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TECHNICAL SPECIFICATION
Smart Cards;
Embedded UICC;
Requirements Specification
(Release 13)
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Release 13 2 ETSI TS 103 383 V13.0.0 (2015-10)
Reference
RTS/SCP-ReUICCvd00
Keywords
embedded, Smart Card
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ETSI
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Release 13 3 ETSI TS 103 383 V13.0.0 (2015-10)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definitions and abbreviations . 8
3.1 Definitions . 8
3.1a Definitions for further study . 9
3.2 Abbreviations . 10
4 Abstract (informative) . 10
5 Background (informative) . 11
5.1 Overview of the use cases . 11
5.2 Use Case 1 - Provisioning of multiple eUICCs for M2M . 11
5.2.1 Overview . 11
5.2.2 Use case 1 - example a) - Utility Meters . 11
5.2.3 Use case 1 - example b) - Security Camera . 12
5.2.4 Use case 1 - example c) - Telematics . 12
5.3 Use case 2 - Provisioning of an eUICC for a first subscription with a new connected device . 12
5.3.1 Overview . 12
5.3.2 Use case 2 - example a) - Provisioning of a new device . 12
5.3.3 Use case 2 - example b) - Provisioning of multiple new devices for an enterprise. 13
5.4 Use case 3 - Change of subscription for a device . 13
5.4.1 Overview . 13
5.4.2 Use case 3 - example a) - Change of subscription by consumer . 13
5.4.3 Use case 3 - example b) - Change of subscriptions for devices for enterprise workforce . 13
5.5 Use Case 4 - Change of SM-SR . 13
5.6 Use Case 5 - Terminal state and capabilities reporting . 14
5.7 Use Case 6 - Profile Update . 14
5.8 Use Case 7 - Provisioning of devices with only IP connectivity . 14
5.9 Use Case 8 - Provisioning a device in markets with multiple roots of trust (CAs) . 14
6 Requirements . 14
6.1 General . 14
6.2 Profile, Application and File Structure . 15
6.3 Procedural. 15
6.4 Security . 17
6.5 Profile Interoperability and Interactions . 18
6.6 Policy Enforcement . 18
6.7 Policy Control . 19
6.8 Policy Rules. 19
Annex A (informative): Void . 20
Annex B (informative): States (see also annex D) . 21
B.0 Foreword . 21
B.1 States of eUICC . 21
B.2 States of Profiles . 21
B.3 States of Applications in Profiles . 21
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Release 13 4 ETSI TS 103 383 V13.0.0 (2015-10)
Annex C (informative): Logical aspects of eUICC Architecture and associated Security
Credentials . 22
Annex D (informative): Profiles and NAA (Network Access Application) States . 23
Annex E (informative): Profile Aspects . 24
E.0 Foreword . 24
E.1 Profile Content . 24
E.2 Profile Related Principles . 24
Annex F (informative): Change history . 26
Annex G (informative): Bibliography . 28
History . 29
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Release 13 5 ETSI TS 103 383 V13.0.0 (2015-10)
Intellectual 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 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 (http://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.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Smart Card Platform (SCP).
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.
Introduction
Work on Machine-to-Machine (M2M) applications has given rise to the possibility of having a UICC that is embedded
in a communication device in such a way that the UICC is not easily accessible or replaceable. The ability to change
network subscriptions on such devices becomes problematic, thus necessitating new methods for securely and remotely
provisioning access credentials on these Embedded UICCs (eUICC) and managing subscription changes from one
MNO to another.
In its current state, the present document is to be considered as a "work in progress". It contains a restricted set of
requirements related to the provisioning of profiles in an eUICC as well as general requirements on the architecture of
the eUICC. As a consequence, some of the elements required to specify a complete technical solution are missing,
among which are requirements for:
• management of profiles;
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Release 13 6 ETSI TS 103 383 V13.0.0 (2015-10)
• management of credentials;
• the policy control function;
which will be defined in further versions of the present document.
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Release 13 7 ETSI TS 103 383 V13.0.0 (2015-10)
1 Scope
The present document defines the use cases and requirements for an embedded UICC.
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
reference 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.
Referenced documents which are not found to be publicly available in the expected location might be found at
http://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] ETSI TS 102 221: "Smart Cards; UICC-Terminal interface; Physical and logical characteristics".
[2] ETSI TS 102 671: "Smart Cards; Machine to Machine UICC; Physical and logical characteristics".
[3] Void.
[4] ETSI TS 102 241: "Smart Cards; UICC Application Programming Interface (UICC API) for Java
Card (TM)".
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
reference 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.
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] Recommendation ITU-T E.212: "The international identification plan for public networks and
subscriptions".
[i.2] ETSI TR 102 216: "Smart cards; Vocabulary for Smart Card Platform specifications".
