National Checklist Program 

for IT Products—Guidelines for 

Checklist Users and 

Developers

Recommendations of the National Institute 

of Standards and Technology

Stephen D. Quinn

Karen Scarfone

Murugiah Souppaya

Special Publication 800-70 

Revision 1

Sponsored by the Department of 

Homeland Security
NIST Special Publication 800-70 

Revision 1

National Checklist Program for IT 

Products—Guidelines for Checklist Users 

and Developers

Recommendations of the National 

Institute of Standards and Technology

Stephen D. Quinn

Karen Scarfone

Murugiah Souppaya

C O M P U T E R S E C U R I T Y

Computer Security Division

Information Technology Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899-8930

September 2009

U.S. Department of Commerce

Gary Locke, Secretary

National Institute of Standards and Technology

Patrick D. Gallagher, Deputy Director
NATIONAL CHECKLIST PROGRAM FOR IT PRODUCTS—GUIDELINES FOR CHECKLIST USERS AND DEVELOPERS

iii

Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology 

(NIST) promotes the U.S. economy and public welfare by providing technical leadership for the nation’s 

measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of 

concept implementations, and technical analysis to advance the development and productive use of 

information technology. ITL’s responsibilities include the development of technical, physical, 

administrative, and management standards and guidelines for the cost-effective security and privacy of 

sensitive unclassified information in federal computer systems. This Special Publication 800-series 

reports on ITL’s research, guidance, and outreach efforts in computer security and its collaborative 

activities with industry, government, and academic organizations.

This document is available for download at http://checklists.nist.gov/.

Certain commercial entities, equipment, or materials may be identified in this 

document in order to describe an experimental procedure or concept adequately. 

Such identification is not intended to imply recommendation or endorsement by the 

National Institute of Standards and Technology, nor is it intended to imply that the 

entities, materials, or equipment are necessarily the best available for the purpose.

National Institute of Standards and Technology Special Publication 800-70 Revision 1

Natl. Inst. Stand. Technol. Spec. Publ. 800-70 Rev. 1, 68 pages (Sep. 2009)
NATIONAL CHECKLIST PROGRAM FOR IT PRODUCTS—GUIDELINES FOR CHECKLIST USERS AND DEVELOPERS

iv

Acknowledgments

The authors, Stephen Quinn, Karen Scarfone, and Murugiah Souppaya of the National Institute of 

Standards and Technology (NIST), wish to thank their colleagues, Tim Grance and Matt Barrett, as well 

as David Waltermire, John Banghart, and Paul Cichonski of Booz Allen Hamilton, who reviewed drafts 

of this document and contributed to its technical content. The authors also acknowledge the individuals 

who assisted in the development of the original version of SP 800-70, including John Wack of NIST, who 

was a co-author of that version, and Anthony Harris and Paul M. Johnson of Booz Allen Hamilton, who 

contributed to the development of the initial draft publication; Timothy Grance, Jeffrey Horlick, Arnold 

Johnson, Mark Madsen, Edward Roback, Ron Ross, Michael Rubin, Carolyn Schmidt, and Matt Scholl of 

NIST; Clint Kreitner of the Center for Internet Security; Chase Carpenter, Kurt Dillard, and Jesper 

Johansson of Microsoft Corporation; Paul Bartock, Trent Pitsenbarger, and Neal Ziring of the National 

Security Agency; Terry Sherald of the Defense Information Systems Agency; Glenn Brunette of Sun 

Microsystems; and the following organizations that provided comments: Apple Computer, Inc., the 

Department of Energy, and Symantec Corporation.

The National Institute of Standards and Technology would also like to express its appreciation and thanks 

to the Department of Homeland Security for its sponsorship and support of the NIST National Checklist 

Program for IT Products.

Trademark Information

Microsoft and Windows are either registered trademarks or trademarks of Microsoft Corporation in the 

United States and other countries.

All other names are registered trademarks or trademarks of their respective companies.
NATIONAL CHECKLIST PROGRAM FOR IT PRODUCTS—GUIDELINES FOR CHECKLIST USERS AND DEVELOPERS

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Table of Contents

Executive Summary............................................................................................................ES-1

1. Introduction ................................................................................................................... 1-1

1.1 Authority.................................................................................................................1-1

1.2 Purpose and Scope................................................................................................1-1

1.3 Audience ................................................................................................................1-1

1.4 Document Organization..........................................................................................1-1

2. The NIST National Checklist Program ......................................................................... 2-1

2.1 Security Configuration Checklists ...........................................................................2-1

2.2 Benefits of Using Security Checklists .....................................................................2-2

2.3 Overview of NIST National Checklist Program .......................................................2-3

2.3.1 Types of Checklists Listed by National Checklist Program ......................... 2-4

2.3.2 Procedures for Users and Developers........................................................ 2-5

3. Operational Environments for Checklists ................................................................... 3-1

3.1 Background............................................................................................................3-1

3.2 Standalone Environment ........................................................................................3-2

3.3 Managed Environment ...........................................................................................3-4

3.4 Specialized Security-Limited Functionality Custom Environment............................3-6

3.5 Legacy Environments.............................................................................................3-8

3.6 Federal Desktop Core Configuration (FDCC) Environments.................................3-10

4. Checklist Usage............................................................................................................. 4-1

4.1 Determining Local Requirements ...........................................................................4-2

4.2 Browsing and Retrieving Checklists........................................................................4-3

4.3 Reviewing, Customizing and Documenting, and Testing Checklists .......................4-9

4.4 Applying Checklists to IT Products .......................................................................4-10

5. Checklist Development................................................................................................. 5-1

5.1 Background on Security-Related Criteria for Checklists..........................................5-2

5.2 Developer Steps for Creating and Submitting Checklists........................................5-2

5.2.1 Initial Checklist Development ..................................................................... 5-3

5.2.2 Checklist Testing........................................................................................ 5-4

5.2.3 Checklist Documented ............................................................................... 5-5

5.2.4 Checklist Submitted to NIST ...................................................................... 5-7

5.3 NIST Steps for Reviewing and Finalizing Checklists for Publication .......................5-7

5.3.1 NIST Screening of the Checklist Package.................................................. 5-7

5.3.2 Public Review and Feedback for the Candidate Checklist.......................... 5-8

5.3.3 Final Listing on Checklist Repository, Maintenance, and Archival .............. 5-9

Appendix A. References ................................................................................................A-1

Appendix B. Checklist Description Template...............................................................B-1

Appendix C. Checklist Program Operational Procedures ...........................................C-1

1. Overview and General Considerations .......................................................................C-2

2. Checklist Submission and Screening..........................................................................C-3
NATIONAL CHECKLIST PROGRAM FOR IT PRODUCTS—GUIDELINES FOR CHECKLIST USERS AND DEVELOPERS

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3. Candidate Checklist Public Review ............................................................................C-4

4. Final Checklist Listing.................................................................................................C-5

5. Final Checklist Update, Archival, and Delisting...........................................................C-5

6. Record Keeping .........................................................................................................C-6

Appendix D. Participation and Logo Usage Agreement Form ....................................D-1

Appendix E. Acronyms and Abbreviations ..................................................................E-1

Appendix F. Glossary .................................................................................................... F-1

List of Figures

Figure 3-1: Home Office Standalone Environment Example.................................................... 3-3

Figure 3-2: Centrally Managed Environment Example ............................................................ 3-5

Figure 3-3: Specialized Security-Limited Functionality Environment Example......................... 3-8

Figure 3-4: Legacy Environment Example............................................................................... 3-9

Figure 3-5: Legacy Workstation Environment.......................................................................... 3-9

Figure 4-1: Checklist User Process Overview ......................................................................... 4-1

Figure 4-2: NIST Checklist Repository Home Page................................................................. 4-3

Figure 4-3: NIST Checklist Detail Page................................................................................... 4-4

Figure 5-1: NCP Checklist Development Steps....................................................................... 5-1

List of Tables

Table 4-1: Checklist Description Fields ................................................................................... 4-4

Table 4-2: Checklist Tier Requirement Summary .................................................................... 4-8

Table 5-1: Fields Completed at Initial Checklist Development ................................................. 5-3

Table 5-2: Fields Completed During Checklist Testing............................................................ 5-4

Table 5-3: Additional Documentation Fields ............................................................................ 5-6

Table B-1: Fields in the Checklist Description Template..........................................................B-1
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Executive Summary

A security configuration checklist (also called a lockdown, hardening guide, or benchmark) is a series of 

instructions for configuring a product to a particular operational environment. Checklists can comprise 

templates or automated scripts, patches or patch descriptions, Extensible Markup Language (XML) files, 

and other procedures. Checklists are intended to be tailored by each organization to meet its particular

security and operational requirements. Some checklists also contain instructions for verifying that the 

product has been configured properly. Typically, checklists are created by IT vendors for their own 

products; however, checklists are also created by other organizations with the necessary technical 

competence, such as academia, consortia, and government agencies. The use of well-written, standardized 

checklists can markedly reduce the vulnerability exposure of IT products. Checklists can be particularly 

helpful to small organizations and to individuals with limited resources for securing their systems. 

NIST maintains the National Checklist Repository, which is a publicly available resource that contains a 

variety of security configuration checklists for specific IT products or categories of IT products. The 

repository, which is located at http://checklists.nist.gov/, contains metadata that describes each checklist. 

Users can browse and search the metadata to locate a particular checklist using a variety of criteria, 

including the product category, vendor name, and submitting organization. Having a centralized checklist

repository makes it easier for organizations to find the current, authoritative versions of security

checklists and to determine which ones best meet their needs.

This document is intended for users and developers of security configuration checklists. For checklist 

users, this document makes recommendations for how they should select checklists from the NIST 

National Checklist Repository, evaluate and test checklists, and apply them to IT products. The document 

also provides general information to users about threats and baseline technical security practices for 

associated operational environments. For checklist developers, this document sets forth the policies, 

procedures, and general requirements for participation in the NIST National Checklist Program (NCP).

Major recommendations made in this document for checklist users and developers include the following:

Organizations should apply checklists to operating systems and applications to reduce the number 

of vulnerabilities that attackers can attempt to exploit and to lessen the impact of successful attacks.

There is no checklist that can make a system or product 100 percent secure, and using checklists does not 

eliminate the need for ongoing security maintenance, such as patch installation. However, using checklists 

that emphasize both hardening of systems against software flaws (e.g., by applying patches and 

eliminating unnecessary functionality) and configuring systems securely will typically reduce the number 

of ways in which the systems can be attacked, resulting in greater levels of product security and 

protection from future threats. Checklists can also be used to verify the configuration of some types of 

security controls for system assessments, such as confirming compliance with certain Federal Information 

Security Management Act (FISMA) requirements or other sets of security requirements.

