ETSI TR 187 012 V2.1.1 (2009-11)

Telecommunications and Internet converged Services and Protocols for Advanced Networking (TISPAN); NGN Security; Report and recommendations on compliance to the data retention directive for NGN-R2

DTR/TISPAN-07032-NGN-R2

General Information

• Status: Published
• Publication Date: 25-Nov-2009
• Technical Committee: TISPAN 7 - TISPAN Security
• Current Stage: 12 - Completion
• Due Date: 02-Dec-2009
• Completion Date: 26-Nov-2009

Standards Content (Sample)

ETSI TR 187 012 V2.1.1 (2009-11)
Technical Report


Telecommunications and Internet converged Services and
Protocols for Advanced Networking (TISPAN);
NGN Security;
Report and recommendations on compliance to the data
retention directive for NGN-R2

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2 ETSI TR 187 012 V2.1.1 (2009-11)



Reference
DTR/TISPAN-07032-NGN-R2
Keywords
data, retention
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3 ETSI TR 187 012 V2.1.1 (2009-11)
Contents
Intellectual Property Rights . 5
Foreword . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definitions and abbreviations . 8
3.1 Definitions . 8
3.2 Abbreviations . 8
4 Introduction . 9
5 NGN overview with respect to data retention . 10
5.1 Data categorisation . 10
5.2 Retention obligation . 10
6 Abstract architecture for data retention in the NGN . 11
6.1 Overview . 11
6.2 Mapping of NGN architecture to DR abstract architecture . 12
6.3 Security considerations for DR in generic CSP . 14
6.3.1 Privacy considerations in the NGN with respect to DR . 14
Annex A: Analysis of Directive with respect to the NGN . 15
Annex B: Comparison of terms between Directive and NGN . 18
Annex C: National declarations regarding application of the directive . 19
C.1 Austria . 19
C.2 Belgium . 19
C.3 Republic of Cyprus . 19
C.4 Czech Republic . 19
C.5 Estonia . 19
C.6 Finland . 19
C.7 Germany . 20
C.8 The Hellenic Republic . 20
C.9 Republic of Latvia . 20
C.10 Republic of Lithuania . 20
C.11 The Grand Duchy of Luxembourg . 20
C.12 The Netherlands . 20
C.13 Republic of Poland . 21
C.14 Slovenia . 21
C.15 Sweden . 21
C.16 United Kingdom . 21
Annex D: Mapping to LEA requirements (TS 102 656) . 22
D.1 User (LEA) requirements . 22
ETSI

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4 ETSI TR 187 012 V2.1.1 (2009-11)
D.1.1 Introduction . 22
D.1.2 General requirements . 22
D.1.3 Requests . 22
D.1.4 Request for retained data . 22
D.1.5 Delivery . 22
D.1.6 Content of delivery . 23
D.1.7 Location information . 23
D.1.8 Availability constraints . 23
D.1.9 Information transmission and information protection requirements . 23
D.1.10 Internal security . 23
D.1.11 Technical handover interfaces and format requirements . 23
D.1.12 Temporary obstacles to transmission . 24
D.1.13 Identification of the request criteria. 24
D.1.14 Multiple requests . 24
Annex E: Bibliography . 25
History . 26

ETSI

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5 ETSI TR 187 012 V2.1.1 (2009-11)
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://webapp.etsi.org/IPR/home.asp).
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 Report (TR) has been produced by ETSI Technical Committee Telecommunications and Internet
converged Services and Protocols for Advanced Networking (TISPAN).
ETSI

