ETSI TS 138 314 V16.3.0 (2021-04)

5G; NR; Layer 2 measurements (3GPP TS 38.314 version 16.3.0 Release 16)

RTS/TSGR-0238314vg30

General Information

• Status: Not Published
• Technical Committee: 3GPP RAN 2 - Radio layer 2 specification and Radio layer 3 RR specification
• Current Stage: 12 - Completion
• Completion Date: 16-Apr-2021

Standards Content (Sample)

ETSI TS 138 314 V16.3.0 (2021-04)






TECHNICAL SPECIFICATION
5G;
NR;
Layer 2 measurements
(3GPP TS 38.314 version 16.3.0 Release 16)

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3GPP TS 38.314 version 16.3.0 Release 16 1 ETSI TS 138 314 V16.3.0 (2021-04)

Reference
RTS/TSGR-0238314vg30
Keywords
5G

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ETSI

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3GPP TS 38.314 version 16.3.0 Release 16 2 ETSI TS 138 314 V16.3.0 (2021-04)
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3GPP TS 38.314 version 16.3.0 Release 16 3 ETSI TS 138 314 V16.3.0 (2021-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 5
1 Scope . 6
2 References . 6
3 Definitions of terms, symbols and abbreviations . 6
3.1 Terms . 6
3.2 Abbreviations . 6
4 Layer 2 measurements . 6
4.1 General . 6
4.2 NR measurements performed by the gNB . 7
4.2.1 Measurements valid for all gNB deployment scenarios. 7
4.2.1.1 Received Random Access Preambles. 7
4.2.1.1.1 Received Random Access Preambles per cell . 7
4.2.1.1.2 Received Random Access Preambles per SSB . 7
4.2.1.2 Packet delay . 7
4.2.1.2.1 General . 7
4.2.1.2.2 Average over-the-air interface packet delay in the UL per DRB per UE . 8
4.2.1.2.3 Average RLC packet delay in the UL per DRB per UE . 9
4.2.1.2.4 Average PDCP re-ordering delay in the UL per DRB per UE . 9
4.2.1.3 Number of active UEs in RRC_CONNECTED . 10
4.2.1.3.1 General . 10
4.2.1.3.2 Mean number of Active UEs in the DL per DRB per cell . 10
4.2.1.3.3 Max number of Active UEs in the DL per DRB per cell . 11
4.2.1.3.4 Mean number of Active UEs in the UL per DRB per cell . 11
4.2.1.3.5 Max number of Active UEs in the UL per DRB per cell . 12
4.2.1.3.6 Mean number of Active UEs per cell . 13
4.2.1.3.7 Max number of Active UEs per cell . 14
4.2.1.3.8 Mean number of Active UEs per DRB per cell . 14
4.2.1.3.9 Max number of Active UEs per DRB per cell . 15
4.2.1.4 Number of stored inactive UE contexts . 16
4.2.1.4.1 General . 16
4.2.1.4.2 Mean number of stored inactive UE contexts . 16
4.2.1.4.3 Max number of stored inactive UE contexts . 17
4.2.1.5 Packet Loss Rate . 17
4.2.1.5.1 Packet Uu Loss Rate in the DL per DRB per UE . 17
4.2.1.6 Other measurements defined in TS 28.552 [2] . 18
4.3 NR measurements performed by the UE . 20
4.3.1 Packet delay . 20
4.3.1.1 UL PDCP Packet Average Delay per DRB per UE . 20
Annex A (informative): Change history . 21
History . 22

ETSI

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3GPP TS 38.314 version 16.3.0 Release 16 4 ETSI TS 138 314 V16.3.0 (2021-04)
Foreword
This Technical Specification has been produced by the 3rd 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 38.314 version 16.3.0 Release 16 5 ETSI TS 138 314 V16.3.0 (2021-04)
1 Scope
The present document contains the description and definition of the measurements performed by network or the UE that
are transferred over the standardised interfaces in order to support NR radio link operations, radio resource management
(RRM), network operations and maintenance (OAM), minimization of drive tests (MDT) and self-organising networks
(SON).
Only the differences relative to TS 28.552 v16.2.0 [2] are specified in this specification.
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 TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 28.552: "5G performance measurements".
[3] 3GPP TS 38.331: "Radio Resource Control (RRC) protocol specification".
[4] 3GPP TS 23.501: "System Architecture for the 5G System; Stage 2".
3 Definitions of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the terms given in TR 21.905 [1] and the following apply. A term defined in
the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1].
3.2 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
TR 21.905 [1].
4 Layer 2 measurements
4.1 General
All the per DRB per cell measurements and per DRB per UE measurements can be aggregated into per QoS level per
cell and per PLMN ID per cell by network implementation. All the performance measurements for gNB defined in TS
28.552 [2] 5.1 can be calculated into per PLMN ID level by network implementation. Per QoS level refers to per
mapped 5QI for NR SA or per QCI for EN-DC.
ETSI