Federal agencies are required to use appropriate security configuration checklists from the NCP when 

available. In February 2008, revised Part 39 of the Federal Acquisition Regulation (FAR) was published. 

Paragraph (d) of section 39.101 states, ―In acquiring information technology, agencies shall include the 

appropriate IT security policies and requirements, including use of common security configurations 

available from the NIST website at http://checklists.nist.gov. Agency contracting officers should consult 

with the requiring official to ensure the appropriate standards are incorporated.‖

1 Also, FISMA (section 

3544(b)(2)(D)(iii)) requires each Federal agency to determine minimally acceptable system configuration 

 

1

http://www.acquisition.gov/far/current/html/FARTOCP39.html
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requirements and to ensure compliance with them. Accordingly, Federal agencies, as well as vendors of 

products for the Federal government, should acquire or implement and share such checklists using the 

NIST repository. NIST encourages checklist developers to assert mappings to the security controls 

delineated in NIST SP 800-53 to facilitate FISMA compliance checking for Federal agencies.2

Organizations should consider the availability of security configuration checklists during their IT product 

selection processes.

When selecting checklists, checklist users should carefully consider the degree of automation and 

the source of each checklist.

NIST has defined four tiers of checklists to assist checklist users in being able to readily identify the 

major differences among checklists. The tiers range from Tier I checklists, which are prose-based with 

narrative descriptions of how a person can manually alter a product’s configuration, to Tier IV checklists, 

which have all security settings documented in machine-readable, standardized Security Content 

Automation Protocol (SCAP) formats; have been validated by NIST or a NIST-recognized authoritative 

entity for interoperability with SCAP-validated products; and have vetted mappings between low-level 

security settings (for example, standardized identifiers for individual security configuration issues) and 

high-level security requirements as represented in security frameworks (for example, SP 800-53 controls 

for FISMA). 

When multiple checklists are available for a particular product, organizations should take into 

consideration the tier of each checklist. Generally, checklists from higher tiers can be used more 

consistently and efficiently than checklists at lower tiers. There may be other significant differences 

among checklists that are not indicated by the tier; for example, one checklist may include software 

bundled with an operating system (e.g., web browser, and email client) while another checklist addresses 

that operating system only. Another example is the assumptions on which the checklists are based (e.g., 

environment, threat model). A checklist user should identify such differences and determine which 

checklist(s) seem appropriate and merit further analysis. 

If it is not clear which checklist(s) should be analyzed, users from Federal civilian agencies should first 

search for government-authorized or mandated checklists.3In general, users should search for NISTproduced checklists, which are tailored for civilian agency use. If no NIST-produced checklist is 

available, then agency-produced checklists from the Defense Information Systems Agency (DISA) or the 

National Security Agency (NSA) should be used if available. If formal government-authored checklists 

do not exist, then organizations are encouraged to use vendor-produced checklists. If vendor-produced 

checklists are not available, then checklists from other trusted third parties may be used.

Checklist users should customize and test checklists before applying them to production systems.

A checklist that is not mandatory for an organization to adopt should be considered a baseline for an 

organization to customize. Although the baseline settings are based on sound knowledge of security 

threats and vulnerabilities, they cannot take into account organization-specific security and operational 

requirements, existing security controls, and other factors that may necessitate changes to the baseline. 

Organizations should carefully evaluate the baseline settings and give them considerable weight, then 

make any changes necessary to adapt the settings to the organization’s environment, requirements, 

policies, and security objectives. This is particularly true for checklists intended for an environment with 

 

2 Organizations are also encouraged to include information in their checklists that supports mapping to other sets of 

requirements, such as HIPAA.

3

 The Office of Management and Budget’s (OMB’s) Federal Desktop Core Configuration (FDCC) is an example of a 

government-mandated checklist. More information about OMB’s FDCC can be found at http://fdcc.nist.gov/. 
NATIONAL CHECKLIST PROGRAM FOR IT PRODUCTS—GUIDELINES FOR CHECKLIST USERS AND DEVELOPERS

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significantly different security needs. All deviations from the baseline settings should be documented for 

future reference, and include the reason behind each deviation and the impact of deviating from the 

baseline setting.

Before applying a checklist that will be used to alter product settings, users should first test it on noncritical systems, preferably in a controlled non-operational environment. Each checklist in the NIST 

repository has been tested by its developer, but there are often significant differences between a 

developer’s testing environment and an organization’s operational environment, and some of these 

differences may affect checklist deployment. In some cases, a security control modification can have a 

negative impact on a product’s functionality and usability, or on other products or security controls. 

Consequently, it is important to perform testing to determine the impact on system security, functionality, 

and usability; to document the results of testing; and to take appropriate steps to address any significant 

issues.

Checklist users should take their operational environments into account when selecting checklists, 

and checklist developers should target their checklists to one or more operational environments.

Checklists are significantly more useful when they can run in common operational environments. The 

NCP has identified several broad and specialized operational environments, such as Standalone and 

Managed, and at least one of the environments should be common to most of the audiences. Thoroughly 

identifying and describing these environments will make it easier for users to select the checklists that are 

most appropriate for their particular operating environments, and will allow developers to better target 

their checklists to the general security baselines associated with their operating environments. 

NIST strongly encourages IT product vendors to develop security configuration checklists for their 

products and contribute them to the NIST National Checklist Repository.

NIST encourages IT product vendors to develop security configuration checklists for their products, since 

the vendors have the most expertise on the possible security configuration settings and the best 

understanding of how the settings relate to and affect each other. 

Vendors that create security configuration checklists should submit them for inclusion in the National 

Checklist Repository through the NCP. The NCP provides a process and guidance for developing 

checklists in a consistent fashion. For checklist developers, steps include initial development of the 

checklist, checklist testing, documenting the checklist according to the guidelines of the NCP, and 

submitting a checklist package to NIST. NIST screens the checklist according to program requirements 

and then releases the checklist for public review, which typically lasts 30 to 60 days. After the public 

review period and subsequent resolution of issues, the checklist is listed on the NIST checklist repository 

with its metadata. NIST periodically asks checklist developers to review their checklists and to provide 

updates as necessary. NIST retires or archives checklists as they become outdated or incorrect.
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1. Introduction

1.1 Authority

The National Institute of Standards and Technology (NIST) developed this document in furtherance of its 

statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, 

Public Law 107-347, and also under the Cyber Security Act, which tasks NIST to ―develop, and revise as 

necessary, a checklist setting forth settings and option selections that minimize the security risks 

associated with each computer hardware or software system that is, or is likely to become widely used 

within the Federal Government.‖

NIST is responsible for developing standards and guidelines, including minimum requirements, for 

providing adequate information security for all agency operations and assets, but such standards and 

guidelines shall not apply to national security systems. This guideline is consistent with the requirements 

of the Office of Management and Budget (OMB) Circular A-130, Section 8b(3), ―Securing Agency 

Information Systems,‖ as analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental 

information is provided in A-130, Appendix III [3].

This guideline has been prepared for use by federal agencies. It may be used by nongovernmental 

organizations on a voluntary basis and is not subject to copyright, though attribution is desired.

Nothing in this document should be taken to contradict standards and guidelines made mandatory and 

binding on federal agencies by the Secretary of Commerce under statutory authority, nor should these 

guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, 

Director of the OMB, or any other Federal official.

1.2 Purpose and Scope

This document describes security configuration checklists and their benefits, and explains how to use the 

NIST National Checklist Program (NCP) to find and retrieve checklists. The document also describes the 

policies, procedures, and general requirements for participation in the NCP.

1.3 Audience

This document was created for current and potential checklist developers and users in both the public and 

private sectors. Checklist developers include information technology (IT) vendors, consortia, industry, 

government organizations, and others in the public and private sectors. Checklist users include end users, 

system administrators, and IT managers within government agencies, corporations, small businesses, and 

other organizations, as well as private citizens.

It is assumed that readers of this document are familiar with general computer security concepts.

1.4 Document Organization

Section 2 contains an overview of checklists and describes the advantages of the NIST NCP and how it 

works. It contains cross-references to other sections of this document that provide greater detail.

Section 3 provides additional details on pre-defined checklist operational environments, threat 

discussions, and baseline technical security practices that are used in the NCP to help developers create 

checklists that are consistent with security practices. The material presented in Section 3 can also help 
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checklist users better understand the baseline security practices and select the checklists that best match 

their own operational environments.

Section 4 contains information for potential checklist users. It describes how to use the NCP to find and 

retrieve checklists that best match the identified needs. It also contains guidance on how to implement 

checklists, including how to analyze the specific operating environment and then tailor checklists as 

applicable.

Section 5 provides guidance for current and prospective checklist developers. This guidance contains 

information on the procedures for preparing and submitting a checklist to NIST for inclusion in the 

checklist repository.

Appendix A lists reference sources that were used to develop this document.

Appendix B describes the checklist description fields of the template used to catalogue checklists in the 

NIST repository.

Appendix C contains the programmatic and legal requirements that must be satisfied to participate in the 

NCP.

Appendix D contains the NCP participation and logo usage agreement form.

Appendix E contains a list of acronyms used in this document.

Appendix F presents a glossary of the terms used in this document.
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2. The NIST National Checklist Program

Maintaining secure networks and hosts continues to increase in importance. Widespread electronic attacks 

on all computer systems have become commonplace. There are many threats to users’ computers, ranging 

from remotely launched exploitations of network services to malicious code spread through emails, 

malicious websites, and downloads of infected files. Vulnerabilities in IT products (e.g., operating 

systems and applications) are discovered almost daily, and many ready-to-use exploitation techniques are 

widely available on the Internet. Also, because IT products often are intended for a wide variety of 

audiences, restrictive security controls are usually not enabled by default, which means that many IT 

products are immediately vulnerable in their out-of-the-box configuration.

Complicating this situation is that today’s systems and products can be complex to administer and 

difficult to secure. For example, the personal computer systems of today are far more complicated and 

sophisticated than yesterday’s systems, and many if not most users and administrators cannot be expected 

to manage them securely without assistance. It is a complicated, arduous, and time-consuming task even 

for experienced system administrators to know what a reasonable set of security settings is for many 

different IT products. However, security is important to all audiences, from individual home users to large 

enterprise end users, because all systems face threats. In some cases, home and telecommuter user 

systems may benefit from the same strong security controls that are usually found in larger organizations 

because they face common threats via use of the Internet.

