ETSI TS 133 128 V15.13.0 (2024-07)

Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); LTE; 5G; Security; Protocol and procedures for Lawful Interception (LI); Stage 3 (3GPP TS 33.128 version 15.13.0 Release 15)

RTS/TSGS-0333128vfd0

General Information

• Status: Not Published
• Technical Committee: 3GPP SA 3 - Security
• Current Stage: 12 - Citation in the OJ (auto-insert)
• Completion Date: 26-Jul-2024

Standards Content (Sample)

TECHNICAL SPECIFICATION
Digital cellular telecommunications system (Phase 2+) (GSM);
Universal Mobile Telecommunications System (UMTS);
LTE;
5G;
Security;
Protocol and procedures for Lawful Interception (LI);
Stage 3
(3GPP TS 33.128 version 15.13.0 Release 15)

3GPP TS 33.128 version 15.13.0 Release 15 1 ETSI TS 133 128 V15.13.0 (2024-07)

Reference
RTS/TSGS-0333128vfd0
Keywords
5G,GSM,LTE,UMTS
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ETSI
3GPP TS 33.128 version 15.13.0 Release 15 2 ETSI TS 133 128 V15.13.0 (2024-07)
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Legal Notice
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities. These shall be
interpreted as being references to the corresponding ETSI deliverables.
The cross reference between 3GPP and ETSI identities can be found under https://webapp.etsi.org/key/queryform.asp.
Modal verbs terminology
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"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
3GPP TS 33.128 version 15.13.0 Release 15 3 ETSI TS 133 128 V15.13.0 (2024-07)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 6
Introduction . 6
1 Scope . 7
2 References . 7
3 Definitions, symbols and abbreviations . 8
3.1 Definitions . 8
3.2 Symbols . 8
3.3 Abbreviations . 9
4 General . 9
4.1 Introduction . 9
4.2 Basic principles for internal interfaces . 10
4.3 Basic principles for external handover interfaces . 11
5 Transport and Communications Protocol . 11
5.1 General . 11
5.2 Protocols for LI_X1 and LI_T interfaces . 11
5.2.1 General usage of ETSI TS 103 221-1 . 11
5.2.2 Usage for realising LI_X1 . 12
5.2.3 Usage for realising LI_X1 (management) . 12
5.2.4 Service scoping . 12
5.2.4.1 General . 12
5.2.4.2 CSP service type . 12
5.2.4.3 Interception type . 12
5.2.4.4 Location . 12
5.2.4.5 Roaming . 13
5.2.5 Usage for realising LI_T2 . 13
5.2.6 Usage for realising LI_T3 . 13
5.3 Protocols for LI_X2 and LI_X3 . 13
5.3.1 General usage of ETSI TS 103 221-2 . 13
5.3.2 Usage for realising LI_X2 . 13
5.3.3 Usage for realising LI_X3 . 14
5.4 Protocols for LI_HI1 . 14
5.4.1 General . 14
5.5 Protocols for LI_HI2 and LI_HI3 . 14
5.5.1 General . 14
5.5.2 Usage for realising LI_HI2 . 14
5.5.3 Usage for realising LI_HI3 . 14
5.6 Protocols for LI_HI4 . 15
5.6.1 General . 15
5.6.2 Usage for realising LI_HI4 . 15
6 Network Layer Based Interception . 15
6.1 Introduction . 15
6.2 5G . 15
6.2.1 General . 15
6.2.2 LI at AMF . 16
6.2.2.1 Provisioning over LI_X1 . 16
6.2.2.2 Generation of xIRI over LI_X2 . 16
6.2.2.2.1 General . 16
6.2.2.2.2 Registration . 16
6.2.2.2.3 Deregistration . 17
