Document Your Application Control Management Processes

Updated: June 21, 2012

Applies To: Windows 7, Windows 8, Windows Server 2008 R2, Windows Server 2012

This planning topic describes the AppLocker policy maintenance information to record for your design document.

Record your findings

To complete this AppLocker planning document, you should first complete the following steps:

1. Determining Your Application Control Objectives

2. Creating the List of Applications Deployed to Each Business Group

3. Selecting the Types of Rules to Create

4. Determining Group Policy Structure and Rule Enforcement

5. Planning for AppLocker Policy Management

The three key areas to determine for AppLocker policy management are:

1. Support policy

   Document the process that you will use for handling calls from users who have attempted to run a blocked application, and ensure that support personnel know recommended troubleshooting steps and escalation points for your policy.

2. Event processing

   Document whether events will be collected in a central location, how that store will be archived, and whether the events will be processed for analysis.

3. Policy maintenance

   Detail how rules will be added to the policy, in which Group Policy Object (GPO) the rules should be defined, and how to modify rules when applications are retired, updated, or added.

The following table contains the added sample data that was collected when determining how to maintain and manage AppLocker policies.

Business group	Organizational unit	Implement AppLocker?	Applications	Installation path	Use default rule or define new rule condition	Allow or deny	GPO name	Support policy
Bank Tellers	Teller-East and Teller-West	Yes	Teller Software	C:\Program Files\Woodgrove\Teller.exe	File is signed; create a publisher condition	Allow	Tellers-AppLockerTellerRules	Web help
			Windows files	C:\Windows	Create a path exception to the default rule to exclude \Windows\Temp	Allow		Help desk
Human Resources	HR-All	Yes	Check Payout	C:\Program Files\Woodgrove\HR\Checkcut.exe	File is signed; create a publisher condition	Allow	HR-AppLockerHRRules	Web help
			Time Sheet Organizer	C:\Program Files\Woodgrove\HR\Timesheet.exe	File is not signed; create a file hash condition	Allow		Web help
			Internet Explorer 7	C:\Program Files\Internet Explorer\	File is signed; create a publisher condition	Deny		Web help
			Windows files	C:\Windows	Use the default rule for the Windows path	Allow		Help desk

The following two tables illustrate examples of documenting considerations to maintain and manage AppLocker policies.

Event processing policy

One discovery method for application usage is to set the AppLocker enforcement mode to Audit only. This will write events to the AppLocker logs, which can be managed and analyzed like other Windows logs. After applications have been identified, you can begin to develop policies regarding the processing and access to AppLocker events.

The following table is an example of what to consider and record.

Business group	AppLocker event collection location	Archival policy	Analyzed?	Security policy
Bank Tellers	Forwarded to: AppLocker Event Repository on srvBT093	Standard	None	Standard
Human Resources	DO NOT FORWARD. srvHR004	60 months	Yes, summary reports monthly to managers	Standard

Policy maintenance policy

When applications are identified and policies are created for application control, then you can begin documenting how you intend to update those policies.

The following table is an example of what to consider and record.

Business group	Rule update policy	Application decommission policy	Application version policy	Application deployment policy
Bank Tellers	Planned: Monthly through business office triage Emergency: Request through help desk	Through business office triage 30-day notice required	General policy: Keep past versions for 12 months List policies for each application	Coordinated through business office 30-day notice required
Human Resources	Planned: Monthly through HR triage Emergency: Request through help desk	Through HR triage 30-day notice required	General policy: Keep past versions for 60 months List policies for each application	Coordinated through HR 30-day notice required

Next steps

After you have determined your application control management strategy for each of the business group's applications, the following task remains:

• Creating Your AppLocker Planning Document