Although the solutions to IT security are complex, one simple yet effective tool is the security

configuration checklist. To facilitate development of security configuration checklists and to meet the 

requirements of the Cyber Security Research and Development Act of 2002 (Public Law 107-305) 

(CSRDA), NIST developed the National Checklist Program (NCP) for IT Products. This section contains 

an overview of the NCP. It begins by describing the contents of checklists and giving examples of the 

types of IT products for which checklists are often created. It next explains the benefits of using security 

configuration checklists, such as improving baseline levels of security for an organization. It also explains 

the goals and benefits of the NCP, which include increasing the quality, usability, and availability of 

checklists. This section also provides an overview of the procedures for checklist users and developers, as 

well as a summary of FISMA-related guidance pertaining to use of configuration checklists.

2.1 Security Configuration Checklists

A security configuration checklist (also referred to as a lockdown guide, hardening guide, security guide, 

security technical implementation guide [STIG], or benchmark)4is essentially a document that contains 

instructions or procedures for configuring an IT product to an operational environment. Some checklists 

also contain instructions or procedures for verifying that the product has been configured properly. Using 

well-written, standardized checklists can reduce the vulnerability exposure of IT products and be 

particularly helpful to small organizations and individuals in securing their systems. Checklists can be 

developed not only by IT vendors, but also by other organizations with technical competence in IT 

product security. A security configuration checklist might include any of the following:

 

4

From this point on in this document, the term checklist (used according to CSRDA terminology) is used to describe a 

security configuration checklist or what other literature may refer to as a lockdown guide, hardening guide, or benchmark 

configuration.
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 Configuration files that automatically set or verify various security settings (e.g., executables, security 

templates that modify settings, Security Content Automation Protocol (SCAP) XML files, and 

scripts).

5

 Documentation (e.g., text file) that guides the checklist user to manually configure an IT product

 Documents that explain the recommended methods to securely install and configure a device

 Policy documents that set forth guidelines for such things as auditing, authentication mechanisms 

(e.g., passwords), and perimeter security.

Not all instructions in a security configuration checklist address security settings. Checklists can also 

include administrative practices that improve an IT product’s security. Often, successful attacks on 

systems result from poor administrative practices, such as not changing default passwords or not applying 

vendor patches. 

Typically, a system administrator or end user follows the instructions in the checklist to configure a 

product or system to the baseline level of security implemented in the checklist or to verify that a product 

or system is already configured properly. The system administrator may need to modify the checklist to 

incorporate the local security policy.

Examples of the types of devices and software for which security checklists are intended are as follows:

 General-purpose operating systems

 Common desktop applications such as email clients, web browsers, word processors, personal 

firewalls, and antivirus software

 Infrastructure devices such as routers, firewalls, virtual private network (VPN) gateways, intrusion 

detection systems (IDS), wireless access points, and telecommunication systems

 Application servers such as Domain Name System (DNS), Dynamic Host Configuration Protocol 

(DHCP), web, Simple Mail Transfer Protocol (SMTP), and database servers

 Other network devices such as mobile devices, scanners, printers, copiers, and faxes.

2.2 Benefits of Using Security Checklists

Security configuration checklists, when developed correctly, can help users configure IT products to 

security baselines that offer more protection than the installed out-of-the-box defaults. Applying 

checklists to operating systems and applications can reduce the number of vulnerabilities that attackers 

can attempt to exploit and lessen the impact of successful attacks. Using checklists improves the 

consistency and predictability of system security, particularly in conjunction with user training and 

awareness activities and other supporting security controls. Additional benefits associated with using 

checklists include the following:

 Provides a baseline level of security to protect against common and dangerous local and remote 

threats (e.g., viruses and worms, denial-of-service attacks, unauthorized access, and inappropriate 

usage)

 

5 More informational about SCAP can be found at http://scap.nist.gov/ and NIST Special Publication 800-126, The Technical 

Specification for the Security Content Automation Protocol (SCAP) [29].
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 Verify the configuration of certain technical security controls for system assessments, such as 

confirming compliance with certain FISMA requirements or other sets of requirements, and 

understanding the exposure caused by misconfigurations

 Significantly reduces the time required to research and develop appropriate security configurations 

for installed IT products

 Allows smaller organizations to leverage outside resources to implement recommended practice 

security configurations

 Reduces the likelihood of public loss of confidence or embarrassment resulting from a compromise of 

publicly accessible systems.

Although using security configuration checklists can significantly improve overall levels of security in 

organizations, using a checklist cannot make a system or a product 100 percent secure. However, using 

checklists that emphasize hardening of systems against the hidden software flaws will typically result in 

greater levels of product security and protection from future threats (e.g., zero-day vulnerabilities). IT 

vendors that configure their products using checklists that adhere to the FISMA-associated security 

control baselines will not only provide more consistency in configuration settings within the federal 

agencies but also provide a much more cost-effective method for establishing and verifying the minimum 

configuration settings, even if the agencies must modify the original checklists provided by checklist 

developers to fine-tune the configuration settings for their specific applications and operational 

environments.

2.3 Overview of NIST National Checklist Program

Many organizations have created checklists; however, these checklists vary widely in terms of quality and 

usability, and they may become outdated as software updates and upgrades are released. Without a central 

checklist repository, finding security checklists can be difficult. In addition, checklists may differ 

significantly from one another in terms of the level of security provided. Also, it may be difficult to 

determine if the checklist is current or how the checklist should be implemented.

To facilitate development of security configuration checklists for IT products and to make checklists more 

organized and usable, NIST established the NCP. The goals of the NCP are to—

 Facilitate development and sharing of checklists by providing a formal framework for vendors and 

other checklist developers to submit checklists to NIST

 Provide guidance to developers to help them create standardized, high-quality checklists that conform 

to common operational environments

 Help developers and users by providing guidelines for making checklists better documented and more 

usable

 Encourage software vendors and other parties to develop checklists

 Provide a managed process for the review, update, and maintenance of checklists

 Provide an easy-to-use repository of checklists

 Provide checklist content in a standardized format

 Encourage the use of automation technologies for checklist application.
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Federal agencies are required to use appropriate security configuration checklists from the NCP when 

available. In February 2008, revised Part 39 of the Federal Acquisition Regulation (FAR) was published.

Paragraph (d) of section 39.101 states, ―In acquiring information technology, agencies shall include the 

appropriate IT security policies and requirements, including use of common security configurations 

available from the NIST website at http://checklists.nist.gov. Agency contracting officers should consult 

with the requiring official to ensure the appropriate standards are incorporated.‖

6

2.3.1 Types of Checklists Listed by National Checklist Program

The NCP deals with checklists that are tied to specific IT products, such as a checklist for a specific brand 

and model of a router. Some checklists may guide a user to other checklists. For example, a checklist for a 

database product may reference the checklist for the operating system on which the database product runs.

The NCP includes two major groups of checklists:

 Automated. An automated checklist is one that is used through one or more tools that automatically 

alter or verify settings based on the contents of the checklist. Many checklists are written in 

Extensible Markup Language (XML), and there are special tools that can use the contents of the XML 

files to check and alter system settings.7For example, the Security Content Automation Protocol 

(SCAP) is commonly used to express checklist content in a standardized way that can be processed 

by tools that support SCAP.

 Non-Automated. As the name implies, a non-automated checklist is one that is designed to be used

manually, such as English prose instructions that describe the steps an administrator should take to 

secure a system or to verify its security settings.

Security configuration checklists in the NCP can help organizations meet FISMA requirements. FISMA 

requires each agency to determine minimally acceptable system configuration requirements and to ensure 

compliance with them. Checklists can also map specific technical control settings to the corresponding 

NIST SP 800-53 controls, which can make the verification of compliance more consistent and efficient. 

Accordingly, federal agencies, as well as vendors of products for the federal government, are encouraged 

to acquire or develop and to share such checklists using the NIST repository. The development and 

sharing of checklists can reduce what would otherwise be a ―reinvention of the wheel‖ for IT products 

that are widely used in the federal government, such as common operating systems, servers, and client 

applications.

The NIST checklist repository (located at http://checklists.nist.gov/) contains automated and nonautomated checklists that have been developed and screened to meet the requirements of the NCP. Users

can browse checklist descriptions to locate and retrieve a particular checklist using a variety of different 

fields, including such fields as product category, vendor name, and submitting organization. A mailing 

list for the checklist program is available at http://nvd.nist.gov/home.cfm?emaillist. 

 

6

http://www.acquisition.gov/far/current/html/FARTOCP39.html

7 The Extensible Checklist Configuration Description Format (XCCDF) is an XML-based format for automating tool usage 

and eliminating interpretation issues. The XCCDF XML format can be used for both technical checklists (e.g., operating 

systems, software applications, and hardware configurations) and non-technical checklists (e.g., physical security for IT 

systems). More information on XCCDF is available from NIST Interagency Report (IR) 7275 Revision 3, Specification for 

the Extensible Configuration Checklist Description Format (XCCDF) Version 1.1.4, which is available for download at 

http://nvd.nist.gov/scap/xccdf/docs/xccdf-spec-1.1.4-20071102.pdf. Another XML-based format for checklists is the Open 

Vulnerability and Assessment Language (OVAL), which is used to exchange technical details about how to check for the 

presence of vulnerabilities and configuration issues on systems. More information on OVAL is available at 

http://oval.mitre.org/.
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2.3.2 Procedures for Users and Developers

The general steps involved in acquiring and using checklists are simple and straightforward—

1. Users gather their local requirements (e.g., IT products, the operating environment, and 

associated security needs) and then acquire or purchase the IT product that best suits their needs.

2. Users browse the checklist repository to retrieve checklists that match the user’s operational 

environment and security requirements. If a product is intended to be secure out-of-the-box (e.g., 

it was secured by the vendor using a security configuration checklist), it is still important to check 

the NIST checklist repository for updates to that checklist.

3. Users review the checklists and select the checklist that best meets their requirements, then tailor 

and document the checklist as necessary to take into account local policies and functional 

requirements, test the checklist, and provide feedback to NIST and checklist developers.

4. Users prepare to deploy the checklist, such as making configuration or data backups, and then 

apply the checklist in production.

Section 4 provides more details on the activities and considerations associated with each step. The 

checklist description fields, used when browsing checklists, are summarized in Appendix B.

For checklist developers, the process includes two stages. The first stage involves actions by only the 

developer; the second stage involves interactions among NIST, the developer, and public reviewers. The 

first stage consists of four steps—

1. The developer becomes familiar with the procedures and requirements of the NCP and completes 

an agreement to participate in the program. 

