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@ -3,7 +3,7 @@ title: Use the Smart App Control policy to build your starter base policy
description: App Control for Business restricts which applications users are allowed to run and the code that runs in the system core.
ms.topic: conceptual
ms.localizationpriority: medium
ms.date: 03/05/2025
ms.date: 03/08/2025
---
# Use the Smart App Control policy to build your starter policy
@ -13,45 +13,45 @@ ms.date: 03/05/2025
This article describes how to create an App Control for Business policy using the Smart App Control policy as a template. [Smart App Control](https://support.microsoft.com/topic/what-is-smart-app-control-285ea03d-fa88-4d56-882e-6698afdb7003) is an app control-based security solution designed for consumer users. It uses the same technology as App Control for Business so it's easy to use as the basis for an equally robust but flexible enterprise policy.
> [!TIP]
> Microsoft recommends the policy created in this article as the ideal starter policy for most App Control deployments to end users' devices. Typically, organizations new to App Control will be most successful if they start with a permissive policy like the one described in this article. You can harden the policy over time to achieve a stronger overall security posture on your App Control-managed devices as described in later articles.
> Microsoft recommends the policy created in this article as the ideal starter policy for most App Control deployments to end users' devices. Typically, organizations new to App Control are most successful if they start with a permissive policy like the one described in this article. You can harden the policy over time to achieve a stronger overall security posture on your App Control-managed devices as described in later articles.
As we did in [App Control for Business deployment in different scenarios](common-appcontrol-use-cases.md), we'll use the fictional example of **Lamna Healthcare Company (Lamna)** to illustrate this scenario. Lamna intends to adopt stronger application policies, including the use of App Control to prevent unwanted or unauthorized applications from running on their managed devices.
As we did in [App Control for Business deployment in different scenarios](common-appcontrol-use-cases.md), let's use the fictional example of **Lamna Healthcare Company (Lamna)** to illustrate this scenario. Lamna intends to adopt stronger application policies, including the use of App Control to prevent unwanted or unauthorized applications from running on their managed devices.
**Alice Pena** is the IT team lead tasked with the rollout of App Control. Lamna currently has relaxed application usage policies and a culture of maximum app flexibility for users. So, Alice knows she'll need to take an incremental approach to App Control and likely use different policies for different user segments. But for now, she wants to begin with a policy that can cover the vast majority of users without any modifications, Smart App Control's "Signed & Reputable" policy adapted for Lamna.
**Alice Pena (she/her)** is the IT team lead tasked with the rollout of App Control. Lamna currently has relaxed application usage policies and a culture of maximum app flexibility for users. So, Alice knows they need to take an incremental approach to App Control and likely use different policies for different user segments. But for now, Alice wants a policy that can cover most users without any modifications, Smart App Control's "Signed & Reputable" policy adapted for Lamna.
## Analyze how Smart App Control's "circle-of-trust" fits for you
Alice follows the guidance from the article [Plan for app control policy lifecycle management](./plan-appcontrol-management.md#policy-xml-lifecycle-management), and starts by analyzing the "circle-of-trust" for Smart App Control's policy. Alice reads Microsoft's online help articles about Smart App Control to be sure she understands it well. From her reading, she learns that Smart App Control allows only publicly-trusted signed code or unsigned code that the [Intelligent Security Graph (ISG)](./use-appcontrol-with-intelligent-security-graph.md) predicts is safe. Publicly-trusted signed code means the signing certificate was issued by one of the certificate authorities (CA) who are in Microsoft's Trusted Root Program. Unsigned code is blocked from running if the ISG can't predict that the code is safe to run. And code determined to be unsafe is always blocked.
Alice follows the guidance from the article [Plan for app control policy lifecycle management](./plan-appcontrol-management.md#policy-xml-lifecycle-management), and starts by analyzing the "circle-of-trust" for Smart App Control's policy. Alice reads Microsoft's online help articles about Smart App Control to understand it well. From that reading, Alice learns that Smart App Control allows only publicly trusted signed code or unsigned code that the [Intelligent Security Graph (ISG)](./use-appcontrol-with-intelligent-security-graph.md) predicts to be safe. Publicly trusted signed code means the signing certificate's issuer is one of the certificate authorities (CA) in Microsoft's Trusted Root Program. Unsigned code is blocked from running if the ISG can't predict that the code is safe to run. And code determined to be unsafe is always blocked.
