ETSI TS 103 596-3 V1.1.1 (2021-05)

ETSI TS 103 596-3 V1.1.1 (2021-05)






TECHNICAL SPECIFICATION
Methods for Testing and Specification (MTS);
Test Specification for CoAP;
Part 3: Performance Tests

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2 ETSI TS 103 596-3 V1.1.1 (2021-05)

Reference
DTS/MTS-TSTCoAP-3
Keywords
performance, testing

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3 ETSI TS 103 596-3 V1.1.1 (2021-05)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 4
1 Scope . 5
2 References . 5
2.1 Normative references . 5
2.2 Informative references . 5
3 Definition of terms, symbols and abbreviations . 6
3.1 Terms . 6
3.2 Symbols . 8
3.3 Abbreviations . 8
4 Performance metrics . 9
4.0 Introduction . 9
4.1 Concepts . 9
4.1.1 Concepts introduction . 9
4.1.2 Measurement Preliminary Considerations . 9
4.2 Measurement Methodology . 9
4.2.0 Introduction. 9
4.2.1 Metric Post-processing . 10
4.2.2 Message Types . 10
4.2.3 Test parameters . 11
4.2.4 Operation Message Flows . 12
4.2.5 Test Campaign Parameters . 15
4.3 Powerfulness metrics . 15
4.4 Reliability metrics . 16
4.5 Efficiency metrics. 16
5 Configurations . 16
6 Benchmarking . 17
6.1 Generic adjustments . 17
6.2 Benchmarking Methodology . 17
6.3 Metric examples . 18
6.4 Benchmark examples . 18
6.4.0 Introduction. 18
6.4.1 KPI Determination . 18
6.4.2 KPI Validation . 20
7 Examples of tests . 22
7.0 Introduction . 22
7.1 Test Objectives . 22
7.2 Test Purpose . 23
7.3 Test Report . 23
Annex A (informative): CoAP Test Purposes (TPs) . 25
History . 33


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4 ETSI TS 103 596-3 V1.1.1 (2021-05)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are 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 server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the
®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Methods for Testing and
Specification (MTS).
The present document is part 3 of a multi-part deliverable covering the Constrained Application Protocol (CoAP), as
identified below:
Part 1: "Conformance Tests";
Part 2: "Security Tests";
Part 3: "Performance Tests".
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.
Introduction
The present document provides an introduction and possible test specification, i.e. an overall test suite structure and
catalogue of performance test purposes for the Constrained Application Protocol (CoAP) protocol. It will be a reference
base for both client side test campaigns and server side test campaigns addressing the performance issues.

