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Microsoft Windows
FIPS 140 Validation
Microsoft Windows 10 (May 2019 Update, November 2019
Update and May 2020 Update)
Microsoft Windows Server (versions 1903, 1909, and 2004)
Non-Proprietary
Security Policy Document
Version Number 1.2
Updated On April 19, 2023
Code Integrity Security Policy Document
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This Security Policy is non-proprietary and may be reproduced only in its original entirety (without revision).
The information contained in this document
represents the current view of Microsoft Corporation
on the issues discussed as of the date of publication.
Because Microsoft must respond to changing market
conditions, it should not be interpreted to be a
commitment on the part of Microsoft, and Microsoft
cannot guarantee the accuracy of any information
presented after the date of publication.
This document is for informational purposes only.
MICROSOFT MAKES NO WARRANTIES, EXPRESS
OR IMPLIED, AS TO THE INFORMATION IN THIS
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Version History
Version Date Summary of Changes
1.0 November 4, 2020 Draft sent to NIST CMVP
1.1 October 28, 2022 Updates in response to NIST comments
1.2 April 19, 2023 Added CMVP certificate numbers for bounded modules
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TABLE OF CONTENTS
SECURITY POLICY DOCUMENT.....................................................................................................1
1 INTRODUCTION...................................................................................................................7
1.1 LIST OF CRYPTOGRAPHIC MODULE BINARY EXECUTABLES..................................................................7
1.2 VALIDATED PLATFORMS............................................................................................................8
2 CRYPTOGRAPHIC MODULE SPECIFICATION...........................................................................8
2.1 CRYPTOGRAPHIC BOUNDARY....................................................................................................14
2.2 FIPS 140-2 APPROVED ALGORITHMS ........................................................................................14
2.3 NON-APPROVED ALGORITHMS .................................................................................................14
2.4 FIPS 140-2 APPROVED ALGORITHMS FROM BOUNDED MODULES ....................................................14
2.5 CRYPTOGRAPHIC BYPASS.........................................................................................................15
2.6 HARDWARE COMPONENTS OF THE CRYPTOGRAPHIC MODULE..........................................................15
3 CRYPTOGRAPHIC MODULE PORTS AND INTERFACES ..........................................................16
3.1 CODE INTEGRITY EXPORT FUNCTIONS .........................................................................................16
3.1.1 CIINITIALIZE....................................................................................................................................16
3.1.2 CIGETPEINFORMATION....................................................................................................................17
3.1.3 CIVERIFYHASHINCATALOG................................................................................................................17
3.1.4 CICHECKSIGNEDFILE ........................................................................................................................17
3.1.5 CIFINDPAGEHASHESINCATALOG........................................................................................................17
3.1.6 CIFINDPAGEHASHESINSIGNEDFILE .....................................................................................................17
3.1.7 CIFREEPOLICYINFO ..........................................................................................................................18
3.1.8 CISETTRUSTEDORIGINCLAIMID..........................................................................................................18
3.1.9 CIVALIDATEFILEOBJECT ....................................................................................................................18
3.2 CODE INTEGRITY CALLBACK FUNCTIONS ......................................................................................18
3.2.1 CIVALIDATEIMAGEHEADER ...............................................................................................................18
3.2.2 CIVALIDATEIMAGEDATA...................................................................................................................19
3.2.3 CIQUERYINFORMATION....................................................................................................................19
3.2.4 CISETFILECACHE..............................................................................................................................19
3.2.5 CIGETFILECACHE.............................................................................................................................19
3.2.6 CIHASHMEMORY()..........................................................................................................................19
3.2.7 KAPPXISPACKAGEFILE ......................................................................................................................20
3.2.8 CICOMPARESIGNINGLEVELS ..............................................................................................................20
3.2.9 CIVALIDATEFILEASIMAGETYPE...........................................................................................................20
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3.2.10 CIREGISTERSIGNINGINFORMATION.....................................................................................................20
3.2.11 CIUNREGISTERSIGNINGINFORMATION ................................................................................................20
3.2.12 CIINITIALIZEPOLICY ..........................................................................................................................20
3.2.13 CIPQUERYPOLICYINFORMATION ........................................................................................................20
3.2.14 CIVALIDATEDYNAMICCODEPAGES......................................................................................................20
3.2.15 SIPOLICYQUERYSECURITYPOLICY .......................................................................................................20