Now Alice considers how to adapt the policy for Lamna's use. Alice wants to create an initial policy that is as relaxed as possible, but still provide durable security value. Alice knows that some within Lamna advocate a more aggressive approach than she plans. They want to immediately lockdown end users' devices and hope there's limited fallout. For now, she has support for her approach, because more of the leadership team agrees that the Lamna app culture that developed slowly over the course of the company's existence won't just go away overnight, so the policy must maintain substantial flexibility initially.
Now Alice considers how to adapt the policy for Lamna's use. Alice wants to create an initial policy that is as relaxed as possible, but still provides durable security value. Some within Lamna advocate a more aggressive approach than Alice plans. They want to immediately lockdown end users' devices and hope for limited fallout. But the leadership team agrees with Alice that Lamna's app culture, formed slowly over tie, won't just go away overnight and so the initial policy needs much flexibility.
### Consider the key factors about your organization
Alice next identifies the key factors about Lamna's environment that she believes will most influence the company's "circle-of-trust". The policy must be flexible to meet the needs of the business in the short- and medium-term, while they introduce new app management processes that will make it practical to consider a more restrictive app control policy. The key factors also help her choose which systems to include in the first deployment. Alice writes down these factors in her planning worksheet so that whomever may follow her will know how she viewed the challenge:
Alice next identifies the key factors about Lamna's environment that affect the company's "circle-of-trust." The policy must be flexible to meet the needs of the business in the short- and medium-term. That gives Lamna time to introduce new app management processes and policies to make it practical for a more restrictive app control policy in the future. The key factors also help Alice choose which systems to include in the first deployment. Alice writes down these factors in the planning document:
- **User privileges:** Most users operate as standard user, though nearly a quarter still have local admin rights on their devices; the people with admin rights view the freedoms that gives them as essential, including the option to run whatever apps they want;
- **Operating Systems:** Windows 11 runs most user devices, but Windows 10 will remain on roughly 10% of clients at least through the next fiscal year, particularly those in smaller satellite offices; Alice's group doesn't manage Lamna's servers or any specialized equipment; Lamna's server IT group plans to wait to see how the client rollout of App Control unfolds before implementing the technology on the servers they control;
- **Client management:** Lamna uses Microsoft Intune for all Windows 11 devices, deployed as Microsoft Entra cloud-native; they continue to use Microsoft Endpoint Configuration Manager (MEMCM) with Microsoft Entra hybrid join on all Windows 10 devices;
- **App management:** Most, but not all, apps are deployed using Intune; there's a long tail of business-unit-specific apps, and "Shadow IT" apps that lack an official charter, but are critical to the employees who use them;
- **App development and code signing:** Lamna has hundreds of line-of-business (LOB) apps across its business units; Lamna hasn't aligned its business units on development platforms and frameworks, so Alice expects lots of variability and complexity; almost all of the apps use unsigned, or mostly unsigned, code; although the company has started to require codesigning, their codesigning certificates come from Lamna's corporate Public Key Infrastructure (PKI), so they aren't trusted by the Smart App Control policy by default; Alice must add the certs to the policy.
- **User privileges:** Most users are standard user, but nearly a quarter have local admin rights on their devices and the option to run any app they choose is a major contributing factor.
- **Operating Systems:** Windows 11 runs most user devices, but Lamna expects ~10% of clients to remain on Windows 10 through the next fiscal year, particularly in smaller satellite offices. Lamna's servers and specialized equipment are out of scope at this time.
- **Client management:** Lamna uses Microsoft Intune for all Windows 11 devices, deployed as Microsoft Entra cloud-native. They continue to use Microsoft Endpoint Configuration Manager (MEMCM) for most Windows 10 devices, deployed as Microsoft Entra hybrid join.
- **App management:** Lamna has hundreds of line-of-business (LOB) apps across its business units. Alice's team deploys most, but not all, of these apps using Intune. And there's a long tail of apps used by smaller teams, including many "Shadow IT" apps, that have no official charter, but are critical to the employees who use them.