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5 ETSI TS 103 596-3 V1.1.1 (2021-05)
1 Scope
The present document provides a test specification, i.e. an overall test suite structure and catalogue of test purposes for
the Constrained Application Protocol (CoAP) protocol. It will be a reference base for both client side test campaigns
and server side test campaigns addressing the performance issues.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] IETF RFC 7252: "The Constrained Application Protocol (CoAP)".
[2] ETSI TS 103 596-1: "Methods for Testing and Specification (MTS); Test Specification for CoAP;
Part 1: Conformance Tests".
[3] IETF RFC 8323: "CoAP (Constrained Application Protocol) over TCP, TLS, and WebSockets".
[4] ETSI ES 203 119-4: "Methods for Testing and Specification (MTS); The Test Description
Language (TDL); Part 4: Structured Test Objective Specification (Extension)".
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] IETF RFC 2544: "Benchmarking Methodology for Network Interconnect Devices".
[i.2] ETSI TR 101 577: "Methods for Testing and Specifications (MTS); Performance Testing of
Distributed Systems; Concepts and Terminology".
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6 ETSI TS 103 596-3 V1.1.1 (2021-05)
3 Definition of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the following terms apply:
acknowledgement message: message which acknowledges that a specific Confirmable message arrived as defined in
IETF RFC 7252 [1]
NOTE: By itself, an Acknowledgement message does not indicate success or failure of any request encapsulated
in the Confirmable message, but the Acknowledgement message may also carry a Piggybacked Response.
benchmark test: procedure by which a test system interacts with a System Under Test to measure its behaviour and
produce a benchmark report
benchmark test report: document generated at the conclusion of a test procedure containing the metrics measured
during the test
client: originating endpoint of a request; the destination endpoint of a response as defined in IETF RFC 7252 [1]
CoAP-to-CoAP proxy: proxy that maps from a CoAP request to a CoAP request, i.e. uses the CoAP protocol both on
the server and the client side
NOTE: Contrast to cross-proxy.
confirmable message: some messages that require an acknowledgement as defined in IETF RFC 7252 [1]
NOTE: These messages are called "Confirmable". When no packets are lost, each Confirmable message elicits
exactly one return message of type Acknowledgement or type Reset.
conformance: extent to which an implementation of a standard satisfies the requirements expressed in that standard
conformance testing: process to verify to what extent the IUT conforms to the standard
content-format: combination of an Internet media type, potentially with specific parameters given, and a content-
coding (which is often the identity content-coding), identified by a numeric identifier defined by the "CoAP Content-
Formats" registry as defined in IETF RFC 7252 [1]
NOTE: When the focus is less on the numeric identifier than on the combination of these characteristics of a
resource representation, this is also called "representation format".
critical option: option that would need to be understood by the endpoint ultimately receiving the message in order to
properly process the message as defined in IETF RFC 7252 [1]
NOTE: The implementation of critical options is, as the name "Option" implies, generally optional: unsupported
critical options lead to an error response or summary rejection of the message.
cross-proxy: cross-protocol proxy, or "cross-proxy" for short, proxy that translates between different protocols, such as
a CoAP-to-HTTP proxy or an HTTP-to-CoAP proxy
NOTE: While the present document makes very specific demands of CoAP-to-CoAP proxies, there is more
variation possible in cross-proxies.
Design Objective Capacity (DOC): largest load an SUT can sustain while not exceeding design objectives defined for
a use-case
elective option: option that is intended to be ignored by an endpoint that does not understand it as defined in IETF
RFC 7252 [1]
NOTE: Processing the message even without understanding the option is acceptable.
empty message: message with a Code of 0.00; neither a request nor a response as defined in IETF RFC 7252 [1]
NOTE: An Empty message only contains the 4-byte header.
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endpoint: entity participating in the CoAP protocol as defined in IETF RFC 7252 [1]
NOTE: Colloquially, an endpoint lives on a "Node", although "Host" would be more consistent with Internet
standards usage, and is further identified by transport-layer multiplexing information that can include a
UDP port number and a security association.
forward-proxy: endpoint selected by a client, usually via local configuration rules, to perform requests on behalf of the
client, doing any necessary translations as defined in IETF RFC 7252 [1]
NOTE: Some translations are minimal, such as for proxy requests for "CoAP" URIs, whereas other requests
might require translation to and from entirely different application-layer protocols.
intermediary: CoAP endpoint that acts both as a server and as a client towards an origin server (possibly via further
intermediaries) as defined in IETF RFC 7252 [1]
NOTE: A common form of an intermediary is a proxy; several classes of such proxies are discussed in the present
document.
non-confirmable message: As defined in IETF RFC 7252 [1], some other messages do not require an
acknowledgement. This is particularly true for messages that are repeated regularly for application requirements, such
as repeated readings from a sensor.
origin server: server on which a given resource resides or is to be created as defined in IETF RFC 7252 [1]
parameter: attribute of a SUT, test system, system load, or traffic set whose value is set externally and prior to a
benchmark test, and whose value affects the behaviour of the benchmark test
piggybacked response: included right in a CoAP Acknowledgement (ACK) message that is sent to acknowledge
receipt of the Request for this Response as defined in IETF RFC 7252 [1]
proxy: intermediary that mainly is concerned with forwarding requests and relaying back responses, possibly
performing caching, namespace translation, or protocol translation in the process as defined in IETF RFC 7252 [1]
NOTE: As opposed to intermediaries in the general sense, proxies generally do not implement specific
application semantics. Based on the position in the overall structure of the request forwarding, there are
two common forms of proxy: forward-proxy and reverse-proxy. In some cases, a single endpoint might
act as an origin server, forward-proxy, or reverse-proxy, switching behaviour based on the nature of each
request.
recipient: destination endpoint of a message as defined in IETF RFC 7252 [1]
NOTE: When the aspect of identification of the specific recipient is in focus, also "destination endpoint".
reset message: a specific message (Confirmable or Non-confirmable) is received, but some context is missing to
properly process it as defined in IETF RFC 7252 [1]
NOTE: This condition is usually caused when the receiving node has rebooted and has forgotten some state that
would be required to interpret the message. Provoking a Reset message (e.g. by sending an Empty