3.2.16 CIREVALIDATEIMAGE .......................................................................................................................20
3.2.17 CISETUNLOCKINFORMATION.............................................................................................................20
3.2.18 CIGETBUILDEXPIRYTIME...................................................................................................................20
3.2.19 CIGETSTRONGIMAGEREFERENCE .......................................................................................................20
3.2.20 CIRELEASECONTEXT.........................................................................................................................21
3.2.21 CIHVCISETIMAGEBASEADDRESS ........................................................................................................21
3.3 CONTROL INPUT INTERFACE .....................................................................................................21
3.4 STATUS OUTPUT INTERFACE.....................................................................................................21
3.5 DATA INPUT INTERFACE ..........................................................................................................21
3.6 DATA OUTPUT INTERFACE .......................................................................................................21
4 ROLES, SERVICES AND AUTHENTICATION...........................................................................21
4.1 ROLES.................................................................................................................................21
4.2 SERVICES.............................................................................................................................21
4.3 AUTHENTICATION..................................................................................................................23
5 FINITE STATE MODEL.........................................................................................................23
5.1 SPECIFICATION......................................................................................................................23
6 OPERATIONAL ENVIRONMENT...........................................................................................24
6.1 SINGLE OPERATOR.................................................................................................................24
6.2 CRYPTOGRAPHIC ISOLATION.....................................................................................................25
6.3 INTEGRITY CHAIN OF TRUST .....................................................................................................25
7 CRYPTOGRAPHIC KEY MANAGEMENT ................................................................................27
8 SELF-TESTS........................................................................................................................27
9 DESIGN ASSURANCE..........................................................................................................27
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10 MITIGATION OF OTHER ATTACKS.......................................................................................29
11 SECURITY LEVELS...............................................................................................................29
12 ADDITIONAL DETAILS ........................................................................................................29
13 APPENDIX A – HOW TO VERIFY WINDOWS VERSIONS AND DIGITAL SIGNATURES ...............31
13.1 HOW TO VERIFY WINDOWS VERSIONS .......................................................................................31
13.2 HOW TO VERIFY WINDOWS DIGITAL SIGNATURES .........................................................................31
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1 Introduction
Code Integrity (CI) verifies the integrity of Windows executable files as they are loaded into memory
from storage. Code Integrity is implemented in a Dynamic Link Library (DLL) file, CI.DLL.
The Secure Kernel Code Integrity cryptographic module is closely related to Code Integrity, and,
depending on the hardware and Windows configuration, will also validate system and application
binaries.
Two Windows configuration options dictate whether Code Integrity or Secure Kernel Code Integrity are
used to verify a binary image:
• Virtual Secure Mode (VSM), also known as Core Isolation: Windows can use the Hypervisor
to start an execution environment, called the Secure Kernel, that can enforce additional
security rules. When VSM is configured, Secure Kernel Code Integrity verifies the integrity of
critical user-mode modules such as BCRYPTPRIMITIVES.DLL instead of the Code Integrity
module.
• Hypervisor Code Integrity (HVCI), also known as Memory Integrity: This feature depends on
VSM. When enabled, all drivers loaded into the Windows kernel are integrity verified by
Secure Kernel Code Integrity.
Code Integrity is not a general-purpose cryptographic module. It is validated under FIPS 140-2 because it
implements cryptographic algorithms and provides the integrity checks for the Windows general-
purpose cryptographic modules.
This Security Policy Document assumes that the following prerequisites are available:
• UEFI Secure Boot is available and enabled
1.1 List of Cryptographic Module Binary Executables
Code Integrity cryptographic module contains the following binary. Each binary has a distinct
implementation per build for each instruction set (x86, x64, ARM64).
• CI.DLL
The Windows builds and instruction sets covered by this validation are:
• Windows 10 and Windows Server version 1903, build 10.0.18362
o x86
o x64
• Windows 10 and Windows Server version 1909, build 10.0.18363
o x86
o x64
• Windows 10 and Windows Server version 2004, build 10.0.19041
o x86
o x64
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o ARM64
Tables 1-3 below present the matrix of hardware platforms, Windows builds, and Windows editions
validated.
1.2 Validated Platforms
The Windows editions covered by this validation are:
• Microsoft Windows 10 Home Edition (32-bit version)
• Microsoft Windows 10 Pro Edition (64-bit version)
• Microsoft Windows 10 Enterprise Edition (64-bit version)
• Microsoft Windows 10 Education Edition (64-bit version)
• Windows Server Core Standard
• Windows Server Core Datacenter
Code Integrity was validated using the combination of computers and Windows operating system
editions specified in the table below.