2. The developer creates, tests, and refines the checklist.

3. The developer documents the checklist according to the guidelines of the NCP.

4. The developer prepares a checklist submission package and submits it to NIST.

In stage two, NIST performs the remaining four steps, with interaction from the developer and public 

reviewers—

5. NIST screens the checklist according to program requirements and addresses any issues with the 

developer.

6. A public review of the checklist is conducted, which typically lasts 30 to 60 days. Comments 

submitted during the review are addressed as applicable by the developer and NIST.

7. NIST posts the checklist on the repository and announces its presence.

8. Periodic updates are made to the checklist and the issue of checklist archival is addressed.
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3. Operational Environments for Checklists

Checklists are significantly more useful if they can be associated with generic operational environments.

However, it is difficult and sometimes impossible to specify these environments in detail; they must by 

necessity be general so that they are useful to a wide range of audiences. The NCP identifies several 

broad and specialized operational environments, at least one of which should be common to most 

audiences. Identifying and describing these environments allows developers to better target their 

checklists to the general security requirements associated with the environments, and allows end users to 

more easily select the checklists that are most appropriate for their environments.

This section describes the operational environments defined for the NCP, and the general threat 

description and baseline technical security practice for each environment. The two broad operational 

environments are referred to as Standalone (or Small Office/Home Office [SOHO]) and Managed (or 

Enterprise). Three typical Custom environments, which could be subsets of the broader environments, are 

Specialized Security-Limited Functionality (SSLF), Legacy, and Federal Desktop Core 

Configuration (FDCC).

Users of IT products may find it useful to consult this section of the document when initially identifying 

their own security requirements and needs (outlined in detail in Section 4). Developers may find this 

section useful when building checklists because tailoring checklist development to these environments 

and their policies will enable developers to create checklists for diverse products but still adhere to the 

general uniform technical security practices and settings associated with the environments. This is 

discussed in detail in Section 5. Before submitting a checklist to NIST, developers should ensure they 

have the most recent version of this document because updates to the criteria for operational 

environments may occur periodically. The most recent version is available as a separate file at

http://checklists.nist.gov/.

8

3.1 Background

When planning security, it is essential to first define the threats that must be mitigated. Knowledge of 

potential threats is important to understanding the reasons behind the various baseline technical security 

practices presented in this document.

The threat discussions for each environment represent the major threat categories that were considered 

when selecting the environments and their associated baseline practices. Many threats against data and 

resources are possible because of mistakes—either software flaws and weak configuration settings in 

operating system and application software that create exploitable vulnerabilities, or errors made by end 

users and administrators. Threats may involve intentional actors (e.g., attacker who wants to access 

information on a system) or unintentional actors (e.g., administrator who forgets to disable user accounts 

of a former employee.) Threats can be local, such as a disgruntled employee, or remote, such as an 

attacker in another geographical area. Organizations that use checklists should conduct risk assessments 

to identify the specific threats against their systems and determine the effectiveness of existing security 

controls in counteracting the threats; they then should perform risk mitigation to decide what additional 

measures (if any) should be implemented, as discussed in the NIST Risk Assessment Guide for 

Information Technology Systems [8]. Performing risk assessments and mitigation helps organizations 

better understand their needs and decide whether or not they need to modify or enhance selected 

checklists.

 

8 NIST may, as new information becomes available, update the criteria and information for the operational environments as 

well as other criteria contained in this document. 
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The checklist environment baseline technical security practices are based on commonly accepted 

technical security principles and practices, catalogued in various NIST Special Publications (SP) [4], [5], 

[16] and other sources such as the Department of Defense (DoD) Information Assurance Technical 

Framework [26]. In particular, NIST SP 800-27, Engineering Principles for Information Technology 

Security (A Baseline for Achieving Security) [6], contains a set of engineering principles for system 

security that provide a foundation upon which a more consistent and structured approach to the design, 

development, and implementation of IT security capabilities can be constructed. Section 5.1 contains a 

detailed discussion of the security-related criteria recommended for developers when building checklists. 

3.2 Standalone Environment

The Standalone environment, also referred to as Small Office/Home Office (SOHO), describes small, 

informal computer installations that are used for home or business purposes. This environment 

encompasses a variety of small-scale environments and devices, such as laptops, mobile devices, home 

computers, and remote systems (e.g., telecommuting systems and small branch offices). For technical and 

business (economic) reasons, SOHO systems are generally not managed remotely. Figure 3-1 shows a 

typical Standalone network architecture.

The Standalone environment assumes the following end-user audiences and operational settings:

 Home users with standalone systems, generally with dial-up or high-speed access to the Internet, 

possibly using wired or wireless home networks, and possibly sharing resources across the networks

 Telecommuters using standalone systems who work from a home office

 Small businesses, typically with small networks of standalone desktop systems and small office 

servers protected from direct Internet access by a firewall, but possibly including some small centrally 

managed networks of desktop systems and products, and typically not maintaining publicly accessible 

servers

 Other small organizations with similar functions.

Standalone environments are typically the least secured. The individuals who perform system 

administrator duties on Standalone systems are assumed to be less knowledgeable about security, which 

often results in environments that are less secure than they should be because the focus is on functionality.

In some cases, there may be no network-based security controls such as firewalls, so Standalone systems 

may be directly exposed to external attacks. Standalone environments are frequently targeted for 

exploitation—not necessarily to acquire information, but instead to attack other computers or incidentally 

as collateral damage from the propagation of a worm.

Standalone checklists should be relatively simple to understand and implement by home users or novice 

system administrators in small organizations.

Because the primary threats in Standalone environments are external and because Standalone devices 

generally have less restrictive security policies than Managed or Specialized Security-Limited 

Functionality systems, they tend to be most vulnerable to attacks from remote threats. Local threats are 

often less significant because few people typically have local access to Standalone systems; however, it is 

still important to protect against local and other threats. Standalone systems typically are exposed to 

attacks against network services and by malicious payloads (e.g., viruses and worms). These attacks are 

most likely to affect availability (e.g., crashing the system, consuming all network bandwidth, breaking 

functionality), but they also may affect integrity (e.g., infecting data files) and confidentiality (e.g., 

providing remote access to sensitive data and emailing data files to others).
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Figure 3-1: Home Office Standalone Environment Example

The baseline technical security practices for the Standalone environment include protecting IT systems 

and products from the common out-of-the-box configuration vulnerabilities, blocking external access to

the network, and restricting local access when possible. The adoption of inexpensive, hardware-based 

firewall routers and personal firewalls can help secure Standalone environments. Another key to 

Standalone security is strengthening the hosts on the Standalone network by patching vulnerabilities and 

altering settings to restrict unneeded services and applications. Some commonly accepted security 

practices for Standalone environments include the following:

 Use of small hardware firewall appliances at Internet connections to block inbound connections and 

to filter outbound traffic, if feasible

 Use of personal firewall products on Standalone systems

 Application (e.g., antivirus software, web browser, and email client) and operating system updates 

patches applied regularly

 Web and email clients configured to filter and block traffic/messages that could contain malicious 

content

 Unnecessary applications disabled (e.g., personal web servers, Simple Network Management Protocol 

[SNMP], messaging)

 Encryption used for wireless network traffic and as appropriate for other traffic

 Restrictions on which systems/users can connect to wired and wireless local area networks (LAN)
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 Restrictions on user privileges

 Restrictions on sharing resources such as directories or printers

 Backup and recovery procedures

 Physical security procedures.

NIST and other security publications can be consulted for additional guidance in security practices related 

to Standalone environments. Users may find the guidance on system administration for Microsoft 

Windows systems [18], telecommuting [14], and wireless network security [15], [21] particularly useful.

NIST has a variety of security-related SPs and general security guidance available on its computer

security website.9

3.3 Managed Environment

The Managed environment, also referred to as Enterprise, typically contains large organizational 

systems with defined suites of hardware and software configurations, usually consisting of centrally 

managed IT products (e.g., workstations and servers) protected from direct Internet access by firewalls 

and other network security devices. Figure 3-2 shows a typical Enterprise network architecture. For 

example, it would include networked printers and multi-function devices, managed workstations, and 

internal servers. 

The Managed environment audience generally includes medium to large businesses, large governmental 

agencies, and organizations requiring managed telecommuting systems and remote offices. Managed 

checklists are intended for advanced end users and system administrators in a medium to large 

organization. Managed environments typically have a group of individuals dedicated to supporting users 

and providing security. The combination of structure and skilled staff allows security practices to be 

implemented during initial system deployment and during ongoing support and maintenance. The 

managed nature of typical Managed environments gives administrators centralized control over various 

settings on workstations, servers, and other types of devices, as well as the sharing of resources (e.g., file 

servers and printers). The enterprise enables only the services needed for normal business operations, with 

other possible avenues of exploit removed or disabled. Authentication, account, and policy management 

can also be administered centrally to maintain a consistent security posture across an organization.

Remote and local threats to Managed networks could have significant impacts on systems and 

applications. Managed organizations often have systems with permanent, well-known IP addresses and 

name spaces with high visibility on the Internet. Most systems on Managed networks are inward-facing—

protected from direct exposure to the Internet by firewalls—but penetrations of those systems through

other means could allow an intruder to gain access to internal networks. For example, viruses and worms 

could spread across homogenous networks in a short time. Also, in Managed environments, the insider 

threat is generally greater than in a Standalone environment because the Managed environment has a 

larger number of users.

The Managed environment is more restrictive and provides less functionality than the Standalone 

environment. However, Managed environments typically have better control over the flow of various 

types of traffic, such as filtering traffic based on protocols and ports at the enterprise’s connections with 

external networks. Because of the supported and largely homogeneous nature of the Managed 

environment, it is typically easier to use more functionally restrictive settings in Managed environments 

than in Standalone environments. Managed environments also tend to implement several layers of defense 

 

9 The NIST computer security website is located at http://csrc.nist.gov/. 
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(e.g., firewalls, antivirus servers, IDSs, patch management systems, and email filtering), which provides 

greater protection for systems. 

