that provides a directory of
   applications that the agent can process.  This is discussed further
   in the following section.  Combined, these extensions allow:

      +  The APM MIB to define and monitor the end-user's view of
         application performance.

      +  The TPM MIB to clearly specify the sub-transactions that
         comprise the application it monitors through the

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      +  The SSPM MIB to generate synthetic application transactions by
         importing the appLocalIndex from the APM MIB.

5.3.  Application Directory and appLocalIndex

   APM, TPM and related applications collect certain types of statistics
   for each application or application verb they are decoding.  Some
   applications and application verbs are defined in the protocol
   directory and thus get their own protocolID and a corresponding
   protocolDirLocalIndex.  Other application verbs are defined more
   dynamically by entries in the apmHttpFilterTable or
   apmUserDefinedAppTable.  These dynamically defined applications do
   not have protocolDirID's assigned to them.

   The APM MIB [APM] defines an important index called the
   appLocalIndex.  For all application monitoring in the APM and TPM
   MIBs, applications are identified by integer values of the
   appLocalIndex.  However, there is no single registry of applications
   (as there is for protocols) because there are a few different
   mechanisms through which an application may be registered.  For each
   value of appLocalIndex, a corresponding entry will exist in one of
   several tables:

      1. The protocolDirTable - Some values of appLocalIndex correspond
         to protocolDirLocalIndex values assigned in the
         protocolDirTable.  Each of these corresponds to a protocol
         defined by a protocolID.

      2. The apmHttpFilterTable - Some values of appLocalIndex
         correspond to apmHttpFilterAppLocalindex values assigned in the
         apmHttpFilterTable.  Each of these corresponds to an
         application verb defined as a set of HTTP transactions that
         match a set of filters.

      3. The apmUserDefinedAppTable - Some values of appLocalIndex
         correspond to index values of the apmUserDefinedAppTable.  Each
         of them corresponds to an application or application verb
         defined in a user-defined way.

   Each value of appLocalIndex will only be registered in one of these
   tables.  In effect, the appLocalIndex number space is the union of
   these number spaces, where these tables must work together to avoid
   assigning overlapping (duplicate) appLocalIndexes.

   Each unique appLocalIndex value is also registered in the
   apmAppDirectoryTable, where a number of attributes of the application
   may be configured.

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5.4.  Data Source

   Most RMON functions use a DataSource as a pointer to the entity from
   which data is to be collected.  The DataSource is an object
   identifier that identifies one of three types of data sources:


         Traditional RMON dataSources.  Called 'port-based' for
         ifType.<I> not equal to 'propVirtual(53)'.  <I> is the ifIndex


         A dataSource of this form refers to a 'Packet-based VLAN' and
         is called a 'VLAN-based' dataSource.  <V> is the VLAN ID as
         defined by the IEEE 802.1Q standard.  The value is between 1
         and 4094 inclusive, and it represents an 802.1Q VLAN-ID with a
         global scope within a given bridged domain, as defined by


         A dataSource of this form refers to a physical entity within
         the agent and is called an 'entity-based' dataSource.  <N> is
         the value of the entPhysicalIndex in the entPhysicalTable.

5.5.  Capabilities

   Probe Capabilities objects have been introduced in the RMON MIB
   modules with the goal of helping applications determine the
   capabilities of the different probes in the domain.  These objects
   use a BITS syntax (with the exception of some of the objects in the
   TPM and SSPM MIBs), and list in an explicit manner the MIB groups
   supported by the probe, as well as functional capabilities of the
   specific RMON agents.  By reading the values of these objects, it is
   possible for applications to know which RMON functions are usable
   without going through a trial-and-error process that can result in
   loss of time and bandwidth in the operational flow.  These objects
   have the MAX-ACCESS of read-only, which defines their use as an
   indication of what is supported by a probe, and not a means to
   configure the probe for operational modes.  An RMON agent SHOULD
   initiate the capabilities objects at agent initialization and SHOULD
modify the objects during operation.

   The probeCapabilities object in the RMON-2 MIB describes the
   capabilities of probes that support RMON, Token-Ring RMON and RMON-2.

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   The smonCapabilities object in the SMON MIB describes the SMON-
   specific capabilities of probes that support the SMON MIB.

   The dataSourceCapsTable in the SMON MIB defines the capabilities of
   the SMON data sources on probes that support the RMON MIB.

   The interfaceTopNCaps object in the Interface TopN MIB defines the
   sorting capabilities supported by an agent that supports the
   Interface TopN MIB.