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6 ETSI TR 187 012 V2.1.1 (2009-11)
1 Scope
The present document identifies the impact on the NGN in achieving compliance to the data retention directive [i.1].
The present document makes a number of recommendations to operators and manufacturers that may be sufficient to
ensure compliance, and identifies where future standardisation may be required.
The present document applies to TISPAN NGN services as specified by TR 180 001 [i.12] (for release 1 specific
capabilities) and TR 180 002 [i.13] (for release 2 specific capabilities), and where the NGN user is identified as
specified in TS 184 002 [i.11].The present document is structured in the following way:
• NGN analysis with respect to Data Retention:
- annex containing an analysis of the existing Directive and the available provisions in the NGN;
- annex providing a comparison of terms between Directive and NGN.
• Identification of the data that is expected to be retained in the NGN under the DR Directive and a mapping to
determine if the data is available in the NGN.
The present document does not define the handover domain which is specified in TS 102 657 [i.2] nor does the
document cover any conformance aspects relating to IMS. However where other standards bodies are directly impacted
by the DR Directive in the NGN the present document identifies in outline form the affected publications from such
SDOs.
The present document does not address the application of Data Retention in Customer Premises Networks (CPN) or
Next Generation Corporate Networks (NGCN).
2 References
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific.
• For a specific reference, subsequent revisions do not apply.
• Non-specific reference may be made only to a complete document or a part thereof and only in the following
cases:
- if it is accepted that it will be possible to use all future changes of the referenced document for the
purposes of the referring document;
- for informative references.
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.
2.1 Normative references
The following referenced documents are not essential to the use of the present document but they assist the user with
regard to a particular subject area. For non-specific references, the latest version of the referenced document (including
any amendments) applies.
Not applicable.
ETSI

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7 ETSI TR 187 012 V2.1.1 (2009-11)
2.2 Informative references
The following referenced documents are not essential to the use of the ETSI deliverable but they assist the user with
regard to a particular subject area. For non-specific references, the latest version of the referenced document (including
any amendments) applies.
[i.1] Directive 2006/24/EC of the European Parliament and of the Council of 15 March 2006 on the
retention of data generated or processed in connection with the provision of publicly available
electronic communications services or of public communications networks and amending
Directive 2002/58/EC.
[i.2] ETSI TS 102 657: "Lawful Interception (LI); Retained data handling; Handover interface for the
request and delivery of retained data".
[i.3] ETSI TS 102 656: "Lawful Interception (LI); Retained Data; Requirements of Law Enforcement
Agencies for handling Retained Data".
[i.4] Directive 2002/58/EC of the European Parliament and of the council of 12 July 2002 concerning
the processing of personal data and the protection of privacy in the electronic communications
sector (Directive on privacy and electronic communications).
[i.5] Recommendation of the OECD Council in 1980 concerning guidelines governing the protection of
privacy and transborder flows of personal data (the OECD guidelines for personal data protection.
[i.6] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data .
[i.7] ETSI ES 282 001: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); NGN Functional Architecture".
[i.8] ETSI SR 002 211 (V1.1.1): "List of standards and/or specifications for electronic communications
networks, services and associated facilities and services; in accordance with Article 17 of
Directive 2002/21/EC".
[i.9] ETSI TR 102 661: "Lawful Interception (LI); Security framework in Lawful Interception and
Retained Data environment".
[i.10] ETSI TS 187 005: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); NGN Release 2 Lawful Interception; Stage 1 and Stage 2
definition".
[i.11] ETSI TS 184 002: "Telecommunications and Internet Converged Services and Protocols for
Advanced Networking (TISPAN); Identifiers (IDs) for NGN".
[i.12] ETSI TR 180 001: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); NGN Release 1; Release definition".
[i.13] ETSI TR 180 002: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); Release 2 definition".
[i.14] ETSI TR 187 010: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); NGN Security; Report on issues related to security in identity
imanagement and their resolution in the NGN".
[i.15] ETSI TS 187 001: "Telecommunications and Internet converged Services and Protocols for
Advanced Networking (TISPAN); NGN SECurity (SEC); Requirements".
ETSI

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8 ETSI TR 187 012 V2.1.1 (2009-11)
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in Directive 2006/24/EC [i.1],
TS 102 657 [i.2] and the following apply:
Point of Retention (PoR): NGN Functional Entity that is assigned to retain a particular data item
NOTE: In any implementation a data element may appear at multiple NGN FEs per retention event and in
practice should only be retained once per retention event. Satisfying this recommendation may require
that particular NGN FEs may be assigned as the primary or master point of retention for a particular data
item.
retention event: event triggered by an NGN user giving rise to the retention of data as defined by the data retention
directive [i.1] or by national law
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
AN Access Network
CPN Customer Premises Networks
CSCF Call Session Control Function
CSP Communications Service Provider
DNS Domain Name System
DR Data Retention
ECN Electronic Communications Network
ECN&S Electronic Communications Network and Services
ECS Electronic Communications Service
FE Functional Entity
HI Handover Interface
HLR Home Location Record
HSS Home Subscriber Server
IMS IP Multimedia Subsystem
IP Internet Protocol
LEA Law Enforcement Authority
LI Lawful Interception
NASS Network Access Sub-System
NGCN Next Generation Corporate Networks
NGN Next Generation Network
PES PSTN Emulation System
PoR Point of Retention
RDHI Retained Data Handover Interface
SGW Signalling GateWay
SPDF Service Policy Decision Function
ETSI