Figure 3-2: Centrally Managed Environment Example

In the Managed environment, systems are typically susceptible to local and remote threats. Local attacks, 

such as unauthorized use of another user’s workstation, most often lead to a loss of confidentiality (e.g., 

unauthorized access to data), but also may lead to a loss of integrity (e.g., data modification) or 

availability (e.g., theft of a system). Remote threats may be posed not only by attackers outside the 

organization, but also by local users who are attacking other local systems across the organization’s 

network. Most security breaches caused by remote threats involve malicious payloads sent by external 

parties, such as viruses and worms acquired from emails or infected websites. Threats against networkbased applications tend to affect a smaller number of systems and may be caused by internal or external 
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parties. Both malicious payloads and network application attacks are most likely to affect availability 

(e.g., crashing the system, consuming all network bandwidth, and breaking functionality), but also may 

affect integrity (e.g., infecting data files) or confidentiality (e.g., providing remote access to sensitive 

data). Data disclosure threats tend to come from internal parties who are monitoring traffic on local 

networks, and they primarily affect confidentiality.

Some commonly accepted security practices for Managed environments are as follows:

 Segmented internal networks with internal firewalls and other defense-in-depth techniques

 Centralized management of systems with highly restricted local user access

 Centralized management of security-related applications such as antivirus software

 Automated installation of system and application patches and updates

 Restricted access to printer and multi-function devices and their features

 Centralized systems for log monitoring

 Centralized backup and recovery facilities.

Security publications can be consulted for additional guidance in security practices related to Managed 

environments. NIST has produced a variety of SPs that are particularly useful for the Managed 

operational environment. Relevant publications available from the NIST security website include 

guidance for system administration of Microsoft Windows systems [18], wireless network security [15], 

[21], active content and mobile code [7], security patches [10], firewalls [11], information security testing

[22], and incident handling [17], [20].

3.4 Specialized Security-Limited Functionality Custom Environment

A Custom environment contains systems in which the functionality and degree of security do not fit the 

other types of environments. Specialized Security-Limited Functionality (SSLF) is a typical Custom

environment that is highly restrictive and secure; it is usually reserved for systems that have the highest 

threats and associated impacts. Typical examples of such systems are outward-facing web, email, and 

DNS servers, other publicly accessed systems, and firewalls. It also encompasses computers that contain 

confidential information (e.g., central repository of personnel records, medical records, and financial 

information) or that perform vital organizational functions (e.g., accounting, payroll processing, and air 

traffic control). These systems might be targeted by third parties for exploitation, but also might be 

targeted by trusted parties inside the organization. Because systems in an SSLF environment are at high 

risk of attack or data exposure, security takes precedence over functionality. The systems’ data content or 

mission purpose is of such value that aggressive tradeoffs in favor of security outweigh the potential 

negative consequences to other useful system attributes such as legacy applications or interoperability 

with other systems.

An SSLF environment could be a subset of another environment. For example, three desktops in a 

Managed environment that hold the organization’s confidential employee data could be thought of as an

SSLF environment within a Managed environment. In addition, a laptop used by a mobile worker (e.g., 

organization management) might be an SSLF environment in a Standalone environment. An SSLF

environment might also be a self-contained environment outside any other environment, such as a 

government security installation processing sensitive data.
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SSLF checklists are intended for experienced security specialists and seasoned system administrators who 

understand the impact of implementing strict technical security practices. If home users and other users 

who do not have security expertise attempt to apply SSLF checklists to their systems, they typically 

experience unwanted limitations on system functionality and cause possibly irreparable system damage.

Systems in the SSLF environment face the same threats as systems in Managed environments. Most 

recommendations for systems in SSLF environments are intended to thwart external threats; SSLF 

systems may be directly connected to the Internet, and as in the Managed environment, may have 

permanent, well-known IP addresses and name spaces with high visibility. Systems may be subject to 

automated intrusions and denial-of-service attacks as well as to manual intrusions, and penetration of 

firewalls and servers could lead to local attacks and intrusions. In addition, the threat of local attacks may 

be high if the systems are connected to large networks with many users; conversely, the threat of local 

attacks may be less if the systems are connected to smaller networks. Because of the risks and possible 

consequences of a compromise, this environment usually has the most functionally restrictive and secure 

configuration. The suggested configuration provides the greatest protection, with considerable tradeoffs to 

ease of use, functionality, and remote system management.

It is difficult to specify technical security practices except in general terms because many disparate types 

of systems and applications could, depending on how they are used, qualify as SSLF. However, it is likely 

that the following general practices and controls will be applicable:

 Systems should generally process as few types of data as possible (e.g., do not combine multiple 

server applications on the same system).

 Systems should be stripped of all unnecessary services and applications.

 If possible, host-based firewall applications should be used.

 Systems should have as few users as possible.

 The strongest possible authentication should be used (e.g., authentication token, biometrics, and smart 

cards).

 Remote administration or access should be restricted; if used, connections should be encrypted.

 Security-related operating system and application patches and updates should be tested and applied as 

soon as possible.

 Systems should be placed behind firewalls and other network security devices that restrict access and 

filter unnecessary protocols.

 Intrusion detection logs and other logs should be monitored frequently.

 Vulnerability assessment tools should be run against the systems frequently.

 System administrators should be highly skilled in the appropriate technologies.

NIST and other organizations have recommended security practices for firewalls [11], web servers [12], 

and email servers [13]. The publications mentioned previously for the Standalone and Managed 

environments also should be consulted for detailed recommendations.
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Figure 3-3: Specialized Security-Limited Functionality Environment Example

3.5 Legacy Environments

A Legacy environment is another example of a Custom environment. A Legacy environment contains 

older systems or applications that may need to be secured to meet today’s threats, but they often use older, 

less secure communication mechanisms and need to be able to communicate with other systems. Nonlegacy systems operating in a Legacy environment may need less restrictive security settings so that they 

can communicate with legacy systems and applications. Legacy environments are often subsets of other 

environments.

An example of a Legacy environment is shown in Figure 3-4. Warehouse workers use wireless personal 

digital assistant (PDA) devices to collect inventory for shipping and receiving. The PDAs cannot be 

inexpensively upgraded to support wireless protocols with strong encryption capabilities. However, the 

location and structure of the warehouse prevents easy intercepts of the wireless traffic. Due to cost 

considerations, a risk determination was made and a Legacy environment checklist was created for the 

server/wireless access point (WAP). In such cases, compensating controls, such as configuring each 

application used by the PDAs to encrypt its communications, are typically needed to provide the 

protection that the legacy protocols cannot.
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Figure 3-4: Legacy Environment Example

Figure 3-5 shows another simple example of a Legacy environment in which older workstations must be 

part of a network that uses more recent server technology. The older workstations cannot support newer, 

more robust aspects of the newer technology, such as a more secure file-sharing protocol, file system, or 

authentication protocol. Consequently, modifications must be made to support the legacy workstations. In 

this case, the server would require a Legacy environment checklist.

Figure 3-5: Legacy Workstation Environment
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3.6 Federal Desktop Core Configuration (FDCC) Environments

A Federal Desktop Core Configuration (FDCC) environment is another example of a Custom 

environment. An FDCC environment contains systems that need to be secured using an Office of 

Management and Budget (OMB) mandated security configuration known as the FDCC. As of mid-2009, 

FDCC security configurations exist for Microsoft Windows XP Professional Service Pack 2 and later, 

Windows Vista Enterprise Service Pack 1 and later, Internet Explorer 7, Windows XP firewall, and 

Windows Vista firewall. The Windows XP FDCC is based on the DoD customization of the SSLF

recommendations in NIST SP 800-68 and DoD customization of the recommendations in Microsoft’s 

Security Guide for Internet Explorer 7.0. The Windows Vista FDCC is based on DoD customization of 

the Microsoft Security Guides for both Windows Vista and Internet Explorer 7.0. Microsoft’s Vista 

Security Guide was produced through a collaborative effort with DISA, NSA, and NIST, and the guide 

reflects the consensus recommended settings from DISA, NSA, and NIST for the Windows platform. The 

FDCC configurations are broader than previous configurations for Windows XP and Windows Vista, 

incorporating settings for Web browsers, personal firewalls, and other software not included in earlier 

configuration efforts. The FDCC settings also include non security-related settings aimed at improving 

performance, compatibility, and interoperability.

FDCC checklists are intended to be applied to systems primarily through automated tools. The 

recommended method is to implement most FDCC settings using group policies as managed with 

Microsoft Group Policy Objects (GPO): most of the FDCC settings may be implemented through GPOs, 

with the remaining settings implemented locally through .inf files, batch files, or manual methods.10

These latter methods may also be used by smaller organizations to implement all the FDCC configuration 

settings. Organizations should thoroughly test FDCC checklists before deploying them in operational 

environments because a number of FDCC settings, such as cryptographic algorithm options and wireless 

services, may impact system functionality. Settings may also be checked through automated means for 

compliance with FDCC checklists. According to OMB, FDCC checklists are required to be assessed 

using SCAP-validated products, ―Both industry and government information technology providers must 

use SCAP validated tools with FDCC Scanner capability to certify their products operate correctly with 

FDCC configurations and do not alter FDCC settings.‖11

Because the FDCC checklists are intended to be deployed primarily to managed systems, the basic 

characteristics of Managed environments, such as primary threats against the systems and baseline 

technical security practices for the systems, are also basic characteristics of FDCC environments. Section 

3.3 contains additional information on Managed environments.

 

10 For more information on which FDCC settings cannot yet be implemented through GPOs and other automated means, see 

http://nvd.nist.gov/fdcc/fdcc_faq.cfm. 

11

 For more information on the OMB memorandum, see 

http://www.whitehouse.gov/omb/assets/omb/memoranda/fy2008/m08-22.pdf. 
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4. Checklist Usage

This section describes a high-level process for checklist users to follow when retrieving and using 

checklists. Although all checklist users, ranging from home users to system administrators at large 

organizations, have their own specific requirements, the process described will apply to most situations.

This section includes guidance on conducting an initial analysis of local environment threats and risks, 

and lists the potential impacts of such attacks. It then describes a process for selecting and retrieving 

checklists from the NIST checklist repository, and recommends steps for analyzing, tailoring, and 

applying the checklist.

2. Browse, Retrieve New or Updated Checklists 1. Determine Local Operational, Product Requirements Steps for Checklist End-Users: IT Product, Out-of-the-box

` IT Product, Secured Checklist Repository, http://checklists.nist.gov

IT Product, Checklist Included

OR IT Product Checklist Feedback on Checklist 4. Apply Checklist to IT Product 3. Review, Tailor, Test, and Document Checklist in Local Environment

Figure 4-1: Checklist User Process Overview

Figure 4-1 shows the general process for using checklists. In Step 1, a prospective checklist user analyzes 

local requirements and security needs or policy and identifies the appropriate operational environment 

model. The user then selects the IT product that best matches those needs. In Step 2, the user browses the 

NIST repository for checklists that match the IT product and the selected operational environment (and 

possibly other criteria, such as whether the checklist can be rolled back or whether it is supported by the 

product vendor). The user downloads the checklists along with any supporting documents and tools. In 

Step 3, the user reviews the downloaded checklists and then tests and customizes them to reflect local 

policy and functionality as needed. Feedback on the checklists can be sent to NIST and the developer via 

the repository. In Step 4, the user prepares to apply the checklists in production by backing up 
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information that might be affected if the application of the checklists is not successful or if it causes 

unanticipated problems. Finally, the checklists are applied to production systems. The following sections 

describe the details of the activities included in each of these steps.

