ETSI TR 137 901-5 V16.13.0 (2024-10)

5G; Study on 5G NR User Equipment (UE) application layer data throughput performance (3GPP TR 37.901-5 version 16.13.0 Release 16)

RTR/TSGR-0537901-5vgd0

General Information

• Status: Not Published
• Technical Committee: 3GPP RAN 5 - Mobile Terminal Conformance Testing (formely T1)
• Current Stage: 12 - Citation in the OJ (auto-insert)
• Completion Date: 15-Oct-2024

Standards Content (Sample)

TECHNICAL REPORT
5G;
Study on 5G NR User Equipment (UE)
application layer data throughput performance
(3GPP TR 37.901-5 version 16.13.0 Release 16)

3GPP TR 37.901-5 version 16.13.0 Release 16 1 ETSI TR 137 901-5 V16.13.0 (2024-10)

Reference
RTR/TSGR-0537901-5vgd0
Keywords
5G
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3GPP TR 37.901-5 version 16.13.0 Release 16 2 ETSI TR 137 901-5 V16.13.0 (2024-10)
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ETSI
3GPP TR 37.901-5 version 16.13.0 Release 16 3 ETSI TR 137 901-5 V16.13.0 (2024-10)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 7
1 Scope . 9
2 References . 9
3 Definitions of terms, symbols and abbreviations . 10
3.1 Terms . 10
3.2 Symbols . 10
3.3 Abbreviations . 10
4 General . 10
4.1 Background . 10
4.2 Study Item Objective . 10
5 Study on 5G NR UE Application Layer Data Throughput Performance . 11
5.1 Definition of Application Layer Data Throughput Performance . 11
5.1.1 Definition of End Points . 11
5.2 Parameters for Measurement . 12
5.2.1 Throughput . 12
5.3 Test Configurations . 12
5.3.1 5G NR UE Application Layer Data Throughput Test Equipment . 12
5.3.2 UE Application Layer Data Throughput Connection Diagrams . 12
5.3.2.1 UE Application Layer Data Throughput Connection Diagram for Tethered . 12
5.3.2.2 UE Application Layer Data Throughput Connection Diagram for Embedded . 12
5.3.3 RF Connection Diagrams for UE Application Layer Data Throughput . 13
5.3.4 UE Specific Items . 13
5.4 Transport and Application Layer Protocols . 13
5.4.1 Transport Layer Protocol . 13
5.4.2 Application Layer Protocol . 13
5.4.2.1 TCP Settings . 14
5.4.2.1.1 TCP advertised receiver window size setting . 15
5.4.2.2 UDP Settings . 15
5.4.3 Upper Layer impact on throughput measurements . 16
5.4.3.1 Overview . 16
5.4.3.2 TCP/UDP Layer . 17
5.4.3.3 IP Layer . 17
5.4.3.4 PDCP Layer . 17
5.4.3.5 RLC Layer. 18
5.4.3.6 Overhead between MAC and TCP/UDP layer . 18
5.4.3.7 Overhead for LTE . 18
5.4.3.8 SA, NSA and NSA split-bearer . 18
5.4.4 Summary of Upper Layer Parameters and Overhead from MAC to Transport Layer . 18
5.5 Test Environment . 19
5.5.1 Conducted Testing for 5G NR FR1 . 19
5.5.1.1 Signal Levels . 19
5.5.1.2 Fading Profiles . 19
5.5.2 Radiated Testing for 5G NR FR2 . 20
5.5.2.1 Signal Levels . 20
5.5.2.2 Fading Profiles . 20
5.6 Data Transfer Scenarios . 20
5.6.1 TCP Transfers . 20
5.6.2 UDP Transfers . 20
5.7 Statistical Analysis . 21
5.7.1 Overview of Layer 1 throughput . 21
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5.7.2 Overview of Application Layer throughput . 22
5.7.3 Test Time for Application Layer Throughput procedures . 23
5.8 Impact of Modem Performance in Application Layer Throughput . 23
5.8.1 Modem Performance in current TS 38.521-4 conformance tests . 23
