Wednesday, Mar 17th, 2010
Posted By Eoghan Casey

File initialization is a normal Windows file system behavior that can create problems for forensic analysts. We have encountered file initialization behaviors in a number of cases and find that it creates significant confusion if the underlying cause is not understood. In several cases, incomplete file initialization was misinterpret as backdating, and in another matter it hampered data salvaging efforts.



File Initialization
File initialization is a process that Microsoft Windows uses when creating a new file system entry. Basically, when a new file is being created, an appropriate amount of unallocated space is reserved for the data that will be stored in the new file. Under certain circumstances, the storage space reserved for the new file may not be used in its entirety, or at all.

When only a portion of the disk space that was reserved for a new file is used to store data associated with that file, this leaves a discrepancy between the logical file size and the actual amount of data stored in the file. As a result, you can have a file that appears to have a logical size larger than the actual amount of data stored for that file. The space between the end of valid data and the end of file is called uninitialized space.

“In NTFS, there are two important concepts of file length: the End of File (EOF) marker and the Valid Data Length (VDL). The EOF indicates the actual length of the file. The VDL identifies the length of valid data on disk. Any reads between VDL and EOF automatically return 0 in order to preserve the C2 object reuse requirement.” (Microsoft fsutil documentation)





Uninitialized space is similar in concept to file slack except that it is contained within the logical file size. Unlike file slack which is no longer associated with a file, data in uninitialized space is in a kind of limbo, trapped at the end of an allocated file but not actually part of that file.

Figure: Diagram of file with a logical size that is larger than its valid data length, leaving uninitialized space

The effect of file initialization behaviors are most easily demonstrated on Windows XP with fsutil as shown here. First, we create a new file that can contain 1024 bytes:


C:\Test>fsutil file createnew cmdLabs-setvaliddata 1024
File C:\Test\cmdLabs-setvaliddata is created


Then we set the valid data length of the new file to 1000 bytes, which leaves 24 bytes unused at the end of the file.

C:\Test>fsutil file setvaliddata cmdLabs-setvaliddata 1000

Valid data length is changed

NTFS captures the difference between logical file size and valid data length in two MFT fields as shown here:

Figure:MFT entry with logical size and valid data length viewed using X-Ways Forensics

Salvaging Data from File System Limbo
The significance of this from a forensic analysis standpoint is that a file with a valid data length smaller than the logical file size can contain data associated with two files: data associated with the new file (VDL bytes), and data from the old file in uninitialized space (logical file size – VDL bytes).

From a forensic analysis perspective, this uninitialized space can be beneficial. While various disk cleaning utilities can be configured to wipe file slack, they generally do not touch data in uninitialized space. As a result, deleted data can remain in uninitialized space indefinitely, even despite data destruction efforts, and can be salvaged by forensic analysts.

However, this arrangement of data can create complications for forensic analysts, particularly when dealing with larger files that have substantial amounts of uninitialized space. For instance, when carving for certain file types, it is common to export unallocated space. However, any data in uninitialized space will not be included in unallocated space. Similarly, when performing keyword searches, a forensic analyst could incorrectly attribute a hit in the uninitialized space with the new file.

In one case, several approaches were employed in an effort to salvage video fragments:

• examined deleted video files still referenced by file system
• performed file carving on unallocated space only
• processed file slack only for fragments of video files

None of these approaches recovered videos from a time period of interest. It was not until we conducted a forensic analysis of uninitialized space that additional video fragment were found.

Misinterpreting Normal File System Behavior as Backdating

Another complication from a forensic analysis standpoint arises when the file creation process is interrupted before the contents of the file is written to disk, because the new file system entry will point to a cluster that still contains data associated with an older file. When this occurs and a date can be associated with the older file, forensic analysts might think that a newer file was overwritten by an older one. This phenomenon can be misinterpreted as evidence of backdating.

As an example, consider a newly created file that has not been initialized and has not had any associated data saved to disk as shown here using fsutil:

C:\Test>fsutil file createnew cmdLabs-creatnew 1024
File C:\Test\cmdLabs-creatnew is created



When a file is initialized but the associated contents was not written to disk, the initialized file system entry may point to a cluster that contains old data as shown below using EnCase. By default, EnCase shows uninitialized space in blue text. The cluster that was allocated to the new file “cmdLabs-createnew” contains older data (folder entries of files from earlier in January).




Figure: EnCase showing folder entries from early January in the cluster allocated to the new initialized file system entry

This situation can be misinterpreted as backdating if the forensic analyst assumes that the clock had to be set back to the old date when the file contents was saved to disk.

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