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3GPP TS 38.314 version 16.3.0 Release 16 6 ETSI TS 138 314 V16.3.0 (2021-04)
4.2 NR measurements performed by the gNB
4.2.1 Measurements valid for all gNB deployment scenarios
4.2.1.1 Received Random Access Preambles
4.2.1.1.1 Received Random Access Preambles per cell
A use case for this measurement is RACH configuration optimization, where Received Random Access Preambles is
signalled across an OAM interface.
Protocol Layer: MAC
Table 4.2.1.1.1-1: Definition for Received Random Access Preambles per cell
Definition Received Random Access Preambles per cell. This measurement is applicable to PRACH. The
reference point is the Service Access Point between MAC and L1. The measured quantity is the
number of received Random Access preambles during a time period over all PRACHs configured
in a cell. The measurement is done separately for:
- Dedicated preambles
- Randomly selected preambles in the low range
- Randomly selected preambles in the high range.

The unit of the measured value is [/s].

4.2.1.1.2 Received Random Access Preambles per SSB
A use case for this measurement is RACH configuration optimization, where Received Random Access Preambles is
signalled across an OAM interface.
Protocol Layer: MAC
Table 4.2.1.1.2-1: Definition for Received Random Access Preambles per SSB
Definition Received Random Access Preambles per SSB. This measurement is applicable to PRACH. The
reference point is the Service Access Point between MAC and L1. The measured quantity is the
number of received Random Access preambles during a time period over all PRACHs configured
in the SSB of the cell. The measurement is done separately for:
- Dedicated preambles
- Randomly selected preambles in the low range
- Randomly selected preambles in the high range.

The unit of the measured value is [/s].

4.2.1.2 Packet delay
4.2.1.2.1 General
Packet delay includes RAN part of delay and CN part of delay.
The RAN part of DL packet delay measurement comprises:
- D1 (DL delay in over-the-air interface), referring to Average delay DL air-interface in TS 28.552 [2] 5.1.1.1.1.
- D2 (DL delay on gNB-DU), referring to Average delay in RLC sublayer of gNB-DU in TS 28.552 [2] 5.1.3.3.3.
- D3 (DL delay on F1-U), referring to Average delay on F1-U in TS 28.552 [2] 5.1.3.3.2.
- D4 (DL delay in CU-UP), referring to Average delay DL in CU-UP in TS 28.552 [2] 5.1.3.3.1.
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3GPP TS 38.314 version 16.3.0 Release 16 7 ETSI TS 138 314 V16.3.0 (2021-04)
The DL packet delay measurements, i.e. D1 (the DL delay in over-the-air interface ), D2 (the DL delay in gNB-DU),
D3 (the DL delay on F1-U) and D4 (the DL delay in CU-UP), should be measured per DRB per UE.
NOTE: The delay measurements D1, D2 and D4 are also applicable for EUTRA in case of EN-DC related DL
delay measurements on the MN side.
The RAN part (including UE) of UL packet delay measurement comprises:
- D1 (UL PDCP packet average delay, as defined in clause 4.3.1.1).
- D2.1 (average over-the-air interface packet delay, as defined in 4.2.1.2.2).
- D2.2 (average RLC packet delay, as defined in 4.2.1.2.3).
- D2.3 (average delay UL on F1-U, it is measured using the same metric as the average delay DL on F1-U defined
in TS 28.552 [2] clause 5.1.3.3.2).
- D2.4 (average PDCP re-ordering delay, as defined in 4.2.1.2.4).
The UL packet delay measurements, i.e. D1(UL PDCP packet average delay), D2.1(average over-the-air interface
packet delay), D2.2(average RLC packet delay), D2.3(average delay UL on F1-U) and D2.4(average PDCP re-ordering
delay), should be measured per DRB per UE. The unit of D1, D2.1, D2.2, D2.3 and D2.4 is 0.1ms.
NOTE: The delay measurements D1, D2.1, D2.2 and D2.4 are also applicable for EUTRA in case of EN-DC
related UL delay measurements on the MN side.
For non CU-UP and DU split case, RAN part of packet delay excludes the delay at FI-U interface, i.e. D2.3 and D3.
If network disables the PDCP re-ordering function, the value of Average PDCP re-ordering delay i.e. D2.4 should be set
to 0.
For the QoS monitoring in TS 23.501 [4], RAN informs the RAN part of UL packet delay measurement, or the RAN
part of DL packet delay measurement, or both to the CN.
4.2.1.2.2 Average over-the-air interface packet delay in the UL per DRB per UE
The objective of this measurement is to measure air interface UL packet delay for OAM performance observability or
for QoS verification of MDT or for the QoS monitoring as defined in TS 23.501 [4].
Protocol Layer: MAC
Table 4.2.1.2.2-1: Definition for Average over-the-air packet delay in the UL per DRB per UE
Definition Average over-the-air packet delay in the UL per DRB per UE. This measurement is applicable for
EN-DC and SA. This measurement refers to packet delay for DRBs. This measurement provides
the average (arithmetic mean) time it takes to successfully receive a transport block from the
time of UL transmission indicated in scheduling grant.