Confirmable message) is also useful as an inexpensive check of the liveness of an endpoint ("CoAP
ping").
resource discovery: process where a CoAP client queries a server for its list of hosted resources as defined in IETF
RFC 7252 [1]
reverse-proxy: endpoint that stands in for one or more other server(s) and satisfies requests on behalf of these, doing
any necessary translations as defined in IETF RFC 7252 [1]
NOTE: Unlike a forward-proxy, the client may not be aware that it is communicating with a reverse-proxy; a
reverse-proxy receives requests as if it were the origin server for the target resource.
safe-to-forward option: option that is intended to be safe for forwarding by a proxy that does not understand it as
defined in IETF RFC 7252 [1]
NOTE: Forwarding the message even without understanding the option is acceptable.
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sender: originating endpoint of a message as defined in IETF RFC 7252 [1]
NOTE: When the aspect of identification of the specific sender is in focus, also "source endpoint".
separate response: when a Confirmable message carrying a request is acknowledged with an Empty message
(e.g. because the server does not have the answer right away), a Separate Response is sent in a separate message
exchange as defined in IETF RFC 7252 [1]
server: destination endpoint of a request; the originating endpoint of a response as defined in IETF RFC 7252 [1]
test scenario: specific path through a use-case, whose implementation by a test system creates a system load
test suite structure: document defining (hierarchical) grouping of test cases according to some rules
traffic-time profile: evolution of the average scenario over a time interval
unsafe option: option that would need to be understood by a proxy receiving the message in order to safely forward the
message as defined in IETF RFC 7252 [1]
NOTE: Not every critical option is an unsafe option.
use case: description of a goal that a user has in interacting with a system, the various actors and the SUT
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CoAP Constrained Application Protocol
CPU Central Processing Unit
DOC Design Objective Capacity
GTW Gateway
HTTP Hyper Text Transfer Protocol
IP Internet Protocol
IUT Implementation Under Test
KPI Key Performance Indicator
LAN Local Area Network
MTS Methods for Testing and Specifications
NoS Number of Subscribers
NoC Number of Clients
OS Operating System
PICS Protocol Implementation Conformance Statement
PING Packet Internet Groper
NOTE: Send a packet to a computer and wait for its return.
PONG Ping response packet
RAM Random Access Memory
SSD Solid State Drive
SoC System on a Chip
SUT System Under Test
TCP Tranmission Control Protol
TDL Test Description Language
TDL-TO Test Description Language - Test Objectives
TP Test Purpose
TS Test System
UDP User Datagram Protocol
URI Unified Resource Identifier
WLF WorkLoad Factor
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4 Performance metrics
4.0 Introduction
The performance metrics specified herein pertain to the specifics of a CoAP IUT. As such, the objective is to use these
metrics in order to determine how well the CoAP component (be it client or server) is performing its functions. As
CoAP is a transport protocol, the metrics will be focused on how fast, reliable and efficient the transport is handled. The
metrics are designed to fit this purpose while covering multiple use-case scenarios. Following below are the specific
messages of the CoAP protocol as defined in IETF RFC 8323 [3] for which the performance metrics are defined.
4.1 Concepts
4.1.1 Concepts introduction
For measuring performance of a given Test System (TS), a comprehensive description of the test environment is
required. This includes but it is not limited to:
• TS hardware infrastructure: resource specification, type, capacity and distribution.
• Test environment type and resources (virtualisation technology, allocated resources).
• Measurement equipment hardware/software infrastructure, measurement probe distribution/placement, clock
synchronization precision, allocated resources.
• Communication infrastructure: transport network specification, number of switches/hops between TS
components, bandwidth capacity.
Additional to the specific characteristics of the SUT, the CoAP protocol [3] specifies sessions as stateful interactions
between clients and servers. Because of this, additional performance session-based metrics are considered.
4.1.2 Measurement Preliminary Considerations
In order for the collected measurement data to be useful, special consideration needs to be given to the TS setup. Given
that the performance evaluation is targeting one or several IUTs same TS setup characteristics are required in order for
the evaluation results to allow valid comparisons between them. Some of the characteristics may refer to infrastructure,
hardware, physical or virtual resources as well as network connectivity resources.
4.2 Measurement Methodology
4.2.0 Introduction
This clause presents the test methodology for CoAP performance evaluation. From the performance perspective, all
measurable metrics related to the protocol should be considered. Although not exhaustive, these metrics can be
categorized as follows:
Powerfulness metrics as defined in ETSI TR 101 577 [i.2] include 3 sub categories: Responsiveness, Capacity and
Scalability. From the Responsiveness category the response time, roundtrip time and latency time metrics are used.
From the Capacity category the arrival capacity, peak capacity, in progress capacity, streaming capacity and
Throughput capacity metrics are used. From the Scalability category the scaling capacity metric is used.
Reliability metrics as defined in ETSI TR 101 577 [i.2] include 6 sub categories: Quality-of-Service, Stability,
Availability, Robustness, Recovery, and Correctness. The Quality of Service sub category refers to well defined
requirements which may include acceptable values or ranges for metrics from other categories. Stability refers to the
capacity of the System to deliver acceptable performance over time. From the Availability sub category, the logical
availability metric is used. From the Robustness sub category, the service capacity reduction and service responsiveness
deterioration metrics are used. From the Recovery sub category, the service restart characteristics metric is used.
Correctness metrics cover the ability of delivering correctly processed requests under high or odd load conditions.
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Efficiency metrics as defined in ETSI TR 101 577 [i.2] cover resource utilization. The metrics cover the characteristics
of resource usage, linearity, scalability and bottleneck. The efficiency metrics used in the present document are referring
to the service level and not covering the platform level.
4.2.1 Metric Post-processing
The collection of metric values from a SUT is performed by multiple agents and/or directly by the IUT. Often a better
insight into the IUT performance is gained by post-processing these values in order to get more meaningful results. To
this scope, the data samples can be aggregates over time intervals in the experiment. From such common practices, the
following
...