All the computers for Windows 10 and Windows Server listed in the table below are all 64-bit Intel
architecture and implement the AES-NI instruction set but not the SHA Extensions. The exceptions are:
• Dell Inspiron 660s - Intel Core i3 without AES-NI and SHA Extensions
• HP Slimline Desktop - Intel Pentium with AES-NI and SHA Extensions
• Dell PowerEdge 7425 - AMD EPYC 7251 with AES-NI and SHA Extensions
• Microsoft Surface Pro X - Microsoft SQ1 with Arm Neon
Table 1 Validated Platforms for Windows 10 and Windows Server version 1903
Computer Windows
10 Home
Windows
10 Pro
Windows 10
Enterprise
Windows
10
Education
Windows
Server
Core
Windows
Serve Core
Datacenter
Microsoft
Surface Go -
Intel Pentium
√
Microsoft
Surface Book 2 -
Intel Core i7
√ √
Microsoft
Surface Pro 6 -
Intel Core i5
√ √
Microsoft
Surface Laptop 2
- Intel Core i5
√ √ √
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Microsoft
Surface Studio 2
- Intel Core i7
√
Microsoft
Windows Server
2019 Hyper-V1
√ √
Microsoft
Windows Server
2016 Hyper-V2
√
Dell Latitude 12
Rugged Tablet -
Intel Core i5
√
Dell Latitude
5290 - Intel Core
i7
√
Dell PowerEdge
R740 – Intel
Xeon Gold
√
Dell PowerEdge
R7425 - AMD
EPYC 7251
√
Dell Inspiron
660s [with x86
Windows] - Intel
Core i3
√
HP Slimline
Desktop - Intel
Pentium
√
HP ZBook15 G5 -
Intel Core i5 √
HP EliteBook
x360 830 G5 -
Intel Core i5
√
Samsung Galaxy
Book 10.6” -
Intel Core m3
√
Samsung Galaxy
Book 12” - Intel
Core i5
√
Panasonic
Toughbook -
Intel Core i5
√
1
Hardware Platform: Dell PowerEdge R740 Server - Intel Xeon Gold
2
Hardware Platform: Dell PowerEdge R7425 Server - AMD EPYC 7251
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Table 2 Validated Platforms for Windows 10 and Windows Server version 1909
Computer Windows
10 Home
Windows
10 Pro
Windows 10
Enterprise
Windows
10
Education
Windows
Server
Core
Windows
Server Core
Datacenter
Microsoft
Surface Go -
Intel Pentium
√
Microsoft
Surface Go LTE -
Intel Pentium
√
Microsoft
Surface Book 2 -
Intel Core i7
√
Microsoft
Surface Pro LTE -
Intel Core i5
√
Microsoft
Surface Pro 6 -
Intel Core i5
√
Microsoft
Surface Laptop 2
- Intel Core i5
√
Microsoft
Surface Studio 2
- Intel Core i7
√
Microsoft
Windows Server
2019 Hyper-V3
√
Microsoft
Windows Server
2016 Hyper-V4
√
Dell Latitude
7200 2-in-1 -
Intel Core i7
√
Dell Latitude
5300 2-in-1 -
Intel Core i7
√
3
Hardware Platform: Dell PowerEdge R740 Server - Intel Xeon Platinum
4
Hardware Platform: Dell PowerEdge R7425 Server - AMD EPYC 7251
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Dell PowerEdge
R740 - Intel
Xeon Platinum
√
Dell PowerEdge
R7425 - AMD
EPYC 7251
√
Dell Inspiron
660s [with x86
Windows] - Intel
Core i3
√
HP ProBook 650
G5 - Intel Core i7 √
HP EliteBook
x360 830 G6 -
Intel Core i7
√
HP Slimline
Desktop - Intel
Pentium
√
Panasonic
Toughbook CF-
33 - Intel Core i5
√
Samsung Galaxy
Book 10.6” -
Intel Core m3
√
Samsung Galaxy
Book 12” - Intel
Core i5
√
Microsoft
Surface Pro 7 -
Intel Core m3
√
Microsoft
Surface Laptop 3
- Intel Core i5
√
Table 3 Validated Platforms for Windows 10 and Windows Server version 2004
Computer Windows
10 Home
Windows
10 Pro
Windows 10
Enterprise
Windows
10
Education
Windows
Server
Core
Windows
Server Core
Datacenter
Microsoft
Surface Pro LTE -
Intel Core i5
√
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Microsoft
Surface Pro 7 -
Intel Core i3
√
Microsoft
Surface Pro 6 -
Intel Core i7
√
Microsoft
Surface Pro X -
Microsoft SQ1
√
Microsoft
Surface Go -
Intel Pentium
√
Microsoft
Surface Go LTE -
Intel Core i7
√
Microsoft
Surface Go 2 -
Intel Core m3
√
Microsoft
Surface Go 2 LTE
- Intel Pentium
√
Microsoft
Surface Laptop 2
- Intel Core i5
√
Microsoft
Surface Laptop 3
- Intel Core i5
√
Microsoft
Surface Book 2 -
Intel Core i7
√
Microsoft
Surface Studio 2
- Intel Core i7
√
Microsoft
Windows Server
2019 Hyper-V5
√ √
Microsoft
Windows Server
2016 Hyper-V6
√
Dell Latitude
7200 2-in-1 -
Intel Core i7
√
5
Hardware Platform: Dell Precision 5810 - Intel Xeon E5
6
Hardware Platform: Dell PowerEdge R740 - Intel Xeon Platinum
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Dell Latitude
5300 2-in-1 -
Intel Core i7
√
Dell PowerEdge
R640 - Intel
Xeon Gold
√
Dell PowerEdge
R740 - Intel
Xeon Platinum
√
Dell Inspiron
660s [with x86
Windows] - Intel
Core i3
√
Dynabook
TECRA-X50-F -
Intel Core i7
√
HP Slimline
Desktop - Intel
Pentium
√
HP ZBook 15G6 -
Intel Core i7 √
HP EliteBook
x360 830 G6 -
Intel Core i7
√
HP ProBook 650
G5 - Intel Core i7 √
Panasonic
Toughbook FZ-
55 - Intel Core i5
√
Dell PowerEdge
R7515 - AMD
EPYC 7702P
√
2 Cryptographic Module Specification
Code Integrity is a multi-chip standalone module that operates in FIPS-approved mode during normal
operation of the computer and Windows operating system.
