Microsoft Windows Security

  • 3/15/2012

User Account Control and Virtualization

UAC is meant to enable users to run with standard user rights, as opposed to administrative rights. Without administrative rights, users cannot accidentally (or deliberately) modify system settings, malware can’t normally alter system security settings or disable antivirus software, and users can’t compromise the sensitive information of other users on shared computers. Running with standard user rights can thus mitigate the impact of malware and protect sensitive data on shared computers.

UAC had to address several problems to make it practical for a user to run with a standard user account. First, because the Windows usage model has been one of assumed administrative rights, software developers assumed their programs would run with those rights and so could access and modify any file, registry key, or operating system setting. The second problem UAC had to address was that users sometimes need administrative rights to perform such operations as installing software, changing the system time, and opening ports in the firewall.

The UAC solution to these problems is to run most applications with standard user rights, even though the user is logged in to an account with administrative rights; but at the same time, UAC makes it possible for standard users to access administrative rights when they need them—whether for legacy applications that require them or for changing certain system settings.

As described previously, UAC accomplishes this by creating a filtered admin token as well as the normal admin token when a user logs in to an administrative account. All processes created under the user’s session will normally have the filtered admin token in effect so that applications that can run with standard user rights will do so. However, the administrative user can run a program or perform other functions that require full administrator rights by performing UAC Elevation.

Windows also allows certain tasks that were previously considered reserved for administrators to be performed by standard users, enhancing the usability of the standard user environment. For example, Group Policy settings exist that can enable standard users to install printer and other device drivers approved by IT administrators and to install ActiveX controls from administrator-approved sites.

Finally, when software developers test in the UAC environment, they are encouraged to develop applications that can run without administrative rights. Fundamentally, nonadministrative programs should not need to run with Administrator privileges; programs that often require Administrator privileges are typically legacy programs using old APIs or techniques, and they should be updated.

Together, these changes obviate the need for users to run with administrative rights all the time.

File System and Registry Virtualization

Although some software legitimately requires administrative rights, many programs needlessly store user data in system-global locations. When an application executes, it can be running in different user accounts, and it should therefore store user-specific data in the per-user %AppData% directory and save per-user settings in the user’s registry profile under HKEY_CURRENT_USER\Software. Standard user accounts don’t have write access to the %ProgramFiles% directory or HKEY_LOCAL_MACHINE\Software, but because most Windows systems are single-user and most users have been administrators until UAC was implemented, applications that incorrectly saved user data and settings to these locations worked anyway.

Windows enables these legacy applications to run in standard user accounts through the help of file system and registry namespace virtualization. When an application modifies a system-global location in the file system or registry and that operation fails because access is denied, Windows redirects the operation to a per-user area. When the application reads from a system-global location, Windows first checks for data in the per-user area and, if none is found, permits the read attempt from the global location.

Windows will always enable this type of virtualization unless

  • The application is 64-bit. Because virtualization is purely an application-compatibility technology meant to help legacy applications, it is enabled only for 32-bit applications. The world of 64-bit applications is relatively new and developers should follow the development guidelines for creating standard user-compatible applications.

  • The application is already running with administrative rights. In this case, there is no need for any virtualization.

  • The operation came from a kernel-mode caller.

  • The operation is being performed while the caller is impersonating. For example, any operations not originating from a process classified as legacy according to this definition, including network file-sharing accesses, are not virtualized.

  • The executable image for the process has a UAC-compatible manifest (specifying a requestedExecutionLevel setting, described in the next section).

  • The administrator does not have write access to the file or registry key. This exception exists to enforce backward compatibility, because the legacy application would have failed before UAC was implemented even if the application was run with administrative rights.

  • Services are never virtualized.

You can see the virtualization status (as discussed previously, the process’ virtualization status is stored as a flag in its token) of a process by adding the UAC Virtualization column to Task Manager’s Processes page, as shown in Figure 6-15. Most Windows components—including the Desktop Window Manager (Dwm.exe), the Client Server Run-Time Subsystem (Csrss.exe), and Explorer—have virtualization disabled because they have a UAC-compatible manifest or are running with administrative rights and so do not allow virtualization. Internet Explorer (Iexplore.exe) has virtualization enabled because it can host multiple ActiveX controls and scripts and must assume that they were not written to operate correctly with standard user rights.

