1、 ETSI TR 131 900 V14.0.0 (2017-04) Universal Mobile Telecommunications System (UMTS); LTE; SIM/USIM internal and external interworking aspects (3GPP TR 31.900 version 14.0.0 Release 14) TECHNICAL REPORT ETSI ETSI TR 131 900 V14.0.0 (2017-04)13GPP TR 31.900 version 14.0.0 Release 14Reference RTR/TSGC
2、-0631900ve00 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 The present docu
3、ment can be downloaded from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present document shall not be modified without the prior written authorization of ETSI. In ca
4、se of any existing or perceived difference in contents between such versions and/or in print, the only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. Users of the present document should be aware that the docum
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6、rtal.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 modi
7、fied without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2017. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit
8、of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. oneM2M logo is protected for the benefit of its Members GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI TR 131 900 V14
9、.0.0 (2017-04)23GPP TR 31.900 version 14.0.0 Release 14Intellectual 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
10、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 E
11、TSI IPR Policy, no investigation, 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. Forewo
12、rd This Technical Report (TR) has been produced by 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 correspondin
13、g ETSI deliverables. The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under http:/webapp.etsi.org/key/queryform.asp. Modal verbs terminology In the present document “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and “cannot“ are to be interpreted as
14、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 ETSI TR 131 900 V14.0.0 (2017-04)33GPP TR 31.900 version 14.0.0 Release 14Contents Intellectual Pro
15、perty Rights 2g3Foreword . 2g3Modal 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 relat
16、ed terms . 9g35 Interworking 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
17、of Rel-5 11g35.4 2G ME and SIM . 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-
18、4 with USIM support or of Rel-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, se
19、cret key and authentication algorithm . 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
20、on a UICC . 27g39 SIM and UICC Interworking on the Card/Terminal Interface . 27g3Annex A: Interworking table 29g3Annex B: Features for security interworking 33g3ETSI ETSI TR 131 900 V14.0.0 (2017-04)43GPP TR 31.900 version 14.0.0 Release 14B.1 Conversion functions 33g3B.2 3G algorithm execution mode
21、s . 33g3Annex C: SIM/USIM file 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 T
22、R 131 900 V14.0.0 (2017-04)53GPP TR 31.900 version 14.0.0 Release 14Foreword 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. Shoul
23、d 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 great
24、er 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. Introduction This docu
25、ment describes the different 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 ele
26、ments, particularly during authentication 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 understo
27、od as they should be. The present 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
28、 SIM and one or more USIM(s) 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 und
29、erlying core specifications. ETSI ETSI TR 131 900 V14.0.0 (2017-04)63GPP TR 31.900 version 14.0.0 Release 141 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 combinatio
30、n and the rest of the network - 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 pr
31、ovisions 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. 1 3GPP TS 31.101: “UICC-T
32、erminal Interface; Physical and 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; Securit
33、y Architecture“. 7 3GPP TS 11.11: “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 V14.0.0 (2017-04)73GPP TR 31.900 version 14.0.0 Release 143 Abbrevi
34、ations For the purposes of the 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 F
35、ile EF Elementary FileGERAN GSM/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 Authent
36、ication Code ME Mobile Equipment 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
37、in 2G AKA SQN Sequence Number 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
38、in 3G AKA XRES Expected Authentication 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
39、 elements of a mobile communication 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 compatib
40、ility with 3G, with a particular 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
41、 entity only comprises the mandatory and optional functionality specified in 3G, features for 2G backward compatibility are only included if explicitly required by the relevant 3G specifications. ETSI ETSI TR 131 900 V14.0.0 (2017-04)83GPP TR 31.900 version 14.0.0 Release 14Some 3G specifications di
42、fferentiate the functional extent 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
43、 respective technology. For the 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 b
44、ased access module, not only 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 distinguishin
45、g platform and application. In 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.
46、 It is specified in GSM TS 11.11 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
47、 key agreement to allow a 3G 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
48、and other applications, e.g. 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 eit
49、her a 3G single mode ME that 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