   The dsmonCapabilities object in the DSMON MIB provides an indication
   of the DSMON groups supported by an agent that supports the DSMON

   The tpmCapabilitiesGroup contains objects and tables, which show the
   measurement protocol and metric capabilities of an agent that
   supports the TPM MIB.

   The sspmCapabilitiesTable indicates whether a device supporting the
   SSPM MIB supports SSPM configuration of the corresponding

   The hcAlarmCapabilities object provides an indication of the high
   capacity alarm capabilities supported by an agent that supports the
   HC-Alarm MIB.

5.6.  Control Tables

   Due to the complex nature of the available functions in the RMON MIB
   modules, these functions often need user configuration.  In many
   cases, the function requires parameters to be set up for a data
   collection operation.  The operation can proceed only after these
   parameters are fully set up.

   Many functional groups in the RMON MIBs have one or more tables in
   which to set up control parameters, and one or more data tables in
   which to place the results of the operation.  The control tables are
   typically read-write in nature, while the data tables are typically
   read-only.  Because the parameters in the control table often
   describe resulting data in the data table, many of the parameters can
   be modified only when the control entry is invalid.  Thus, the method
   for modifying these parameters is to invalidate the control entry,
   causing its deletion and the deletion of any associated data entries,
   and then create a new control entry with the proper parameters.
   Deleting the control entry also gives a convenient method for
   reclaiming the resources used by the associated data.

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   To facilitate control by multiple managers, resources have to be
   shared among the managers.  These resources are typically the memory
   and computation resources that a function requires.

   Two facilities are used to ease cooperation between multiple managers
   as they create and use control tables.  The first is the use of
   EntryStatus or RowStatus objects that guarantee that two managers can
   avoid creating the same control entry.  The second is the use of
   OwnerString objects in control tables that provides the following

      1. Provides information to facilitate sharing of already existing
         control entries instead of creating a new but identical entry.

      2. Provides information to allow the ultimate human owners of
         control entries to identify each other so they can cooperate in
         cases of conflict over resources.

      3. Provides information to allow software to identify control
         entries that it owns but has forgotten about (e.g., due to a
         crash or other error) so that it can re-use or free them.

      4. Provides information to allow an administrator to make an
         informed decision to override someone else's control entry when
         circumstances make it necessary.

      5. Provides information to identify control entries that are set
         up automatically when the device starts up.

   See the RMON MIB [RFC2819] for further information on the use of
   control tables, EntryStatus/RowStatus, and OwnerStrings.

6.  Relationship of the SSPM MIB with the APM and TPM MIBs

   While APM and TPM may monitor actual traffic generated by end-users
   on the network, they may also monitor synthetically generated
   traffic.  The SSPM MIB provides a mechanism for the generation of
   synthetic traffic but no mechanism for monitoring - the task of
   monitoring the generated traffic is deferred to the APM and TPM MIBs.

   Figure 5 shows an overview of the components of the SSPM MIB
   architecture, including the roles played by the APM and TPM MIBs.
   The RMON documents address the "Control-Level" in this diagram and
   some aspects of the "Synchronization Control-Level".  The underlying
   "Instrumentation-Level" is implementation dependent and outside the
   domain of the RMON specifications.

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RFC 3577                  Introduction to RMON               August 2003

              +-------------|   Application  |-------------+
              |             +----------------+             |
              |                      |                     |
         +--------------------------------+                |
         |    Synchronization Control     |                |
         +--------------------------------+                |
              |                      |                     |
              V                      V                     V
   +------------------+    +------------------+      +--------------+
   |Traffic Generation|    |Monitoring Metrics|      |Data Reduction|
   |   Control        |    |   Control        |      |  Control     |
   +------------------+    +------------------+      +--------------+
              | ^                    | ^                   | ^
              | |                    | |                   | |
              V |                    V |                   V |
   +------------------+    +------------------+      +---------------+
   |Traffic Generation|    |Monitoring Metrics|      |Data Reduction |
   |   Instrumentation|    |   Instrumentation|  +-->|Instrumentation|
   +------------------+    +------------------+  |   +---------------+
                                                 |           |
                                                 |           |
                                  Various levels |           |
                                    and span     +-----------|

           Figure 5: An SSPM Performance Monitoring System

   It is the responsibility of the network management application to
   coordinate the individual aspects of the performance management

   Within the APM, TPM, and SSPM set of RMON MIB modules:

      +  APM MIB [APM] is responsible for the aspects of the "Monitoring
         Metrics Control" directly related to the end-user's perceived
         application-level performance.  The APM MIB also handles
         aspects of "Data Reduction Control" and "Reports".  Finally,
         when TPM MIB relies upon the control tables in the APM MIB for
         its own control, then APM MIB is providing some aspects of
         "Synchronization Control" of the reports from these two MIBs.

