1、 ETSI TS 102 224 V8.0.0 (2008-10)Technical Specification Smart Cards;Security mechanisms for UICC based Applications -Functional requirements(Release 8)ETSI ETSI TS 102 224 V8.0.0 (2008-10)2Release 8 Reference RTS/SCP-R0282v800 Keywords security, smart card ETSI 650 Route des Lucioles F-06921 Sophia
2、 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 Individual copies of the present document can be downloaded from: http:/www.etsi.org The
3、present document may be made available in more than one electronic version or in print. In any case of existing or perceived difference in contents between such versions, the reference version is the Portable Document Format (PDF). In case of dispute, the reference shall be the printing on ETSI prin
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6、riction extend to reproduction in all media. European Telecommunications Standards Institute 2008. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTM, TIPHONTM, the TIPHON logo and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM is a Trade Mark of ETSI registere
7、d for the benefit of its Members and of the 3GPP Organizational Partners. ETSI ETSI TS 102 224 V8.0.0 (2008-10)3Release 8 Contents Intellectual Property Rights 5g3Foreword . 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 7g33 Definitions and abbreviations . 7g
8、33.1 Definitions 7g33.2 Abbreviations . 8g34 Introduction 8g35 Security requirements . 9g35.1 Authentication 10g35.1.1 Definition 10g35.1.2 Purpose . 10g35.1.3 Functional requirements . 10g35.2 Message integrity . 10g35.2.1 Definition 10g35.2.2 Purpose . 10g35.2.3 Functional requirements . 10g35.3 R
9、eplay detection and sequence integrity 11g35.3.1 Definition 11g35.3.2 Purpose . 11g35.3.3 Functional requirements . 11g35.4 Proof of receipt and proof of execution 11g35.4.1 Definition 11g35.4.2 Purpose . 11g35.4.3 Functional requirements . 11g35.5 Message confidentiality 12g35.5.1 Definition 12g35.
10、5.2 Purpose . 12g35.5.3 Functional requirements . 12g35.6 Security management . 12g35.7 User Notification 12g35.7.1 Definition 12g35.7.2 Purpose . 12g35.7.3 Functional requirements . 13g36 Normal procedures . 13g36.1 Security mechanisms 13g36.1.1 Authentication mechanisms 13g36.1.2 Message integrity
11、 mechanisms . 13g36.1.3 Replay detection and sequence integrity mechanisms 13g36.1.4 Proof of receipt mechanisms . 14g36.1.5 Message confidentiality mechanisms . 14g36.2 Security mechanisms and recommended combinations . 14g36.2.1 Non-cryptographic mechanisms . 14g36.2.2 Cryptographic mechanisms . 1
12、4g36.2.3 Recommended combinations of cryptographic mechanisms 15g37 Exceptional procedures 15g37.1 Authentication or integrity failure 15g37.2 Sequence and replay detection failure 15g37.3 Proof of receipt failure . 15g3ETSI ETSI TS 102 224 V8.0.0 (2008-10)4Release 8 8 Interfacing to the Transport L
13、ayer 16g39 Remote Application Management over IP . 16g39.1 Transport requirement 16g39.2 Functions requirements 16g39.3 Security requirements . 16g39.4 Backward compatibility requirements 17g3Annex A (informative): Change history . 18g3History 19g3ETSI ETSI TS 102 224 V8.0.0 (2008-10)5Release 8 Inte
14、llectual 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 Property Rig
15、hts (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 (http:/webapp.etsi.org/IPR/home.asp). Pursuant to the ETSI IPR Policy, no investigation, including I
16、PR 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. Foreword This Technical Specification (TS) has been
17、 produced by ETSI Technical Committee Smart Card Platform (SCP). It is based on work originally done in the 3GPP in TSG-terminals WG3 and ETSI SMG. The contents of the present document are subject to continuing work within TC SCP and may change following formal TC SCP approval. If TC SCP modifies th
18、e contents of the present document, it will then be republished by ETSI with an identifying change of release date and an increase in version number as follows: Version x.y.z where: x: the first digit: 0 early working draft; 1 presented to TC SCP for information; 2 presented to TC SCP for approval;
19、3 or greater indicates TC SCP 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 ET
20、SI TS 102 224 V8.0.0 (2008-10)6Release 8 1 Scope The present document provides standardized security mechanisms in conjunction with the Card Application Toolkit for the interface between a Network Entity and a UICC. The security mechanisms which are specified are independent of applications. The pre