- **App development and code signing:** Lamna business units aren't standardized on development platforms and frameworks, so significant variability and complexity is likely. Almost all of the apps use unsigned, or mostly unsigned, code. Although the company now requires codesigning, Lamna's codesigning certificates come from its corporate Public Key Infrastructure (PKI), and require custom rules in the policy.
Based on the above, Alice defines the pseudo-rules for the Lamna version of Microsoft's Signed & Reputable policy:
Based on these factors, Alice writes the pseudo-rules for the Lamna version of Microsoft's Signed & Reputable policy:
1. **"Windows and Microsoft-certified kernel drivers"** One or more signer rules allowing:
- Windows and its components.
- Microsoft-certified third-party kernel drivers (WHQL).
- Kernel drivers signed by the Windows Hardware Quality Labs (WHQL) certificate authority.
2. **"Publicly-trusted signed code"** One or more signer rules allowing:
- Code signed with certificates issued from any certificate authority participating in the [Microsoft Trusted Root Program ("AuthRoot")](/security/trusted-root/program-requirements) or non-OS code signed by Microsoft.
3. **Lamna signed code** One or more signer rules allowing:
- Code signed by certificates issued from Lamna Codesigning PCA, the intermediate cert issued from their own internal PKI.
- Code signed by certificates issued from Lamna Codesigning private certificate authority (PCA), the intermediate cert issued from their own internal PKI.
4. **Allow apps based on their "reputation"** A policy option allowing:
- Apps predicted to be "safe" by the ISG.
5. **Allow Managed Installer** A policy option allowing:
- Code written to the system by a process designated by policy as a managed installer. For Lamna's managed installer policy, Alice includes the Intune Management Extension, and also well-known auto-updater processes for widely-used apps. She also includes a filepath rule, "D:\ Lamna Helpdesk\*" where Lamna's helpdesk admins are trained to copy the app installers and scripts they use to repair user's apps and systems.
- Code written to the system by a process designated by policy as a managed installer. For Lamna's managed installer policy, Alice includes the Intune Management Extension, and also well-known autoupdater processes for widely used apps. Alice also includes a filepath rule, "D:\ Lamna Helpdesk\*" where Lamna's helpdesk admins are trained to copy the app installers and scripts they use to repair user's apps and systems.
6. **Admin-only path rules** One or more filepath rules for the following locations:
- "C:\Program Files\*"
@ -59,40 +59,40 @@ Based on the above, Alice defines the pseudo-rules for the Lamna version of Micr
- "%windir%\*"
- "D:\Lamna Helpdesk\*"
## Modify the "Signed & Reputable" policy template to suit your business needs
## Modify the "Signed & Reputable" policy template for your organization
Alice is familiar with the App Control Policy Wizard, the open-source policy authoring UI maintained by the team responsible for App Control for Business and Smart App Control. She downloads the tool from its official [download site](https://aka.ms/appcontrolwizard) and runs it.
Alice downloads the App Control Policy Wizard from https://aka.ms/appcontrolwizard and runs it.
1. On the **App Control Policy Wizard's** welcome page, Alice sees three options: **Policy Creator**, **Policy Editor**, and **Policy Merger**. Alice selects **Policy Creator** which takes her to the next page.
1. On the **Welcome** page, Alice sees three options: **Policy Creator**, **Policy Editor**, and **Policy Merger**. Alice selects **Policy Creator** which takes her to the next page.
2. On **Select a Policy Type**, Alice must choose whether to create a *Multiple Policy Format* or *Single Policy Format* policy. Since all of the end users' devices run Windows 11 or current versions of Windows 10, she takes the default *Multiple Policy Format*. Similarly, the choice between *Base Policy* and *Supplemental Policy* is straightforward and, here too, she leaves the default, *Base Policy* intact. She selects **Next** to continue.
2. On **Select a Policy Type**, Alice must choose whether to create a *Multiple Policy Format* or *Single Policy Format* policy. Since all of the end users' devices run Windows 11 or current versions of Windows 10, Alice leaves the default *Multiple Policy Format*. Similarly, the choice between *Base Policy* and *Supplemental Policy* is straightforward and, here too, leaves the default *Base Policy* selected. Alice selects **Next** to continue.