4.1 Determining Local Requirements

Organizations usually conduct a requirements analysis before actually selecting and purchasing a 

particular IT product. Such an analysis would include identifying the needs of the organization (what the 

product must do) and the security requirements for the product (e.g., relevant security policies). Individual 

end users can conduct the same process, although it could be quite informal. Because it is difficult to add 

security later, it is best to assess requirements upfront when incorporating security into IT operations, big 

or small.

NIST SP 800-30, Risk Management Guide for Information Technology Systems [8], contains useful 

guidance for federal agencies on conducting a requirements analysis and a subsequent risk assessment.

Organizations use risk assessments to determine the extent of the potential threat and the risk associated 

with an IT system or product throughout its life cycle. The output of this process helps to identify 

appropriate controls for reducing or eliminating risk. (Risk is a function of the likelihood of a given 

threat-source taking advantage of a particular potential vulnerability and the resulting impact of that 

adverse event on the organization.) Organizations other than federal agencies can also benefit from 

following the methodology presented in SP 800-30.

The methodology includes steps that are straightforward and simple, even for an individual home user 

who may not be especially savvy with regard to IT security. Important steps include the following:

 Identify Functional Needs. What must the product do? Identifying upfront the end user’s 

requirements, such as remote access for telecommuters or a web server to make internal information 

available to employees, is necessary to ensure that the security controls selected are appropriate; that 

is, that they implement an appropriate security solution and still allow the system to meet its 

requirements for functionality.

 Identify Threats and Vulnerabilities. A threat is the potential for a particular threat-source to 

successfully exercise a particular vulnerability. A vulnerability is a weakness that can be accidentally 

triggered or intentionally exploited. The goal of this step is to identify potential threat-sources that are 

applicable to the IT product or system being considered, as well as the vulnerabilities that could be 

exploited by the potential threat-sources. 

 Identify Security Needs. The goal of this step is to determine the controls needed to minimize or 

eliminate the likelihood (or probability) of a threat exercising a product or system vulnerability. It 

answers the question, ―What security features must the product provide?‖ Armed with this 

information, the organization can make wiser choices about which IT product best meets its needs.

Federal agencies conduct formal requirements analysis and risk assessments as outlined in SP 800-30. For 

any organization or individual, the threat discussions and general security practices associated with each 

operational environment described in Section 3 can help identify threats and vulnerabilities and 

recommended security policies. For example, a home user could study the discussion in Section 3 on the 

Standalone operational environment before purchasing a product (assuming that the home user’s 

environment matches the description of a Standalone environment). Given that the home user understands 

the requirements and the type of product that should be acquired, the home user can use the Standalone 

environment’s security model and general recommendations to make an informed choice about which 

product best meets the needs.
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NIST has also written several documents and guides to help federal agencies when selecting information 

security products and when acquiring and using tested/evaluated products [5], [9]. Another key resource 

available at NIST for identifying vulnerability-related information about IT products is the National 

Vulnerability Database (NVD).12 This website provides a search engine for identified system 

vulnerabilities and information on patches that are available to correct the vulnerabilities.

4.2 Browsing and Retrieving Checklists

After determining local requirements and identifying an IT product, a checklist user is ready to browse 

the NIST checklist repository. Figure 4-2 shows an example of the repository home page. To help users 

obtain checklists that can be processed by SCAP-validated products, the checklists are sorted by default 

according to tier (described later in this section), from tier IV to tier I. Within each tier, the checklists are 

also sorted by default based on checklist authority (see the end of Section 4.2 for details). Users can 

browse the checklists based on the checklist tier, IT product, IT product category, or authority, and also 

through a keyword search that searches the checklist name and summary for user-specified terms. As 

shown in Figure 4-2, the search results show the detailed checklist metadata and a link to any SCAP 

content for the checklist, as well as links to any supporting resources associated with the checklist.

Figure 4-2: NIST Checklist Repository Home Page

Selecting a particular checklist will show a description template, shown in Figure 4-3, that includes 

extensive information to help users decide whether the checklist will suit their specific purposes. (The list 

and definition of all the fields used to describe each checklist is presented in Appendix B.)

 

12 The NVD is located at http://nvd.nist.gov/. 
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Figure 4-3: NIST Checklist Detail Page

Depending on a user’s needs, role, and skills (e.g., home user versus enterprise administrator), some fields 

in the description will be more important than others. Table 4-1 lists fields that should be helpful to all 

users in determining whether the checklist meets their specific needs.

Table 4-1: Checklist Description Fields

Field Name Description

Checklist Name The name of the checklist.

Version The version or release number of the checklist.

Review Status

The status of the checklist within the internal NCP review process. A status of "Final" 

signifies that NCP has reviewed the checklist and has accepted it for publication within 

the program. Possible status options are: Candidate, Final, Archived, or Under Review.

Entry Date States the date when the checklist record was first listed in the NCP repository, in the 

format MM/DD/YYYY.

Publication Date States the date when the actual checklist document was published, in the format 

MM/DD/YYYY.

Last Modified Date States the date when the checklist record was last revised within the NCP repository, in 

the format MM/DD/YYYY.

Product Category The main product category of the IT product (e.g., firewall, IDS, operating system, web 

server).

Target Product(s) The set of specific IT systems or applications that the checklist provides guidance for.

CPE Name The CPE representation of a specific Target Product.

Checklist Role The primary use or function of the IT product as described by the checklist (e.g., client 

desktop host, web server, bastion host, network border protection, intrusion detection).
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Field Name Description

Tier

The checklist tier (Tier I, II, III, or IV).

 Tier I checklists are prose-based, such as narrative descriptions of how a person can 

manually alter a product’s configuration.

 Tier II checklists document their recommended security settings in a machinereadable but non-standard format, such as a proprietary format or a product-specific 

configuration script. These checklists may include some elements of SCAP (for 

example, they may contain CCE identifiers), but do not meet the Tier III 

requirements.

 Tier III checklists use SCAP to document their recommended security settings in 

machine-readable standardized SCAP formats that meet the definition of “SCAP 

Expressed” specified in NIST SP 800-126 [29]. Tier III checklists can be processed 

by SCAP-validated tools, which are products that have been validated by an 

accredited independent testing laboratory as conforming to applicable SCAP 

specifications and requirements. 

 Tier IV checklists include all properties of Tier III checklists. Additionally, Tier IV 

checklists are considered production-ready and have been validated by NIST or a 

NIST-recognized authoritative entity to ensure, to the maximum extent possible, 

interoperability with SCAP-validated products. Tier IV checklists also demonstrate the 

ability to map low-level security settings (for example, standardized identifiers for 

individual security configuration issues) to high-level security requirements as 

represented in various security frameworks (e.g., SP 800-53 controls for FISMA), and 

the mappings have been vetted with the appropriate authority. 

SCAP Expressed Checklists that are designed to be processed by SCAP-validated products. For more 

details regarding the definition of SCAP Expressed, see NIST SP 800-126 [29].

XCCDF Expressed

Whether the checklist is expressed in XCCDF (yes or no). If yes, the checklist is 

expressed in XCCDF and validates against the published version of the XCCDF schema.

The checklist also validates against the NIST-provided XCCDF reference implementation.

CCE Expressed Whether the checklist has valid CCEs (yes or no). If yes, each configuration setting has 

an associated CCE.

CPE Expressed Whether the checklist has valid CPEs (yes or no). If yes, the checklist expresses its 

applicability to systems using CPE.

CVE Expressed Whether the checklist has valid CVEs (yes or no). If yes, each software flaw and patch 

has an associated CVE or CVEs.

CVSS Expressed Whether the checklist has valid CVSSs (yes or no). If yes, each CVE identifier has an 

associated CVSS base score.

OVAL Expressed Whether the checklist is expressed in OVAL (yes or no). If yes, each OVAL definition 

must validate according to the OVAL reference implementation.

13

Checklist Summary Summarizes the purpose of the checklist and its settings.

Known Issues Summarizes issues that may arise after application of the checklist to help users pinpoint 

any functional and operational problems caused by the checklist.

Target Audience The intended audience that should be able to install, test, and use the checklist, including 

suggested minimum skills and knowledge required to correctly use the checklist.

Target Operational 

Environment

The IT product’s operational environment, such as Standalone, Managed, or Custom 

(with description, such as Specialized Security-Limited Functionality, Legacy, or Federal 

Desktop Core Configuration).

Checklist Installation 

Tools

Describes the functional tools required to use the checklist to configure the system, if they 

are not included with the checklist.

 

13 More information on the OVAL reference implementation is available at http://ovaldi.wiki.sourceforge.net/. 
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Field Name Description

Rollback Capability Whether the changes in product configuration made by applying the checklist can be 

rolled back and, if so, how to roll back the changes.

Testing Information

Platforms on which the checklist was tested. Can include any additional testing-related 

information such as summary of testing procedures used. Should specify any operational 

testing performed in production or mirrored production environments.

FIPS 140-2 

Compliance

Whether the product can operate in a Federal Information Processing Standards (FIPS)

140-2 validated mode (yes or no).

Regulatory 

Compliance

Whether the checklist is consistent with various regulations (e.g., Health Information 

Portability and Accountability Act [HIPAA], Gramm-Leach-Bliley Act [GLBA], FISMA [such 

as mappings to NIST SP 800-53 controls], ISO 27001, Sarbanes-Oxley, Department of 

Defense [DoD] 8500).

Comments, 

Warnings, 

Miscellaneous

Any additional information that the checklist developer wishes to convey to users.

Disclaimer Legal notice pertaining to the checklist.

Product Support

Vendor will accept support calls from users who have applied this checklist on their IT 

product; warranty for the IT product has not been affected. Required for usage of NCP 

logo if the submitter is the product vendor. If the submitter is not the product vendor, the 

submitter should describe any agreement that they may have with the product vendor.

Authority

The organization responsible for producing the original security configuration guidance 

represented by the checklist. Authorities are ranked according to their “Authority Type.” 

