PKCS #11 Cryptographic Token Interface Profiles Version 2.40 OASIS Standard 14 April 2015 Specification URIs This version: http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/os/pkcs11-profiles-v2.40-os.doc (Authoritative) http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/os/pkcs11-profiles-v2.40-os.html http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/os/pkcs11-profiles-v2.40-os.pdf Previous version: http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/csprd02/pkcs11-profiles-v2.40-csprd02.doc (Authoritative) http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/csprd02/pkcs11-profiles-v2.40-csprd02.html http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/csprd02/pkcs11-profiles-v2.40-csprd02.pdf Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/pkcs11-profiles-v2.40.doc (Authoritative) http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/pkcs11-profiles-v2.40.html http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/pkcs11-profiles-v2.40.pdf Technical Committee: OASIS PKCS 11 TC Chairs: Robert Griffin ( [email protected] ), EMC Corporation Valerie Fenwick ( [email protected] ), Oracle Editor: Tim Hudson ( [email protected] ), Cryptsoft Pty Ltd. Related work: This specification is related to: � PKCS #11 Cryptographic Token Interface Base Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. Latest version. http://docs.oasis-open.org/pkcs11/pkcs11-base/v2.40/pkcs11-base-v2.40.html . � PKCS #11 Cryptographic Token Interface Current Mechanisms Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. Latest version. http://docs.oasis-open.org/pkcs11/pkcs11-curr/v2.40/pkcs11-curr-v2.40.html . � PKCS #11 Cryptographic Token Interface Historical Mechanisms Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. Latest version. http://docs.oasis-open.org/pkcs11/pkcs11-hist/v2.40/pkcs11-hist-v2.40.html . � PKCS #11 Cryptographic Token Interface Usage Guide Version 2.40 . Edited by John Leiseboer and Robert Griffin. Latest version. http://docs.oasis-open.org/pkcs11/pkcs11-ug/v2.40/pkcs11-ug-v2.40.html . Abstract: This document is intended for developers and architects who wish to design systems and applications that conform to the PKCS #11 Cryptographic Token Interface standard. The PKCS #11 Cryptographic Token Interface standard documents an API for devices that may hold cryptographic information and may perform cryptographic functions. Status: This document was last revised or approved by the membership of OASIS on the above date. The level of approval is also listed above. Check the �Latest version� location noted above for possible later revisions of this document. Any other numbered Versions and other technical work produced by the Technical Committee (TC) are listed at https://www.oasis-open.org/committees/tc_home.php?wg_abbrev=pkcs11#technical . TC members should send comments on this specification to the TC�s email list. Others should send comments to the TC�s public comment list, after subscribing to it by following the instructions at the � Send A Comment � button on the TC�s web page at https://www.oasis-open.org/committees/pkcs11/ . For information on whether any patents have been disclosed that may be essential to implementing this specification, and any offers of patent licensing terms, please refer to the Intellectual Property Rights section of the Technical Committee web page ( https://www.oasis-open.org/committees/pkcs11/ipr.php ). Citation format: When referencing this specification the following citation format should be used: [PKCS11-Profiles-v2.40] PKCS #11 Cryptographic Token Interface Profiles Version 2.40 . Edited by Tim Hudson. 14 April 2015. OASIS Standard. http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/os/pkcs11-profiles-v2.40-os.html . Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/pkcs11-profiles-v2.40.html . Notices Copyright � OASIS Open 2015. 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Table of Contents 1 ������� Introduction . 5 1.1 Description of this Document 5 1.2 Terminology . 5 1.3 Normative References . 5 1.4 Non-Normative References . 6 2 ������� Profiles . 7 2.1 PKCS #11 Profiles . 7 2.2 Guidelines for Specifying Conformance Clauses . 7 2.3 Guidelines for Validating Conformance to PKCS #11 Profiles . 7 3 ������� Conformance . 8 3.1 Purpose of this Section . 8 3.2 Baseline Consumer Clause . 8 3.2.1 Implementation Conformance . 8 3.2.2 Conformance of a PKCS #11 Baseline Consumer 8 3.3 Baseline Provider Clause . 9 3.3.1 Implementation Conformance . 9 3.3.2 Conformance of a PKCS #11 Baseline Provider 9 3.4 Extended Consumer Clause . 10 3.4.1 Implementation Conformance . 10 3.4.2 Conformance of a PKCS #11 Extended Consumer 10 3.5 Extended Provider Clause . 11 3.5.1 Implementation Conformance . 11 3.5.2 Conformance of a PKCS #11 Extended Provider 11 3.6 Authentication Token Clause . 11 3.6.1 Implementation Conformance . 11 3.6.2 Conformance of a Authentication Token . 11 Appendix A. ������ Acknowledgments . 13 Appendix B. ������ Revision History . 16 1 Introduction 1.1 Description of this Document OASIS requires a conformance section in an approved committee specification ([PKCS11-Base] [TCPROC], section 2.18 Work Product Quality, paragraph 8a):� A specification that is approved by the TC at the Public Review Draft, Committee Specification or OASIS Standard level must include a separate section, listing a set of numbered conformance clauses, to which any implementation of the specification must adhere in order to claim conformance to the specification (or any optional portion thereof). This document intends to meet this OASIS requirement on conformance clauses for providers and consumers of cryptographic services via PKCS #11 ([PKCS11-Base] Section 6 (PKCS#11 Implementation Conformance) through profiles that define the use of PKCS #11 data types, objects, functions and mechanisms within specific contexts of provider and consumer interaction. These profiles define a set of normative constraints for employing PKCS #11 within a particular environment or context of use. They may, optionally, require the use of specific PKCS #11 functionality or in other respects define the processing rules to be followed by profile actors. For normative definition of the elements of PKCS #11 specified in these profiles, see the PKCS #11 Cryptographic Token Interface Base Specification ([PKCS11-Base]).and the PKCS #11 Cryptographic Token Interface Current Mechanisms ([PKCS11-Curr]). Illustrative guidance for the implementation of providers and consumers of PKCS #11 is provided in the PKCS #11 Cryptographic Token Interface Usage Guide � ([PKCS11-UG]). 1.2 Terminology The key words �MUST�, �MUST NOT�, �REQUIRED�, �SHALL�, �SHALL NOT�, �SHOULD�, �SHOULD NOT�, �RECOMMENDED�, �MAY�, and �OPTIONAL� in this document are to be interpreted as described in [RFC2119] . 1.3 Normative References [PKCS11-Base] ������ PKCS #11 Cryptographic Token Interface Base Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. 14 April 2015. OASIS Standard. http://docs.oasis-open.org/pkcs11/pkcs11-base/v2.40/os/pkcs11-base-v2.40-os.html . Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-base/v2.40/pkcs11-base-v2.40.html . [PKCS11-Curr] ������� PKCS #11 Cryptographic Token Interface Current Mechanisms Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. 14 April 2015. OASIS Standard. http://docs.oasis-open.org/pkcs11/pkcs11-curr/v2.40/os/pkcs11-curr-v2.40-os.html . Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-curr/v2.40/pkcs11-curr-v2.40.html . [PKCS11-Hist]�������� PKCS #11 Cryptographic Token Interface Historical Mechanisms Specification Version 2.40 . Edited by Susan Gleeson and Chris Zimman. 14 April 2015. OASIS Standard. http://docs.oasis-open.org/pkcs11/pkcs11-hist/v2.40/os/pkcs11-hist-v2.40-os.html . Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-hist/v2.40/pkcs11-hist-v2.40.html . [RFC2119] �������������� Bradner, S., �Key words for use in RFCs to Indicate Requirement Levels�, BCP 14, RFC 2119, March 1997. http://www.ietf.org/rfc/rfc2119.txt . [TCPROC] �������������� OASIS, Technical Committee (TC) Process, Version 31 January 2013, 31January 2013, https://www.oasis-open.org/policies-guidelines/tc-process . 1.4 Non-Normative References [PKCS11-UG]��������� PKCS #11 Cryptographic Token Interface Usage Guide Version 2.40 . Edited by John Leiseboer and Robert Griffin. 16 November 2014. OASIS Committee Note 02. http://docs.oasis-open.org/pkcs11/pkcs11-ug/v2.40/cn02/pkcs11-ug-v2.40-cn02.html . Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-ug/v2.40/pkcs11-ug-v2.40.html . 2 Profiles 2.1 PKCS #11 Profiles This document defines a selected set of conformance clauses which form PKCS #11 Profiles. The PKCS 11 TC also welcomes proposals for new profiles. PKCS 11 TC members are encouraged to submit these proposals to the PKCS 11 TC for consideration for inclusion in a future version of this TC-approved document. However, some OASIS members MAY simply wish to inform the committee of profiles or other work related to PKCS #11. 2.2 Guidelines for Specifying Conformance Clauses This section provides a checklist of issues that SHALL be addressed by each clause. 1. Implement functionality as mandated by [PKCS11-Base] Section 6 �(PKCS#11 Implementation Conformance) 2. Specify the list of additional data types that SHALL be supported 3. Specify the list of additional objects that SHALL be supported 4. Specify the list of additional functions that SHALL be supported 5. Specify the list of additional mechanisms that SHALL be supported 2.3 Guidelines for Validating Conformance to PKCS #11 Profiles A PKCS #11 provider implementation SHALL claim conformance to a specific provider profile only if it instruments all required data types, objects, functions and mechanisms of that profile � All data types specified as required in that profile � All objects specified as required in that profile � All functions specified as required in that profile � All mechanisms specified as required in that profile A PKCS #11 consumer implementation SHALL claim conformance to a specific consumer profile only if it instruments all required data types, objects, functions and mechanisms of that profile � All data types specified as required in that profile � All objects specified as required in that profile � All functions specified as required in that profile � All mechanisms specified as required in that profile 3 Conformance 3.1 Purpose of this Section The following subsections describe currently-defined profiles related to the use of PKCS #11. The profiles define classes of PKCS #11 functionality to which an implementation can declare conformance. 3.2 Baseline Consumer Clause A PKCS #11 consumer calls a PKCS #11 provider implementation of the PKCS #11 API in order to use the cryptographic functionality from that provider. This profile specifies the most basic functionality that would be expected of a conformant PKCS #11 consumer � the ability to consume information via the cryptographic services offered by a provider. 3.2.1 Implementation Conformance An implementation is a conforming Baseline Consumer Clause if it meets the conditions as outlined in the following section. 