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6.2.2.2.4 Location update . 18
6.2.2.2.5 Start of interception with registered UE . 19
6.2.2.2.6 AMF unsuccessful procedure . 20
6.2.2.3 Generation of IRI over LI_HI2 . 21
6.2.2.4 Identity privacy . 21
6.2.3 LI for SMF/UPF . 21
6.2.3.1 Provisioning of SMF over LI_X1 . 21
6.2.3.2 Generation of xIRI at IRI-POI in SMF over LI_X2 . 22
6.2.3.2.1 General . 22
6.2.3.2.2 PDU session establishment . 22
6.2.3.2.3 PDU session modification . 23
6.2.3.2.4 PDU session release . 24
6.2.3.2.5 Start of interception with an established PDU session . 25
6.2.3.2.6 SMF unsuccessful procedure . 26
6.2.3.3 Triggering of the CC-POI from CC-TF over LI_T3 . 27
6.2.3.3.1 LI_T3 interface specifics . 27
6.2.3.3.2 CC interception with multi-homed PDU session . 29
6.2.3.3.3 CC Interception only at PDU Session Anchor UPFs . 29
6.2.3.4 IRI-POI in UPF triggering over LI_T2 . 29
6.2.3.5 Generation of xIRI at UPF over LI_X2. 31
6.2.3.5.1 Packet data header reporting . 31
6.2.3.5.2 Fragmentation . 31
6.2.3.5.3 Packet Data Header Reporting (PDHR) . 31
6.2.3.5.4 Packet Data Summary Reporting (PDSR) . 33
6.2.3.6 Generation of xCC at CC-POI in the UPF over LI_X3 . 34
6.2.3.7 Generation of IRI over LI_HI2 . 34
6.2.3.8 Generation of CC over LI_HI3 . 34
6.2.3.9 Packet Data Information Reporting at MDF2 . 35
6.2.4 LI at UDM for 5G . 35
6.2.4.1 General description . 35
6.2.5 LI at SMSF . 35
6.2.5.1 Provisioning over LI_X1 . 35
6.2.5.2 Generation of xIRI over LI_X2 . 35
6.2.5.3 SMS Message . 35
6.2.5.4 Generation of IRI over LI_HI2 . 37
6.2.6 LI support at NRF . 37
6.3 4G . 38
6.4 3G . 38
7 Service Layer Based Interception . 38
7.1 Introduction . 38
7.2 Central Subscriber Management . 38
7.2.1 General description . 38
7.2.2 LI at UDM . 38
7.2.2.1 General description . 38
7.2.2.2 Provisioning over LI_X1 . 38
7.2.2.3 Generation of xIRI over LI_X2 . 38
7.2.2.3.1 General description . 38
7.2.2.3.2 Serving system . 38
7.2.2.3.3 Subscriber record change. 39
7.2.2.3.4 Cancel location . 39
7.2.2.3.5 Location information request . 39
7.2.2.4 Generation of IRI over LI_HI2 . 39
7.2.3 LI at HSS . 39
7.3 Location . 40
7.3.1 Lawful Access Location Services (LALS) . 40
7.3.1.1 General description . 40
7.3.1.2 Provisioning over LI_X1 . 40
7.3.1.2.1 Target positioning service . 40
7.3.1.2.2 Triggered location service . 40
7.3.1.3 Triggering over LI_T2 . 41
7.3.1.4 Generation of xIRI over LI_X2 . 42
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7.3.1.5 Generation of IRI over LI_HI2 . 42
7.3.2 Cell database information reporting . 42
7.3.2.1 General description . 42
7.3.2.2 Delivery of cell site information over LI_HI2 . 42
Annex A (normative): Structure of both the Internal and External Interfaces . 43
Annex B (normative): LI Notification . 62
Annex C (normative): XSD Schema for LI_X1 extensions . 64
Annex D (informative): Drafting Guidance . 68
D.1 Introduction . 68
D.2 Drafting conventions . 68
D.3 Naming conventions . 68
D.4 ASN.1 Syntax conventions. 69
Annex Z (informative): Change history . 70
History . 71

