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TECHNICAL SPECIFICATION
Smart Cards;
Security mechanisms for UICC based Applications
Functional requirements
(Release 9)
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Release 9 2 ETSI TS 102 224 V9.0.0 (2018-09)
Reference
RTS/SCP-R0282v900
Keywords
security, smart card
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Release 9 3 ETSI TS 102 224 V9.0.0 (2018-09)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definitions and abbreviations . 7
3.1 Definitions . 7
3.2 Abbreviations . 8
4 Introduction . 8
5 Security requirements . 9
5.0 General . 9
5.1 Authentication . 10
5.1.1 Definition . 10
5.1.2 Purpose . 10
5.1.3 Functional requirements . 10
5.2 Message integrity . 10
5.2.1 Definition . 10
5.2.2 Purpose . 10
5.2.3 Functional requirements . 11
5.3 Replay detection and sequence integrity . 11
5.3.1 Definition . 11
5.3.2 Purpose . 11
5.3.3 Functional requirements . 11
5.4 Proof of receipt and proof of execution . 11
5.4.1 Definition . 11
5.4.2 Purpose . 11
5.4.3 Functional requirements . 12
5.5 Message confidentiality . 12
5.5.1 Definition . 12
5.5.2 Purpose . 12
5.5.3 Functional requirements . 12
5.6 Security management . 12
5.7 User Notification . 12
5.7.1 Definition . 12
5.7.2 Purpose . 13
5.7.3 Functional requirements . 13
6 Normal procedures . 13
6.1 Security mechanisms . 13
6.1.0 General . 13
6.1.1 Authentication mechanisms . 13
6.1.2 Message integrity mechanisms . 13
6.1.3 Replay detection and sequence integrity mechanisms . 13
6.1.4 Proof of receipt mechanisms . 14
6.1.5 Message confidentiality mechanisms . 14
6.2 Security mechanisms and recommended combinations . 14
6.2.1 Non-cryptographic mechanisms . 14
6.2.2 Cryptographic mechanisms . 14
6.2.3 Recommended combinations of cryptographic mechanisms . 15
7 Exceptional procedures . 15
7.1 Authentication or integrity failure . 15
ETSI
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Release 9 4 ETSI TS 102 224 V9.0.0 (2018-09)
7.2 Sequence and replay detection failure . 16
7.3 Proof of receipt failure . 16
8 Interfacing to the Transport Layer . 16
9 Remote Application Management over IP . 16
9.0 General . 16
9.1 Transport requirement . 16
9.2 Functions requirements . 16
9.3 Security requirements . 17
9.4 Backward compatibility requirements . 17
Annex A (informative): Change history . 18
History . 19
ETSI
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Release 9 5 ETSI TS 102 224 V9.0.0 (2018-09)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables 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 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 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.
Foreword
This Technical Specification (TS) has been 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 the 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;
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.
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.
ETSI
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Release 9 6 ETSI TS 102 224 V9.0.0 (2018-09)
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 present document describes the functional requirements of the security mechanisms with the implementation detail
of these mechanisms being described in ETSI 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 cellular network.
The ICC is considered as a platform, which is based on ETSI TS 102 221 [5].
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/.
• In the case of a reference 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.
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] 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: "Digital cellular telecommunications system (Phase 2+); Universal Mobile
Telecommunications System (UMTS); Universal Subscriber Identity Module Application Toolkit
(USAT) (3GPP TS 31.111)".
[4] Void.
[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] 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".
ETSI
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Release 9 7 ETSI TS 102 224 V9.0.0 (2018-09)
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.
• In the case of a reference 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.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
[i.1] ETSI ETR 330: "Security Techniques Advisory Group (STAG); A guide to legislative and
regulatory environment".
3 Definitions and abbreviations
3.1 Definitions
For the purpose of the present document, the following 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 versa, 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 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)
NOTE: 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 possible 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 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 utilized
NOTE: The receiving entity processes the secured packets.
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 any 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.
ETSI
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Release 9 8 ETSI TS 102 224 V9.0.0 (2018-09)
security header: that part of the 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 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 mechanisms are invoked
NOTE: The sending entity generates the secured packets to be sent.
status code: indicati
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