The following configurations and modes of operation will cause Code Integrity to operate in a non-
approved mode of operation:
• Boot Windows in Debug mode
• Boot Windows with Driver Signing disabled
• Windows enters the ACPI S4 power state
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2.1 Cryptographic Boundary
The software binary that comprises the cryptographic boundary for Code Integrity is CI.DLL.
2.2 FIPS 140-2 Approved Algorithms
Table 4 -Code Integrity implements the following FIPS 140-2 Approved algorithms: 7
Algorithm Windows 10 and
Windows Server
version 1903
Windows 10 and
Windows Server
version 1909
Windows 10 and
Windows Server
version 2004
FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with
1024, 2048, and 3072 moduli;
supporting SHA-1, SHA-256, SHA-
384, and SHA-512
#C785 #C1363 #C1897
FIPS 180-4 SHS SHA-1, SHA-256,
SHA-384, and SHA-512
#C785 #C1363 #C1897
2.3 Non-Approved Algorithms
Code Integrity only implements approved algorithms.
2.4 FIPS 140-2 Approved Algorithms from Bounded Modules
A bounded module is a FIPS 140 module which provides cryptographic functionality that is relied on by a
downstream module. As described in the Integrity Chain of Trust section, Code Integrity depends on the
following modules and algorithms.
The Windows OS Loader for Windows 10 version 1903 (module certificate #4339) provides:
• CAVP certificates #C795 (Windows 10 and Windows Server) for FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with 2048 moduli; supporting SHA-256
• CAVP certificates #C785 (Windows 10 and Windows Server) for FIPS 180-4 SHS SHA-256
The Windows OS Loader for Windows 10 version 1909 (module certificate #4339) provides:
• CAVP certificates #C1367 (Windows 10 and Windows Server) for FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with 2048 moduli; supporting SHA-256
• CAVP certificates #C1363 (Windows 10 and Windows Server) for FIPS 180-4 SHS SHA-256
The Windows OS Loader for Windows 10 version 2004 (module certificate #4339) provides:
• CAVP certificates #C1947 (Windows 10 and Windows Server) for FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with 2048 moduli; supporting SHA-256
• CAVP certificates #C1897 (Windows 10 and Windows Server) for FIPS 180-4 SHS SHA-256
7
This module may not use some of the capabilities described in each CAVP certificate.
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Windows Resume decrypts and restores the encrypted memory state during a boot from hibernation,
which acts to preserve the module’s integrity (established by the Windows OS Loader) across
hibernations. The Windows Resume module for Windows 10 version 1903 (module certificate #4348)
provides:
• CAVP certificates #C785 (Windows 10 and Windows Server) for NIST SP 800-38E AES XTS 128
and 256, and for FIPS 197 AES CBC 128 and 256
The Windows Resume module for Windows 10 version 1909 (module certificate #4348) provides:
• CAVP certificates #C1363 (Windows 10 and Windows Server) for NIST SP 800-38E AES XTS 128
and 256, and for FIPS 197 AES CBC 128 and 256
The Windows Resume module for Windows 10 version 2004 (module certificate #4348) provides:
• CAVP certificates #C1897 (Windows 10 and Windows Server) for NIST SP 800-38E AES XTS 128
and 256, and for FIPS 197 AES CBC 128 and 256
TCB Launcher verifies the integrity of Code Integrity if Secure Launch is enabled. The TCB Launcher
module for Windows 10 version 1909 (module certificate #4457) provides:
• CAVP certificates #C 1367 (Windows 10 and Windows Server) for FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with 2048 moduli; supporting SHA-256
• CAVP certificates #C 1363 (Windows 10 and Windows Server) for FIPS 180-4 SHS SHA-256
The TCB Launcher module for Windows 10 version 2004 (module certificate #4457) provides:
• CAVP certificates #C1947 (Windows 10 and Windows Server) for FIPS 186-4 RSA PKCS#1 (v1.5)
digital signature verification with 2048 moduli; supporting SHA-256
• CAVP certificates #C1897 (Windows 10 and Windows Server) for FIPS 180-4 SHS SHA-256
Note that the validated platforms listed in section 1.2 include processors that support AES-NI. This
module does not implement AES, but the bounded modules may implement AES and, therefore, use
AES-NI.