5.8.2 Modem Performance in Application Layer Data Throughput Tests . 24
5.9 Test System Uncertainty and Test Tolerance . 24
5.9.1 Test System Uncertainty and Test Tolerance for FR1 testing . 24
5.9.1.1 Recommended Uncertainty of Test System . 24
5.9.1.2 Test Tolerances . 24
5.9.1.3 Impact of Test System Uncertainty on Test Results . 24
5.9.1.4 Impact of Test System Uncertainty on Test Results for FR1 . 25
5.9.2 Test System Uncertainty and Test Tolerance for FR2 testing . 26
5.9.2.1 Recommended Uncertainty of Test System . 26
5.9.2.2 Test Tolerances . 26
5.9.2.3 Impact of Test System Uncertainty on Test Results . 26
5.9.2.4 Impact of Test System Uncertainty on Test Results for FR2 . 27
5.10 Feasibility of Defining Link Adaptation Absolute Physical Layer Requirements . 27
5.10.1 General . 27
5.10.2 Test Methodology . 27
5.10.2.1 Simulation Alignment Criteria . 27
5.10.2.2 Methodology for Requirements Definition . 28
5.10.3 Simulation Assumptions . 28
5.10.4 Simulation Results . 31
5.10.5 Summary . 32
6 Conclusions . 32
Annex A: Test Procedures . 34
A.1 Purpose of annex . 34
A.1.1 General . 34
A.2 5G NR /TCP Downlink Throughput /Conducted/Static Peak Throughput for SA and NSA . 35
A.2.1 5G NR /TCP Downlink Throughput /Conducted/Static Channel Peak Throughput tests for SA and NSA . 35
A.2.1.1 5G NR /TCP Downlink Throughput /Conducted/Static Channel/ SA and NSA (no Downlink Split
Bearer) . 35
A.2.1.2 5G NR /TCP Downlink Throughput /Conducted/Static Channel/NSA (Downlink Split Bearer) . 37
A.3 5G NR /TCP Downlink Throughput /Conducted for Fixed Reference Channel (FRC) Scenarios
with Fading for SA and NSA . 38
A.3.1 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC for SA and NSA . 38
A.3.1.1 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/2Rx for SA and NSA . 38
A.3.1.1.1 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/2Rx FDD/FR1 PDSCH mapping
Type A performance - 2x2 MIMO for SA and NSA . 38
A.3.1.1.2 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/2Rx TDD/FR1 PDSCH mapping
Type A performance - 2x2 MIMO for SA and NSA . 40
A.3.1.2 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/4Rx for SA and NSA . 41
A.3.1.2.1 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/4Rx FDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 41
A.3.1.2.2 5G NR /TCP Downlink Throughput /Conducted/Fading/FRC/4Rx TDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 43
A.4 5G NR /UDP Downlink Throughput /Conducted/Static Peak Throughput for SA and NSA . 44
A.4.1 5G NR /UDP Downlink Throughput /Conducted/Static Channel Peak Throughput tests for SA and NSA . 44
A.4.1.1 5G NR /UDP Downlink Throughput /Conducted/Static Channel/ SA and NSA (no Downlink Split
Bearer) . 44
A.4.1.2 5G NR /UDP Downlink Throughput /Conducted/Static Channel/NSA (Downlink Split Bearer) . 46
A.5 5G NR /UDP Downlink Throughput /Conducted for Fixed Reference Channel (FRC) Scenarios
with Fading for SA and NSA . 48
A.5.1 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC for SA and NSA . 48
A.5.1.1 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC/2Rx for SA and NSA . 48
A.5.1.1.1 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC/2Rx FDD/FR1 PDSCH mapping
Type A performance - 2x2 MIMO for SA and NSA . 48
