Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); LTE; Telecommunication management; Subscriber and equipment trace; Trace concepts and requirements (3GPP TS 32.421 version 11.9.0 Release 11)

RTS/TSGS-0532421vb90

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Status
Published
Publication Date
15-Jan-2020
Technical Committee
Current Stage
12 - Completion
Completion Date
16-Jan-2020
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ETSI TS 132 421 V11.9.0 (2020-01) - Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); LTE; Telecommunication management; Subscriber and equipment trace; Trace concepts and requirements (3GPP TS 32.421 version 11.9.0 Release 11)
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ETSI TS 132 421 V11.9.0 (2020-01)






TECHNICAL SPECIFICATION
Digital cellular telecommunications system (Phase 2+) (GSM);
Universal Mobile Telecommunications System (UMTS);
LTE;
Telecommunication management;
Subscriber and equipment trace;
Trace concepts and requirements
(3GPP TS 32.421 version 11.9.0 Release 11)

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3GPP TS 32.421 version 11.9.0 Release 11 1 ETSI TS 132 421 V11.9.0 (2020-01)



Reference
RTS/TSGS-0532421vb90
Keywords
GSM,LTE,UMTS
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ETSI

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3GPP TS 32.421 version 11.9.0 Release 11 2 ETSI TS 132 421 V11.9.0 (2020-01)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
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Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
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server) which are, or may be, or may become, essential to the present document.
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ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
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Legal Notice
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities. These shall be
interpreted as being references to the corresponding ETSI deliverables.
The cross reference between 3GPP and ETSI identities can be found under http://webapp.etsi.org/key/queryform.asp.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

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3GPP TS 32.421 version 11.9.0 Release 11 3 ETSI TS 132 421 V11.9.0 (2020-01)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 5
Introduction . 6
1 Scope . 7
2 References . 8
3 Definitions, symbols and abbreviations . 8
3.1 Definitions . 8
3.2 Abbreviations . 10
4 Trace concepts and high-level architecture . 11
4.1 Trace concepts . 11
4.2 Trace high level Architecture . 13
4.3 Void . 15
5 Trace requirements . 16
5.1 General trace requirements . 16
5.2 Requirements for Trace data . 17
5.3 Requirements for Trace activation . 17
5.3.1 Requirements for Trace Session activation . 17
5.3.2 Requirements for starting a Trace Recording Session . 19
5.4 Requirements for Trace deactivation . 20
5.4.1 Requirements for Trace Session deactivation . 20
5.4.2 Requirements for stopping a Trace Recording Session . 20
5.5 Requirements for Trace Data reporting . 22
5.6 Requirements for Privacy and Security . 23
5.7 Void . 23
5.8 Use cases for Trace. 24
6 Requirements for managing MDT . 25
6.1 Business Level Requirements. 25
6.2 Specification level requirements . 26
7 Requirements for managing RLF and RCEF reports . 28
7.1 Business level requirements . 28
7.2 Specification level requirements . 28
Annex A (informative): Trace use cases . 29
A.1 Use case #1: multi-vendor UE validation . 29
A.1.1 Description . 29
A.1.2 Example of required data for this use case . 29
A.2 Use case #2: subscriber complaint . 29
A.2.1 Description . 29
A.2.2 Example of required data for this use case . 30
A.3 Use case #3: malfunctioning UE . 31
A.3.1 Description . 31
A.3.2 Example of required data for this use case . 31
A.4 Use case #4: checking radio coverage . 31
A.4.1 Description . 31
A.4.2 Example of required data to cover use case #4 . 31
A.5 Use case #5: testing a new feature . 32
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3GPP TS 32.421 version 11.9.0 Release 11 4 ETSI TS 132 421 V11.9.0 (2020-01)
A.5.1 Description . 32
A.5.2 Example of required data to cover use case #5 . 32
A.6 Use case #6: fine-tuning and optimisation of algorithms/procedures . 33
A.6.1 Description . 33
A.6.2 Example of required data to cover use case #6 . 34
A.7 Void . 34
A.7.1 Void . 34
A.8 Void . 34
A.8.1 Void . 34
A.9 Void . 34
A.9.1 Void . 34
A.10 Void . 34
A.10.1 Void . 34
A.11 Use case #11 Analysing drop calls in E-UTRAN . 34
A.11.1 Description . 34
A.11.2 Example of required data to cover use case #11 . 35
A.12 Use case #12 Periodical sampling of network performance . 35
A.12.1 Description . 35
A.12.2 Example of required data to cover use case #12 . 35
A.13 Use case #13 Differentiation of area based MDT data by terminal type. 36
A.13.1 Description . 36
A.13.2 Example of required data to cover use case #13 . 36
Annex B (informative): Change history . 37
History . 40