2.5 Cryptographic Bypass
Cryptographic bypass is not supported by Code Integrity.
2.6 Hardware Components of the Cryptographic Module
The physical boundary of the module is the physical boundary of the computer that contains the
module. The following diagram illustrates the hardware components used by the Code Integrity module:
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3 Cryptographic Module Ports and Interfaces
3.1 Code Integrity Export Functions
All the functions exported by Code Integrity to kernel-mode callers are listed below. Code Integrity is not
callable outside the kernel. The exported functions are explained further in the subsequent subsections.
• CiInitialize
• CiGetPEInformation
• CiVerifyHashInCatalog
• CiCheckSignedFile
• CiFindPageHashesInCatalog
• CiFindPageHashesInSignedFile
• CiFreePolicyInfo
• CiSetTrustedOriginClaimId
• CiValidateFileObject
3.1.1 CiInitialize
CiInitialize is the function exported by Code Integrity for initializing the image file integrity validation
capability of Code Integrity.
See Self-Tests for information regarding cryptographic self-tests.
If the self-tests succeed, CiInitialize() returns a callback structure consisting of the following binary
executable file integrity validation functions.
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• CiValidateImageHeader
• CiValidateImageData
• CiQueryInformation
• CiSetFileCache
• CiGetFileCache
• CiHashMemory
• KappxIsPackageFile
• CiCompareSigningLevels
• CiValidateFileAsImageType
• CiRegisterSigningInformation
• CiUnregisterSigningInformation
• CiInitializePolicy
• CipQueryPolicyInformation
• CiValidateDynamicCodePages
• SIPolicyQuerySecurityPolicy
• CiRevalidateImage
• CiSetUnlockInformation
• CiGetBuildExpiryTime
And if HVCI is enabled, also:
• CiGetStrongImageReference
• CiReleaseContext
• CiHvciSetImageBaseAddress
3.1.2 CiGetPEInformation
This function returns system configuration data which is related to the protected media subsystem.
3.1.3 CiVerifyHashInCatalog
For an input Authenticode file digest, validates that the digest is contained within a verified system
catalog. It optionally returns information about the catalog.
3.1.4 CiCheckSignedFile
For an input Authenticode file digest and an Authenticode signature, verifies that the digest is in the
signature and that the signature validates. It optionally returns information about the signature.
3.1.5 CiFindPageHashesInCatalog
For an input Authenticode digest of the first page of a PE image, validates that the digest is contained
within a verified system catalog. It optionally returns information about the catalog.
3.1.6 CiFindPageHashesInSignedFile
For an input Authenticode digest of the first page of a PE image and an Authenticode signature, verifies
that the digest is in the signature and that the signature validates. It optionally returns information
about the signature.
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3.1.7 CiFreePolicyInfo
Frees memory allocated by the CiVerifyHashInCatalog, CiCheckSignedFile, CiFindPageHashesInCatalog,
and CiFindPageHashesInSignedFile functions.
3.1.8 CiSetTrustedOriginClaimId
This function is invoked by Appid.sys when an AppLocker policy is being processed.
3.1.9 CiValidateFileObject
Verifies the signature of a file object and returns the policy info along with the timestamp and signing
time.
3.2 Code Integrity Callback Functions
The following functions are not exported, but are accessed via a callback structure provided by the
CiInitialize function. These functions are also explained in subsequent subsections.
• CiValidateImageHeader
• CiValidateImageData
• CiQueryInformation
• CiSetFileCache
• CiGetFileCache
• CiHashMemory
• KappxIsPackageFile
• CiCompareSigningLevels
• CiValidateFileAsImageType
• CiRegisterSigningInformation
• CiUnregisterSigningInformation
• CiInitializePolicy
• CipQueryPolicyInformation
• CiValidateDynamicCodePages
• SIPolicyQuerySecurityPolicy
• CiRevalidateImage
• CiSetUnlockInformation
• CiGetBuildExpiryTime
And if HVCI is enabled, also:
• CiGetStrongImageReference
• CiReleaseContext
• CiHvciSetImageBaseAddress
3.2.1 CiValidateImageHeader
When a caller, such as the Memory Manager, wants to obtain the set of trusted per-page hashes of an
image file, it calls CiValidateImageHeader(). Trusted per-page hashes can use the following algorithms:
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• SHS (SHA-1)
• SHS (SHA-256)
• SHS (SHA-384)
• SHS (SHA-512)
If CiValidateImageHeader() does not find the set of trusted per-page hashes for the cryptographic
module, then CiValidateImageHeader() verifies the full cryptographic module image by verifying a
trusted file hash. The trusted file hash may be:
• SHS (SHA-1)
• SHS (SHA-256)
• SHS (SHA-384)
• SHS (SHA-512)
If this validation process fails, the module is not valid and the module is not loaded.