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      +  TPM MIB [TPM] is responsible for the aspects of the "Monitoring
         Metrics Control".  TPM MIB also handles aspects of "Data
         Reduction Control" and "Reports" related to sub-application-
         level transactions.  Synchronization control with APM MIB is
         provided by opting to rely on the APM MIB control tables within
         the TPM MIB.

      +  SSPM MIB [SSPM] is responsible for the "Traffic Generation
         Control" in the event that synthetic traffic is to be
         monitored.  The other, most common, option is to monitor
         natural, user-generated traffic.

   The "Monitor Metrics Control" is essentially hard-coded in the APM
   MIB.  Within the TPM MIB, a metrics table is used to identify the
   metrics monitored within a specific implementation of the TPM MIB.
   The "Data Reduction Control" is essentially hard-coded within the MIB
   structure of the APM MIB and the TPM MIB.  These MIBs strictly
   specify the statistics to be reported within a set of report tables.

   Both the TPM MIB and the SSPM MIB rely upon the APM MIB's
   appLocalIndex to specify the application being monitored or
   generated.  The APM MIB provides the end-user view of the application
   performance, e.g., the Whois transaction time.  The TPM MIB, through
   its tpmTransMetricDirTable, identifies a set of sub-application level
   transactions and their metrics, which are associated with the
   application.  E.g., an implementation of the TPM MIB could report the
   DNS lookup time, the TCP connect time (to the Whois Server), the
   Whois Req/Resp download time.  The SSPM MIB could be configured to
   generate synthetically, these Whois transactions.

   The testing model then is to first configure the traffic generation
   instrumentation through the SSPM MIB control function.  This defines
   aspects of the synthetic traffic such as application type, targets,
   etc.  Once the traffic generation is configured, the network
   management application can setup the monitoring instrumentation
   through the APM MIB and TPM MIB.  These control the reporting
   periods, the type of data aggregation, etc.  Once the tests are
   complete, the network management application retrieves the reports
   from the monitoring metrics control MIBs, e.g., APM MIB and TPM MIB.

7.  Acknowledgements

   This memo is a product of the RMON MIB working group.  In addition,
   the authors gratefully acknowledge the contributions by Lester
   D'Souza of NetScout Systems, Inc.

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8.  References

8.1.  Normative References

   [RFC2819]          Waldbusser, S., "Remote Network Monitoring
                      Management Information Base", STD 59, RFC 2819,
                      May 2000.

8.2.  Informative References

   [RFC2026]          Bradner, S., "The Internet Standards Process --
                      Revision 3", BCP 9, RFC 2026, October 1996.

   [RFC2578]          McCloghrie, K., Perkins, D. and J. Schoenwaelder,
                      Eds., "Structure of Management Information Version
                      2 (SMIv2)", STD 58, RFC 2578, April 1999.

   [RFC2579]          McCloghrie, K., Perkins, D. and J. Schoenwaelder,
                      J., Eds., "Textual Conventions for SMIv2", STD 58,
                      RFC 2579, April 1999.

   [RFC2580]          McCloghrie, K., Perkins, D. and J. Schoenwaelder,
                      J., Eds., "Conformance Statements for SMIv2", STD
                      58, RFC 2580, April 1999.

   [RFC3410]          Case, J., Mundy, R., Partain, D. and B. Stewart,
                      "Introduction and Applicability Statements for
                      Internet-Standard Management Framework", RFC 3410,
                      December 2002.

   [RFC1513]          Waldbusser, S., "Token Ring Extensions to the
                      Remote Network Monitoring MIB", RFC 1513,
                      September 1993.

   [RFC2021]          Waldbusser, S., "Remote Network Monitoring
                      Management Information Base Version 2 using
                      SMIv2", RFC 2021, January 1997.

   [RFC2895]          Bierman, A., Bucci, C. and R. Iddon, "Remote
                      Network Monitoring Management Information Base
                      Protocol Identification Reference", RFC 2895,
                      August 2000.

   [RFC2896]          Bierman, A., Bucci, C. and R. Iddon, "Remote
                      Network Monitoring MIB Protocol Identifier
                      Macros", RFC 2896, August 2000.

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RFC 3577                  Introduction to RMON               August 2003

   [RFC2613]          Waterman, R., Lahaye, B., Romascanu, D. and S.
                      Waldbusser, "Remote Network Monitoring MIB
                      Extensions for Switched Networks Version 1.0", RFC
                      2613, June 1999.

