ETSI TS 133 401 V17.1.0 (2022-05)

Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); LTE; 3GPP System Architecture Evolution (SAE); Security architecture (3GPP TS 33.401 version 17.1.0 Release 17)

RTS/TSGS-0333401vh10

General Information

• Status: Not Published
• Technical Committee: 3GPP SA 3 - Security
• Current Stage: 12 - Completion
• Completion Date: 11-May-2022

Standards Content (Sample)

ETSI TS 133 401 V17.1.0 (2022-05)






TECHNICAL SPECIFICATION
Digital cellular telecommunications system (Phase 2+) (GSM);
Universal Mobile Telecommunications System (UMTS);
LTE;
3GPP System Architecture Evolution (SAE);
Security architecture
(3GPP TS 33.401 version 17.1.0 Release 17)

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3GPP TS 33.401 version 17.1.0 Release 17 1 ETSI TS 133 401 V17.1.0 (2022-05)

Reference
RTS/TSGS-0333401vh10
Keywords
GSM,LTE,SECURITY,UMTS
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ETSI

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3GPP TS 33.401 version 17.1.0 Release 17 2 ETSI TS 133 401 V17.1.0 (2022-05)
Intellectual Property Rights
Essential patents
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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
®
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ETSI

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3GPP TS 33.401 version 17.1.0 Release 17 3 ETSI TS 133 401 V17.1.0 (2022-05)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 10
1 Scope . 11
2 References . 11
3 Definitions, symbols and abbreviations . 13
3.1 Definitions . 13
3.2 Symbols . 15
3.3 Abbreviations . 15
3.4 Conventions . 17
4 Overview of Security Architecture . 17
5 Security Features . 18
5.1 User-to-Network security . 18
5.1.0 General . 18
5.1.1 User identity and device confidentiality . 18
5.1.2 Entity authentication . 18
5.1.3 User data and signalling data confidentiality . 18
5.1.3.1 Ciphering requirements . 18
5.1.3.2 Algorithm Identifier Values . 19
5.1.4 User data and signalling data integrity . 19
5.1.4.1 Integrity requirements . 19
5.1.4.2 Algorithm Identifier Values . 20
5.2 Security visibility and configurability . 20
5.3 Security requirements on eNodeB . 20
5.3.1 General . 20
5.3.2 Requirements for eNB setup and configuration . 21
5.3.3 Requirements for key management inside eNB . 21
5.3.4 Requirements for handling User plane data for the eNB . 21
5.3.4a Requirements for handling Control plane data for the eNB . 21
5.3.5 Requirements for secure environment of the eNB . 22
5.4 Void . 22
6 Security Procedures between UE and EPC Network Elements . 22
6.0 General . 22
6.1 Authentication and key agreement . 22
6.1.1 AKA procedure . 22
6.1.2 Distribution of authentication data from HSS to serving network . 24
6.1.3 User identification by a permanent identity . 25
6.1.4 Distribution of IMSI and authentication data within one serving network domain . 25
6.1.5 Distribution of IMSI and authentication data between different serving network domains. 26
6.1.6 Distribution of IMSI and UMTS authentication vectors between MMEs or between MME and
SGSN . 26
6.2 EPS key hierarchy . 27
6.3 EPS key identification . 30
6.4 Handling of EPS security contexts . 31
6.5 Handling of NAS COUNTs. 32
7 Security procedures between UE and EPS access network elements . 33
7.0 General . 33
7.1 Mechanism for user identity confidentiality . 33
7.2 Handling of user-related keys in E-UTRAN . 33
7.2.1 E-UTRAN key setting during AKA . 33
7.2.2 E-UTRAN key identification . 33
ETSI