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9 ETSI TR 187 012 V2.1.1 (2009-11)
4 Introduction
The NGN is required to operate within a regulated environment. In Europe the privacy directive EC/2002/58 [i.4]
applies and article 5 states:
1) Member States shall ensure the confidentiality of communications and the related traffic data by means of a
public communications network and publicly available electronic communications services, through national
legislation. In particular, they shall prohibit listening, tapping, storage or other kinds of interception or
surveillance of communications and the related traffic data by persons other than users, without the consent of
the users concerned, except when legally authorised to do so in accordance with Article 15(1). This paragraph
shall not prevent technical storage which is necessary for the conveyance of a communication without
prejudice to the principle of confidentiality.
2) Paragraph 1 shall not affect any legally authorised recording of communications and the related traffic data
when carried out in the course of lawful business practice for the purpose of providing evidence of a
commercial transaction or of any other business communication.
3) Member States shall ensure that the use of electronic communications networks to store information or to gain
access to information stored in the terminal equipment of a subscriber or user is only allowed on condition that
the subscriber or user concerned is provided with clear and comprehensive information in accordance with
Directive 95/ 46/EC, inter alia about the purposes of the processing, and is offered the right to refuse such
processing by the data controller. This shall not prevent any technical storage or access for the sole purpose of
carrying out or facilitating the transmission of a communication over an electronic communications network,
or as strictly necessary in order to provide an information society service explicitly requested by the subscriber
or user.
SR 002 211 [i.8] identifies those aspects of standardisation that are required to ensure compliance with the European
Framework Directive. In some instances the right to privacy can be withheld as suggested in paragraph 2 of article 5 of
the privacy directive [i.4] (see clause 5.1). Provisions for the lawful interception of traffic, and for retention of
signalling data are allowed exceptions as defined in Article 15(1) of the privacy directive:
1) Member States may adopt legislative measures to restrict the scope of the rights and obligations provided for
in Article 5, Article 6, Article 8(1), (2), (3) and (4), and Article 9 of this Directive when such restriction
constitutes a necessary, appropriate and proportionate measure within a democratic society to safeguard
national security (i.e. State security), defence, public security, and the prevention, investigation, detection and
prosecution of criminal offences or of unauthorised use of the electronic communication system, as referred to
in Article 13(1) of Directive 95/46/EC. To this end, Member States may, inter alia, adopt legislative measures
providing for the retention of data for a limited period justified on the grounds laid down in this paragraph. All
the measures referred to in this paragraph shall be in accordance with the general principles of Community
law, including those referred to in Article 6(1) and (2) of the Treaty on European Union.
The obligations from the directive are placed on member states but may be met by the provision of specific capabilities
in the NGN and for DR these are as follows:
• An NGN operator should provide mechanisms to ensure the interception and handover of signalling of specific
NGN users if required to by a lawful authority (defined in TS 187 005 [i.10]).
• An NGN operator should provide mechanisms to ensure the interception and handover of the content of
communication of specific NGN users if required to by a lawful authority (defined in TS 187 005 [i.10]).
• An NGN operator should provide mechanisms to ensure the retention and handover of signalling of specific
NGN users if required to by a lawful authority (the feasibility of achieving this is examined in the present
document).
ETSI