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3GPP TS 32.421 version 11.9.0 Release 11 5 ETSI TS 132 421 V11.9.0 (2020-01)
Foreword
rd
This Technical Specification has been produced by the 3 Generation Partnership Project (3GPP).
The contents of the present document are subject to continuing work within the TSG and may change following formal
TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
identifying change of release date and an increase in version number as follows:
Version x.y.z
where:
x the first digit:
1 presented to TSG for information;
2 presented to TSG for approval;
3 or greater indicates TSG approved document under change control.
y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
updates, etc.
z the third digit is incremented when editorial only changes have been incorporated in the document.
ETSI

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3GPP TS 32.421 version 11.9.0 Release 11 6 ETSI TS 132 421 V11.9.0 (2020-01)
Introduction
The present document is part of a TS-family covering the 3rd Generation Partnership Project; Technical Specification
Group Services and System Aspects; Telecommunication management, as identified below:
TS 32.421: "Subscriber and equipment trace: Trace concepts and requirements";
TS 32.422: "Subscriber and equipment trace: Trace control and configuration management";
TS 32.423: "Subscriber and equipment trace: Trace data definition and management";
Subscriber and equipment trace provide very detailed information at call level on one or more specific mobile(s).
This data is an additional source of information to Performance Measurements and allows going further in monitoring
and optimisation operations.
Contrary to Performance measurements, which are a permanent source of information, trace is activated on user
demand for a limited period of time for specific analysis purposes.
Trace plays a major role in activities such as determination of the root cause of a malfunctioning mobile, advanced
troubleshooting, optimisation of resource usage and quality, RF coverage control and capacity improvement, dropped
call analysis, Core Network and UTRAN end-to-end UMTS procedure validation.
The capability to log data on any interface at call level for a specific user (e.g. IMSI) or mobile type (e.g. IMEI or
IMEISV) allows getting information which cannot be deduced from Performance measurements such as perception of
end-user QoS during his call (e.g. requested QoS vs. provided QoS), correlation between protocol messages and RF
measurements, or interoperability with specific mobile vendors.
Moreover, performance measurements provide values aggregated on an observation period; Subscriber and UE Trace
give instantaneous values for a specific event (e.g. call, location update, etc.).
If performance measurements are mandatory for daily operations, future network planning and primary trouble
shooting; Subscriber and UE Trace is the easy way to go deeper into investigation and UMTS network optimisation.
In order to produce this data, Subscriber and UE Trace are carried out in the NEs, which comprise the network. The
data can then be transferred to an external system (e.g. an Operations System (OS) in TMN terminology, for further
evaluation).
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3GPP TS 32.421 version 11.9.0 Release 11 7 ETSI TS 132 421 V11.9.0 (2020-01)
1 Scope
The present document describes the requirements for the management of Trace and the reporting of Trace data
(including FDD mode and TDD mode) across UMTS networks or EPS networks as it refers to subscriber tracing
(tracing of IMSI or Public User Identity) and equipment tracing (tracing of IMEI or IMEISV). Trace also includes the