Detailed Definition:
∑ �����(�,�����)�������(�,�����)
∀�
�(�,�����)= � �, where
�(�)
explanations can be found in the table 4.2.1.2.2-2 below.

ETSI

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3GPP TS 38.314 version 16.3.0 Release 16 8 ETSI TS 138 314 V16.3.0 (2021-04)
Table 4.2.1.2.2-2: Parameter description for Average over-the-air packet delay in the UL per DRB per
UE
Over-the-air packet delay in the UL per DRB per UE,
�(�,�����)
averaged during time period �. Unit: 0.1 ms.
The point in time when the UL MAC SDU i is scheduled in
���ℎ��(�,�����)
MAC layer as per the scheduling grant provided.
The point in time when the UL MAC SDU i is successfully
�����(�,�����)
sent to RLC.
A UL MAC SDU that arrives at the MAC during time period
�
�.
�(�) Total number of UL MAC SDUs �.
� Time Period during which the measurement is performed
����� The identity of the measured DRB.

4.2.1.2.3 Average RLC packet delay in the UL per DRB per UE
The objective of this measurement is to measure RLC delay in the UL for OAM performance observability or for QoS
verification of MDT or for the QoS monitoring as defined in TS 23.501 [4].
Protocol Layer: RLC
Table 4.2.1.2.3-1: Definition for Average RLC packet delay in the UL per DRB per UE
Definition Average RLC delay in the UL per DRB per UE. This measurement is applicable for EN-DC and
SA. This measurement refers to packet delay for DRBs. For CU-UP and DU split scenario or DC
scenario, this measurement refers to the RLC delay on each DU or RAN node. This
measurement provides the average (arithmetic mean) time it takes from the RLC PDU including
the first part of an RLC SDU is received to the RLC SDU is sent to PDCP or CU-UP for split gNB.

Detailed Definition:
∑ �����(�,�����)��������(�,�����)
∀�
�(�,�����)= � �, where
�(�)
explanations can be found in the table 4.2.1.2.3-2 below.

Table 4.2.1.2.3-2: Parameter description for Average RLC packet delay in the UL per DRB per UE
RLC delay in the UL per DRB per UE, averaged during time
�(�,�����)
period �. Unit: 0.1 ms.
The point in time when the UL RLC PDU including the first
�������(�,�����)
part of the UL RLC SDU i is received.
The point in time when the UL RLC SDU i is sent to PDCP
�����(�,�����)
or CU-UP for split gNB.
A UL RLC SDU that is received by the RLC during time
�
period �.
�(�) Total number of UL RLC SDUs �.
� Time Period during which the measurement is performed
����� The identity of the measured DRB.

4.2.1.2.4 Average PDCP re-ordering delay in the UL per DRB per UE
The objective of this measurement is to measure PDCP re-ordering delay in the UL for OAM performance observability
or for QoS verification of MDT or for the QoS monitoring as defined in TS 23.501 [4].
Protocol Layer: PDCP
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3GPP TS 38.314 version 16.3.0 Release 16 9 ETSI TS 138 314 V16.3.0 (2021-04)
Table 4.2.1.2.4-1: Definition for Average PDCP re-ordering delay in the UL per DRB per UE
Definition Average PDCP re-ordering delay in the UL per DRB per UE. This measurement is applicable for
EN-DC and SA. This measurement refers to packet delay for DRBs. This measurement provides
the average (arithmetic mean) time it takes from the point a PDCP PDU is received to the PDCP
SDU is sent to upper SAP.

Detailed Definition:
∑
�����(�,�����)��������(�,�����)
∀�
�(�,�����)= � �, where
�(�)
explanations can be found in the table 4.1.1.2.4-2 below.

Table 4.2.1.2.4-2: Parameter description for Average PDCP re-ordering delay in the UL per DRB per
UE
PDCP re-ordering delay in the UL per DRB per UE,
�(�,�����)
averaged during time period �. Unit: 0.1 ms.
The point in time when the UL PDCP PDU including the UL
�������(�,�����)
PDCP SDU i is received.
The point in time when the UL PDCP SDU i is sent to upper
�����(�,�����)
SAP.
A UL PDCP SDU that is received by the PDCP during time
�
period �.
Total number of UL PDCP SDUs received during time
�(�)
period �.
� Time Period during which the measurement is performed
����� The identity of the measured DRB.