Both the trusted file image hash and trusted page hashes are signed using the RSA signature algorithm
with PKCS#1 v1.5 padding.
3.2.2 CiValidateImageData
After calling CiValidateImageHeader to obtain the set of trusted per-page hashes of an image file,
CiValidateImageData() is used to check the integrity of each page by computing the hash value of the
page.
If the computed hash matches the identified trusted hash, then CiValidateImageData confirms the
integrity of the page. Otherwise, CiValidateImageData returns STATUS_INVALID_IMAGE_HASH.
3.2.3 CiQueryInformation
Returns state data about the enforcement of Code Integrity. Whether CI is being enforced and whether
test signing is enabled.
3.2.4 CiSetFileCache
For a verified file, saves the signature level and thumbprint of the signing certificate. If the file was not
previously verified, it will verify the file against either its embedded signature or a system catalog.
3.2.5 CiGetFileCache
For an input file, returns the previously validated signature level and the thumbprint of the signing
certificate. This check was done during a previous validation, and this function is just returning a cached
result.
3.2.6 CiHashMemory()
Passes supplied data to MinCrypK_HashMemory and returns the hash of that data.
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3.2.7 KappxIsPackageFile
This routine takes an input file object and parses out the full package name associated with the
corresponding package. Package association is established based on the normalized path corresponding
to the file object.
3.2.8 CiCompareSigningLevels
This routine determines if the source signing level is applicable for the target. For example, a source of
Microsoft is not valid for a target of Windows, but vice-versa is valid.
3.2.9 CiValidateFileAsImageType
This routine determines if a PE file is signed appropriately for the specified image type. The file must be
mapped as a view to a data section or be a copy of that view.
3.2.10 CiRegisterSigningInformation
This routine sets a signer, in addition to those already configured, for a specified signing level. Only
those levels that are enabled for runtime configuration will accept signers supplied to this routine.
3.2.11 CiUnregisterSigningInformation
This routine removes a previous registered runtime signing information. Once a registration handle has
been unregistered, it must be discarded.
3.2.12 CiInitializePolicy
This routine is called to get the configuration of CI for this boot and return the list of address ranges to
be protected by Patch Guard.
3.2.13 CipQueryPolicyInformation
This routine returns information about Code Integrity policy state.
3.2.14 CiValidateDynamicCodePages
This routine validates the contents of code pages generated dynamically.
3.2.15 SIPolicyQuerySecurityPolicy
This routine queries the secure setting for specific provider's <Key,Value> pair.
3.2.16 CiRevalidateImage
This routine determines if previously validated images must be validated again.
3.2.17 CiSetUnlockInformation
This function sets unlock information for Code Integrity.
3.2.18 CiGetBuildExpiryTime
This routine determines the expiry time of the build. Zero time means the build never expires, which is
true for production and test builds. Flight builds expire when the certificate that signs CI expires.
3.2.19 CiGetStrongImageReference
This routine returns the handle to a secure image.
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3.2.20 CiReleaseContext
This routine closes a validation context.
3.2.21 CiHvciSetImageBaseAddress
This routine changes the base address of an image that is using secure relocations.
3.3 Control Input Interface
The SecureRequired parameter in CiValidateImageHeader() is the only control option provided by Code
Integrity in the Control Input Interface.
3.4 Status Output Interface
The Status Output Interface for Code Integrity consists of the exported and callable functions listed in
Code Integrity export functions. For each function, the status information is returned to the caller as the
return value (e.g. STATUS_SUCCESS, STATUS_UNSUCCESSFUL, STATUS_INVALID_IMAGE_HASH) from the
function.
3.5 Data Input Interface
The Data Input Interface for Code Integrity is the exported and callable functions listed in Code Integrity
export functions with the exception of the initialization and status functions. Data and options are
passed to the interface as input parameters to the CI export functions.
3.6 Data Output Interface
The Data Output Interface for Code Integrity also consists of most of the exported and callable functions
listed in Code Integrity export functions with the exception of the initialization and status functions.
Data is returned to the function’s caller via output parameters.