21、sent document describes the functional requirements of the security mechanisms with the implementation detail of these mechanisms being described in TS 102 225 2. Within the scope of the present document, the UICC refers here to an ICC which support at least one application in order to access a cell
22、ular network. The ICC is considered as a platform, which is based on TS 102 221 5. 2 References References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For a specific reference, subsequent revisions do not apply. In the case of a re
23、ference to a TC SCP document, a non specific reference implicitly refers to the latest version of that document in the same Release as the present document. Non-specific reference may be made only to a complete document or a part thereof and only in the following cases: - if it is accepted that it w
24、ill be possible to use all future changes of the referenced document for the purposes of the referring document; - for informative references. Referenced documents which are not found to be publicly available in the expected location might be found at http:/docbox.etsi.org/Reference. For online refe
25、renced documents, information sufficient to identify and locate the source shall be provided. Preferably, the primary source of the referenced document should be cited, in order to ensure traceability. Furthermore, the reference should, as far as possible, remain valid for the expected life of the d
26、ocument. The reference shall include the method of access to the referenced document and the full network address, with the same punctuation and use of upper case and lower case letters. NOTE: While any hyperlinks included in this clause were valid at the time of publication ETSI cannot guarantee th
27、eir long term validity. 2.1 Normative references The following referenced documents are indispensable for the application of the present document. For dated references, only the edition cited applies. For non-specific references, the latest edition of the referenced document (including any amendment
28、s) applies. 1 ETSI TR 121 905: “Digital cellular telecommunications system (Phase 2+); Universal Mobile Telecommunications System (UMTS); Vocabulary for 3GPP Specifications (3GPP TR 21.905)“. 2 ETSI TS 102 225: “Smart Cards; Secured packet structure for UICC based applications “. 3 ETSI TS 131 111:
29、“Digital cellular telecommunications system (Phase 2+); Universal Mobile Telecommunications System (UMTS); Universal Subscriber Identity Module Application Toolkit (USAT) (3GPP TS 31.111)“. ETSI ETSI TS 102 224 V8.0.0 (2008-10)7Release 8 4 ETSI ETR 330: “Security Techniques Advisory Group (STAG); A
30、guide to legislative and regulatory environment“. 5 ETSI TS 102 221: “Smart cards; UICC-Terminal interface; Physical and logical characteristics “. 6 ETSI TS 102 223: “Smart cards; Card Application Toolkit (CAT)“. 7 ETSI TS 102 127: “Smart cards; Transport protocol for CAT applications; Stage 2“. 8
31、ETSI TS 102 483: “Smart cards; UICC-Terminal interface; Internet Protocol connectivity between UICC and terminal“. 9 ETSI TS 102 412: “Smart Card; Smart Card Platform Requirements Stage 1“. 2.2 Informative references The following referenced documents are not essential to the use of the present docu
32、ment but they assist the user with regard to a particular subject area. For non-specific references, the latest version of the referenced document (including any amendments) applies. Not applicable. 3 Definitions and abbreviations 3.1 Definitions For the purpose of the present document, the followin
33、g terms and definitions apply: application layer: layer above the transport layer on which the application messages are exchanged between the sending and receiving applications application message: package of commands or data sent from the sending application to the receiving application, or vice ve
34、rsa, independently of the transport mechanism NOTE: An application message is transformed with respect to a chosen transport layer and chosen level of security into one or more secured packets. counter: mechanism or data field used for keeping track of a message sequence NOTE: This could be realized
35、 as a sequence oriented or time stamp derived value maintaining a level of synchronization. cryptographic checksum: string of bits derived from some secret information, (e.g. a secret key), part or all of the application message, and possible further information (e.g. part of the security header) NO