4.2.1.3 Number of active UEs in RRC_CONNECTED
4.2.1.3.1 General
The objective of the measurement is to measure the number of active UEs per QoS level for OAM performance
observability or for SON functions e.g., mobility load balancing. It is intended to be part of a calculation to determine
the bitrate UEs achieve when they are active, i.e. when applications are transmitting and receiving data. The
measurements are applicable for both non-split gNB and split gNB deployment scenario.
4.2.1.3.2 Mean number of Active UEs in the DL per DRB per cell
Protocol Layer: MAC, RLC
Table 4.2.1.3.2-1: Definition for Mean number of Active UEs in the DL per DRB per cell
Definition Mean number of Active UEs in the DL per DRB per cell. The DRBs are mapped with the same
5QI for NR SA or mapped with the same QCI for EN-DC. This measurement refers to UEs for
which there is data available for transmission for the DL for DRBs.
Detailed Definition:
∑
�(�,�����)
∀�
� ∗���
�(�,�)
�(�,�����,�)= , where
��
explanations can be found in the table 4.2.1.3.2-2 below.

ETSI

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3GPP TS 38.314 version 16.3.0 Release 16 10 ETSI TS 138 314 V16.3.0 (2021-04)
Table 4.2.1.3.2-2: Parameter description for Mean number of Active UEs in the DL per DRB per cell
Mean number of Active UEs in the DL per DRB per cell,
�(�,�����,�)
averaged during time period �. Unit: 0.1.
Number of UEs for which there is data available for
transmission for the DL in MAC or RLC protocol layers for a
�(�,�����) Data Radio Bearer of traffic class at sampling occasion �.
Data available for transmission includes data for which
HARQ transmission has not yet terminated.
Sampling occasion during time period �. A sampling
�
occasion shall occur once every � seconds.
Sampling period length. Unit: second. The sampling period
�
shall be at most 0.1 s.
�(�,�) Total number of sampling occasions during time period �.
Time Period during which the measurement is performed,
�
Unit: second.
The DRBs mapped with the same 5QI for NR SA or mapped
�����
with the same QCI for EN-DC.

4.2.1.3.3 Max number of Active UEs in the DL per DRB per cell
Protocol Layer: MAC, RLC
Table 4.2.1.3.3-1: Definition for Max number of Active UEs in the DL per DRB per cell
Definition Maximum number of Active UEs in the DL per DRB per cell. The DRBs are mapped with the
same 5QI for NR SA or mapped with the same QCI for EN-DC. This measurement refers to UEs
for which there is data available for transmission for the DL for DRBs.
Detailed Definition:
� �
�(�,�����,�) = max�� �,����� �, where
�
explanations can be found in the table 4.2.1.3.3-2 below.

Table 4.2.1.3.3-2: Parameter description for Max number of Active UEs in the DL per DRB per cell
Maximum number of Active UEs in the DL per DRB per cell,
�(�,�����,�)
averaged during time period �. Unit: Integer.
Number of UEs for which there is data available for
transmission for the DL in MAC or RLC protocol layers for a
�(�,�����) Data Radio Bearer of traffic class at sampling occasion �.
Data available for transmission includes data for which
HARQ transmission has not yet terminated.
Sampling occasion during time period �. A sampling
�
occasion shall occur once every � seconds.
Sampling period length. Unit: second. The sampling period
�
shall be at most 0.1 s.
Time Period during which the measurement is performed,
�
Unit: second.
The DRBs mapped with the same 5QI for NR SA or mapped
�����
with the same QCI for EN-DC.

4.2.1.3.4 Mean number of Active UEs in the UL per DRB per cell
Protocol Layer: MAC
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3GPP TS 38.314 version 16.3.0 Release 16 11 ETSI TS 138 314 V16.3.0 (2021-04)
Table 4.2.1.3.4-1: Definition for Mean number of Active UEs in the UL per DRB per cell
Definition Mean number of Active UEs in the UL per DRB per cell. The DRBs are mapped with the same
5QI for NR SA or mapped with the same QCI for EN-DC. This measurement refers to UEs for
which there is data available for transmission for the UL for DRBs.
Detailed Definition:
∑
�(�,�����)
∀�
� ∗���
�(�,�)
�(�,�����,�)= , where
��
explanations can be found in the table 4.2.1.3.4-2 below.

NOTE: For this measurement, the expected accuracy is dependent on application scenario, cell load, UE
configuration and how DRBs are distributed over logical channel groups.
Table 4.2.1.3.4-2: Parameter description for Mean number of Active UEs in the UL per DRB per cell
Mean number of Active UEs in the UL per DRB per cell,
�(�,�����,�)
averaged during time period �. Unit: 0.1.
Number of UEs for w
...