How Interactive Logon Works: Logon and Authentication

1 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

2010 Microsoft Corporation. All rights reserved.

How Interactive Logon Works

Updated: January 22, 2009
Applies To: Windows Server 2003, Windows Server 2003 R2, Windows Server 2003 with SP1, Windows Server 2003
with SP2
In this section
Interactive Logon Architecture
Interactive Logon Components
Interactive Logon Protocols
Interactive Logon Processes and Interactions
Network Ports Used by Interactive Logon
Related Information

The interactive logon process is the first step in user authentication and authorization. Interactive logon is mandatory
in the Windows Server 2003, Windows XP, Microsoft Windows 2000, and Windows NT 4.0 operating systems.
Interactive logon provides a way to identify authorized users and determine whether they are allowed to log on and
access the system.
This section describes the interactive logon architecture, the process of an interactive logon, and the way in which the
Windows Server 2003 interactive logon process locks the workstation and helps to keep it secure.

Interactive Logon Architecture

The Windows Server 2003 interactive logon architecture includes the following components:
Winlogon
Graphical Identification and Authentication (GINA) dynamic-link library (DLL)
Local Security Authority (LSA)
Authentication packages (NTLM and Kerberos)

For more information about these components, see Interactive Logon Components later in this section.
Windows Server 2003 interactive logons begin with the user pressing CTRL+ALT+DEL to initiate the logon process.
The CTRL+ALT+DEL keystroke is called a secure attention sequence (SAS); Winlogon registers this sequence during
the boot process to keep other programs and processes from using it. The GINA DLL generates the logon dialog box.
The following figure shows the Windows Server 2003 logon dialog box.
Windows Server 2003 Logon Dialog Box

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

2 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

A user who logs on to a computer using either a local or domain account must enter a user name and password,
which form the user's credentials and are used to verify the user's identity. For smart card logons, a user's credentials
are contained on the card's security chip, which is read by an external device, a smart card reader. During a smart
card logon, a user enters a personal identification number (PIN) instead of a user name, domain, and password.
Local Logon
Local logons give users access to local computer applications and resources but not to domain applications and
resources. When users log on locally, their identities are validated by authentication packages to local account
information stored in the Security Accounts Manager (SAM) database. The SAM operates in the security context of the
LSA; it protects and manages user and group information in the form of security accounts stored in the local
computer registry. Because user accounts are stored on the local computer, network access is not required for local
logons. However, if a computer has a network connection and a user logs on to a local account, there is no interaction
with the network.
Local logons can be performed on Windows client operating systems, such as Windows XP and Windows 2000
Professional. Windows server operating systems, such as Windows NT Server, Windows 2000 Server, and Windows
Server 2003, also permit local logons.
The following figure shows the local logon architecture.
Interactive Local Logon

A successful local logon begins when a user presses CTRL+ALT+DEL. Winlogon and the GINA DLL collect the user's
credentials and then send the credentials to the LSA. The LSA verifies the user's identity and then returns a logon
success and the user's access token to Winlogon and the GINA DLL. Winlogon and the GINA DLL then activate the
user's shell by creating a new process, such as Explorer.exe.

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

3 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Domain Logon
Domain logons give users access to resources throughout the domain. Domain user accounts are stored in an Active
Directory domain. Active Directory is deployed on each domain controller, and domain user accounts are replicated
throughout a domain.
Before a user can log on to a computer by using a domain account, the computer must be joined to a domain. If the
computer has access to a network connection, the user can log on to a domain if the user has an account in the
domain's Active Directory.
The computer must transparently authenticate to the domain's Active Directory. This form of logon is called a
computer logon. Both users and computers are considered equal security principals in Active Directory; to be granted
access to network resources, both must be able to verify their identities.
Users can use a domain account to log on to Windows client operating systems, such as Windows XP and
Windows 2000 Professional. Windows server operating systems, such as Windows NT Server, Windows 2000 Server,
and Windows Server 2003, also permit domain logons. Only server operating systems can function as domain
controllers and deploy Active Directory.
The following figure shows the domain logon architecture.
Interactive Domain Logon

Unlike a local logon in which the local LSA validates the user, during a domain logon, the LSA on a domain controller
validates the user. The LSA evaluates the user's credentials to determine if the logon should be processed as a logon
to a local account or a logon to a domain account. After determining the logon type, either the NTLM or Kerberos
authentication package validates the user. If the authenticating domain controller is a computer running
Windows 2000 or Windows Server 2003, the LSA will use Kerberos, the default authentication package for domain
and network logons. The LSA uses NTLM to process domain logons in Windows NT 4.0 mixed environments.
Single Sign On
Single sign-on (SSO) uses credentials collected during an interactive domain logon to allow the user to authenticate
to a network one time and, thereafter, to have access to all authorized network resources without additional
authentication. The network resources can range from hardware devices, such as printers, to applications, files, and
other types of data, all of which may be located throughout an enterprise on servers of various types, possibly in

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

4 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

different domains and running different operating systems.