In addition to file system and registry virtualization, some applications require additional help to run correctly with standard user rights. For example, an application that tests the account in which it’s running for membership in the Administrators group might otherwise work, but it won’t run if it’s not in that group. Windows defines a number of application-compatibility shims to enable such applications to work anyway. The shims most commonly applied to legacy applications for operation with standard user rights are shown in Table 6-10. Note that, if required, virtualization can be completely disabled for a system using a local security policy setting.

Figure 6-15

Figure 6-15 Using Task Manager to view virtualization status

Table 6-10 UAC Virtualization Shims




Changes CreateProcess to handle ERROR_ELEVATION_REQUIRED errors by calling the application information service to prompt for elevation


Spoofs queries of Administrator group membership


Spoofs successful deletion of global files and directories


Forces global section objects into the user’s namespace


Redirects global registration of COM objects to a per-user location


Converts per-machine typelib registrations to per-user registrations

File Virtualization

The file system locations that are virtualized for legacy processes are %ProgramFiles%, %ProgramData%, and %SystemRoot%, excluding some specific subdirectories. However, any file with an executable extension—including .exe, .bat, .scr, .vbs, and others—is excluded from virtualization. This means that programs that update themselves from a standard user account fail instead of creating private versions of their executables that aren’t visible to an administrator running a global updater.

Modifications to virtualized directories by legacy processes are redirected to the user’s virtual root directory, %LocalAppData%\VirtualStore. The Local component of the path highlights the fact that virtualized files don’t roam with the rest of the profile when the account has a roaming profile. If you navigate in Explorer to a directory containing virtualized files, Explorer displays a button labeled Compatibility Files in its toolbar, as shown in Figure 6-16. Clicking the button takes you to the corresponding VirtualStore subdirectory to show you the virtualized files.

Figure 6-16

Figure 6-16 Virtualized files are displayed here

The UAC File Virtualization Filter Driver (%SystemRoot%\System32\Drivers\Luafv.sys) implements file system virtualization. Because this is a file system filter driver, it sees all local file system operations, but it implements functionality only for operations from legacy processes. As shown in Figure 6-17, the filter driver changes the target file path for a legacy process that creates a file in a system-global location but does not for a nonvirtualized process with standard user rights. Default permissions on the \Windows directory deny access to the application written with UAC support, but the legacy process acts as though the operation succeeds, when it really created the file in a location fully accessible by the user.

Figure 6-17

Figure 6-17 UAC File Virtualization Filter Driver operation

Registry Virtualization

Registry virtualization is implemented slightly differently from file system virtualization. Virtualized registry keys include most of the HKEY_LOCAL_MACHINE\Software branch, but there are numerous exceptions, such as the following:

  • HKLM\Software\Microsoft\Windows

  • HKLM\Software\Microsoft\Windows NT

  • HKLM\Software\Classes

Only keys that are commonly modified by legacy applications, but that don’t introduce compatibility or interoperability problems, are virtualized. Windows redirects modifications of virtualized keys by a legacy application to a user’s registry virtual root at HKEY_ CURRENT_USER\Software\Classes\VirtualStore. The key is located in the user’s Classes hive, %LocalAppData%\Microsoft\Windows\UsrClass.dat, which, like any other virtualized file data, does not roam with a roaming user profile. Instead of maintaining a fixed list of virtualized locations as Windows does for the file system, the virtualization status of a key is stored as a combination of flags, shown in Table 6-11.

Table 6-11 Registry Virtualization Flags




Specifies whether virtualization is enabled for this key. If the flag is set, virtualization is disabled.


If the REG_KEY_DONT_VIRTUALIZE flag is set (virtualization is disabled), this key specifies that a legacy application that would be denied access performing an operation on the key is instead granted MAXIMUM_ALLOWED rights to the key (any access the account is granted), instead of the rights the application requested. If this flag is set, it implicitly disables virtualization as well.


Determines whether the virtualization flags will propagate to the child keys (subkeys) of this key.

You can use the Reg.exe utility included in Windows, with the flags option, to display the current virtualization state for a key or to set it. In Figure 6-18, note that the HKLM\Software key is fully virtualized, but the Windows subkey (and all its children) have only silent failure enabled.