3. The next page is where Alice will **Select a Base Template for the Policy**. The App Control Wizard offers three template policies to use when creating a new Base Policy. Each template policy applies slightly different rules to alter its circle-of-trust and security model of the policy. The three template policies are:
| Template Base Policy | Description |
|---------------------------------|-------------------------------------------------------------------|
| **Default Windows mode** | Default Windows mode authorizes the following components: </br><ul><li>Windows operating system components - any binary installed by a fresh install of Windows</li><li>Packaged apps (MSIX) signed by the Microsoft Store MarketPlace signer</li><li>Microsoft Office365 apps, OneDrive, and Microsoft Teams</li><li>Third-party [Windows Hardware Compatible drivers](/windows-hardware/drivers/install/whql-release-signature)</li></ul>|
| **Default Windows mode** | Default Windows mode authorizes the following components: </br><ul><li>Windows operating system components - any binary installed by a fresh install of Windows</li><li>MSIX packaged apps signed by the Microsoft Store MarketPlace signer</li><li>Microsoft Office365 apps, OneDrive, and Microsoft Teams</li><li>[WHQL signed drivers](/windows-hardware/drivers/install/whql-release-signature)</li></ul>|
| **Allow Microsoft mode** | Allow Microsoft mode authorizes the following components: </br><ul><li>All code allowed by Default Windows mode, plus...</li><li>*All Microsoft-signed software*</li></ul>|
| **Signed and Reputable mode** | Signed and Reputable mode authorizes the following components: </br><ul><li>All code allowed by Allow Microsoft mode, plus...<</li><li>*Files created or installed by a process configured as a [managed installer](./configure-authorized-apps-deployed-with-a-managed-installer.md)*</li><li>*Files with good reputation per [Microsoft Defender's Intelligent Security Graph technology](use-appcontrol-with-intelligent-security-graph.md)*</li></ul>|
Alice selects the **Signed and Reputable mode** template and then **Next**, accepting the defaults for the policy filename and location.
4. On the **Configure Policy Template - Policy rules** page, Alice reviews the set of options enabled for the policy. She's pleased to see the template already has most options set as recommended by Microsoft. The only changes she makes are to check the options for **Managed Installer** and **Require WHQL**. This way apps installed by Intune or any of the other managed installers are automatically allowed, and only kernel drivers built for Windows 10 or higher will run. Then she selects **Next**.
4. On **Configure Policy Template - Policy rules**, Alice reviews the set of options enabled for the policy. The template already has most options set as recommended by Microsoft. The only changes Alice makes are to check the options for **Managed Installer** and **Require WHQL**. This way apps installed by Intune or any of the other managed installers are automatically allowed, and only kernel drivers built for Windows 10 or higher can run. Selecting **Next** advances the wizard.
5. On the **File Rules** page, Alice sees the rules Microsoft included in the Signed and Reputable mode template policy. Here, she'll add the Signer rule to trust Lamna-signed code, and the filepath rules to allow code in admin-writable-only locations under the two Program Files directories, the Windows directory, and Lamna's Helpdesk folder.
5. The **File Rules** page shows the rules from the Signed and Reputable mode template policy. Alice adds the Signer rule to trust Lamna-signed code, and the filepath rules to allow code in admin-writable-only locations under the two Program Files directories, the Windows directory, and Lamna's Helpdesk folder.
To create each rule, Alice selects **+ Add Custom** which opens the **Custom Rules** dialog where the conditions for the rule are defined. For the first rule, she leaves the default selections for **Rule Scope** and **Rule Action**. For the **Rule Type** dropdown, she chooses the **Publisher** option to a Signer rule. She then selects **Browse** to choose a file she knows is signed by a cert chaining up to the Lamna Codesigning PCA. The Wizard shows the signature information it found on the file with checkboxes for each element of the signature and the file's signed .rsrc header section, including Product Name and Original File Name. In this case, since she intends to allow everything signed with Lamna's interal codesigning certs, she only leaves Issuing CA and Publisher checked. Having set the rule conditions for the Lamna Codesigning PCA rule, she selects **Create Rule** and sees that the rule is now shown in the list. Alice repeats these steps for the rest of Lamna's custom rules.
