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## IAIK PKCS#11 Wrapper

Introduction

See:
Description

Packages
iaik.pkcs.pkcs11 | This package provides a object oriented API to access PKCS#11 modules.
iaik.pkcs.pkcs11.objects | This package contains all classes for objects and attributes as known from PKCS#11.
iaik.pkcs.pkcs11.parameters | This package contains all classes for parameters objects.
iaik.pkcs.pkcs11.wrapper | This package contains the first (lowest) Java layer of the PKCS#11 wrapper.

# Introduction

This is a library to access PKCS#11 modules from the Java programming language. It uses the Java Native Interface to access the PKCS#11 modules of smart cards or other hardware security modules (HSM). People at IBM had the idea of implementing such a wrapper much earlier. Their wrapper also works very well, but one cannot use their implementation for commercial purposes or redistribute it for any other purpose.

Please notice that this library does not come with a JCA or JCE provider implementation. For this purpose there is a different product - the IAIK PKCS#11 Provider.

## The Layer Model of the System

Figure 1 shows the layer model of this library. This library consists of the Object Oriented (OO) Java Wrapper API for PKCS#11, the (non-Object Oriented) Java Wrapper API for PKCS#11 and the Native Module of the Wrapper, the green layers in the figure. The following paragraphs describe these parts. The lowest layer, the PKCS#11 Module of the Smart Card, is the PKCS#11 module that the smart card manufacturer supplies. This is normally a DLL or shared library. As the arrows show, the uppermost layer depends on the Java Wrapper for PKCS#11, but not vice versa. This means you can use the Java Wrapper for PKCS#11 directly and build your application upon it without using the OO layer. This can be useful to create smaller applications, because you do not need most of the classes of the package iaik.pkcs.pkcs11 and no class from iaik.pkcs.pkcs11.objects and iaik.pkcs.pkcs11.parameters. The only classes from iaik.pkcs.pkcs11 you need are the exception classes.
Figure 1

### The Object-Oriented Java API for PKCS#11

This object-oriented Java API resides in the packages iaik.pkcs.pkcs11, iaik.pkcs.pkcs11.objects and iaik.pkcs.pkcs11.parameters. It provides a straight forward mapping of the PKCS#11 v2.20 standard to a set of classes and interfaces. The package iaik.pkcs.pkcs11.objects is a model of the object hierarchy presented in this PKCS#11 standard. The package iaik.pkcs.pkcs11.parameters provides classes for objects that act as parameters for mechanisms which require specific arguments. This layer solely builds upon the Java API for PKCS#11 as implemented by the Java Wrapper for PKCS#11.

### The Java API for PKCS#11

The non-Object Oriented Java Wrapper API for PKCS#11 is a set of Java classes and interfaces that reflects the PKCS#11 API. It is a straightforward realization of the data structures as defined in PKCS#11. For each structure in the pkcs11t.h header file of PKCS#11, there is a corresponding class in the package iaik.pkcs.pkcs11.wrapper. Notice, that this is not an object oriented approach at this level; it is just a straightforward mapping of the data structures to Java. All adoptions to the PKCS#11 API, including wrapping into an object oriented approach, appear in the Object Oriented Java Wrapper API for PKCS#11. The interface PKCS11 in the iaik.pkcs.pkcs11.wrapper package is the interface to a PKCS#11 module and provides access to the functions defined by PKCS#11. All names of classes, data structures and methods are the same as the corresponding PKCS#11 counterpart. The PKCS11Connector instantiates an object that implements this PKCS11 interface. The returned object gives access to the PKCS#11 module of the smart card; it is the Java-Counterpart to the CK_C_GetFunctionList returned by the C_GetFunctionList function in PKCS#11. The Module class in the object-oriented layer provides the respective functionality. Have a look at the demo.pkcs.pkcs11 package in the demo directory for sample programs.

### The Native Module of the Wrapper

This native module of the wrapper is responsible for translation of the Java data structures, which the Java API for PKCS#11 part defines, to native PKCS#11 data structures and vice versa. This module of the system does not include any additional logic, it only provides a straightforward mapping from the Java API for PKCS#11 to the PKCS#11 Module of the Smart Card. This layer is necessary, because the JNI requires the native functions to have a special signature that is defined by JNI itself. PKCS#11 and JNI are not compatible as they are, and this is the reason why this layer is necessary at all. In compiled form, this module is a native DLL or shared library.