Figure 6-18

Figure 6-18 UAC registry virtualization flags on the Software and Windows keys

Unlike file virtualization, which uses a filter driver, registry virtualization is implemented in the configuration manager. (See Chapter 4 for more information on the registry and the configuration manager.) As with file system virtualization, a legacy process creating a subkey of a virtualized key is redirected to the user’s registry virtual root, but a UAC-compatible process is denied access by default permissions. This is shown in Figure 6-19.

Figure 6-19

Figure 6-19 UAC registry virtualization operation


Even if users run only programs that are compatible with standard user rights, some operations still require administrative rights. For example, the vast majority of software installations require administrative rights to create directories and registry keys in system-global locations or to install services or device drivers. Modifying system-global Windows and application settings also requires administrative rights, as does the parental controls feature. It would be possible to perform most of these operations by switching to a dedicated administrator account, but the inconvenience of doing so would likely result in most users remaining in the administrator account to perform their daily tasks, most of which do not require administrative rights.

It’s important to be aware that UAC elevations are conveniences and not security boundaries. A security boundary requires that security policy dictate what can pass through the boundary. User accounts are an example of a security boundary in Windows, because one user can’t access the data belonging to another user without having that user’s permission.

Because elevations aren’t security boundaries, there’s no guarantee that malware running on a system with standard user rights can’t compromise an elevated process to gain administrative rights. For example, elevation dialog boxes only identify the executable that will be elevated; they say nothing about what it will do when it executes.

Running with Administrator Rights

Windows includes enhanced “run as” functionality so that standard users can conveniently launch processes with administrative rights. This functionality requires giving applications a way to identify operations for which the system can obtain administrative rights on behalf of the application, as necessary. (We’ll say more on this topic shortly.)

To enable users acting as system administrators to run with standard user rights but not have to enter user names and passwords every time they want to access administrative rights, Windows makes use of a mechanism called Admin Approval Mode (AAM). This feature creates two identities for the user at logon: one with standard user rights and another with administrative rights. Since every user on a Windows system is either a standard user or acting for the most part as a standard user in AAM, developers must assume that all Windows users are standard users, which will result in more programs working with standard user rights without virtualization or shims.

Granting administrative rights to a process is called elevation. When elevation is performed by a standard user account (or by a user who is part of an administrative group but not the actual Administrators group), it’s referred to as an over-the-shoulder (OTS) elevation because it requires the entry of credentials for an account that’s a member of the Administrators group, something that’s usually completed by a user typing over the shoulder of a standard user. An elevation performed by an AAM user is called a consent elevation because the user simply has to approve the assignment of his administrative rights.

Stand-alone systems, which are typically home computers, and domain-joined systems treat AAM access by remote users differently because domain-connected computers can use domain administrative groups in their resource permissions. When a user accesses a stand-alone computer’s file share, Windows requests the remote user’s standard user identity, but on domain-joined systems, Windows honors all the user’s domain group memberships by requesting the user’s administrative identity. Executing an image that requests administrative rights causes the application information service (AIS, contained in %SystemRoot%\System32\Appinfo.dll), which runs inside a service host process (%SystemRoot%\System32\Svchost.exe), to launch Consent.exe (%SystemRoot%\System32\Consent.exe). Consent captures a bitmap of the screen, applies a fade effect to it, switches to a desktop that’s accessible only to the local system account (the secure desktop), paints the bitmap as the background, and displays an elevation dialog box that contains information about the executable. Displaying this dialog box on a separate desktop prevents any application present in the user’s account from modifying the appearance of the dialog box.

If an image is a Windows component digitally signed by Microsoft and the image is in the Windows system directory, the dialog box displays a blue stripe across the top, as shown at the top of Figure 6-20, with a blue and gold shield at the left end of the stripe. If the image is signed by someone other than Microsoft, or if it is signed by Microsoft but resides in a directory tree other than the Windows directory tree, the shield becomes solid blue with a question mark over it. If the image is unsigned, the shield background and the stripe both become orange, the shield has an exclamation point over it, and the prompt stresses the unknown origin of the image. The elevation dialog box shows the image’s icon, description, and publisher for digitally signed images, but it shows only the file name and “Unknown publisher” for unsigned images. This difference makes it harder for malware to mimic the appearance of legitimate software. The Details button at the bottom of the dialog box expands it to show the command line that will be passed to the executable if it launches.

