· 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 OASIS PKCS 11 TC 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. 23 December 2014. Candidate OASIS Standard 01. http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/cos01/pkcs11-profiles-v2.40-cos01.html. Latest version: http://docs.oasis-open.org/pkcs11/pkcs11-profiles/v2.40/pkcs11-profiles-v2.40.html.

Notices

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This document and translations of it may be copied and furnished to others, and derivative works that comment on or otherwise explain it or assist in its implementation may be prepared, copied, published, and distributed, in whole or in part, without restriction of any kind, provided that the above copyright notice and this section are included on all such copies and derivative works. However, this document itself may not be modified in any way, including by removing the copyright notice or references to OASIS, except as needed for the purpose of developing any document or deliverable produced by an OASIS Technical Committee (in which case the rules applicable to copyrights, as set forth in the OASIS IPR Policy, must be followed) or as required to translate it into languages other than English.

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The name "OASIS" is a trademark of OASIS, the owner and developer of this specification, and should be used only to refer to the organization and its official outputs. OASIS welcomes reference to, and implementation and use of, specifications, while reserving the right to enforce its marks against misleading uses. Please see https://www.oasis-open.org/policies-guidelines/trademark for above guidance.

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. 23 December 2014. Candidate OASIS Standard 01. http://docs.oasis-open.org/pkcs11/pkcs11-base/v2.40/cos01/pkcs11-base-v2.40-cos01.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. 23 December 2014. Candidate OASIS Standard 01. http://docs.oasis-open.org/pkcs11/pkcs11-curr/v2.40/cos01/pkcs11-curr-v2.40-cos01.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. 23 December 2014. Candidate OASIS Standard 01. http://docs.oasis-open.org/pkcs11/pkcs11-hist/v2.40/cos01/pkcs11-hist-v2.40-cos01.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

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	Committeee Specification Draft
wd05	25-Feb-2014	Tim Hudson / Robert Griffin	Incorporated changes from v2.40 public review
csd02	23-Apr-2014	OASIS	Committeee Specification Draft
csd02a	Sep 3 2013	Robert Griffin	Updated revision history and participant list in preparation for Committee Specification ballot