ability to trace all active calls in a cell or multiple cells (Cell Traffic Trace). It defines the administration of Trace
Session activation/deactivation by the Element Manager (EM), the network or User Equipment (UE) itself via
signalling, the generation of Trace results in the Network Elements (NEs) and UE and the transfer of these results to one
or more Operations Systems, i.e. EM(s) and/or Network Manager(s) (NM(s)).
GSM Trace is outside of the scope of this specification (see [7]).
The present document also describes the requirements for the management of Minimization of Drive Tests (MDT) across
UMTS networks or EPS networks and Radio Link Failure (RLF) reporting across EPS networks.
The present document is built upon the basic Subscriber and UE Trace concept described in clause 4.
The high-level requirements for Trace data, Trace Session activation/deactivation and Trace reporting are defined in
clause 5. Clause 5 also contains an overview of use cases for Trace (the use cases are described in Annex A). Clause 6
defines the requirements for managing MDT. Clause 7 defines the requirements for managing RLF reports.Trace
control and configuration management are described in 3GPP TS 32.422 [2], and Trace data definition and management
are described in 3GPP TS 32.423 [3].
The present document does not cover any Trace capability limitations within a NE (e.g. maximum number of
simultaneous traced mobiles for a given NE) or any functionality related to these limitations (e.g. NE aborting a Trace
Session due to resource limitations).
The objectives of the Trace specifications are:
a) to provide the descriptions for a standard set of Trace and MDT data;
b) to produce a common description of the management technique for Trace, MDT and RLF administration and
result reporting;
c) to define a method for the reporting of Trace, MDT and RLF results across the management interfaces.
The following is beyond the scope of the present document, and therefore the present document does not describe:
- tracing non-Subscriber or non-UE related events within an NE;
- tracing of all possible parties in a multi-party call (although multiple calls related to the IMSI specified in the
Trace control and configuration parameters are traceable).
The definition of Trace and MDT data is intended to result in comparability of Trace and MDT data produced in a
multi-vendor wireless UMTS and/or EPS network(s), for those Trace control and configuration parameters that can be
standardised across all vendors' implementations.
Vendor specific extensions to the Trace control and configuration parameters and Trace and MDT data are discussed in
3GPP TS 32.422 [2] and 3GPP TS 32.423 [3].
All functions (trace, MDT etc.) specified in this specification support Network Sharing, with the following condition:
- It is accepted that the recorded information from the shared network can be sent to any of the operators sharing
that network, taking user consent into account. Operators must also agree on sharing the information, but how
that agreement is done is outside the scope of this specification. The mapping of TCE IP addresses and TCE
addresses must be coordinated among the operators that shares the network. How that coordination is done is
outside the scope of this specification.
- For signalling based activation, the operators that share a network must coordinate the TCE IP addresses and the
TCE address mapping must be coordinated. How that coordination´ is done is outside the scope of this
specification.
- The 3GPP Managment reference model, 3GPP TS 32.101 [1] is followed.