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A.5.1.1.2 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC/2Rx TDD/FR1 PDSCH mapping
Type A performance - 2x2 MIMO for SA and NSA . 49
A.5.1.2 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC/4Rx for SA and NSA . 51
A.5.1.2.1 5G NR /UDP Downlink Throughput /Conducted/Fading/FRC/4Rx FDD/FR1 PDSCH mapping
Type A performance - 4x4 MIMO for SA and NSA . 51
A.5.1.2.2 5G NR /UDP Downlink Throughput /Conducted/Fading/4Rx TDD/FR1 PDSCH mapping Type
A performance - 4x4 MIMO for SA and NSA . 53
A.6 5G NR /TCP Downlink Throughput/Radiated/Static Peak Throughput for SA and NSA . 55
A.6.1 5G NR /TCP Downlink Throughput /Radiated/Static Channel Peak Throughput tests for SA and NSA . 55
A.6.1.1 5G NR /TCP Downlink Throughput /Radiated/Static Channel/ SA and NSA (no Downlink Split
Bearer) . 55
A.7 5G NR /TCP Downlink Throughput /Radiated for Fixed Reference Channel Scenarios (FRC)
with Fading . 56
A.7.1 5G NR /TCP Downlink Throughput /Radiated/Fading/FRC . 56
A.7.1.1 5G NR /TCP Downlink Throughput /Radiated/Fading/FRC/2Rx . 56
A.7.1.1.1 5G NR /TCP Downlink Throughput /Radiated/Fading/FRC/2Rx TDD/FR2 PDSCH mapping
Type A performance - for SA and NSA . 56
A.7.1.2 5G NR /TCP Downlink Throughput /Radiated/Fading/FRC/4Rx . 58
A.7.1.2.1 Void. 58
A.8 5G NR /UDP Downlink Throughput/Radiated/Static Peak Throughput for SA and NSA . 58
A.8.1 5G NR /UDP Downlink Throughput /Radiated/Static Channel Peak Throughput tests for SA and NSA . 58
A.8.1.1 5G NR /UDP Downlink Throughput /Radiated/Static Channel/ SA and NSA (no Downlink Split
Bearer) . 58
A.9 5G NR /UDP Downlink Throughput /Radiated for Fixed Reference Channel Scenarios (FRC)
with Fading . 59
A.9.1 5G NR /UDP Downlink Throughput /Radiated/Fading/FRC . 59
A.9.1.1 5G NR /UDP Downlink Throughput /Radiated/Fading/FRC/2Rx. 59
A.9.1.1.1 5G NR /UDP Downlink Throughput /Radiated/Fading/2Rx TDD/FR2 PDSCH mapping Type A
performance - for SA and NSA . 59
A.9.1.2 5G NR /UDP Downlink Throughput /Radiated/Fading/FRC/4Rx. 61
A.9.1.2.1 Void. 61
A.10 5G NR /TCP Downlink Throughput /Conducted for Variable Reference Channel (VRC)
Scenarios with Fading for SA and NSA . 61
A.10.1 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC for SA and NSA . 61
A.10.1.1 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/2Rx for SA and NSA . 61
A.10.1.1.1 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/2Rx FDD /FR1 PDSCH mapping
Type A performance - for SA and NSA . 61
A.10.1.1.2 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/2Rx TDD /FR1 PDSCH mapping
Type A performance - for SA and NSA . 65
A.10.1.2 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/4Rx . 69
A.10.1.2.1 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/4Rx FDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 69
A.10.1.2.2 5G NR /TCP Downlink Throughput /Conducted/Fading/VRC/4Rx TDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 73
A.11 5G NR /UDP Downlink Throughput /Conducted for Variable Reference Channel (VRC)
Scenarios for SA and NSA . 77
A.11.1 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC . 77
A.11.1.1 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/2Rx . 77
A.11.1.1.1 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/2Rx FDD/FR1 PDSCH mapping