3.2.2 Conformance of a PKCS #11 Baseline Consumer An implementation conforms to this specification as a Baseline Consumer if it meets the following conditions: Supports the conditions required by the PKCS #11 conformance clauses ([PKCS11-Base] Section 6 (PKCS#11 Implementation Conformance) Supports the following data types: CK_VERSION ([PKCS11-Base] 3.1) CK_INFO ([PKCS11-Base] 3.1) CK_SLOT_ID ([PKCS11-Base] 3.2) CK_SLOT_INFO ([PKCS11-Base] 3.2) CK_TOKEN_INFO ([PKCS11-Base] 3.2) CK_SESSION_HANDLE ([PKCS11-Base] 3.3) CK_USER_TYPE ([PKCS11-Base] 3.3) CK_SESSION_INFO ([PKCS11-Base] 3.3) CK_OBJECT_HANDLE ([PKCS11-Base] 3.4) CK_OBJECT_CLASS ([PKCS11-Base] 3.4) CK_ATTRIBUTE_TYPE ([PKCS11-Base] 3.4) CK_ATTRIBUTE ([PKCS11-Base] 3.4) CK_RV ([PKCS11-Base] 3.6) CK_FUNCTION_LIST ([PKCS11-Base] 3.6) CK_C_INITIALIZE_ARGS ([PKCS11-Base] 3.7) Supports the following objects: CKA_CLASS ([PKCS11-Base] 4.2) CKA_VALUE ([PKCS11-Base]) � Supports the following functions: C_GetFunctionList ([PKCS11-Base] 5.4) C_Initialize ([PKCS11-Base] 5.4) C_ Finalize ([PKCS11-Base] 5.4) C_ GetInfo ([PKCS11-Base] 5.4) C_ GetSlotList ([PKCS11-Base] 5.5) C_ GetSlotInfo ([PKCS11-Base] 5.5) C_ GetTokenInfo ([PKCS11-Base] 5.5) C_ OpenSession ([PKCS11-Base] 5.6) C_ CloseSession ([PKCS11-Base] 5.6) Supports the following mechanisms: None specified Supports Error Handling ([PKCS11-Base] 5.1) for any supported object, function or mechanism Optionally supports any clause within [PKCS11-Base] that is not listed above Optionally supports extensions outside the scope of this standard (e.g., vendor defined extensions, conformance clauses) that do not contradict any PKCS #11 requirements 3.3 Baseline Provider Clause A PKCS #11 provider makes cryptographic functionality available to a consuming application in terms of the PKCS #11 API. This profile specifies the most basic functionality that would be expected of a conformant PKCS #11 provider � the ability to provide information about the capabilities of the cryptographic services provided. 3.3.1 Implementation Conformance An implementation is a conforming Baseline Provider if it meets the conditions as outlined in the following section. 3.3.2 Conformance of a PKCS #11 Baseline Provider An implementation conforms to this specification as a Baseline Provider if it meets the following conditions: Supports the conditions required by the PKCS #11 conformance clauses ([PKCS11-Base] Section 6 (PKCS#11 Implementation Conformance) Supports the following data types: CK_VERSION ([PKCS11-Base] 3.1) CK_INFO ([PKCS11-Base] 3.1) CK_SLOT_ID ([PKCS11-Base] 3.2) CK_SLOT_INFO ([PKCS11-Base] 3.2) CK_TOKEN_INFO ([PKCS11-Base] 3.2) CK_SESSION_HANDLE ([PKCS11-Base] 3.3) CK_USER_TYPE ([PKCS11-Base] 3.3) CK_SESSION_INFO ([PKCS11-Base] 3.3) CK_OBJECT_HANDLE ([PKCS11-Base] 3.4) CK_OBJECT_CLASS ([PKCS11-Base] 3.4) CK_ATTRIBUTE_TYPE ([PKCS11-Base] 3.4) CK_ATTRIBUTE ([PKCS11-Base] 3.4) CK_RV ([PKCS11-Base] 3.6) CK_FUNCTION_LIST ([PKCS11-Base] 3.6) CK_C_INITIALIZE_ARGS ([PKCS11-Base] 3.7) Supports the following objects: CKA_CLASS ([PKCS11-Base] 4.2) CKA_TOKEN� ([PKCS11-Base] 4.2) CKA_VALUE ([PKCS11-Base]) � CKA_ID ([PKCS11-Base]) CKA_PRIVATE ([PKCS11-Base] x.y) CKA_MODIFIABLE ([PKCS11-Base) CKA_LABEL ([PKCS11-Base) Supports the following functions: C_GetFunctionList ([PKCS11-Base] 5.4) C_Initialize ([PKCS11-Base] 5.4) C_ Finalize ([PKCS11-Base] 5.4) C_ GetInfo ([PKCS11-Base] 5.4) C_ GetSlotList ([PKCS11-Base] 5.5) C_ GetSlotInfo ([PKCS11-Base] 5.5) C_ GetTokenInfo ([PKCS11-Base] 5.5) C_ OpenSession ([PKCS11-Base] 5.6) C_ CloseSession ([PKCS11-Base] 5.6) C_GetSessionInfo ([PKCS11-Base] 5.6) C_FindObjectsInit ([PKCS11-Base] 5.6) C_FindObjects ([PKCS11-Base] 5.6) C_FindObjectsFinal ([PKCS11-Base] 5.6) C_GetAttributeValue ([PKCS11-Base] 5.7) Supports the following mechanisms: None specified Supports Error Handling ([PKCS11-Base] 5.1) for any supported object, function or mechanism Optionally supports any clause within [PKCS11-Base] that is not listed above Optionally supports extensions outside the scope of this standard (e.g., vendor defined extensions, conformance clauses) that do not contradict any PKCS #11 requirements 3.4 Extended Consumer Clause This profile builds on the PKCS#11 Baseline Consumer profile to add support for mechanism-based usage. 