To create each rule, Alice selects **+ Add Custom** which opens the **Custom Rules** dialog where the conditions for the rule are defined. For the first rule, the default selections for **Rule Scope** and **Rule Action** are correct. For the **Rule Type** dropdown, the **Publisher** option is the correct choice to create a Signer rule. Alice then selects **Browse** and picks a file signed by a cert issued by the Lamna Codesigning PCA. The Wizard shows the signature information and information pulled from the resource header section (RSRC) of the file, like ***product name*** and the ***original file name*** with checkboxes by each element. In this case, since they intend to allow everything signed with Lamna's internal codesigning certs, Alice leaves only ***Issuing CA*** and ***Publisher*** checked. With the rule conditions for the Lamna Codesigning PCA rule set, Alice selects **Create Rule** and sees the rule is included in the list. Alice repeats these steps for the rest of Lamna's custom rules.
6. Having made all the edits she planned, Alice selects **Next** and the wizard creates the App Control policy files, consisting of an XML form and a compiled binary form of the policy. Alice does a cursory review of the XML policy file to confirm the final result.
6. Now that all of the edits described in the pseudo-rules are done, Alice selects **Next** and the wizard creates the App Control policy files. The output files include an XML form and a compiled binary form of the policy. Alice does a cursory review of the XML policy file to confirm the result looks good and then closes the wizard.
With her starter policy in hand, Alice uploads both files to a Github repository Alice created specifically for lifecycle management and earlier created a project to store and manage Lamna's policies over time. your base policy XML and the associated binary to a source control solution, such as [GitHub](https://github.com/) or a document management solution such as [Office 365 SharePoint](https://products.office.com/sharepoint/collaboration).
Alice uploads both files to a GitHub repository created specifically for Lamna's app control policy files.
At this point, Alice now has an initial policy that is ready to deploy in audit mode to the managed clients within Lamna.
Alice's starter policy is now ready to deploy in audit mode to Lamna's managed devices.
## Security considerations of this lightly managed policy
## Security considerations of this policy
In order to minimize user productivity impact, Alice has defined a policy that makes several trade-offs between security and user app flexibility. Some of the trade-offs include:
In order to minimize the potential to negatively affect user productivity, Alice defined a policy that makes several trade-offs between security and user app flexibility. Some of the trade-offs include:
- **Users with administrative access**
@ -100,18 +100,18 @@ In order to minimize user productivity impact, Alice has defined a policy that m
Possible mitigations:
- Use signed App Control policies and UEFI BIOS access protection to prevent tampering of App Control policies.
- To remove the requirement for managed installer, create and deploy signed catalog files as part of the app deployment process.
- Use device attestation to detect the configuration state of App Control at boot time and use that information to condition access to sensitive corporate resources.
- To prevent tampering of App Control policies, use signed App Control policies on systems running Unified Extensible Firmware Interface (UEFI) firmware.
- To remove the need for trusting managed installer, create and deploy signed catalog files or deploy updated policies as part of your regular app deployment and app updating procedures.
- To control access to other corporate resources and data, use the boot time measurement of App Control configuration state from the Trusted Computing Group (TCG) log with device attestation.
- **Unsigned policies**
Unsigned policies can be replaced or removed without consequence by any process running as administrator. Unsigned base policies that also enable supplemental policies can have their "circle-of-trust" altered by any unsigned supplemental policy.
Any process running as administrator can replace or remove unsigned policies without consequence. Similarly, unsigned supplemental policies can alter the "circle-of-trust" for an unsigned base policy that includes option **17 Enabled:Allow Supplemental Policies**.
Possible mitigations:
- Use signed App Control policies and UEFI BIOS access protection to prevent tampering of App Control policies.
- Limit who can elevate to administrator on the device.
- To prevent tampering of App Control policies, use signed App Control policies on systems running UEFI firmware.
- To minimize the risk, limit who can elevate to administrator on the device.