Within the NCP website, authorities are grouped with their authority types through the 

syntax of Authority Type: Authority.

If it is not clear which checklists(s) should be analyzed, users from Federal civilian 

agencies should first search for checklists produced by authorities of type “Governmental 

Authority.” If “Governmental Authority” produced checklists exist, the user should search 

for NIST-produced checklists, which are tailored for civilian agency use. If no NISTproduced checklist is available, then agency-produced checklists from the Defense 

Information Systems Agency (DISA) or the National Security Agency (NSA) should be 

used. If no “Governmental Authority” checklists exist, the user should search for checklists 

produced by authorities of type “Software Vendor.” If none of these checklists exist, the 

user should search for checklists produced by authorities of type “Third Party.”

Author

The organization responsible for creating the checklist in its current format. In most cases 

an organization will represent both the author and authority of a checklist, but this is not 

always true. For example, if an organization produces validated SCAP content for NIST 

SP 800-68, the organization that created the SCAP content will be listed as the Author, 

but NIST will remain the Authority.

Authority Type Type of organization that lends its authority to the checklist. The three types are 

Governmental Authority, Software Vendor, and Third Party (e.g., security organizations).

Point of Contact

An email address where questions, comments, suggestions, and problem reports can be 

sent in reference to the checklist. The point of contact should be an email address that 

the checklist developer monitors for checklist problem reports.

SCAP Content A link to the machine-readable content representing the configuration guidance. This 

guidance is expressed using SCAP.

Supporting Resource

A link to any supporting information, or content, relating to the guidance. This field can 

hold data ranging from an English prose representation of the actual guidance, to 

configuration scripts that apply guidance specific settings on a target product.

Change History Running log detailing any changes made to the checklist since its inclusion in the 

repository. This field is updated with each version of checklist.

Dependency/

Requirement

Indicate that another checklist or guide is required to properly use and implement the 

current checklist.

References Any supporting references chosen by the developer that were used to produce the 

checklist or checklist documentation.
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Some checklists address more than one application or operating system, such as several products from a 

single organization. To help users navigate the site from the checklist detail page, a Checklist Group link 

is available; it represents the grouping of checklists based on a common source material. For example, the 

DISA Desktop Checklist contains configuration settings for multiple products including browsers and

antivirus products. The NCP decomposes the checklist metadata according to these individual targets, but 

keeps them conveniently linked to the same source document via the Checklist Group.

In some cases, multiple checklists are available for a particular version of a product. Such checklists are 

often similar, but they have important differences, such as the degree of automation provided and the 

target audience (e.g., providing general recommendations versus complying with Federal agency-specific 

requirements). To assist checklist users in being able to readily identify the major differences among 

checklists, NIST has defined four tiers of checklists. The minimum requirements for each tier are listed 

below.

 Tier I checklists are prose-based, such as narrative descriptions of how a person can manually alter a 

product’s configuration.

 Tier II checklists document their recommended security settings in a machine-readable but nonstandard format, such as a proprietary format or a product-specific configuration script. These 

checklists may include some elements of SCAP (for example, they may contain CCE identifiers), but 

do not meet the Tier III requirements.

 Tier III checklists use SCAP to document their recommended security settings in machine-readable 

standardized SCAP formats that meet the definition of ―SCAP Expressed‖ specified in NIST SP 800-

126 [29]. Tier III checklists can be processed by SCAP-validated tools, which are products that have 

been validated by an accredited independent testing laboratory as conforming to applicable SCAP 

specifications and requirements. 

 Tier IV checklists include all properties of Tier III checklists. Additionally, Tier IV checklists are 

considered production-ready and have been validated by NIST or a NIST-recognized authoritative 

entity to ensure, to the maximum extent possible, interoperability with SCAP-validated products. Tier 

IV checklists also demonstrate the ability to map low-level security settings (for example, 

standardized identifiers for individual security configuration issues) to high-level security 

requirements as represented in various security frameworks (e.g., SP 800-53 controls for FISMA), 

and the mappings have been vetted with the appropriate authority.

Table 4-2 summarizes the main differences in the requirements for the four tiers.
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Table 4-2: Checklist Tier Requirement Summary

Tier Machine 

Readable?

Automated Format? References to Security Compliance 

Framework?

Tier I No N/A Optional

Tier II Yes Non-standard (proprietary, productspecific, etc.)Optional

Tier III Yes Complete SCAP-expressed checklist 

that can be processed by SCAPvalidated tools.

Optional

Tier IV Yes Complete SCAP-expressed checklist

that can be executed by SCAPvalidated tools; has been validated by 

NIST or a NIST-accredited laboratory; 

and maps low-level security settings

to high-level security requirements.

Required; must be vetted with at least one 

governance organization authoritative for the 

security compliance framework. Must 

demonstrate mapping capability from low level 

enumerations (CCE) to high level 

categorization (e.g., SP 800-53 controls).

Each checklist, regardless of tier, should provide checklist metadata, security configuration 

recommendations, and a description of the threat model on which the recommendations are based.

When multiple checklists are available for a particular product, organizations should take into 

consideration the tier of each checklist. Generally, checklists from higher tiers can be used more 

consistently and efficiently than checklists at lower tiers. There may be other significant differences 

among checklists that are not indicated by the tier; for example, one checklist may include software 

bundled with an operating system (e.g., web browser, and email client) while another checklist addresses 

that operating system only. Another example is the assumptions on which the checklists are based (e.g., 

environment, threat model). A checklist user should identify such differences and determine which 

checklist(s) seem appropriate and merit further analysis. If it is not clear which checklist(s) should be 

analyzed, users from Federal civilian agencies should first search for government-authorized or mandated 

checklists. In general, users should search for NIST-produced checklists, which are tailored for civilian 

agency use. If no NIST-produced checklist is available, then agency-produced checklists from the 

Defense Information Systems Agency (DISA) or the National Security Agency (NSA) should be used if 

available. If formal government-authored checklists do not exist, then organizations are encouraged to use

vendor-produced checklists. If vendor-produced checklists are not available, then checklists from other 

trusted third parties may be used.

Organizations often submit checklists with associated alphanumeric version identifiers (e.g., R1.2.0). 

Unfortunately; these identifiers do not have universal meanings. Some organizations may change the 

version number when new checks are added, old technology is deleted, patches are added, or simply 

based on a review date. Conversely, other organizations may update their checklist and not change the 

version numbers.

To clarify updates to checklists, NCP uses the concept of a ―Checklist Revision.‖ A Checklist Revision 

indicates that something has changed even if the version identifier did not change. For example, if the 

organization does not change the version number on the document, but the content has been updated (e.g.,

patches were added for a given month), the current checklist will be archived and the checklist with the 

updated patch content will show as the current checklist. Likewise, if the submitting organization updates 

the version identifier, then the NCP will archive the current checklist and link to the new checklist. From 

the checklist detail page, a user can navigate to the checklist history via the ―Archived Revisions‖ link. 
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4.3 Reviewing, Customizing and Documenting, and Testing Checklists

Checklist users should download all documentation for the checklist and review it carefully. The 

documentation should explain any required preparatory activities, such as backing up a system. Because a 

checklist may not exactly match a user’s specific requirements, reviewing a checklist is useful in 

determining whether the checklist may need to be modified14 and whether the system or product will 

require further changes after applying the checklist.

The user’s review can identify the impact on an organization’s current policies and practices if a given 

security checklist is used (e.g., having JavaScript disabled in a browser might make some web pages 

unusable). An organization may determine that some aspects of the checklist do not conform to certain 

organization-specific security and operational needs and requirements. Organizations should carefully 

evaluate the baseline settings and give them considerable weight, then make any changes necessary to 

adapt the settings to the organization’s environment, requirements, policies, and security objectives.15

This is particularly true for checklists intended for an environment with significantly different security 

needs. Organizations should tailor the checklists to reflect local rules, regulations, and mandates; for 

example, federal civilian agencies would need to ensure that checklists reflect compliance with FIPS 140 

encryption requirements. Because the checklist may be used many times within the organization, the 

checklist itself might need to be modified. This is especially likely if the checklist includes a script or 

template to be applied to systems.

At this point, all deviations from the baseline settings in the checklist should be documented for future 

reference. The documentation should include the reason behind each deviation, including the impact of 

retaining the baseline setting and the impact of deviating from the baseline setting. This documentation 

helps in managing changes to the baseline over the life cycle of the product being secured. Feedback on 

the checklist can be sent to NIST as well as to the checklist developers. Feedback is especially important 

to developers in gauging whether the checklist is well written and the settings are applicable to the 

targeted environment.

Before applying a checklist that will be used to alter product settings, users should first test it on noncritical systems, preferably in a controlled non-operational environment. (Such testing may be difficult for 

home or small business users who do not have extra systems and networks for testing purposes.) Each 

checklist in the NIST checklist repository has been tested by its developer, but there are often significant 

differences between a developer’s testing environment and an organization’s operational environment, 

and some of these differences may affect checklist deployment. The testing configuration of the IT 

product should match the deployment configuration. In some cases, a security control modification can 

have a negative impact on a product’s functionality and usability, or on other products or security 

controls. For example, installing a patch could inadvertently break another patch, or enabling a firewall 

could inadvertently block antivirus software from updating its signatures or disrupt patch management 

software. Consequently, it is important to perform testing to determine the impact on system security, 

functionality, and usability; to document the results of testing; and to take appropriate steps to address any 

significant issues. Section 4.4 contains recommendations for performing backups and other suggestions to 

prevent or recover from potential damage or unwanted effects that could occur if applying an untested 

checklist.

Before using a checklist to verify product settings without altering them, users should test it. If the 

checklist is automated, users should also test the tool or tools that will be used with the checklist to ensure 

 

14 If multiple checklists are available for the same product, the checklist user may wish to compare the settings or steps in the 

selected checklist to the other checklists to see which settings or steps differ and determine if any of these alternate 

recommendations should be used.

15 This may not be applicable to checklists that are mandatory for an organization to adopt.
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that they do not inadvertently disrupt the functionality of the system or alter the configuration of the 

product. Checklist testing should be performed to identify discrepancies between the expected and actual 

settings, which could indicate errors in the checklist, such as environment-specific characteristics for 

which the checklist was not modified.

4.4 Applying Checklists to IT Products

A checklist can be applied to an IT product in one of two ways: modifying the product’s settings or 

verifying the existing settings. The following provides recommendations for both ways of applying 

checklists:

 Setting Modification

– Each checklist will include specific installation instructions to help with deployment. Even after 

review and testing, users should handle deployment carefully to minimize any issues that might 

arise from applying a security checklist.