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10 ETSI TR 187 012 V2.1.1 (2009-11)
5 NGN overview with respect to data retention
5.1 Data categorisation
Retained Data has been broken down into the following categories in TS 102 657 [i.2] which has rationalised the
categorisations given in the EU Retained Data Directive [i.1] to take into account the requirements of law enforcement
specified in TS 102 656 [i.3]:
• Subscriber data: information relating to a subscription to a particular service (e.g. Name, Address).
• Usage data Information relating to usage of a particular service (e.g. Call Records).
• Equipment data: information relating to an end-user device or handset.
• Network element data: information relating to a component in the underlying network infrastructure.
• Additional service usage: information relating to additional services used (e.g. DNS).
Within the NGN the CSP is required to break down its information into the categories listed above and is not allowed or
expected to provide information outside of the above categories within the context of using TS 102 657 [i.2] as the
interface from the NGN to the LEA. For certain NGN services particular data categories may not apply.
5.2 Retention obligation
The obligation to retain data and the periods for which to retain data are outlined in the Directive [i.1] and by relevant
national law. Data in the categories outlined in clause 5.1 have to be retained by the CSP if that data are generated or
processed by providers of publicly available electronic communications services or of a public communications
network within their jurisdiction in the process of supplying the communications services concerned. It is noted that
within the context of the Framework directive and the ECN&S model it defines there may be many CSPs working in
concert to offer NGN services to users. Each CSP is responsible for ensuring the retention of data in the context of their
specific service provision and for ensuring that the retained data is an accurate record of the activity of the user as
received in the CSP. The responsibility for assurance of correctness of data is further illustrated in the following:
a) Distinction is to be made between:
a1) parameters required for the purpose of charging, which are available anyway;
a2) additional parameters for the specific purpose of law enforcement, which require dedicated functions.
NOTE: Depending on the country's legal requirements difference functions have to be implemented in the
systems for the fulfilment of law enforcement: a1) above requires some processing in order to deliver the
information according to handover requirements; a2) above refers to functions to be implemented solely
for law enforcement.
b) Parameters may be:
b1) created in the domain of the CSP delivering the information;
b2) created outside the domain.
The obliged CSP can take responsibility for the parameters b1), while for the parameters b2), the correctness is not
guaranteed, unless c1) (below) applies.
c) Parameters may be:
c1) mandatory for successful communication completion, i.e. self-verifying;
c2) not relevant for successful communication completion and not verifiable, i.e. they may be wrong.
The obliged CSP can take responsibility for the parameters c1), while for the parameters c2), the correctness is not
guaranteed, unless b1) applies.
ETSI

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11 ETSI TR 187 012 V2.1.1 (2009-11)
Some of the terms used in the Directive are not in common use in the NGN (see annexes A and B). Whilst the detail of
the directive identifies the following classes of network either in isolation or in groups the NGN as specified in ETSI
does not fall cleanly into any of the classes:
• Fixed network telephony.
• Fixed network telephony and mobile telephony.
• Internet access, Internet e-mail and Internet telephony.
• Internet e-mail and Internet telephony.
• Mobile telephony.
The obligation to ensure retention of data however is understood to apply irrespective of the network class but to CSPs
in general.
6 Abstract architecture for data retention in the NGN
6.1 Overview
Figure 6.1 is the reference model for the request and transmission of retained telecommunications data taken
from TS 102 657 [i.2].




Handover interface HI-A:
administrative




Authorized
CSP
Organization

Handover interface HI-B:
transmission of RD material


NOTE 1: The term Authorized Organization covers any agency legally authorized to make Retained Data Handover
Interface requests.
NOTE 2: Handover Interface-B delivers data from CSP to the Authorized Organization. There may be related
supporting lower level messages from the Authorized Organization to CSP on HI-B.

Figure 6.1: Functional diagram showing handover interface HI
Within the CSP block three internal CSP functions have been identified in TS 102 657 [i.2] and are shown in figure 6.2:
• an administrative function to manage the Retained Data handover requests and responses;
• a data collection function to collect data from the various internal network elements and prepare the data for
retention.
NOTE: The data collection function will gather data from Points of Retention (PoR) in the NGN.
• a data store management function to index and store the data, execute queries, and manage the maximum
retention period for Retained Data.
The internal functions, and the interfaces between them, are examined with respect to the NGN in the present document.
ETSI

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Other networks
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 12 ETSI TR 187 012 V2.1.1 (2009
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