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3GPP TS 33.128 version 15.13.0 Release 15 6 ETSI TS 133 128 V15.13.0 (2024-07)
Foreword
This Technical Specification has been produced by the 3rd Generation 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 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 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
The present document has been produced by the 3GPP TSG SA to standardise Lawful Interception of
telecommunications. The present document describes protocols and procedures for Lawful Interception based on 3GPP
specifications. These protocols and procedures cover both internal 3GPP interfaces (those required to intercept
communications and manage interception within a 3GPP network) and external handover interfaces (those used for
delivery of intercepted communications to Law Enforcement, or handling of warrants).
Lawful Interception needs to be done in accordance with the applicable national or regional laws and technical
regulations. Such national laws and regulations define the extent to which capabilities in the present document are
applicable in specific jurisdictions.
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3GPP TS 33.128 version 15.13.0 Release 15 7 ETSI TS 133 128 V15.13.0 (2024-07)
1 Scope
The present document specifies the protocols and procedures required to perform Lawful Interception within a 3GPP
network. The present document addresses both internal interfaces used internally with a 3GPP network and external
handover interfaces used to handover intercepted communications to law enforcement.
The present document describes the detailed targeting of communications in each point of interception within a 3GPP
network and the information that a point of interception needs to be able to capture. Furthermore, the detailed data
formats for both the internal and external interfaces are also defined.
National regulations determine the applicable set of information that needs to be handed over or excluded from
handover to law enforcement for a given 3GPP operator service.

2 References
The following documents contain provisions which, through reference in this text, constitute provisions 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. In the case of a reference to a 3GPP document (including
a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
Release as the present document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 23.501: "System Architecture for the 5G System".
[3] 3GPP TS 33.126: "Lawful Interception Requirements".
[4] 3GPP TS 23.502: "Procedures for the 5G System; Stage 2".
[5] 3GPP TS 33.127: "Lawful Interception (LI) Architecture and Functions".
[6] ETSI TS 103 120: " Lawful Interception (LI); Interface for warrant information".
[7] ETSI TS 103 221-1: "Lawful Interception (LI); Part 1: Internal Network Interface X1 for Lawful
Interception".
[8] ETSI TS 103 221-2: "Lawful Interception: Internal Network Interface X2/X3".
[9] ETSI TS 102 232-1: "Lawful Interception (LI); Handover Interface and Service-Specific Details
(SSD) for IP delivery; Part 1: Handover specification for IP delivery".
[10] ETSI TS 102 232-7: "Lawful Interception (LI); Handover Interface and Service-Specific Details
(SSD) for IP delivery; Part 7: Service-specific details for Mobile Services".
[11] 3GPP TS 33.501: "Security Architecture and Procedures for the 5G System".
[12] 3GPP TS 33.108: "3G security; Handover interface for Lawful Interception (LI)".
[13] 3GPP TS 24.501: "Non-Access-Stratum (NAS) protocol for 5G System (5GS)".
[14] 3GPP TS 24.007: "Mobile radio interface signalling layer 3; General Aspects".
[15] 3GPP TS 29.244: "Interface between the Control Plane and the User Plane nodes".
[16] 3GPP TS 29.502: "5G System; Session Management Services; Stage 3".
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[17] 3GPP TS 29.571: "5G System; Common Data Types for Service Based Interfaces; Stage 3".
[18] 3GPP TS 23.040: "Technical realization of the Short Message Service (SMS)".
[19] 3GPP TS 23.003: "Numbering, addressing and identification ".
[20] OMA-TS-MLP-V3_5-20181211-C: "Open Mobile Alliance; Mobile Location Protocol, Candidate
Version 3.5", https://www.openmobilealliance.org/release/MLS/V1_4-20181211-C/OMA-TS-
MLP-V3_5-20181211-C.pdf.
[21] 3GPP TS 29.540: "5G System; SMS Services; Stage 3".
[22] 3GPP TS 29.518: "5G System; Access and Mobility Management Services; Stage 3".
[23] 3GPP TS 38.413: "NG Application Protocol (NGAP)".
[24] 3GPP TS 29.572: "Location Management Services; Stage 3".
[25] 3GPP TS 29.503: "5G System; Unified Data Management Services".
[26] IETF RFC 815: "IP DATAGRAM REASSEMBLY ALGORITHMS".
[27] IETF RFC 2460: "Internet Protocol, Version 6 (IPv6) Specification".
[28] IETF RFC 793: "TRANSMISSION CONTROL PROTOCOL".
[29] IETF RFC 768: "User Datagram Protocol".
[30] IETF RFC 4340: "Datagram Congestion Control Protocol (DCCP)".
[31] IETF RFC 4960: "Stream Control Transmission Protocol".
[32] IANA (www.iana.org): Assigned Internet Protocol Numbers, "Protocol Numbers".
[33] IETF RFC 6437: "IPv6 Flow Label Specification".
[34] IETF RFC 791: "Internet Protocol".
[35] 3GPP TS 38.415: "NG-RAN; PDU Session User Plane Protocol".