[i.3] ETSI TS 123 682: "Digital cellular telecommunications system (Phase 2+); Universal Mobile
Telecommunications System (UMTS); LTE; Architecture enhancements to facilitate
communications with packet data networks and applications (3GPP TS 23.682)".
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3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI TR 102 216 [i.2] and the following
apply:
Attribute (of a Profile): indication that a Profile delivers some specific functions; the knowledge of attributes offered
by Profiles could be used by any authorized entity accessing the eUICC (terminal, server, etc.) to determine a particular
behaviour
Embedded UICC: UICC which is not easily accessible or replaceable, is not intended to be removed or replaced in the
terminal, and enables the secure changing of subscriptions
Enabled Profile: Profile, the files and/or applications (e.g. NAA) of which are selectable over the UICC-Terminal
interface
eUICC Management Credentials: credentials used to verify the authorization for the establishment of Profile
Management Credentials and Profile Provisioning Credentials
eUICC Supplier: supplier of the eUICC modules and resident software (such as firmware and operating system)
Mobile Network Operator (MNO): entity providing communication services to its customers through mobile
networks
Network Access Application (NAA): application residing on an eUICC that provides authorization to access a network
EXAMPLE: A USIM application.
NOTE: Copied from ETSI TR 102 216 [i.2], to be deleted when the current document is finalized.
Network Access Credentials (NAC): data required to authenticate to an ITU E.212 [i.1] Network
NOTE: Network Access Credentials may include data such as Ki/K, and IMSI stored within a NAA.
Operational Attribute: indication that a Profile, containing network access applications and associated network access
credentials, is associated to an Operational Subscription
Operational Subscription: subscription that enables a device to access an ITU E.212 [i.1] network for the purpose of
accessing telecommunication and related services
Policy: principles reflected in a set of rules that govern the behaviour of an eUICC and/or entities involved in the
remote management of the eUICC
Policy Control Function: function that defines, updates or removes Policy Rules to implement a Policy
Policy Enforcement Function: function that executes Policy Rules to implement a Policy
Policy Rule: defines the actions required to implement a Policy and the conditions under which they are executed
eUICC Policy Control Credentials: credentials used for authorization and authentication for the establishment and
update of the Policy Rules defined on the eUICC outside Profiles
NOTE: This definition might be refined according to the decision about the need to have Policy Rules defined
inside and/or outside Profiles.
Profile: combination of a file structure, data and applications to be provisioned onto, or present on, an eUICC
Profile Access Credentials: data required to exist within a Profile so that secured communication can be set up
between an external entity and the eUICC in order to manage that Profile's structure and its data (e.g. operator OTA
keys)
Profile Container: logical container for a Profile on an eUICC providing security services, enabling separation of
Profiles and providing secure communication
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Profile Container Initialization: process of preparing a Profile Container so that it is ready for Profile Loading and
Installation
Profile Loading: transfer of a Profile from a Profile Provisioning Credentials holder into the eUICC so that it is ready
for installation
Profile Transport: transfer of a cryptographically protected Profile from a Profile Management Credential holder to
the eUICC
Profile Installation: process of allocating resources and registering parameters for a Profile to bring it to a state where
it can be enabled
Profile Provisioning Credentials: data required to exist within an eUICC so that a Profile downloaded from an
external entity can be decrypted and installed on the eUICC
Profile Management Credentials: data required to exist within an eUICC so that a secured communication can be set
up between an external entity and the eUICC in order to manage the Profiles on the eUICC
Profile Management Operations: consists of Profile Transport, Profile deletion, Profile enabling, and Profile disabling
Provisioning: container creation and initialization, loading, and installation of a Profile into an eUICC
Provisioning Attribute: indication that a Profile, containing network access applications and associated network access
credentials, is associated with the Provisioning Subscription
Provisioning Subscription: subscription, with its associated Profile, that enables a device to access a mobile network
for the purpose of management of operational Profiles on the eUICC
Subscriber: entity that has a subscription with a telecommunications service provider
Subscription: commercial relationship for the supply of services between the Subscriber and Telecommunications
Service Provider
Subscription Manager: combination of the functions of the SM-SR and the SM-DP
Subscription Manager - Data Preparation (SM-DP): role that prepares Profiles to be securely provisioned on the
eUICC e.g. encryption of Profile
NOTE 1: Also known as Profile Provisioning Credentials holder.
NOTE 2: "securely" is felt to relate to requirements captured in an appropriate section of the present document. The
term "securely" may be removed from this definition once those requirements are specified.
Subscription Manager - Secure Routing (SM-SR): role that securely performs functions which directly manage the
Profiles on the eUICC
NOTE: "securely" is felt to relate to requirements captured in an appropriate section of the present document. The
term "securely" may be removed from this definition once those requirements are specified.
Telecommunications Service Provider: MNO, or party trusted by the MNO acting on behalf of the MNO, which
provides services to the subscriber
3.1a Definitions for further study
Definitions are required for the following terms:
• Initialized State:
NOTE: This definition is required. Best proposal so far: "refers to the state the eUICC is in when a Profile with
the Operational Attribute is either not active or not present, and the eUICC is only accessible for the
purpose of management of operational Profiles".