3.4.1 Implementation Conformance An implementation is a conforming Extended Consumer if it meets the conditions as outlined in the following section. 3.4.2 Conformance of a PKCS #11 Extended Consumer An implementation conforms to this specification as Extended Consumer if it meets the following conditions: Supports the conditions required by the PKCS11 conformance clauses ([PKCS11-Base] Section 6 (PKCS#11 Implementation Conformance) Supports the conditions required by the PKCS11 Baseline Consumer clauses section 3.2 Supports the following additional data types: CK_MECHANISM_TYPE ([PKCS11-Base] 3.4) CK_MECHANISM ([PKCS11-Base] 3.4) Supports the following additional objects: None specified Supports the following additional functions: C_ GetMechanismList ([PKCS11-Base] 5.5) C_ GetMechanismInfo ([PKCS11-Base] 5.5) Supports the following additional mechanisms: None specified Supports Error Handling ([PKCS11-Base] 5.1) for any supported object, function or mechanism Optionally supports any clause within [PKCS11-Base] that is not listed above Optionally supports extensions outside the scope of this standard (e.g., vendor defined extensions, conformance clauses) that do not contradict any PKCS #11 requirements 3.5 Extended Provider Clause This profile builds on the PKCS#11 Baseline Provider to add support for mechanism-based usage. 3.5.1 Implementation Conformance An implementation is a conforming Extended Provider if it meets the conditions as outlined in the following section. 3.5.2 Conformance of a PKCS #11 Extended Provider An implementation conforms to this specification as Extended Provider if it meets the following conditions: Supports the conditions required by the PKCS #11 conformance clauses ([PKCS11-Base] Section 6 (PKCS#11 Implementation Conformance) Supports the conditions required by the PKCS #11 Baseline Provider clauses section 3.3. Supports the following additional data types: CK_MECHANISM_TYPE ([PKCS11-Base] 3.4) CK_MECHANISM ([PKCS11-Base] 3.4) Supports the following additional objects: None specified Supports the following additional functions: C_ GetMechanismList ([PKCS11-Base] 5.5) C_ GetMechanismInfo ([PKCS11-Base] 5.5) C_ Login ([PKCS11-Base] 5.6) C_Logout ([PKCS11-Base] 5.6) Supports the following additional mechanisms: None specified Supports Error Handling ([PKCS11-Base] 5.1) for any supported object, function or mechanism Optionally supports any clause within [PKCS11-Base] that is not listed above Optionally supports extensions outside the scope of this standard (e.g., vendor defined extensions, conformance clauses) that do not contradict any PKCS #11 requirements 3.6 Authentication Token Clause This profile builds on the PKCS #11 Baseline Provider and/or Baseline Consumer profiles to provide for use in the context of an authentication token. 3.6.1 Implementation Conformance An implementation is a conforming Authentication Token if it meets the conditions as outlined in the following section. 