ShimCache (AppCompatCache) Internals

1. Overview

ShimCache (AppCompatCache) is artifact that exists in Windows SYSTEM registry. This artifact records program execution but not execution time. Nevertheless, it is valuable artifact on Windows Server hosts where prefetch is not recorded by default or Windows hosts where prefetch has been removed.

This article describes the following topics.
・Information in ShimCache (Forensics)
・Reverse engineering on ShimCache mechanism (Redteaming)

2. Information in ShimCache

Shimcache is recorded under following subkey.
HKEY_LOCAL_MACHINE\SYSTEM\ControlSet001\Control\Session Manager\AppCompatCache

Shimcache data is binary format and composed of 52 byte header and multiple entries in Windows 10 (ver 2004). The format of the entry is as follows.

Field	Type	Offset	Description
Signature	DWORD	0x00	31 30 74 73 (10ts)
CRC32 Hash	DWORD	0x04
Entry Size	DWORD	0x08
Path Size	WORD	0x0C	Path field's data length
Path	WString	0x0E	PE file path
Modified Time	FILETIME		NTFS $SI modified time
Data Size	DWORD
Data	BYTE[Data Size]		The last four bytes indicate execution or not

AppCompatCacheParser is useful for parsing ShimCache. https://github.com/EricZimmerman/AppCompatCacheParser

The output of AppCompatCacheParser is shown as follows. Why is there executed column although ShimCache is execution artifact?
In fact, ShimCache records not only the executed files, but also the executable files in the folder has been browsed by explorer.exe. Therefore, it is important to note that not all of the executable entrys included in ShimCache were executed.
Even more important is when ShimCache is written to SYSTEM registry. ShimCache is not written when it is executed, but is collectively written to SYSTEM registry when the OS shuts down.

From the above, ShimCache has no evidence from the last boot time to execution time of artifact extractor when SYSTEM registry is obtained by artifact extractor such as Kape. There is the option to shutdown once to overcome this problem, but I don't think it is the good way because other evidence may be lost.
The better way is to get Shicache from memory. This way is implemented by plugin in Volatility, which allows acquisition of latest ShimCache without shutdown host.
https://github.com/mandiant/Volatility-Plugins/tree/master/shimcachemem

3. Reversing ShimCache

ShimCache mechanism is implemented in ahcache.sys. Writing ShimCache to SYSTEM registry at shutdown time is implemented as ioctl, as shown follows. Therefore, if the shutdown is not legitimate, such as VirtualBox power off, the ioctl may not be called and ShimCache may not be written to SYSTEM registry.

When are the entries written to SYSTEM registry added?
To understand this, let's look at the execution flow when CreateProcessW is called. CreateProcessInternalW in the execution flow calls each of the following two flows.
①Create process flow (-> NtCreateUserProcess)
②ShimCache operation flow (-> BasepQueryAppCompat -> CompatCacheLookupAndWriteToProcess -> NtApphelpCacheControl -> NtApphelpCacheControl)

This means that ShimCache operation flow is not required for process creation. Therefore, if process is created by function in ntdll.dll such as NtCreateUserProcess or NtCreateProcess, or by direct system call, NtApphelpCacheControl is not called. NtApphelpCacheControl looks up the executable entry from ShimCache and creates the entry if it does not exist, when opcode is 0x0b.Therefore, if NtApphelpCacheControl is not called, ShimCache is not recorded.

This means that, strictly speaking, even executables that do not have an entry in ShimCache could have been launched, and the forensic investigator should be careful about this.