Cached Credentials
After a successful domain logon, information is cached; this means that later a user can log on to the computer with
the domain account even if the domain controller that authenticated the user is not available. Because the user has
already been authenticated, Windows uses the cached credentials to log the user on locally. For example, if a mobile
user logs on to a portable computer that is a domain member with a domain account and then takes the portable
computer to a location where the domain is unavailable, Windows will attempt to use the cached credentials from the
last successful logon with a domain account to locally log on the user and allocate access to local computer resources.

Interactive Logon Components

The components of the interactive logon process are responsible for helping to establish secure user authentication.
This section describes the roles and functions of the user logon components.
Winlogon
Winlogon (%windir%\System32\Winlogon.exe) is the executable file responsible for managing secure user
interactions. Winlogon initiates the logon process for Windows Server 2003, Windows 2000, Windows XP, and
Windows NT 4.0.
Winlogon is responsible for the following tasks.
Desktop lockdown
Standard SAS recognition
SAS routine dispatching
User profile loading
Screen saver control
Multiple network provider support

Desktop Lockdown
Winlogon helps prevent unauthorized users from gaining access to system resources by locking the computer
desktop. At any time, Winlogon is in one of three possible states: logged on, logged off, or workstation locked, as
shown in the following figure.
Winlogon States

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

5 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Winlogon switches between three desktopsWinlogon, screen saver, and defaultdepending on its state and user
activity. The following table lists and describes each of these desktops.
Winlogon Desktops

Desktop

Description

Winlogon

Also called the secure desktop. There are five dialog boxes in the Winlogon desktop, which are
described in the following table.

Screen
saver

Used when a screen saver is running.

Default

Displayed when a user has successfully logged on to Windows Server 2003 and the user's shell
has been activated. The user's applications run in this desktop.

The following table lists and describes the five dialog boxes in the Winlogon desktop.
Winlogon Desktop Dialog Boxes

Desktop

Description

Welcome to Windows

Displayed when a computer has initially booted and no user has entered a SAS
or when a user has logged off.

Log On to Windows

Displayed after a user presses CTRL+ALT+DEL when no user is currently logged

on.

Windows Security and

Change Password

Displayed when:
A logged-on user presses CTRL+ALT+DEL when the workstation is not
locked.
OR
When the workstation is not locked, after a user presses
CTRL+ALT+DEL and clicks Change Password.

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

6 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Computer Locked

Displayed when the workstation is locked either explicitly by the user or when a
screen saver is set as secure and is dismissed.

Unlock Computer

Displayed when a user presses CTRL+ALT+DEL when the workstation is locked.

By switching between the desktops for different logon tasks, Winlogon ensures that its processes will be invisible to
applications not involved in the logon process, preventing logon data from being compromised.
Standard SAS Recognition
Winlogon registers the default SAS during the boot process, which ensures that no other program can access the
same key sequence and compromise the logon process by impersonating Winlogon and its logon dialog boxes.
SAS Routine Dispatching
When Winlogon recognizes a SAS event or the GINA delivers a SAS, Winlogon calls one of the SAS processing
functions of the GINA.
User Profile Loading
After a successful logon, Winlogon loads user profiles into the HKEY_CURRENT_USER registry key.
Screen Saver Control
Winlogon monitors keyboard and mouse activity to determine when to activate screen savers. When a screen saver
that is set as secure is dismissed, Winlogon treats the workstation as locked and the GINA displays the Computer
Locked dialog box. When a screen saver not set as secure is dismissed, the user is able to access the application
desktop without being prompted to reenter credentials.
Multiple Network Provider Support
If there are multiple network providers installed on a Windows-based system, they can be included in the
authentication process and in password-updating operations. This inclusion lets additional network providers gather
identification and authentication information during a logon, using the secure desktop.
GINA
The GINA is a DLL module that operates in the security context of Winlogon. Winlogon loads the GINA early in the
boot process. The GINA is responsible for processing SAS events and activating the user's shell. The GINA can
generate SAS events in some instances.
In Windows Server 2003, Windows XP, and Windows 2000, Msgina.dll (%windir%\System32\Msgina.dll) is the
default GINA; it can be replaced to support specific and unique authentication methods. GINA customization is
enabled to accommodate the use of authentication hardware tokens, such as retinal scanners and proprietary smart
card solutions.
LSA
The LSA (%windir%\System32\lsass.exe) is a protected security subsystem that helps create secure user interactions
in Windows Server 2003. Winlogon and the GINA call the LSA to process logon credentials.
The following components involved in user logon run in the security context of the LSA:
Authentication packages
SAM
Active Directory

