1、 ETSI TR 1Universal Mobile TelSIM/USIM internal a(3GPP TR 31.9TECHNICAL REPORT 131 900 V13.0.0 (2016elecommunications System (LTE; l and external interworking as.900 version 13.0.0 Release 1316-02) (UMTS); aspects 13) ETSI ETSI TR 131 900 V13.0.0 (2016-02)13GPP TR 31.900 version 13.0.0 Release 13Ref
2、erence RTR/TSGC-0631900vd00 Keywords LTE,UMTS ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice T
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6、s:/portal.etsi.org/People/CommiteeSupportStaff.aspx Copyright Notification No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm except as authorized by written permission of ETSI. The content of the PDF version shall not be
7、 modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2016. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the ben
8、efit of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI TR 131 900 V13.0.0 (2016-02)23GPP TR 31.900 version 13.0.0 Releas
9、e 13Intellectual Property Rights IPRs essential or potentially essential to the present document 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 Prop
10、erty 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 IPR Policy, no investigation, including IPR sea
11、rches, 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. Foreword This Technical Report (TR) has been produced by
12、ETSI 3rd Generation Partnership Project (3GPP). The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables. The cross reference between GS
13、M, UMTS, 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 th
14、e 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 ETSI TR 131 900 V13.0.0 (2016-02)33GPP TR 31.900 version 13.0.0 Release 13Contents Intellectual Property Rights 2g3Foreword . 2g
15、3Modal verbs terminology 2g3Foreword . 5g3Introduction 5g31 Scope 6g32 References 6g33 Abbreviations . 7g34 Primary clarifications and definitions 7g34.1 2G and 3G 7g34.2 SIM, USIM and UICC 8g34.3 Types of ME . 8g34.4 Types of VLR/SGSN and HLR/AuC . 8g34.5 Security related terms . 9g35 Interworking
16、between the ME and the ICC 9g35.1 3G ME and UICC . 10g35.2 2G ME and UICC . 11g35.2.1 2G ME of Rel-4 (or earlier) without USIM support . 11g35.2.2 2G ME of R99 or Rel-4 with USIM support or of Rel-5 11g35.3 3G ME and SIM . 11g35.3.1 3G ME of R99 or Rel-4 11g35.3.2 3G ME of Rel-5 11g35.4 2G ME and SI
17、M . 12g35.4.1 2G ME of Rel-4 (or earlier) 12g35.4.2 2G ME of Rel-5 12g36 Authentication and key agreement in mixed networks 12g36.1 With 3G ME and UICC 12g36.2 With 2G ME and UICC 15g36.2.1 2G ME of Rel-4 (or earlier) without USIM support . 15g36.2.2 2G ME of R99 or Rel-4 with USIM support or of Rel
18、-5 17g36.3 With 3G ME and SIM 19g36.3.1 3G ME of R99 or Rel-4 19g36.3.2 3G ME of Rel-5 21g36.4 With 2G ME and SIM 21g36.4.1 2G ME of Rel-4 (or earlier) 21g36.4.2 2G ME of Rel-5 22g37 Interworking between a SIM application and a USIM application on a UICC 23g37.1 IMSI, secret key and authentication a
19、lgorithm . 23g37.2 File mapping . 24g37.3 Access conditions . 24g37.4 Secret codes 24g37.5 Activation of 2G and 3G operation modes . 25g37.6 Selection of cyclic files 26g37.7 Enabling/disabling procedures for dialling numbers 26g38 Interworking between USIM applications on a UICC . 27g39 SIM and UIC
20、C Interworking on the Card/Terminal Interface . 27g3Annex A: Interworking table 29g3ETSI ETSI TR 131 900 V13.0.0 (2016-02)43GPP TR 31.900 version 13.0.0 Release 13Annex B: Features for security interworking 33g3B.1 Conversion functions 33g3B.2 3G algorithm execution modes . 33g3Annex C: SIM/USIM fil
21、e mapping table 35g3Annex D: CHV mapping . 37g3D.1 In a single-verification capable UICC 38g3D.2 In a multi-verification capable UICC (static mapping) 38g3D.3 In a multi-verification capable UICC (dynamic mapping) . 38g3Annex E: Change history 40g3History 41g3ETSI ETSI TR 131 900 V13.0.0 (2016-02)53
22、GPP TR 31.900 version 13.0.0 Release 13Foreword This Technical Report has been produced by the 3rdGeneration 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
23、 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 doc
24、ument 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. Introduction This document describes the different
25、cases of interaction between an Identity Module (GSM-SIM or a 3G-UICC) and a GSM or 3G mobile equipment with a special focus on the diverse situations that can apply in a mixed 2G/3G network environment. Depending on the technical properties of other involved network elements, particularly during au
26、thentication and key agreement, the ICC and the ME may or must support some specific features to allow for compatibility. This is a complex matter and has generated some amount of confusion as the basic conditions implied by the 3G UICC are not always as clearly understood as they should be. The pre
27、sent document gives guidance by summarising the important details and applying them to the (theoretically) possible cases of security interworking along the transmission chain. The document further tries to explain the options of interworking that exist internally when a SIM and one or more USIM(s)
28、are implemented together on a single UICC. As this document is a technical report and not a technical specification, none of its contents have the character of a requirement. Merely they should be seen as a clarifying summary and straightforward interpretation of the underlying core specifications.
