ETSI TS 133 128 V15.3.0 (2020-01)

LTE; 5G; Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); Security; Protocol and procedures for Lawful Interception (LI); Stage 3 (3GPP TS 33.128 version 15.3.0 Release 15)

RTS/TSGS-0333128vf30

General Information

• Status: Published
• Publication Date: 15-Jan-2020
• Technical Committee: 3GPP SA 3 - Security
• Current Stage: 12 - Completion
• Completion Date: 16-Jan-2020

Standards Content (Sample)

ETSI TS 133 128 V15.3.0 (2020-01)






TECHNICAL SPECIFICATION
LTE;
5G;
Digital cellular telecommunications system (Phase 2+) (GSM);
Universal Mobile Telecommunications System (UMTS);
Security;
Protocol and procedures for Lawful Interception (LI);
Stage 3
(3GPP TS 33.128 version 15.3.0 Release 15)

---------------------- Page: 1 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 1 ETSI TS 133 128 V15.3.0 (2020-01)



Reference
RTS/TSGS-0333128vf30
Keywords
5G,GSM,LTE,SECURITY,UMTS
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document 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 case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.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 modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2020.
All rights reserved.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners.
®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI

---------------------- Page: 2 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 2 ETSI TS 133 128 V15.3.0 (2020-01)
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.
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 http://webapp.etsi.org/key/queryform.asp.
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

---------------------- Page: 3 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 3 ETSI TS 133 128 V15.3.0 (2020-01)
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 . 13
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 . 14
5.6.1 General . 14
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 . 15
6.2.2.1 Provisioning over LI_X1 . 15
6.2.2.2 Generation of xIRI over LI_X2 . 15
6.2.2.2.1 General . 15
6.2.2.2.2 Registration . 16
6.2.2.2.3 Deregistration . 16
ETSI

---------------------- Page: 4 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 4 ETSI TS 133 128 V15.3.0 (2020-01)
6.2.2.2.4 Location update . 17
6.2.2.2.5 Start of interception with registered UE . 18
6.2.2.2.6 AMF unsuccessful procedure . 19
6.2.2.3 Generation of IRI over LI_HI2 . 20
6.2.2.4 Identity privacy . 20
6.2.3 LI for SMF/UPF . 20
6.2.3.1 Provisioning of SMF over LI_X1 . 20
6.2.3.2 Generation of xIRI at IRI-POI in SMF over LI_X2 . 21
6.2.3.2.1 General . 21
6.2.3.2.2 PDU session establishment . 21
6.2.3.2.3 PDU session modification . 22
6.2.3.2.4 PDU session release . 23
6.2.3.2.5 Start of interception with an established PDU session . 23
6.2.3.2.6 SMF unsuccessful procedure . 25
6.2.3.3 Triggering of the CC-POI from CC-TF over LI_T3 . 25
6.2.3.3.1 LI_T3 interface specifics . 25
6.2.3.3.2 CC interception with multi-homed PDU session . 27
6.2.3.3.3 CC Interception only at PDU Session Anchor UPFs . 27
6.2.3.4 IRI-POI in UPF triggering over LI_T2 . 28
6.2.3.5 Generation of xIRI at UPF over LI_X2. 29
6.2.3.5.1 Packet data header reporting . 29
6.2.3.5.2 Fragmentation . 29
6.2.3.5.3 Packet Data Header Reporting (PDHR) . 29
6.2.3.5.4 Packet Data Summary Reporting (PDSR) . 31
6.2.3.6 Generation of xCC at CC-POI in the UPF over LI_X3 . 32
6.2.3.7 Generation of IRI over LI_HI2 . 32
6.2.3.8 Generation of CC over LI_HI3 . 32
6.2.3.9 Packet Data Information Reporting at MDF2 . 32
6.2.4 LI at UDM for 5G . 33
6.2.4.1 General description . 33
6.2.5 LI at SMSF . 33
6.2.5.1 Provisioning over LI_X1 . 33
6.2.5.2 Generation of xIRI over LI_X2 . 33
6.2.5.3 SMS Message . 33
6.2.5.4 Generation of IRI over LI_HI2 . 35
6.2.6 LI support at NRF . 35
6.3 4G . 35
6.4 3G . 35
7 Service Layer Based Interception . 35
7.1 Introduction . 35
7.2 Central Subscriber Management . 36
7.2.1 General description . 36
7.2.2 LI at UDM . 36
7.2.2.1 General description . 36
7.2.2.2 Provisioning over LI_X1 . 36
7.2.2.3 Generation of xIRI over LI_X2 . 36
7.2.2.3.1 General description . 36
7.2.2.3.2 Serving system . 36
7.2.2.3.3 Subscriber record change. 37
7.2.2.3.4 Cancel location . 37
7.2.2.3.5 Location information request . 37
7.2.2.4 Generation of IRI over LI_HI2 . 37
7.2.3 LI at HSS . 37
7.3 Location . 37
7.3.1 Lawful Access Location Services (LALS) . 37
7.3.1.1 General description . 37
7.3.1.2 Provisioning over LI_X1 . 37
7.3.1.2.1 Target positioning service . 37
7.3.1.2.2 Triggered location service . 38
7.3.1.3 Triggering over LI_T2 . 39
7.3.1.4 Generation of xIRI over LI_X2 . 39
ETSI

---------------------- Page: 5 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 5 ETSI TS 133 128 V15.3.0 (2020-01)
7.3.1.5 Generation of IRI over LI_HI2 . 40
7.3.2 Cell database information reporting . 40
7.3.2.1 General description . 40
7.3.2.2 Delivery of cell site information over LI_HI2 . 40
Annex A (normative): Structure of both the Internal and External Interfaces . 41
Annex B (normative): LI Notification . 59
Annex C (normative): XSD Schema for LI_X1 extensions . 61
Annex D (informative): Drafting Guidance . 65
D.1 Introduction . 65
D.2 Drafting conventions . 65
D.3 Naming conventions . 65
D.4 ASN.1 Syntax conventions. 66
Annex Z (informative): Change history . 67
History . 68

ETSI

---------------------- Page: 6 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 6 ETSI TS 133 128 V15.3.0 (2020-01)
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.
ETSI

---------------------- Page: 7 ----------------------
3GPP TS 33.128 version 15.3.0 Release 15 7 ETSI TS 133 128 V15.3.0 (2020-01)
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".
ETSI

---------
...