4 Roles, Services and Authentication
4.1 Roles
Code Integrity is a library used solely by the Windows kernel and does not interact with the user through
any service. The module’s functions are fully automatic and not configurable. FIPS 140 validations define
formal “User” and “Cryptographic Officer” roles. Both roles can use any Code Integrity service.
4.2 Services
Code Integrity’s services are:
1. Verify the integrity of binary executable code – This service is called by the Windows kernel to
verify the integrity of digitally signed drivers and other binary components of the operating system.
2. Show Status – The module does not provide an explicit status interface. Operational status is
indicated by successfully initializing the module using CiInitialize and success status messages using
the binary integrity verification functions.
3. Self-Tests - The module provides a power-up self-tests service that is automatically executed when
the module is loaded into memory.
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The following table maps the services to their corresponding algorithms and critical security parameters
(CSPs) as described in Cryptographic Key Management.
Table 5 Services
Service / Function Algorithms CSPs Invocation
Verify the integrity
of binary executable
code
FIPS 186-4 RSA PKCS#1
(v1.5) verify with public
key
FIPS 180-4 SHS:
SHA-1 hash
SHA-256 hash
SHA-384 hash
SHA-512 hash
RSA public key This service is fully automatic.
This service is executed
whenever a binary executable
is loaded.
Show Status None None This service is fully automatic.
This service is executed upon
completion of an integrity
check function.
Self-Tests FIPS 186-4 RSA PKCS#1
(v1.5) verify with public
key and known signature
FIPS 180-4 SHS:
SHA-1 KAT
SHA-256 KAT
SHA-512 KAT
None This service is fully automatic.
The following table maps services to the export functions listed in Code Integrity export functions and
Code Integrity Callback Functions.
Table 6 Export Functions
Service Export Functions
Verify the
integrity
of binary
executable
code
CiGetPEInformation()
CiVerifyHashInCatalog()
CiCheckSignedFile()
CiFindPageHashesInCatalog()
CiFindPageHashesInSignedFile()
CiFreePolicyInfo()
CiSetTrustedOriginClaimId()
CiValidateFileObject()
CiValidateImageHeader()
CiValidateImageData()
CiSetFileCache()
CiGetFileCache()
CiHashMemory()
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KappxIsPackageFile()
CiCompareSigningLevels()
CiValidateFileAsImageType()
CiRegisterSigningInformation()
CiUnregisterSigningInformation()
CiValidateDynamicCodePages()
SIPolicyQuerySecurityPolicy()
CiSetUnlockInformation()
CiGetBuildExpiryTime()
CiGetStrongImageReference()
CiReleaseContext()
CiHvciSetImageBaseAddress()
Show
Status
CiQueryInformation()
CiInitialize()
CiInitializePolicy()
CipQueryPolicyInformation()
CiRevalidateImage()
All exported functions
Self-Tests CiInitialize()
4.3 Authentication
The module does not provide authentication. Roles are implicitly assumed based on the services that are
executed.
5 Finite State Model
5.1 Specification
The following diagram shows the finite state model for Code Integrity:
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6 Operational Environment
The operational environment for Code Integrity is the Windows 10 operating system running on a
supported hardware platform.
6.1 Single Operator
Code Integrity is invoked by the Windows kernel as a fully automatic service with no user interaction.
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6.2 Cryptographic Isolation
In the Windows operating system, all kernel-mode modules, including CI.DLL, are loaded into the
Windows Kernel (ntoskrnl.exe) which executes as a single process. The Windows operating system
environment enforces process isolation from user-mode processes including memory and processor
scheduling between the kernel and user-mode processes.
6.3 Integrity Chain of Trust
Windows uses several mechanisms to provide integrity verification depending on the stage in the boot
sequence and also on the hardware and configuration. The following diagram describes the Integrity
Chain of trust for each supported configuration for the following versions:
• Windows 10 and Windows Server version 1909 build 10.0.18363
• Windows 10 and Windows Server version 2004 build 10.0.19041
For the supported configurations of the following Windows version, TCB Launcher is excluded, but the
remainder of the Integrity Chain of Trust diagram applies.
• Windows 10 and Windows Server version 1903 build 10.0.18362
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Note that TCB Launcher was not tested for Windows 10 and Windows Server version 1903 (build
10.0.18362). The scope of this validation only includes TCB Launcher in the Integrity Chain of Trust for
the applicable tested configurations for Windows 10 and Windows Server version 1909 (build
10.0.18363) and Windows 10 and Windows Server version 2004 (build 10.0.19041).
The integrity of the Code Integrity module is checked by the Windows Loader, Windows Resume, or TCB
Launcher. The Code Integrity module is then, in certain configurations, responsible for checking integrity
of every other user and kernel mode system binary as they are loaded.