## Compatibility

This implementation should be compatible to all Java2 (and also JDK 1.1.8) and JNI 1.1. It relies on the PKCS#11 version 2.20 but it should also work with any 2.x driver. The native code is written in C and can be compiled on different Windows and Unix platforms.

## Performance

Tests showed that the calls through the Java Native Interface (JNI) and the parameter conversions do not take much time. We did a short test on an AMD Athlon 1.4 GHz using SUN JDK 1.3.1_04. It showed that an update call to a digest through the wrapper, providing a 1024 bytes block of data, takes not even 0.01 milliseconds on average. This time includes the Java call in the PKCS#11 Wrapper, in the native code of the wrapper (including conversion of parameters from Java to PKCS#11 structures) and down to the call to the PKCS#11 module. This excludes the time for the calculation time in the PKCS#11 module. We tested this by using a dummy PKCS#11 module that does nothing in its digest functions. The core code from the testing routine looks like this:

      long t0 = System.currentTimeMillis();
      for (int i = 0; i < 10000; i++) {
        session.digestUpdate(dataBuffer);
      }
      long t1 = System.currentTimeMillis();

We took a time difference of about 90 milliseconds between t1 and t0, which results in 0.009 milliseconds per call. This value is roughly the same for a data buffer of 1024 bytes and 4096 bytes.

Sending a file with 4.372.615 bytes to the PKCS#11 module took about 70 milliseconds sending the data in 1024 byte blocks; this results in 4271 calls to the update method. Increasing the block size to 4096 bytes improves the performance significantly. The test with the file includes reading the data directly from file and feeding it to the PKCS#11 Wrapper on the fly. However, we read the complete file once, before we did the test run, what causes the operating system the have the file cached in memory for the real test run. Then sending the same amount of data takes 30 milliseconds; this results in 1068 calls to the update method.

During the performance tests it showed out that it is even worth to calculate relatively simple cryptographic operations likes hashes through a PKCS#11 module. For example, we compared a pure Java implementation and C implementation of the SHA- 1 hashing algorithm. Both use very similar code; i.e. the compression function is nearly a copy and paste from Java to C. However, the C implementation, accessed through the PKCS#11 Wrapper, is about double as fast as the Java implementation (using the same environment as before).

These tests unquestionably prove that this library is suitable for high performance server applications.

## License

We provide this software under an Apache style license. The complete license text is as follows.

`Copyright (c) 2002 Graz University of Technology. All rights reserved.`

Redistribution and use in source and binary forms, with or without modification, are permitted provided that the following conditions are met:

1. Redistributions of source code must retain the above copyright notice, this list of conditions and the following disclaimer.

2. Redistributions in binary form must reproduce the above copyright notice, this list of conditions and the following disclaimer in the documentation and/or other materials provided with the distribution.

3. The end-user documentation included with the redistribution, if any, must include the following acknowledgment:

   "This product includes software developed by IAIK of Graz University of Technology."

   Alternately, this acknowledgment may appear in the software itself, if and wherever such third-party acknowledgments normally appear.

4. The names "Graz University of Technology" and "IAIK of Graz University of Technology" must not be used to endorse or promote products derived from this software without prior written permission.

5. Products derived from this software may not be called "IAIK PKCS Wrapper", nor may "IAIK" appear in their name, without prior written permission of Graz University of Technology.

THIS SOFTWARE IS PROVIDED "AS IS" AND ANY EXPRESSED OR IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE ARE DISCLAIMED. IN NO EVENT SHALL THE LICENSOR BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL, EXEMPLARY, OR CONSEQUENTIAL DAMAGES (INCLUDING, BUT NOT LIMITED TO, PROCUREMENT OF SUBSTITUTE GOODS OR SERVICES; LOSS OF USE, DATA, OR PROFITS; OR BUSINESS INTERRUPTION) HOWEVER CAUSED AND ON ANY THEORY OF LIABILITY, WHETHER IN CONTRACT, STRICT LIABILITY, OR TORT (INCLUDING NEGLIGENCE OR OTHERWISE) ARISING IN ANY WAY OUT OF THE USE OF THIS SOFTWARE, EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGE.

## References

1. PKCS#11, Version 2.20, by RSA Laboratories
2. Java 2 Platform, by Sun Microsystems
3. Java Native Interface 1.1, by Sun Microsystems
4. PKCS#11 API for Java, by IBM Alphaworks

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IAIK at Graz University of Technology, Austria, Europe
Copyright 2001-2004, IAIK, Graz University of Technology, Inffeldgasse 16a, 8010 Graz, Austria. All Rights Reserved. version 1.2.18