36、TE: The secret key is known to the sending entity and to the receiving entity. The Cryptographic checksum is often referred to as Message Authentication Code (MAC). digital signature: string of bits derived from some secret information (e.g. a secret key) the complete application message, and possib
37、le further information (e.g. part of the security header) NOTE: The secret information is known only to the sending entity. Although the authenticity of the digital signature can be proved by the receiving entity, the receiving entity is not able to reproduce the digital signature without knowledge
38、of the secret information owned by the sending entity. receiving application: entity to which the application message is destined receiving entity: entity where the secured packet is received (e.g. SMS-SC, UICC, USSD entry point, or dedicated toolkit server) and where the security mechanisms are uti
39、lized NOTE: The receiving entity processes the secured packets. ETSI ETSI TS 102 224 V8.0.0 (2008-10)8Release 8 redundancy check: string of bits derived from the application message and possible further information for the purpose of detecting accidental changes to the message, without the use of an
40、y secret information secured packet: information flow on top of which the level of required security has been applied NOTE: An application message is transformed with respect to a chosen Transport Layer and chosen level of security into one or more secured packets. security header: that part of the
41、secured packet which consists of all security information EXAMPLE: Counter, key identification, indication of security level, checksum or digital signature). sender identification: simple verification of the identity of the sending entity by the receiving entity comparing the sender identity with an
42、 a priori stored identity of the sender at the receiving entity sending application: entity generating an application message to be sent sending entity: entity from which the secured packet originates (e.g. SMS-SC, UICC, USSD entry point, or dedicated toolkit server) and where the security mechanism
43、s are invoked NOTE: The sending entity generates the secured packets to be sent. status code: indication that a message has been received (correctly or incorrectly, indicating reason for failure) transport layer: layer responsible for transporting secured packets through the network NOTE: The transp
44、ort layer implements one or more transport mechanisms, (e.g. SMS or USSD). unsecured acknowledgement: status code included in a response message 3.2 Abbreviations For the purposes of the present document the abbreviations given in TR 121 905 1 and the following apply: CAT Card Application Toolkit CA
45、T_TP Card Application Toolkit Transport Protocol 4 Introduction The Card Application Toolkit (CAT) as described in TS 102 223 6 is a set of applications and related procedures that may be used during a card session. It allows operators to create specific applications resident on the UICC. There exis
46、ts a need to secure Card Application Toolkit (CAT) related communication over the network, (e.g. SMS, USSD, and future transport mechanisms) with the level of security chosen by the network operator or the application provider. It is assumed in the present document that the sending and receiving ent
47、ities are in a secure environment. The appropriate security mechanisms are described in the present document. The security mechanisms cover the following security requirements: - unilateral authentication from network to UICC; - unilateral authentication from UICC to network; - message integrity; -
48、replay detection; - proof of receipt; - message confidentiality. ETSI ETSI TS 102 224 V8.0.0 (2008-10)9Release 8 Security Security (e.g. USSD, SMS) (e.g. SMS-SC) (e.g. a bank) (e.g. UICC resident application) (e.g. UICC) (e.g. SMS-SC) (e.g. UICC) (e.g. UICC resident application) (e.g. a bank residen
49、t application) Information flow Sending Entity Transport Mech. Receiving Entity Receiving Application Sending Application Figure 1: System overview 5 Security requirements The application message is transferred from the sending application to the receiving application in one or more secured packets via a sending entity and a receiving entity, or group of receiving entities. The receiving entity is then responsible for reconstructing the application message from the received secured packets for presentation to the target receiving application. It