   [RFC3144]          Waldbusser, S., "Remote Monitoring MIB Extensions
                      for Interface Parameters Monitoring", RFC 3144,
                      August 2001.

   [RFC3287]          Bierman, A., "Remote Monitoring MIB Extensions for
                      Differentiated Services", RFC 3287, July 2002.

   [RFC3273]          Waldbusser, S., "Remote Network Monitoring
                      Management Information Base for High Capacity
                      Networks", RFC 3273, July 2002.

   [APM]              Waldbusser, S., "Application performance
                      measurement MIB", Work in Progress.

   [RFC3395]          Bierman, A., Bucci, C., Dietz, R. and A. Warth,
                      "Remote Network Monitoring MIB Protocol Identifier
                      Reference Extensions", RFC 3395, September 2002.

   [TPM]              Dietz, R. and R.G.Cole, "Application Performance
                      Measurement Framework Transport Performance
                      Metrics MIB", Work in Progress.

   [SSPM]             Kalbfleisch, K., Cole, R.G. and D. Romascanu,
                      "Definition of Managed Objects for Synthetic
                      Sources for Performance Monitoring Algorithms",
                      Work in Progress.

   [RFC3434]          Bierman, A. and K. McCloghrie, "Remote Monitoring
                      MIB Extensions for High Capacity Alarms", RFC
                      3434, December 2002.

   [RFC2233]          McCloghrie, K. and F. Kastenholz, "The Interfaces
                      Group MIB Using SMIv2", RFC 2233, November 1997.

   [RFC2863]          McCloghrie, K. and F. Kastenholz, "The Interfaces
                      Group MIB", RFC 2863, June 2000.

   [RFC2330]          Paxson, V., Almes, G., Mahdavi, J. and M. Mathis,
                      "Framework for IP Performance Metrics", RFC 2330,
                      May 1998.

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RFC 3577                  Introduction to RMON               August 2003

   [OWDP]             Shalunov, S., Teitelbaum, B. and M. Zekauskas, "A
                      One-way Active Measurement Protocol", Work in

   [RAQMON-FRAMEWORK] Siddiqui, A., Romascanu, D. and E. Golovinsky,
                      "Real-time Application Quality of Service
                      Monitoring (RAQMON) Framework", Work in Progress.

   [RAQMON-MIB]       Siddiqui, A., Romascanu, D., Golovinsky, E. and R.
                      Smith, "Real-Time Application Quality of Service
                      Monitoring (RAQMON) MIB", Work in Progress.

9.  Security Considerations

   This document is a description of existing documents and as such it
   does not have any security impact.  In order to understand the
   security-related issues of the different RMON documents, the reader
   is directed to the Security Considerations sections of the respective

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RFC 3577                  Introduction to RMON               August 2003

10.  Authors' Addresses

   Steve Waldbusser

   Phone: +1 650-948-6500
   Fax:   +1 650-745-0671
   EMail: waldbusser@nextbeacon.com

   Carl W. Kalbfleisch
   8700 Stemmons Freeway, Suite 211
   Dallas, TX 75247
   United States

   Phone: +1 972-906-2034
   EMail: cwk@verio.net

   Robert G. Cole
   AT&T Labs
   Network Design and Performance Analysis Department
   330 Saint John Street, 2nd Floor
   Havre de Grace, MD  21078
   United States

   Phone: +1 410-939-8732
   Fax: +1 410-939-8732
   EMail: rgcole@att.com

   Dan Romascanu
   Atidim Technology Park, Bldg. #3
   Tel Aviv, 61131

   Phone: +972-3-645-8414
   EMail: dromasca@avaya.com

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RFC 3577                  Introduction to RMON               August 2003

11.  Full Copyright Statement

   Copyright (C) The Internet Society (2003).  All Rights Reserved.

   This document and translations of it may be copied and furnished to
   others, and derivative works that comment on or otherwise explain it
   or assist in its implementation may be prepared, copied, published
   and distributed, in whole or in part, without restriction of any
   kind, provided that the above copyright notice and this paragraph are
   included on all such copies and derivative works.  However, this
   document itself may not be modified in any way, such as by removing
   the copyright notice or references to the Internet Society or other
   Internet organizations, except as needed for the purpose of
   developing Internet standards in which case the procedures for
   copyrights defined in the Internet Standards process must be
   followed, or as required to translate it into languages other than

   The limited permissions granted above are perpetual and will not be
   revoked by the Internet Society or its successors or assignees.

   This document and the information contained herein is provided on an


   Funding for the RFC Editor function is currently provided by the
   Internet Society.

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