3.6.2 Conformance of a Authentication Token An implementation conforms to this specification as an Authentication Token if it meets the following conditions: If the implementation is a consumer then it SHALL support the conditions required by the PKCS #11 Baseline Consumer Clause (Section 3.2) If the implementation is a provider then it SHALL support the conditions required by the PKCS #11 Baseline Provider Clause (Section 3.3) Supports the following objects: CKO_PRIVATE_KEY CKO_PUBLIC_KEY Supports the following functions: C_Login C_Logout C_SignInit C_Sign and/or C_SignUpdate and C_SignFinal Supports the following mechanisms: None specified Optionally supports any clause within [PKCS11-Base] that is not listed above Optionally supports extensions outside the scope of this standard (e.g., vendor defined extensions, conformance clauses) that do not contradict any PKCS #11 requirements. Appendix A. Acknowledgments The following individuals have participated in the creation of this specification and are gratefully acknowledged: Participants: Gil Abel, Athena Smartcard Solutions, Inc. Warren Armstrong, QuintessenceLabs Jeff Bartell, Semper Foris Solutions LLC Peter Bartok, Venafi, Inc. Anthony Berglas, Cryptsoft Joseph Brand, Semper Fortis Solutions LLC Kelley Burgin, National Security Agency Robert Burns, Thales e-Security Wan-Teh Chang, Google Inc. Hai-May Chao, Oracle Janice Cheng, Vormetric, Inc. Sangrae Cho, Electronics and Telecommunications Research Institute (ETRI) Doron Cohen, SafeNet, Inc. Fadi Cotran, Futurex Tony Cox, Cryptsoft Christopher Duane, EMC Chris Dunn, SafeNet, Inc. Valerie Fenwick, Oracle Terry Fletcher, SafeNet, Inc. Susan Gleeson, Oracle Sven Gossel, Charismathics John Green, QuintessenceLabs Robert Griffin, EMC Paul Grojean, Individual Peter Gutmann, Individual Dennis E. Hamilton, Individual Thomas Hardjono, M.I.T. Tim Hudson, Cryptsoft Gershon Janssen, Individual Seunghun Jin, Electronics and Telecommunications Research Institute (ETRI) Wang Jingman, Feitan Technologies Andrey Jivsov, Symantec Corp. Mark Joseph, P6R Stefan Kaesar, Infineon Technologies Greg Kazmierczak, Wave Systems Corp. Mark Knight, Thales e-Security Darren Krahn, Google Inc. Alex Krasnov, Infineon Technologies AG Dina Kurktchi-Nimeh, Oracle Mark Lambiase, SecureAuth Corporation Lawrence Lee, GoTrust Technology Inc. John Leiseboer, QuintessenceLabs Sean Leon, Infineon Technologies Geoffrey Li, Infineon Technologies Howie Liu, Infineon Technologies Hal Lockhart, Oracle Robert Lockhart, Thales e-Security Dale Moberg, Axway Software Darren Moffat, Oracle Valery Osheter, SafeNet, Inc. Sean Parkinson, EMC Rob Philpott, EMC Mark Powers, Oracle Ajai Puri, SafeNet, Inc. Robert Relyea, Red Hat Saikat Saha, Oracle Subhash Sankuratripati, NetApp Anthony Scarpino, Oracle Johann Schoetz, Infineon Technologies AG Rayees Shamsuddin, Wave Systems Corp. Radhika Siravara, Oracle Brian Smith, Mozilla Corporation David Smith, Venafi, Inc. Ryan Smith, Futurex Jerry Smith, US Department of Defense (DoD) Oscar So, Oracle Graham Steel, Cryptosense Michael Stevens, QuintessenceLabs Michael StJohns, Individual Jim Susoy, P6R Sander Temme, Thales e-Security Kiran Thota, VMware, Inc. Walter-John Turnes, Gemini Security Solutions, Inc. Stef Walter, Red Hat James Wang, Vormetric Jeff Webb, Dell Peng Yu, Feitian Technologies Magda Zdunkiewicz, Cryptsoft Chris Zimman, Individual Appendix B. Revision History Revision Date Editor Changes Made wd01 20-Mar-2013 Tim Hudson Template provided by OASIS wd02 3-Apr-2013 Tim Hudson Initial draft wd03 18-Sep-2013 Tim Hudson Updated draft matching current drafts of the specification wd04 27-Oct-2013 Robert Griffin Final participant list and other editorial changes for Committee Specification Draft wd04a 27-Oct-2013 Tim Hudson Deleted no longer valid comment and corrected unknown section reference. csd01 30-Oct-2013 OASIS Committee Specification Draft wd05 25-Feb-2014 Tim Hudson / Robert Griffin Incorporated changes from� v2.40 public review csd02 23-Apr-2014 OASIS Committee Specification Draft csd02a Sep 3 2013 Robert Griffin Updated revision history and participant list in preparation for Committee Specification ballot