29、ETSI ETSI TR 131 900 V13.0.0 (2016-02)63GPP TR 31.900 version 13.0.0 Release 131 Scope The present document describes - the different cases of interworking between a 2G or 3G ICC and a 2G or 3G ME. - the different cases of interworking between any given ME/ICC combination and the rest of the network
30、 - the possibilities of interworking between a SIM and a USIM together on a single UICC - the possibilities of interworking between several USIMs on a single UICC 2 References The following documents contain provisions which, through reference in this text, constitute provisions of the present docum
31、ent. 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. 1 3GPP TS 31.101: “UICC-Terminal Interface; Physical a
32、nd Logical Characteristics“. 2 3GPP TS 31.102: “Characteristics of the USIM Application“. 3 3GPP TS 21.111: “USIM and IC Card Requirements“. 4 3GPP TS 22.100: “UMTS Phase 1“. 5 3GPP TS 22.101: “Service Aspects; Service Principles“. 6 3GPP TS 33.102: “3G Security; Security Architecture“. 7 3GPP TS 11
33、.11: “Specification of the Subscriber Identity Module - Mobile Equipment Interface“. 8 3GPP TS 51.011: “Specification of the Subscriber Identity Module - Mobile Equipment Interface“. ETSI ETSI TR 131 900 V13.0.0 (2016-02)73GPP TR 31.900 version 13.0.0 Release 133 Abbreviations For the purposes of th
34、e present document, the following abbreviations apply: 2G 2ndGeneration 3G 3rdGeneration AKA Authentication and Key Agreement AuC Authentication Centre AUTN Authentication Token BSS Base Station Subsystem CHV Card Holder Verification CK Ciphering Key in 3G DF Dedicated File EF Elementary FileGERAN G
35、SM/EDGE Radio Access Network GSM Global System for Mobile Communication HLR Home Location Register ICC Integrated Circuit Card IK Integrity Key IMSI International Mobile Subscriber Identity K Secret Key in 3G Kc Ciphering Key in 2G Ki Secret Key in 2G MAC Message Authentication Code ME Mobile Equipm
36、ent PIN Personal Identification Number RAND Random Challenge RES Authentication value returned by the USIM in 3G AKA or delivered by the 2G HLR/AuC SGSN Serving GPRS Support Node SIM Subscriber Identity Module SRES Authentication value returned by the SIM or by the USIM in 2G AKA SQN Sequence Number
37、 TS Technical Specification TR Technical Report UICC Universal Integrated Circuit Card UMTS Universal Mobile Telecommunication System USIM Universal Subscriber Identity Module VLR Visitor Location Register XMAC Expected Message Authentication Code calculated in the USIM in 3G AKA XRES Expected Authe
38、ntication value delivered by the 3G HLR/AuC 4 Primary clarifications and definitions For the purpose of this report, the following clauses clarify the meaning of some important terms. 4.1 2G and 3G The abbreviation 2G stands for 2ndgeneration technology and characterises elements of a mobile communi
39、cation system which are based on the GSM standard, i.e. 2G technical specifications or their equivalent successors under the 3GPP administration. A 2G entity only comprises the mandatory and optional functionality specified in GSM and does not ensure any forward compatibility with 3G, with a particu
40、lar exception: 2G terminals of R99 and Rel-4 may and from Rel-5 onwards have to support the 3G USIM. The abbreviation 3G stands for 3rdgeneration technology and characterises elements of a mobile communication system which are based on 3GPP technical specifications. A 3G entity only comprises the ma
41、ndatory and optional functionality ETSI ETSI TR 131 900 V13.0.0 (2016-02)83GPP TR 31.900 version 13.0.0 Release 13specified in 3G, features for 2G backward compatibility are only included if explicitly required by the relevant 3G specifications. Some 3G specifications differentiate the functional ex
42、tent of a mobile network entity between releases 98 and earlier (R98-) and releases 99 and later (R99+). As for example a GSM ME exists in both release categories while a 3G ME is only defined from release 99 onwards, this split does not make sense without mentioning the respective technology. For t
43、he purpose of this document it therefore appears more appropriate to differentiate between 2G and 3G only, with the relationship given by 2G = GSM = GSM R98- or GSM R99+ 3G = 3G R99+ 4.2 SIM, USIM and UICC The most general term for a smart card, i.e. a micro-controller based access module, not only
44、for mobile communication purposes, is “ICC“. It is always a physical and logical entity and, in the context of this document, either a SIM or a UICC. The SIM is the ICC defined for 2G. It has originally been specified as one physical and logical entity, not distinguishing platform and application. I
45、n 3G, the SIM may also be an application on the 3G UICC, then of course only represented by its logical characteristics. If the SIM application is active, the UICC is functionally identical to a 2G SIM. The SIM (or SIM application on a UICC) does only accept 2G commands. It is specified in GSM TS 11
46、.11 7 / TS 51.011 8. Unlike the SIM, the USIM is not a physical entity, but a purely logical application that resides on a UICC. It does only accept 3G commands and is therefore not compatible with a 2G ME. The USIM may provide mechanisms to support 2G authentication and key agreement to allow a 3G
47、ME to access a 2G network. It is specified in 3G TS 31.102 2. The UICC is the physical and logical platform for the USIM. It does at least contain one USIM application and may additionally contain a SIM application. Further to that, the UICC may contain additional USIMs and other applications, e.g.
48、for mobile banking or mobile commerce purposes, if these fit with the basic physical and logical characteristics of the UICC. It is specified in 3G TS 31.101 1. 4.3 Types of ME For the purpose of this document, the following definitions apply for the ME: - A 3G ME is either a 3G single mode ME that
49、only supports a 3G radio access network or a 2G/3G dual mode ME that supports both, a 2G radio access network (GSM) and a 3G radio access network, which ever is present. In either case it can handle 3G AKA and 2G AKA and is able to interwork with either a USIM application on a UICC or a SIM. For better understanding, explicit usage of the term “2G/3G dual mode ME“ points out particular requirements. - A 2G ME does only support a 2G radio access network (GSM). - If it is of R98 or earlier, it can only handle 2G AKA and is only able to interwork wi