Refer back to the introduction for information on the relationship between Code Integrity and Secure
Kernel Code Integrity and the effect of configuration on module validation.
7 Cryptographic Key Management
Code Integrity does not generate or store any persistent cryptographic keys; and uses RSA public keys
for validating file integrity.
8 Self-Tests
The Code Integrity module implements Known Answer Test (KAT) functions each time the module is
loaded by the Windows kernel and CiInitialize is called.
The module performs the following power-on (startup) self-tests:
• SHS (SHA-1) Known Answer Test
• SHS (SHA-256) Known Answer Test
• SHS (SHA-512) Known Answer Test
• RSA verify using a verify test with a Known Signature of the PKCS#1 v1.5 format with both 1024-
bit keys with SHA1 digest and 2048-bit keys with SHA-256 digest.
If any self-test fails, the module will not load and a failure status, STATUS_INVALID_IMAGE_HASH, is
returned and the computer will fail to boot. Otherwise STATUS_SUCCESS is returned and the boot
process completes.
9 Design Assurance
The secure installation, generation, and startup procedures of this cryptographic module are part of the
overall operating system secure installation, configuration, and startup procedures for Windows 10
operating system.
The Windows 10 operating system must be pre-installed on a computer by an OEM, installed by the
end-user, by an organization’s IT administrator, or updated from a previous Windows 10 version
downloaded from Windows Update.
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An inspection of authenticity of the physical medium can be made by following the guidance at this
Microsoft web site: https://www.microsoft.com/en-us/howtotell/default.aspx
The installed version of Windows must be verified to match the version that was validated. See
Appendix A for details on how to do this.
For Windows Updates, the client only accepts binaries signed by Microsoft certificates. The Windows
Update client only accepts content whose SHA-2 hash matches the SHA-2 hash specified in the
metadata. All metadata communication is done over a Secure Sockets Layer (SSL) port. Using SSL
ensures that the client is communicating with the real server and so prevents a spoof server from
sending the client harmful requests. The version and digital signature of new cryptographic module
releases must be verified to match the version that was validated. See Appendix A for details on how to
do this.
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10 Mitigation of Other Attacks
The following table lists the mitigations of other attacks for this cryptographic module:
Table 7 Mitigation of Other Attacks
Algorithm Protected Against Mitigation
SHA1 Timing Analysis Attack Constant time implementation
Cache Attack Memory access pattern is independent of any
confidential data
SHA2 Timing Analysis Attack Constant time implementation
Cache Attack Memory access pattern is independent of any
confidential data
11 Security Levels
The security level for each FIPS 140-2 security requirement is given in the following table.
Table 8 Security Levels
Security Requirement Security Level
Overall 1
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 1
Roles, Services, and Authentication 1
Finite State Model 1
Physical Security NA
Operational Environment 1
Cryptographic Key Management 1
EMI/EMC 1
Self-Tests 1
Design Assurance 2
Mitigation of Other Attacks 1
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12 Additional Details
For the latest information on Microsoft Windows, check out the Microsoft web site at:
https://www.microsoft.com/en-us/windows
For more information about FIPS 140 validations of Microsoft products, please see:
https://docs.microsoft.com/en-us/windows/security/threat-protection/fips-140-validation
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13 Appendix A – How to Verify Windows Versions and Digital Signatures
13.1 How to Verify Windows Versions
The installed version of Windows must be verified to match the version that was validated using the
following method:
1. In the Search box type "cmd" and open the Command Prompt desktop app.
2. The command window will open.
3. At the prompt, enter "ver”.
4. The version information will be displayed in a format like this:
Microsoft Windows [Version 10.0.xxxxx]
If the version number reported by the utility matches the expected output, then the installed version
has been validated to be correct.
13.2 How to Verify Windows Digital Signatures
After performing a Windows Update that includes changes to a cryptographic module, the digital
signature and file version of the binary executable file must be verified. This is done like so:
1. Open a new window in Windows Explorer.
2. Type “C:\Windows\” in the file path field at the top of the window.
3. Type the cryptographic module binary executable file name (for example, “CNG.SYS”) in the
search field at the top right of the window, then press the Enter key.
4. The file will appear in the window.
5. Right click on the file’s icon.
6. Select Properties from the menu and the Properties window opens.
7. Select the Details tab.
8. Note the File version Property and its value, which has a number in this format: xx.x.xxxxx.xxxx.
9. If the file version number matches one of the version numbers that appear at the start of this
security policy document, then the version number has been verified.
10. Select the Digital Signatures tab.
11. In the Signature list, select the Microsoft Windows signer.
12. Click the Details button.
13. Under the Digital Signature Information, you should see: “This digital signature is OK.” If that
condition is true, then the digital signature has been verified.