- **Managed installer**
@ -119,8 +119,8 @@ In order to minimize user productivity impact, Alice has defined a policy that m
Possible mitigations:
- To remove the requirement for managed installer, create and deploy signed catalog files as part of the app deployment process.
- Limit who can elevate to administrator on the device.
- To remove the need for trusting managed installer, create and deploy signed catalog files or deploy updated policies as part of your regular app deployment and app updating procedures.
- To minimize the risk, limit who can elevate to administrator on the device.
- **Intelligent Security Graph (ISG)**
@ -128,12 +128,12 @@ In order to minimize user productivity impact, Alice has defined a policy that m
Possible mitigations:
- Implement policies that require apps be managed by IT. Audit existing app usage and deploy authorized apps using a software distribution solution, like Microsoft Intune. Move from ISG to managed installer or signature-based rules.
- Use a restrictive audit mode policy to audit app usage and augment vulnerability detection.
- To remove the need for trusting ISG, perform a comprehensive audit of existing app usage and installation. Onboard any apps you find that aren't currently managed to your software distribution solution, like Microsoft Intune. Implement policies to require apps become managed by IT. Then transition from ISG to managed installer, signed catalog files and/or updated policy rules and deploy them as part of your regular app deployment and app updating procedures.
- To collect more data for use in security incident investigations and post-incident reviews, deploy a highly restrictive app control policy in audit mode. The data captured in the App Control event logs contains useful information about all code that runs that isn't Windows signed. To prevent your policy from impacting your device performance and functionality, be sure it minimally allows Windows code that runs as part of the boot process.
- **Supplemental policies**
Supplemental policies are designed to relax the associated base policy. Additionally allowing unsigned policies allows any administrator process to expand the "circle-of-trust" defined by the base policy without restriction.
Supplemental policies are designed to expand the "circle-of-trust" defined by the base policy. If the base policy is also unsigned, then any process running as administrator can place an unsigned supplemental policy and expand the "circle-of-trust" of the base policy without restriction.
Possible mitigations:
@ -147,17 +147,18 @@ In order to minimize user productivity impact, Alice has defined a policy that m
Possible mitigations:
- Limit who can elevate to administrator on the device.
- Migrate from filepath rules to managed installer or signature-based rules.
- Transition from filepath rules to managed installer or signature-based rules.
- **Signed files**
- **Signed malware**
Although files that are code-signed verify the author's identity and ensures that the code hasn't been altered by anyone other than the author, it doesn't guarantee that the signed code is safe.
Code signing alone isn't a security solution, but it does provide two critical building blocks that make security solutions like App Control possible. First, code signing strongly associates code with a real-world identity... and a real world identity can face consequences that a nameless, shadowy figure responsible for unsigned malware doesn't. Second, code signing provides cryptographic proof that the code running remains untampered since the publisher signed it. An app control policy that requires all code is signed, or the policy explicitly allows it, raises the stakes and the costs for an attacker. But there remain ways for a motivated attacker to get their malicious code signed and trusted, at least for a while. And even when software comes from a trustworthy source, it doesn't mean it's safe to run. Any code can expose powerful capabilities that a malicious actor could exploit for their own ill-intent. And vulnerabilities can turn the most benign code into something truly dangerous.
Possible mitigations:
- Use a reputable antimalware or antivirus software with real-time protection, such as Microsoft Defender, to protect your devices from malicious files, adware, and other threats.
- Use a reputable anti-malware or antivirus software with real-time protection, such as Microsoft Defender, to protect your devices from malicious files, adware, and other threats.
## What you should read next
- Learn more about managed installers: how they work, how to set them up, and what are some of their limitations in [Automatically allow apps deployed by a managed installer](./configure-authorized-apps-deployed-with-a-managed-installer.md).
- Or to see your starter policy in action, [Prepare to deploy App Control for Business policies](../deployment/appcontrol-deployment-guide.md).
- Learn more about managed installers: how they work, how to set them up, and what are their limitations in [Automatically allow apps deployed by a managed installer](./configure-authorized-apps-deployed-with-a-managed-installer.md).
- Learn how to deploy your starter policy and see it in action in [Deploying App Control for Business policies](../deployment/appcontrol-deployment-guide.md).