3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in 3GPP TR 21.905 [1] and the following
apply. A term defined in the present document takes precedence over the definition of the same term, if any, in 3GPP
TR 21.905 [1].
3.2 Symbols
For the purposes of the present document, the following symbols apply:

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3.3 Abbreviations
For the purposes of the present document, the abbreviations given in 3GPP TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
3GPP TR 21.905 [1].
ADMF LI Administration Function
CC Content of Communication
CSP Communication Service Provider
CUPS Control and User Plane Separation
IRI Intercept Related Information
LALS Lawful Access Location Services
LEA Law Enforcement Agency
LEMF Law Enforcement Monitoring Facility
LI Lawful Interception
LICF Lawful Interception Control Function
LI_HI1 LI_Handover Interface 1
LI_HI2 LI_Handover Interface 2
LI_HI3 LI_Handover Interface 3
LI_HI4 LI_Handover Interface 4
LIPF Lawful Interception Provisioning Function
LIR Location Immediate Request
LI_SI Lawful Interception System Information Interface
LI_X1 Lawful Interception Internal Interface 1
LI_X2 Lawful Interception Internal Interface 2
LI_X3 Lawful Interception Internal Interface 3
LTF Location Triggering Function
MDF Mediation and Delivery Function
MDF2 Mediation and Delivery Function 2
MDF3 Mediation and Delivery Function 3
NPLI Network Provided Location Information
O&M Operations and Management
POI Point Of Interception
SIRF System Information Retrieval Function
SOI Start Of Interception
TF Triggering Function
xCC LI_X3 Communications Content.
xIRI LI_X2 Intercept Related Information