Type A performance - for SA and NSA . 77
A.11.1.1.2 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/2Rx TDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 80
A.11.1.2 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/4Rx . 85
A.11.1.2.1 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/4Rx FDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 85
A.11.1.2.2 5G NR /UDP Downlink Throughput /Conducted/Fading/VRC/4Rx TDD/FR1 PDSCH mapping
Type A performance - for SA and NSA . 88
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A.12 5G NR /TCP Downlink Throughput /Radiated for Variable Reference Channel Scenarios (VRC)
with Fading . 93
A.12.1 5G NR /TCP Downlink Throughput /Radiated/Fading/VRC . 93
A.12.1.1 5G NR /TCP Downlink Throughput /Radiated/Fading/VRC/2Rx TDD . 93
A.13 5G NR /UDP Downlink Throughput /Radiated for Variable Reference Channel (VRC) Scenarios . 97
A.13.1 5G NR /UDP Downlink Throughput /Radiated/Fading/VRC . 97
A.13.1.1 5G NR /UDP Downlink Throughput /Radiated/Fading/VRC/2Rx TDD . 97
Annex B: Specific Test Conditions and Environment . 101
B.1 Upper Layer configurations . 101
B1.1 MAC Configurations . 101
B.1.2 RLC Configuration . 101
B.1.3 PDCP Configuration. 101
B.2 UL RMC . 101
Annex C: Specific Connection Diagrams . 103
Annex D: Reference Test Points . 104
D.1 FR1 Reference Test Points . 104
D.2 FR2 Reference Test Points . 106
Annex E: E-UTRA Anchor Configuration for NSA testing Diagrams . 106
Annex F: Embedded Data Client Recommendations . 107
F.1 Purpose of annex . 107
F.2 Embedded Data Client Automation. 107
F.2.1 Embedded Data Client Functionality . 107
F.2.2 Embedded Data Client Provisioning . 107
F.2.3 Embedded Data Client Command Set and Operation . 108
F.2.3.1 Poll for Task Command . 108
F.2.3.2 Task List . 108
F.2.3.3 Result Reporting . 108
Annex G: Applicability . 109
Annex H: Default message content for Application Layer Data Throughput . 110
H.1 Radio resource control information elements. 110
Annex I: Change history . 111
History . 114