LSA Responsibilities

Role

Description

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

7 of 13

Application programming
interfaces (APIs)

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

The LSA provides APIs for:

Packages to create a user's logon token after authentication.
Applications to call directly for user logon.
Microsoft Security Support Provider Interface (SSPI) requests and
the routing of requests to the appropriate authentication package.
Applications to enumerate available authentication packages and
query package capabilities.
Applications to resolve Security Identifier-to-Name and Name-toSecurity Identifier.
Applications to store secret information in the system.

Logon session state

Manages the state of the logon session for any user authenticated by the
authentication packages.

Notification to installed
authentication packages

Notifies installed authentication packages of user logon, logoff, and credential

updates.

Authentication packages

Loads and unloads authentication packages.

Encryption assistance

Includes subcomponents that provide encryption services to users of the local

computer.

The following figure shows the LSA architecture. Winlogon, which runs as a separate process from lsass.exe, is shown
here to illustrate the way in which the logon process interacts with the LSA.
LSA Architecture

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

8 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Note
Some components shown in this figure run only on domain controllers or non-domain controllers. The SAM runs
only on non-domain controllers and Windows NT computers; Directory Services runs only on domain controllers.

As the figure shows, all calls from Winlogon are sent by using the Secur32.dll LsaLogonUser call. LsaLogonUser
returns the call through local procedure call (LPC) to the LSA Server service. The LSA Server service then determines
which authentication package to use to process the logon.
You can set user rights for local computers by using the Local Security Policy snap-in of the Microsoft Management
Console (MMC). On Windows Server 2003 non-domain controllers, the Group Policy User Rights Assignment contains
information about which users are authorized to perform different tasks, including logging on to the system locally.
Domain controllers use the Domain Security Policy snap-in of the MMC to set user rights for domain computers. The
User Rights Assignment on domain controllers contains information that applies to the entire domain.
Authentication Packages
Authentication packages on the user's local computer communicate with server authentication packages to
authenticate users. Windows Server 2003 applies default authentication packages for user authentication and also
supports custom authentication packages.
The following table lists the Windows Server 2003 authentication packages used for interactive logons.
Interactive Logon Authentication Packages

Name

Associated Protocol

Environment

Kerberos version 5 (V5)

Kerberos.dll

Windows 2000, Windows XP, and Windows Server 2003

NTLM

MSV1_0.dll

Windows NT 4.0 and mixed environments

SAM
The SAM stores information about local user accounts in the Windows registry. Passwords are encrypted by the NTLM

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

9 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

authentication package. The outcome of the encryption is a hashed password transformed into ciphertext, a string of
numbers and letters that appears meaningless. The hashing process occurs by means of a hashing algorithm. NTLM
uses the same algorithm to encrypt and decrypt a user's password.
Active Directory
Domain account information is stored in Active Directory on the domain controllers. Within a particular domain, each
domain controller has an identical copy of the domain's Active Directory. Users can therefore authenticate to any
domain controller and their logon information will be recognized throughout the domain.

Interactive Logon Protocols

In network environments, authentication protocols are used to authenticate users, computers, and groups. For local
logons, Windows Server 2003 supports the NTLM authentication protocol. For domain logons, Windows Server 2003
supports the Kerberos V5 and NTLM authentication protocols. Windows Server 2003 also supports custom
authentication packages.
Logon Protocols

Component
Kerberos.dll

Description
Kerberos V5 authentication package authentication protocol.
Standard Internet protocol and default network authentication protocol in Windows
Server 2003.
Performs authentication of users and computers in Windows 2000, Windows XP, and
Windows Server 2003.

MSV1_0.dll

NTLM authentication package authentication protocol.

Default network authentication protocol in Windows NT 4.0.
Performs authentication of users and computers in Windows NT 4.0 mixed
environments.
Included in Windows Server 2003 for compatibility with Windows NT 4.0 mixed
environments.

For more information about how the Kerberos V5 protocol implements user authentication, see Kerberos
Authentication Technical Reference [ http://technet.microsoft.com/en-us/library/cc739058(WS.10).aspx ] .