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3GPP TS 33.401 version 17.1.0 Release 17 4 ETSI TS 133 401 V17.1.0 (2022-05)
7.2.3 E-UTRAN key lifetimes . 34
7.2.4 Security mode command procedure and algorithm negotiation . 34
7.2.4.1 Requirements for algorithm selection . 34
7.2.4.2 Procedures for AS algorithm selection . 35
7.2.4.2.1 Initial AS security context establishment . 35
7.2.4.2.2 X2-handover . 35
7.2.4.2.3 S1-handover . 35
7.2.4.2.4 Intra-eNB handover . 35
7.2.4.3 Procedures for NAS algorithm selection . 36
7.2.4.3.1 Initial NAS security context establishment . 36
7.2.4.3.2 MME change . 36
7.2.4.4 NAS security mode command procedure . 36
7.2.4.5 AS security mode command procedure . 38
7.2.4a Algorithm negotiation for unauthenticated UEs in LSM . 38
7.2.5 Key handling at state transitions to and away from EMM-DEREGISTERED . 39
7.2.5.1 Transition to EMM-DEREGISTERED . 39
7.2.5.2 Transition away from EMM-DEREGISTERED . 40
7.2.5.2.1 General . 40
7.2.5.2.2 With existing native EPS NAS security context . 40
7.2.5.2.3 With run of EPS AKA . 41
7.2.6 Key handling in ECM-IDLE to ECM-CONNECTED and ECM-CONNECTED to ECM-IDLE
transitio ns . 41
7.2.6.1 ECM-IDLE to ECM-CONNECTED transition. 41
7.2.6.2 Establishment of keys for cryptographically protected radio bearers . 42
7.2.6.3 ECM-CONNECTED to ECM-IDLE transition. 42
7.2.7 Key handling for the TAU procedure when registered in E-UTRAN . 42
7.2.8 Key handling in handover . 43
7.2.8.1 General . 43
7.2.8.1.1 Access stratum . 43
7.2.8.1.2 Non access stratum . 44
7.2.8.2 Void. 44
7.2.8.3 Key derivations for context modification procedure . 44
7.2.8.4 Key derivations during handovers . 45
7.2.8.4.1 Intra-eNB Handover . 45
7.2.8.4.2 X2-handover . 45
7.2.8.4.3 S1-Handover . 45
7.2.8.4.4 UE handling . 46
7.2.9 Key-change-on-the fly . 46
7.2.9.1 General . 46
7.2.9.2 K re-keying . 47
eNB
7.2.9.3 KeNB refresh . 47
7.2.9.4 NAS key re-keying . 47
7.2.10 Rules on Concurrent Running of Security Procedures . 48
7.2.11 Suspend and resume of RRC connection . 49
7.2.11.1 General . 49
7.2.11.2 RRC connection suspend . 49
7.2.11.3 RRC connection resume to a new eNB . 49
7.2.11.4 RRC connection resume to the same eNB . 51
7.3 UP security mechanisms . 51
7.3.1 UP confidentiality mechanisms . 51
7.3.2 UP integrity mechanisms . 51
7.3.4 UP integrity protection activation mechanism . 53
7.4 RRC security mechanisms . 54
7.4.1 RRC integrity mechanisms . 54
7.4.2 RRC confidentiality mechanisms . 55
7.4.3 K * and Token Preparation for the RRCConnectionRe-establishment Procedure . 55
eNB
7.4.4 RRCConnectionRe-establishment Procedure for Control Plane CIoT EPS optimisation . 56
7.4.5 RRC UE capability transfer procedure . 57
7.5 Signalling procedure for periodic local authentication . 57
8 Security mechanisms for non-access stratum signalling and data via MME . 58
8.0 General . 58
ETSI

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3GPP TS 33.401 version 17.1.0 Release 17 5 ETSI TS 133 401 V17.1.0 (2022-05)
8.1 NAS integrity mechanisms . 58
8.1.1 NAS input parameters and mechanism . 58
8.1.2 NAS integrity activation . 58
8.2 NAS confidentiality mechanisms . 59
9 Security interworking between E-UTRAN and UTRAN . 59
9.1 RAU and TAU procedures . 59
9.1.1 RAU procedures in UTRAN . 59
9.1.2 TAU procedures in E-UTRAN . 60
9.2 Handover . 62
9.2.1 From E-UTRAN to UTRAN . 62
9.2.2 From UTRAN to E-UTRAN . 63
9.2.2.1 Procedure . 63
9.2.2.2 Derivation of NAS keys and K during Handover from UTRAN to E-UTRAN . 67
eNB
9.3 Recommendations on AKA at IRAT-mobility to E-UTRAN . 67
9.4 Attach procedures . 68
9.4.1 Attach in UTRAN . 68
10 Security interworking between E-UTRAN and GERAN . 68
10.1 General . 68
10.2 RAU and TAU procedures . 69
10.2.1 RAU procedures in GERAN . 69
10.2.2 TAU procedures in E-UTRAN . 69
10.3 Handover . 69
10.3.1 From E-UTRAN to GERAN . 69
10.3.2 From GERAN to E-UTRAN . 69
10.3.2.1 Procedures . 69
10.4 Recommendations on AKA at IRAT-mobility to E-UTRAN . 69
10.5 Attach procedures . 70
10.5.1 Attach in GERAN . 70
11 Network Domain Control Plane protection . 70
12 Backhaul link user plane protection . 70
13 Management plane protection over the S1 interface . 71
14 SRVCC between E-UTRAN and Circuit Switched UTRAN/GERAN . 72
14.1 From E-UTRAN to Circuit Switched UTRAN/GERAN . 72
14.2 Emergency call in SRVCC from E-UTRAN to circuit switched UTRAN/GERAN . 73
14.3 SRVCC from circuit switched UTRAN/GERAN to E-UTRAN . 73
14.3.1 Procedure . 73
15 Security Aspects of IMS Emergency Session Handling . 76
15.1 General . 76
15.2 Security procedures and their applicability . 77
15.2.1 Au
...