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Foreword
rd
This Technical Report 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.
In the present document, modal verbs have the following meanings:
shall indicates a mandatory requirement to do something
shall not indicates an interdiction (prohibition) to do something
The constructions "shall" and "shall not" are confined to the context of normative provisions, and do not appear in
Technical Reports.
The constructions "must" and "must not" are not used as substitutes for "shall" and "shall not". Their use is avoided
insofar as possible, and they are not used in a normative context except in a direct citation from an external, referenced,
non-3GPP document, or so as to maintain continuity of style when extending or modifying the provisions of such a
referenced document.
should indicates a recommendation to do something
should not indicates a recommendation not to do something
may indicates permission to do something
need not indicates permission not to do something
The construction "may not" is ambiguous and is not used in normative elements. The unambiguous constructions
"might not" or "shall not" are used instead, depending upon the meaning intended.
can indicates that something is possible
cannot indicates that something is impossible
The constructions "can" and "cannot" are not substitutes for "may" and "need not".
will indicates that something is certain or expected to happen as a result of action taken by an agency
the behaviour of which is outside the scope of the present document
will not indicates that something is certain or expected not to happen as a result of action taken by an
agency the behaviour of which is outside the scope of the present document
might indicates a likelihood that something will happen as a result of action taken by some agency the
behaviour of which is outside the scope of the present document
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might not indicates a likelihood that something will not happen as a result of action taken by some agency
the behaviour of which is outside the scope of the present document
In addition:
is (or any other verb in the indicative mood) indicates a statement of fact
is not (or any other negative verb in the indicative mood) indicates a statement of fact
The constructions "is" and "is not" do not indicate requirements.
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1 Scope
The present document contains the findings of the Study on 5G NR User Equipment (UE) application layer data
throughput performance and the proposed test procedures.
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 38.101-1: "NR; User Equipment (UE) radio transmission and reception; Part 1: Range 1
Standalone".
[3] 3GPP TS 38.521-4: "NR; User Equipment (UE) conformance specification; Radio transmission
and reception; Part 4: Performance requirements".
[4] 3GPP TS 38.101-4: "NR; User Equipment (UE) radio transmission and reception; Part 4:
Performance requirements".
[5] 3GPP TS 36.321: "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
Control (MAC) protocol specification"
[6] 3GPP TS 36.322: "Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Link Control
(RLC) protocol specification"
[7] 3GPP TS 36.323: "Evolved Universal Terrestrial Radio Access (E-UTRA); Packet Data
Convergence Protocol (PDCP) specification"
[8] 3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) specification"
[9] 3GPP TS 38.523: "5GS; User Equipment (UE) conformance specification; Part 1: Protocol"
[10] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification"
[11] 3GPP TS 38.322: "NR; Radio Link Control (RLC) protocol specification"
[12] RFC 768
[13] RFC 791
[14] RFC 793
[15] RFC 2460
[16] RFC 8200
[17] 3GPP TS 38.214: "NR; Physical layer procedures for data".
[18] 3GPP TS 38.508-1: "5GS; User Equipment (UE) conformance specification; Part 1: Common test
environment"
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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 Symbols
Void.
3.3 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 General
4.1 Background
The newly-deployed 5G radio access technologies are providing a very large increase in data transmission capacity in
mobile networks. This is being matched and even exceeded by a corresponding increase in the demand for data from
users of the latest data-hungry devices and applications.
It is therefore essential that data devices achieve high efficiency when using data services and do not unduly load the
network regardless of the maximum data rate that they are capable of achieving.
There is an interest to add 5G NR UE Application-Layer Data Throughput Measurements under various simulated
network conditions to their Performance Items area of activity. As a result RAN5 recommending and produce the test
procedures.
4.2 Study Item Objective
The technical objectives of this study item are:
Fixed reference measurement channels:
a) Use existing fixed reference measurement channels scenarios already defined in TS 38.101-4 [4] and TS
38.521-4 [3] test specifications to develop test procedures to measure 5G NR UE data throughput
performance at the application-layer. Adaptation of existing test cases from the TS 38.521-4 [3] specification
will be part of the study with goal to determine best test points candidates.
Variable reference measurement channels:
b) analysis of suitable link adaptation scenarios and development of corresponding 5G NR application layer
throughout test procedures An analysis of upper layer protocols and parameters impacting application layer
throughout measurements will also be provided.
NOTE 1: There is significant industry interest in performing application layer throughput measurements with
variable reference measurement channels (link adaptation) as this represents a scenario closer to real
world deployments.
The Rel-11 SI "Study on UE Application Layer Data Throughput" (FS_UE_App_Data_Perf) captured results for
UMTS and LTE in a Technical Report TR 37.901. For the SI " Study on 5G NR User Equipment (UE) application layer
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data throughput performance" that is proposed here it is intended to create a new Technical Report for which the
following structure is proposed:
- Definition of 5G NR Application Layer Data Throughput Performance
- List of parameters to be measured:
- Application Layer Throughput (Downlink and Uplink)
- Test configuration and upper layer parameters
- Transport Layer protocol used for data transfer
- Application Layer protocol used for data transfer
- Test environment (signal levels, fading profiles, fixed and link adaptation based scheduling, SA/NSA, FR1/FR2,
etc.):
- Data transfer scenarios (TCP/UDP, DL/UL/Bidirectional)
- Minimum Test Time and Iterations (align with LTE)
- Test Procedures for 5G NR UE Application layer throughput performance
The test procedures developed will measure the achieved average application-layer data rates (e.g. using TCP or UDP)
of the UE standalone or/and in combination with a laptop under simulated realistic network scheduling and radio
conditions in a repeatable lab-based environment (i.e. using lab-based simulators and other necessary equipment).
NOTE 2: The point of measurement on the UE side will be either in a connected PC for terminals that support
tethered mode only, or inside the UE in case of a terminal that does not support tethered mode (and
supports embedded mode), or in both places for UEs that support both modes.
The test procedures will be developed in a flexible manner to accommodate various test conditions. The exact simulated
network scheduling and down link radio conditions to be used will be determined during the study. It is envisaged that
in addition to some measurements under "ideal conditions", an initial set of suitable scheduling/radio conditions to be
used by the test systems, will be defined to simulate typical network conditions. Additional optional conditions may be
developed later as and when required.
Other issues that the Study Item may investigate include:
- The definition of a reliable and repeatable test environment to ensure the best possible repeatability of the
results. This could include the definition of a reference laptop configuration, applications in the UE or/and the
Laptop that would measure the throughput, etc.
- The impact from the lower layers data throughput on the application-layer data throughput, especially when
variable radio conditions are applied.
5 Study on 5G NR UE Application Layer Data
Throughput Performance
5.1 Definition of Application Layer Data Throughput
Performance
5.1.1 Definition o
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