Figure 6-20

Figure 6-20 AAC UAC elevation dialog boxes based on image signature

The OTS consent dialog box, shown in Figure 6-21, is similar, but prompts for administrator credentials. It will list any accounts with administrator rights.

Figure 6-21

Figure 6-21 OTS consent dialog box

If a user declines an elevation, Windows returns an access-denied error to the process that initiated the launch. When a user agrees to an elevation by either entering administrator credentials or clicking Continue, AIS calls CreateProcessAsUser to launch the process with the appropriate administrative identity. Although AIS is technically the parent of the elevated process, AIS uses new support in the CreateProcessAsUser API that sets the process’ parent process ID to that of the process that originally launched it. (See Chapter 5, “Processes and Threads,” for more information on processes and this mechanism.) That’s why elevated processes don’t appear as children of the AIS service-hosting process in tools such as Process Explorer that show process trees. Figure 6-22 shows the operations involved in launching an elevated process from a standard user account.

Figure 6-22

Figure 6-22 Launching an administrative application as a standard user

Requesting Administrative Rights

There are a number of ways the system and applications identify a need for administrative rights. One that shows up in the Explorer user interface is the Run As Administrator context menu command and shortcut option. These items also include a blue and gold shield icon that should be placed next to any button or menu item that will result in an elevation of rights when it is selected. Choosing the Run As Administrator command causes Explorer to call the ShellExecute API with the “runas” verb.

The vast majority of installation programs require administrative rights, so the image loader, which initiates the launch of an executable, includes installer-detection code to identify likely legacy installers. Some of the heuristics it uses are as simple as detecting internal version information or whether the image has the words setup, install, or update in its file name. More sophisticated means of detection involve scanning for byte sequences in the executable that are common to third-party installation wrapper utilities. The image loader also calls the application compatibility library to see if the target executable requires administrator rights. The library looks in the application compatibility database to see whether the executable has the RequireAdministrator or RunAsInvoker compatibility flag associated with it.

The most common way for an executable to request administrative rights is for it to include a requestedExecutionLevel tag in its application manifest file. The element’s level attribute can have one of the three values shown in Table 6-12.

Table 6-12 Requested Elevation Levels

Elevation Level



As Invoker

No need for administrative rights; never ask for elevation.

Typical user applications that don’t need administrative privileges—for example, Notepad.

Highest Available

Request approval for highest rights available. If the user is logged on as a standard user, the process will be launched as invoker; otherwise, an AAM elevation prompt will appear, and the process will run with full administrative rights.

Applications that can function without full administrative rights but expect users to want full access if it’s easily accessible. For example, the Registry Editor, Microsoft Management Console, and the Event Viewer use this level.

Require Administrator

Always request administrative rights—an OTS elevation dialog box prompt will be shown for standard users; otherwise, AAM.

Applications that require administrative rights to work, such as the Firewall Settings editor, which affects systemwide security.

The presence of the trustInfo element in a manifest (which you can see in the excerpted string dump of eventvwr.exe discussed next) denotes an executable that was written with support for UAC and the requestedExecutionLevel element nests within it. The uiAccess attribute is where accessibility applications can use the UIPI bypass functionality mentioned earlier.

C:\>strings c:\Windows\System32\eventvwr.exe
<trustInfo xmlns="urn:schemas-microsoft-com:asm.v3">
   <asmv3:windowsSettings xmlns="">

An easier way to determine the values specified by an executable is to view its manifest with the Sysinternals Sigcheck utility, like this:

sigcheck –m <executable>


In the default configuration (see the next section for information on changing this), most Windows executables and control panel applets do not result in elevation prompts for administrative users, even if they need administrative rights to run. This is because of a mechanism called auto-elevation. Auto-elevation is intended to preclude administrative users from seeing elevation prompts for most of their work; the programs will automatically run under the user’s full administrative token.

Auto-elevation has several requirements. The executable in question must be considered as a Windows executable. This means it must be signed by the Windows publisher (not just by Microsoft), and it must be in one of several directories considered secure: %SystemRoot%\System32 and most of its subdirectories, %Systemroot%\Ehome, and a small number of directories under %ProgramFiles%—for example, those containing Windows Defender and Windows Journal.

There are additional requirements, depending on the type of executable.