Interactive Logon Processes and Interactions

This section describes the events that occur during an interactive logon.
Local Logon
The following figure shows the local logon process.
Local Logon Process

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

10 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

The GINA specifies the Negotiate authentication package when it calls into the LSA. Negotiate must then choose an
authentication package to process the logon. Negotiate sends the credentials to Kerberos, the default authentication
package in Windows Server 2003. However, the Kerberos authentication package cannot process local logons, so it
returns an error to Negotiate. Negotiate then calls NTLM to authenticate the user by comparing the received
credentials with those hashed in the SAM.
If the credentials are valid, the LSA generates an access token for the user based upon user rights assigned to the
user's account and LsaLogonUser returns the logon success and the user's access token to Winlogon and the GINA.
The GINA then activates the user's shell and Winlogon switches to the default desktop. If the credentials are invalid,
the LSA returns a logon failure, the GINA displays an error message and prompts the user to present valid
credentials, and Winlogon remains in the Winlogon desktop.
Domain Logon
Domain logons can only be performed from computers that are joined to a domain. Domain credentials consist of a
user's domain account user name, password, and the name of the domain. The local computer's LSA chooses the
appropriate authentication package to use based on the domain's environment.
The following figure shows the process that occurs when the local computer can reach a domain controller to
authenticate the user. If a domain controller is not available, a cached logon occurs.
Domain Logon Process

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

11 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

As with the local logon process, the Negotiate authentication package routes the authentication request to the default
authentication package, Kerberos.
The domain client chooses Kerberos, and Kerberos validates the user's credentials by contacting the domain
controller. The LSA on the domain controller returns the logon success or failure to the local computer's LSA. If the
domain logon succeeds, the local LSA generates an access token for the user based upon user rights assigned to the
user's account, and LsaLogonUser returns the logon success and the user's access token to Winlogon and the GINA.
The GINA then activates the user's shell, and Winlogon switches to the default desktop. If the credentials are invalid,
the LSA returns a logon failure, the GINA displays an error message and prompts the user to present valid
credentials, and Winlogon remains in the Winlogon desktop.
Note
In Windows NT 4.0 mixed environments, the NTLM authentication package validates the user's credentials by
contacting the domain controller. Windows NT 4.0 stores user accounts in the SAM.

Smart Card Logons

Windows Server 2003 can be configured to support smart card logons. All smart card logons are processed by the
Kerberos authentication package. During a smart card logon, the local computer checks to ensure the user's PIN is
valid. The domain controller then authenticates the user based on the user's credentials in the smart card.
Cached Logons

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

12 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Windows Server 2003 supports cached logons. The cached credentials of the last 10 users who have successfully
logged on to a domain account can be used to log a user on locally if the authenticating domain controller becomes
unavailable.

Network Ports Used by Interactive Logon

Because the logon process can be deployed across various network boundaries, it can span one or more firewalls. The
following table lists the three main configurable ports used by interactive logon.
Port Assignments for Interactive Logon

Service Name

UDP

TCP

LSA RPC port

Dynamic RPC

Dynamic RPC

Kerberos V5 port

88

88

NTLM port

Dynamic

Dynamic

You can use the Registry Editor to modify the registry to apply fixed ports for NTLM and the LSA.

Related Information
The following resources contain additional information that is relevant to this section.
Kerberos Authentication Technical Reference [ http://technet.microsoft.com/en-us/library
/cc739058(WS.10).aspx ]
Authorization and Access Control Technologies [ http://technet.microsoft.com/en-us/library
/cc782880(WS.10).aspx ]

Tags:

Community Content
"User must Change Password on Next Logon" checkbox

Last Edit 11:51 AM by Thomas Lee

how is the workflow changed when the "User must Change password on next logon" checkbox is marked? because
validation does happen but at the same time it does not because gina does not activate the shell...
[tfl - 07 10 09] Hi - and thanks for your post.You should post questions like this to the Technet
Forums at http://forums.microsoft.com/technet or the MS Newsgroups at
http://www.microsoft.com/communities/newsgroups/en-us/. You are much more likely get a quick
response using the forums than through the Community Content. For specific help about:
Exchange : http://groups.google.com/groups/dir?sel=usenet%3Dmicrosoft.public.exchange%2C&
SQL Server : http://groups.google.com/groups/dir?sel=usenet%3Dmicrosoft.public.sqlserver%2C&
Windows : http://groups.google.com/groups/dir?sel=usenet%3Dmicrosoft.public.windows%2C&
Windows Server : http://groups.google.com/groups
/dir?sel=usenet%3Dmicrosoft.public.windows.server%2C&
Virtual Server : http://groups.google.com/group/microsoft.public.virtualserver/topics?lnk
Full Public : http://groups.google.com/groups/dir?sel=usenet%3Dmicrosoft.public%2C&

4/30/2010 2:08 PM

How Interactive Logon Works: Logon and Authentication

13 of 13

http://technet.microsoft.com/en-us/library/cc780332(WS.10,printer).aspx

Tags: needsforum needsnewsgroup

4/30/2010 2:08 PM