4 General
4.1 Introduction
The present document provides details of the internal and external interfaces required for a network operator, access
provider and/or service provider to provide the necessary information to a Law Enforcement Agency (LEA) required to
meet LI requirements. LI requirements for 3GPP networks and services are given in TS 33.126 [3].
The high-level architecture that defines the necessary interfaces is specified in TS 33.127 [5]. The generic high-level
architecture is as follows:
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SIRF
LI_SI
ADMF
LI_ADMF
LIPF LICF
LI_X1
LI_X1 LI_X1 LI_X1 LI_X1 LI_X1 LI_X1
LI_X1
(Management)
(Management)
CC-TF IRI-TF
LI_T3 LI_T2
CC-POI CC-POI
IRI-POI IRI-POI
LI_HI1
LI_X3 LI_X3
LI_X2 LI_X2
MDF3 LI_MDF MDF2
MDF
LI_HI4 LI_HI4
LI_HI3 LI_HI2
LEMF LEA
The specification of the interfaces is split into two parts:
- Internal interfaces used between an operator's network functions are described in clause 4.2.
- External interfaces used in communicating with a LEA are described in clause 4.3.
4.2 Basic principles for internal interfaces
This clause lists the internal interfaces shown in clause 4.1, indicates the protocol used to realise each interface, and
gives a reference to the relevant clauses of the present document that specify how the protocol is to be used for the
given interface.
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Table 4.2-1: Internal interfaces and related protocols
Interface Description Protocol used to realise interface Usage
LI_SI Used to provide system information to Out of scope of the present
the LIPF from the SIRF. document.
LI_X1 Used to configure and audit Directly- ETSI TS 103 221-1 [7]. See clause 5.2.2
provisioned POIs, TFs and MDFs.
LI_X1 Used to audit Triggered POIs. ETSI TS 103 221-1 [7]. See clause 5.2.3
(Management)
LI_X2 Used to pass xIRI from IRI-POIs to the ETSI TS 103 221-2 [8]. See clause 5.3.2
MDF2.
LI_X3 Used to pass xCC from CC-POIs to the ETSI TS 103 221-2 [8]. See clause 5.3.3
MDF3.
LI_T2 Used to pass triggering information from ETSI TS 103 221-1 [7]. See clause 5.2.4
the IRI-TF to a Triggered IRI-POI.
LI_T3 Used to pass triggering information from ETSI TS 103 221-1 [7]. See clause 5.2.4
a CC-TF to a Triggered CC-POI.
LI_ADMF Used to pass intercept provisioning Out of scope of the present
information form the LICF to the LIPF. document.
LI_MDF Used by MDF2 and MDF3 in interactions Out of scope of the present
necessary to correctly generate CC and document.
IRI from xCC and xIRI.
4.3 Basic principles for external handover interfaces
This clause lists the external handover interfaces shown in clause 4.1, indicates the protocol used to realise each
interface, and gives a reference to the relevant clauses of the present document that specify how the protocol is to be
used for the given interface.
Table 4.3-1: External handover interfaces and related protocols
Interface Description Protocol used to realise interface Usage
LI_HI1 Used to send warrant and other ETSI TS 103 120 [6] shall be See section 5.4
interception request information from supported
LEA to operator. Other methods (e.g. manual
exchange) may be used depending
on national regulatory requirements.
LI_HI2 Used to send IRI from the MDF2 to the ETSI TS 102 232-1 [9] and ETSI TS See section 5.5
LEMF 102 232-7 [10] shall be supported
LI_HI3 Used to send CC from the MDF3 to the ETSI TS 102 232-1 [9] and ETSI TS See section 5.5
LEMF 102 232-7 [10] shall be supported
LI_HI4 Used to send LI notification information ETSI TS 102 232-1 [9] and ETSI TS See section 5.6
from MDF2/3 to LEMF 102 232-7 [10] shall be supported