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3GPP TS 32.421 version 11.9.0 Release 11 8 ETSI TS 132 421 V11.9.0 (2020-01)
2 References
The following documents contain provisions, which, through reference in this text, constitute provisions of the present
document.
- References are either specific (identified by date of publication, edition number, version number, etc.) or
non-specific.
- For a specific reference, subsequent revisions do not apply.
- For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
Release as the present document.
[1] 3GPP TS 32.101: "Telecommunication management; Principles and high level requirements".
[2] 3GPP TS 32.422: "Telecommunication management; Subscriber and equipment trace: Trace
control and configuration management".
[3] 3GPP TS 32.423: "Telecommunication management; Subscriber and equipment trace: Trace data
definition and management".
[4] 3GPP TS 23.002: "Network architecture".
[6] 3GPP TS 29.207: "Policy control over Go interface".
[7] 3GPP TS 52.008: "Telecommunication management; GSM subscriber and equipment trace".
[8] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[9] Void.
[10] 3GPP TS 33.401: "System Architecture Evolution (SAE); Security architecture".
[11] 3GPP TS 37.320 : "Universal Terrestrial Radio Access (UTRA) and Evolved Universal Terrestrial
Radio Access (E-UTRA); Radio measurement collection for Minimization of Drive Tests (MDT);
Overall description, Stage 2".
[12] 3GPP TS 32.450: "Key Performance Indicators (KPI) for Evolved Universal Terrestrial Radio
Access Network (E-UTRAN): Definitions".
[13] 3GPP TS 36.331: "Evolved Universal Terrestrial Radio Access (E-UTRA) Radio Resource
Control (RRC); Protocol Specification".
[14] 3GPP TS 25.331: "Radio Resource Control (RRC); protocol specification".
NOTE: Overall management principles are defined in 3GPP TS 32.101 [1].
3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in 21.905 [8] and the following apply:
Cell Traffic Trace: The ability to trace one or more active calls in one or more cells.
Collection Period: PThe period that indicates the measurement results collection interval.
NOTE: The measurement results can refer to the MeasResults IE defined in clause 6.3.5, 3GPP TS 36.331 [13] for
LTE or MeasuredResults IE defined in clause 11.3, 3GPP TS 25.331[14] for UMTS.
Immediate MDT: See 3GPP TS 37.320 [11].
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3GPP TS 32.421 version 11.9.0 Release 11 9 ETSI TS 132 421 V11.9.0 (2020-01)
Logged MDT: See 3GPP TS 37.320 [11].
management activation/deactivation: Trace Session is activated/deactivated in different NEs directly from the EM
using the management interfaces of those NEs.
MDT Measurements: See 3GPP TS 37.320 [11].
Signalling Based Activation/Deactivation: Trace Session is activated/deactivated in different NEs using the signalling
interfaces between those elements so that the NEs may forward the activation/deactivation originating from the EM
System Context: two different realisations of the telecommunication management architecture. System Context A has
the Itf-N between a Network Manager and an Element Manger. System Context B has the Itf-N between a Network
Manager and a Network Element that has an embedded Element Manager. See figure 1 in TS 32.101 [1].
Measurement Period: Period that indicates the performance measurement reporting interval.
Trace: general term used for Subscriberand Equipment.
Trace record: in the NE a Trace record is a set of Traceable data collected as determined by the Trace control and
configuration parameters.
Trace Recording Session: time interval within a Trace Session while trace records are generated for the Subscriberor
UE being traced. The triggering events starting and stopping a Trace Recording Session are defined in 3GPP TS 32.422
[2] (see figure 1).
Trace Recording Session Reference: identifies a Trace Recording Session within a Trace Session (see figure 1)
Trace
Trace
Recording
Recording
Session
Session
Reference
Reference
#2
#1
Call/Session #2
Call/Session #1
Time
Start Stop Start Stop
trigger trigger trigger trigger
event event event event
Trace Session


Figure 1: Trace Recording Session
Note that overlapping calls/sessions are possible for e.g. Cell Traffic Trace.
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3GPP TS 32.421 version 11.9.0 Release 11 10 ETSI TS 132 421 V11.9.0 (2020-01)
Trace Reference: identifies a Trace Session and is globally unique (see figure 2)
Trace Session: time interval started with a Trace Session Activation and lasts until the Deactivation of that specific
Trace Session (see figure 2)
Activation Deactivation
- IMSI or IMEI(SV) or Public ID - Trace Reference
- Trace Reference
- Trace control and configuration
  parameters
Time
Trace Session

Figure 2: Trace Session
Trace Parameter Configuration: a technique whereby a request for tracing a certain Subscriber, UE or Service is sent
by the EM to the NE for execution.
Trace Parameter Propagation: a technique by which the NE processes the trace configuration (received from the EM
or another NE) and sends it to the relevant Network Element(s) via signalling interface(s).
3.2 Abbreviations
For the purposes of the present document, the abbreviations given in 21.905 [8], 32.101 [1] and the following apply:
MDT Minimization of Drive Tests
RCEF RRC Connection Establishment Failure
RLF Radio Link Failure
TCE Trace Collection Entity
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3GPP TS 32.421 version 11.9.0 Release 11 11 ETSI TS 132 421 V11.9.0 (2020-01)
4 Trace concepts and high-level archi
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