.exe files other than Mmc.exe auto-elevate if they are requested via an autoElevate element in their manifest. The string dump of EventVwr.exe in the previous section illustrates this.

Windows also includes a short internal list of executables that are auto-elevated without the autoElevate element. Two examples are Spinstall.exe, the service pack installer, and Pkgmgr.exe, the package manager. They are handled this way because they are also supplied external to Windows 7; they must be able to run on earlier versions of Windows where the autoExecute element in their manifest might cause an error. These executables must still meet the signing and directory requirements for Windows executables as described previously.

Mmc.exe is treated as a special case, because whether it should auto-elevate or not depends on which system management snap-ins it is to load. Mmc.exe is normally invoked with a command line specifying an .msc file, which in turn specifies which snap-ins are to be loaded. When Mmc.exe is run from a protected administrator account (one running with the limited administrator token), it asks Windows for administrative rights. Windows validates that Mmc.exe is a Windows executable and then checks the .msc. The .msc must also pass the tests for a Windows executable, and furthermore must be on an internal list of auto-elevate .msc’s. This list includes nearly all .msc files in Windows.

Finally, COM objects can request administrative rights within their registry key. To do so requires a subkey named Elevation with a REG_DWORD value named Enabled, having a value of 1. Both the COM object and its instantiating executable must meet the Windows executable requirements, though the executable need not have requested auto-elevation.

Controlling UAC Behavior

UAC can be modified via the dialog box shown in Figure 6-23. This dialog box is available under Control Panel, Action Center, Change User Account Control Settings. Figure 6-23 shows the control in its default position for Windows 7.

Figure 6-23

Figure 6-23 User Account Control settings

The four possible settings have the effects described in Table 6-13.

Table 6-13 User Account Control Options

Slider Position

When administrative user not running with administrative rights...


...attempts to change Windows settings, for example, use certain Control Panel applets

...attempts to install software, or run a program whose manifest calls for elevation, or uses Run As Administrator

Highest position (“Always notify”)

UAC elevation prompt appears on the secure desktop

UAC elevation prompt appears on the secure desktop

This was the Windows Vista behavior

Second position

UAC elevation occurs automatically with no prompt or notification

UAC elevation prompt appears on the secure desktop

Windows 7 default setting

Third position

UAC elevation occurs automatically with no prompt or notification

UAC elevation prompt appears on the user’s normal desktop

Not recommended

Lowest position (“Never notify”)

UAC is turned off for administrative users

UAC is turned off for administrative users

Not recommended.

The third position is not recommended because the UAC elevation prompt appears not on the secure desktop but on the normal user’s desktop. This could allow a malicious program running in the same session to change the appearance of the prompt. It is intended for use only in systems where the video subsystem takes a long time to dim the desktop or is otherwise unsuitable for the usual UAC display.

The lowest position is strongly discouraged because it turns UAC off completely as far as administrative accounts are concerned. All processes run by a user with an administrative account will be run with the user’s full administrative rights in effect; there is no filtered admin token. Registry and file system virtualization are disabled as well for these accounts, and the Protected mode of Internet Explorer is disabled. However, virtualization is still in effect for nonadministrative accounts, and nonadministrative accounts will still see an OTS elevation prompt when they attempt to change Windows settings, run a program that requires elevation, or use the Run As Administrator context menu option in Explorer.

The UAC setting is stored in four values in the registry under HKEY_LOCAL_MACHINE\SOFTWARE\Microsoft\Windows\CurrentVersion\Policies\System, as shown in Table 6-14. ConsentPromptBehaviorAdmin controls the UAC elevation prompt for administrators running with a filtered admin token, and ConsentPromptBehaviorUser controls the UAC prompt for users other than administrators.

Table 6-14 User Account Control Registry Values

Slider Position

ConsentPrompt BehaviorAdmin

ConsentPrompt BehaviorUser



Highest position (“Always notify”)

2 (display AAC UAC elevation prompt)

3 (display OTS UAC elevation prompt)

1 (enabled)

1 (enabled)

Second position

5 (display AAC UAC elevation prompt, except for changes to Windows settings)




Third position




0 (disabled; UAC prompt appears on user’s normal desktop)

Lowest position (“Never notify”)



0 (disabled. Logins to administrative accounts do not create a restricted admin access token)