5 Transport and Communications Protocol
5.1 General
This clause describes the protocols used for each of the interfaces at a level which is agnostic of the subject service or
network. Additional specific fields or behaviours are given in the relevant parts of clauses 6 and 7.
5.2 Protocols for LI_X1 and LI_T interfaces
5.2.1 General usage of ETSI TS 103 221-1
Functions having an LI_X1, LI_T2 or LI_T3 interface shall support the use of ETSI TS 103 221-1 [7] to realise the
interface.
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In the event of a conflict between ETSI TS 103 221-1 [7] and the present document, the terms of the present document
shall apply.
The LIPF and MDF2/3 shall maintain a mapping between internal interception identifiers (XIDs) and external
interception identifiers (LIIDs), as defined by TS 103 221-1 [7] clause 5.1.2. In case of multiple interceptions for a
single target identifier, it is an implementation decision for the LIPF/TF whether multiple XIDs are used (i.e. a one-to-
one mapping between XID and LIID is maintained) or whether the single XID is used and mapped to multiple LIIDs at
the MDF2/3. Clauses 6 and 7 give further details for specific networks or services (e.g. minimum supported target
identifier formats).
In the event that a request issued over the interface fails, or an error is reported, the LIPF should raise an alert in the
appropriate LI Operations and Management (O&M) system. Further procedures (e.g. retrying a failed request) are left to
CSP policy to define.
A failure of LI shall not impact the target's or other users' services.
5.2.2 Usage for realising LI_X1
For the purposes of realising LI_X1 between the LIPF and a POI, MDF or TF, the LIPF plays the role of the "ADMF"
as defined in ETSI TS 103 221-1 [7] reference model (clause 4.2), and the POI, MDF or TF plays the role of the "NE".
5.2.3 Usage for realising LI_X1 (management)
For the purposes of realising LI_X1 between the LIPF and a triggered POI, the LIPF plays the role of the "ADMF" as
defined in ETSI TS 103 221-1 [7] reference model (clause 4.2) , and the triggered POI plays the role of the "NE".
5.2.4 Service scoping
5.2.4.1 General
The CSP shall support the following specified options on a per intercept (per LIID) basis, to ensure strict delivery of only
the interception data that an LEA is authorised to receive. These options are not exclusive, i.e., none, one, or more than
one item in any given category may be turned on for any given intercept (LIID).
5.2.4.2 CSP service type
- Voice.
- Data.
- Messaging (e.g. SMS/MMS).
- Push-to-Talk (including MCPTT).
5.2.4.3 Interception type
- IRI.
- CC.
5.2.4.4 Location
- Report location at the beginning and end of a session.
- Report location every time the network detects a change in target location (including location update with no
physical change of location).
- LALS.
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5.2.4.5 Roaming
- Stop interception for non HPLMN 3GPP RAN in the case of international roaming.
5.2.5 Usage for realising LI_T2
For the purposes of realising LI_T2 between an IRI-TF and a triggered IRI-POI, the IRI-TF plays the role of the
"ADMF" as defined in the ETSI TS 103 221-1 [7] reference model (clause 4.2), and the triggered IRI-POI plays the role
of the "NE".
In case the IRI-TF receives from the triggered IRI-POI an error in the answer to a triggering message, the IRI-TF shall
send a ReportTaskIssue message to the LIPF. In such case, the failure of LI shall not impact the target's or other users'
services.
Unless otherwise specified, an IRI-TF shall set the Product ID field in any ActivateTask or ModifyTask message issued
to a triggered IRI-POI (see ETSI TS 103 221-1 [7] clause 6.2.1.2). The IRI-TF shall set the Product ID to the XID of the
Task object associated with the interception at the IRI-TF in order to allow correlation of LI product at the MDF2.
When the IRI-TF receives a DeactivateTask message or ModifyTask message from the LIPF, the IRI-TF shall send
DeactivateTask or ModifyTask messages to all applicable triggered IRI-POIs for all tasks associated to the Task object
in the message from the LIPF.
5.2.6 Usage for realising LI_T3
For the purposes of realising LI_T3 between a CC-TF and a triggered CC-POI, the CC-TF plays the role of the
"ADMF" as defined in the ETSI TS 103 221-1 [7] reference model (clause 4.2), and the triggered CC-POI plays the role
of the "NE".
In case the CC-TF receives from the triggered CC-POI an error in the answer to a triggering message, the CC-TF shall
send a ReportTaskIssue message to the LIPF. In such case, the failure of LI shall not impact the target's or other users'
services.
Unless otherwise specified, a CC-TF shall set the Product ID field in any ActivateTask or ModifyTask message issued
to a triggered CC-POI (see ETSI TS 103 221-1 [7] clause 6.2.1.2). The CC-TF shall set the Product ID to the XID of the
Task object associated with the interception at the CC-TF in order to allow correlation of LI product at the MDF3.
When the CC-TF receives a DeactivateTask message or ModifyTask message from the LIPF, the CC-TF shall send
DeactivateTask or ModifyTask messages to all applicable triggered CC-POIs for all tasks associated to the Task object
in the message from the LIPF.
5.3 Protocols for LI_X2 and LI_X3
5.3.1 General usage of ETSI TS 103 221-2
Functions having an LI_X2 or LI_X3 interface shall support the use of ETSI TS 103 221-2 [8] to realise the interface.
In the event of a conflict between ETSI TS 103 221-2 [8] and the present document, the terms of the present document
shall apply.
The xIRI and the xCC sent using ETSI TS 103 221-2 [8] shall contain the appropriate XID as received in the relevant
LI_X1 provisioning message (or LI_T2/3 triggering message, as appropriate).
5.3.2 Usage for realising LI_X
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