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Release 13 10 ETSI TS 103 383 V13.0.0 (2015-10)
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
ATR Answer To Reset
CA Certificate Authority
CAT Card Application Toolkit
CS Circuit Switched
CSIM CDMA Subscriber Identity Module
eUICC embedded UICC
FFS For Further Study
IMS IP Multimedia Subsystem
IMSI International Mobile Subscriber Identity
IP Internet Protocol
ISIM IM Services Identity Module
M2M Machine to Machine (communication)
MF Master File
MNO Mobile Network Operator
MSISDN Mobile Subscriber Integrated Services Digital Network Number
MTC Machine-Type Communication
NAA Network Access Application
NAC Network Access Credentials
NAS Non Access Stratum
OEM Original Equipment Manufacturer
OTA Over-The-Air
PCF Policy Control Function
PIN Personal Identification Number
PKI Public Key Infrastructure
PMC Profile Management Credentials
PS Packet Switched
PUK PIN Unblocking Key
RAM Remote Application Management
RFM Remote File Management
SD Security Domain
SIM Subscriber Identity Module
SM Subscription Manager
SM-DP Subscription Manager - Data Preparation
SM-SR Subscription Manager - Secure Routing
SMS Short Message Service
SP Service Provider
TBD To Be Defined
USIM Universal Subscriber Identity Module
4 Abstract (informative)
The present document enables remote management of an embedded UICC (eUICC) for purposes of changing an MNO
subscription without requiring a physical removal and replacement of the UICC in the end Device.
The present document develops use cases and requirements for the "enhanced, remote management" of a UICC, which
is embedded in a communication device, i.e. where the UICC is not intended to be removed. This type of embedded
UICC (eUICC) is compatible with Machine-to-Machine (M2M) applications. The eUICC may be embedded at the
manufacturing site in advance, depending on the country and network operator, and is compatible for use in a variety of
end-user equipment. In these scenarios there may be a requirement to remotely change a subscription easily, similar to
what is currently achieved by physically changing the UICC.
The purpose for defining these requirements is to provide ease of use and deployment benefits for end users/consumers
and thereby stimulate the M2M sector. A further intent is to enable the creation of common standards and processes for
remote management of profiles on an eUICC, such that interoperability is ensured.
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It is noted that new business models and usage scenarios, primarily driven by M2M, struggle when supported by the
traditional UICC/SIM card. For example:
• By installing a physical UICC, the user is connected to a specific network, as the card only provides access to
one network. Should the user wish to (or need to) use another network, then they or the M2M Service Provider
has to fit another card in the user's device.
• Changing a UICC may be problematic since that M2M equipment may be remotely located and/or
hermetically sealed. It should be noted that where the UICC is not intended to be sealed and inaccessible, the
portability of traditional form factor UICC cards is perceived to be a user benefit.
• Non-standard provisioning and re-provisioning methods are being defined and used. These present security
implications and a risk of fragmentation within the industry.
New remote provisioning/re-provisioning mechanisms are required to support the new business models and usage
scenarios.
5 Background (informative)
5.1 Overview of the use cases
A range of use cases is identified in this clause to derive requirements for the development of a trusted framework for
the management of an embedded UICC (eUICC). This is not intended to be an exhaustive list of use cases and
applications, but a set of examples to ensure requirements will be flexible enough to securely support current and future
use cases.
Use cases are provided as a means to understand and add context to the overall requirements.
5.2 Use Case 1 - Provisioning of multiple eUICCs for M2M
5.2.1 Overview
A Machine-to-Machine Service Provider (M2M SP) sets-up subscriptions for a number of connected M2M devices to
start telecommunication services with a first MNO. While it is expected that there will be a very great range of M2M
applications, and many of these will have different parties and business models, it is likely that the key technical
requirements will become clear through examining a few examples of this use case; the following examples are
considered further in this clause:
a) Provisioning for a first subscription, and optional later change of subscription, for communication services for
automated reading of utility (electricity, water, gas) meters; a M2M Service Provider will contract these
subscriptions.
b) Provisioning for a first subscription and optional later change of subscription for a security camera.
c) Provisioning for a first subscription, and optional later change of subscription for communication services to
vehicles (e.g. telematics); the vehicle vendor will provide the automotive services.
5.2.2 Use case 1 - example a) - Utility Meters
The Meter Reading M2M SP has a commercial contract to both supply meters and - once they have been installed - to
provide regular meter readings of these meters to the utility company. The M2M SP selects the preferred MNO to
provide a number of subscriptions after completing a tender process for the communication services as part of a defined
service level agreement.
Once the MNO is selected, the M2M SP arranges for the utility meters to be installed and as part of the installation
process for the communication services to start. While the physical installation is a manual process,
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