– For users who are unable to test a checklist in a non-operational environment (e.g., home users), it 

is important to carefully review the checklist documentation completely and to determine if an 

initial backup is required. The Rollback Capability field in the checklist description (see Table 4-

1) will indicate whether the results of applying the checklist can be reversed to return the product 

to its original configuration. Regardless of this setting, it is strongly recommended that a user 

back up the IT product’s configuration before installing the checklist recommendations.

– At a minimum, users should back up all critical data files in their computing environment. If 

possible, the user should make a full backup of the system to ensure that the system can be 

restored to its pre-checklist state if necessary. (Making a full backup is recommended before 

making any major system change; it does not apply only to implementing a checklist.) Large 

organizations should also follow this procedure and, if possible, first select several operational 

systems as pilots to provide ―real-world‖ testing for the checklist before enterprise-wide 

deployment.

 Setting Verification

– Each checklist will include specific installation instructions to assist with using it to verify 

settings. Even after review and testing, users should handle verification carefully to ensure that 

product settings are not inadvertently altered.

After initially applying a checklist, an organization may need to acquire and apply revised versions of the 

checklist in the future. Depending on the product being secured, a checklist may be updated periodically 

based on a set schedule or updated as needed, frequently or infrequently. For selected checklists, NIST 

may maintain a mailing address list of users, and users who subscribe to the list will receive 

announcements of updates or other issues connected with the checklist. Instructions for subscribing to the 

mailing address list will be included in the selected checklist’s description on the checklist repository. An 

organization that acquires an updated checklist would perform the same steps already described in this 

section while taking advantage of knowledge gained and documented from applying previous versions of 

the checklist.

NIST welcomes all feedback, ―bug‖ reports, comments, and suggestions from checklist users in regard to 

individual checklists or the repository itself. Where applicable, NIST will encourage feedback from 

checklist users so that the developers are better able to gauge the effectiveness and appropriateness of 

their checklists.
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5. Checklist Development

This section describes the general process for developing security configuration checklists and submitting 

them to the NCP. It includes an overview of the process NIST will follow to screen the checklist 

submissions and publish them in its repository, and the process NIST and developers will follow to 

update the checklist or to archive the checklist. Individual developers and organizations that want to 

submit checklists to NIST should review the appendices of this document, which contain the 

administrative requirements for participation in the NCP. Before submitting a checklist to NIST, 

developers should ensure they have the most recent version of this document. The most recent version is 

available as a separate file at http://checklists.nist.gov/.

Figure 5-1: NCP Checklist Development Steps
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The life-cycle steps shown in Figure 5-1 are straightforward. Each step should be carried out to ensure the 

checklist is accurate, tested, and documented during its development and subsequent publication, update, 

or archival. The following sections describe considerations for each step.

5.1 Background on Security-Related Criteria for Checklists

This section discusses the security-related criteria that NIST recommends developers follow to enhance 

consistency of the technical security policy practices among the checklists. NIST recognizes that detailed 

checklist development cannot be covered extensively in this document. Therefore, NIST based the 

security-related criteria on commonly accepted technical security principles and practices, as catalogued 

in NIST SP 800-53 [16], other NIST publications [4], [5], and other literature [26]. Additional 

considerations are contained in NIST SP 800-27, Engineering Principles for Information Technology 

Security (A Baseline for Achieving Security) [6]. To aid in designing secure information systems, NIST 

compiled a set of engineering principles for system security that are discussed in this document. These 

principles provide a foundation upon which a consistent and structured approach to the design, 

development, and implementation of IT security capabilities can be constructed. SP 800-27’s guidance is 

based in part on the Information Assurance Technical Framework (IATF) [26].

The checklist must be consistent with one of the general operational environments described in Section 3

(excepting the Custom environment). This will require consulting the guidance in Section 3, the checklist 

format and content guidelines in the remainder of this section and in Appendix C, and other generally 

recommended practices and procedures. If no recommended practices guidance is available for a product 

or class of products, general security recommended practices should be used (e.g., defense in depth and 

layered security; least privilege, confidentiality, integrity, and availability controls).

In terms of vulnerability coverage, the security objectives should take into account the most up-to-date 

vulnerabilities and generally be consistent with recognized sources of vulnerability-related information, 

including the Department of Homeland Security’s (DHS) United States Computer Emergency Readiness 

Team (US-CERT), the Computer Emergency Response Team/Coordination Center (CERT/CC), and 

NIST’s NVD.16

Developers of checklists for products that are used by the federal government should consult the FISMAassociated security control baselines. NIST SP 800-53, Recommended Security Controls for Federal 

Information Systems [16], provides a catalog of security controls, using groups of the controls to create 

three minimum baseline security control sets for federal information systems—low, moderate, and high 

impact as specified in FIPS 199 [24]. Developers of IT products that will be used in federal information 

systems are encouraged to help federal agencies meet the mandatory requirements in FISMA by creating 

checklists that provide recommended configuration settings in a variety of operational environments or 

for information systems of differing impact levels, as described in FIPS 199 and SP 800-53. Developers 

are also encouraged to consider requirements imposed by HIPAA and other sources.

5.2 Developer Steps for Creating and Submitting Checklists

The first four steps in the development methodology shown in Figure 5-1 begin with the developer 

becoming familiar with the procedures and requirements of the checklist program, and then performing 

the initial development of the checklist. Following initial development, the developer tests the checklist 

and refines it as needed. The third step involves documenting the checklist according to the guidelines of 

the program. In the fourth step, the developer prepares and submits a checklist submission package to 

 

16 US-CERT website is http://www.us-cert.gov/. CERT/CC website is http://www.cert.org/. NVD is at http://nvd.nist.gov/.
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NIST for screening and public review. Sections 5.2.1 through 5.2.4 describe considerations in each of 

these steps.

5.2.1 Initial Checklist Development

During initial checklist development, a developer becomes familiar with the requirements of the checklist 

program and all procedures involved during the checklist life cycle (as described throughout this section).

At this point, a developer would presumably agree to the requirements for participation in the NCP before 

continuing to develop the checklist. The participation requirements are described in this document, but are 

presented in administrative and programmatic terms in Appendix C, which is intended less for technical 

developers and more for those in developer organizations who must formally agree to NCP requirements.

The participation agreement is contained in Appendix D.

17

After agreeing to NCP requirements, the developer decides in which operational environment (see 

Section 3) the checklist should be implemented, and builds the checklist accordingly, using the securityrelated criteria presented in Sections 3 and 5.1. The output of this step is an initial checklist for the 

product.

Appendix B describes the complete set of fields for a checklist description on the repository; users can 

browse and view these fields when using the repository. 

Table 5-1 shows the fields of the checklist description that would be completed at this step:

Table 5-1: Fields Completed at Initial Checklist Development

Field Name Description

Checklist Name The name of the checklist.

Product Category The main product category of the IT product (e.g., firewall, IDS, operating 

system, web server).

Target Product(s) The set of specific IT systems or applications that the checklist provides 

guidance for.

CPE Name The CPE representation of a specific Target Product.

Checklist Role

The primary use or function of the IT product as described by the checklist 

(e.g., client desktop host, web server, bastion host, network border 

protection, intrusion detection).

Checklist Summary Summarizes the purpose of the checklist and its settings.

Known Issues

Summarizes issues that may arise after application of the checklist to help 

users pinpoint any functional and operational problems caused by the 

checklist.

Target Audience

The intended audience that should be able to install, test, and use the 

checklist, including suggested minimum skills and knowledge required to 

correctly use the checklist.

Target Operational 

Environment

The IT product’s operational environment, such as Standalone, Managed, or 

Custom (with description, such as Specialized Security-Limited 

Functionality, Legacy, or Federal Desktop Core Configuration).

Checklist Installation 

Tools

Describes the functional tools required to use the checklist to configure the 

system, if they are not included with the checklist.

 

17 The latest updates to these sections and to this document are available at http://checklists.nist.gov/. This updated material 

should be consulted before formally agreeing to participate in the program.
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Field Name Description

FIPS 140-2 Compliance Whether the product can operate in a FIPS 140-2 validated mode (yes or 

no).

Regulatory Compliance

Whether the checklist is consistent with various regulations (e.g., Health 

information Portability and Accountability Act [HIPAA], Gramm-Leach-Bliley 

Act [GLBA], FISMA [such as mappings to NIST SP 800-53 controls], ISO 

27001, Sarbanes-Oxley, Department of Defense [DoD] 8500).

Authority

The organization responsible for producing the original security 

configuration guidance represented by the checklist. Authorities are ranked 

according to their “Authority Type.” Within the NCP website, authorities are 

grouped with their authority types through the syntax of Authority Type: 

Authority.

If it is not clear which checklists(s) should be analyzed, users from Federal 

civilian agencies should first search for checklists produced by authorities of 

type “Governmental Authority.” If “Governmental Authority” produced 

checklists exist, the user should search for NIST-produced checklists, which 

are tailored for civilian agency use. If no NIST-produced checklist is 

available, then agency-produced checklists from the Defense Information 

Systems Agency (DISA) or the National Security Agency (NSA) should be 

used. If no “Governmental Authority” checklists exist, the user should search 

for checklists produced by authorities of type “Software Vendor.” If none of 

these checklists exist, the user should search for checklists produced by 

authorities of type “Third Party.”

Author

The organization responsible for creating the checklist in its current format. 

In most cases an organization will represent both the author and authority of 

a checklist, but this is not always true. For example, if an organization 

produces validated SCAP content for NIST SP 800-68, the organization that

created the SCAP content will be listed as the Author, but NIST will remain 

the Authority.

5.2.2 Checklist Testing

Before a checklist is submitted to NIST, it should be fully tested in a configuration that meets the target 

environment and platform. The checklist should be tested with a variety of applications and hardware 

platforms, if applicable. Ideally, at least some testing should be performed in a production or mirrored 

production environment. The testing data does not need to be submitted to NIST; however, the developer 

should retain the data for review as appropriate.

Table 5-2 shows fields in the checklist description that would be completed at this step.

Table 5-2: Fields Completed During Checklist Testing

Field Name Description

SCAP Expressed

Checklists that are designed to be processed by SCAP-validated products. For 

more details regarding the definition of SCAP Expressed, see NIST SP 800-126

[29].

XCCDF Expressed

Whether the checklist is expressed in XCCDF (yes or no). If yes, the checklist is 

expressed in XCCDF and validates against the published version of the XCCDF 

schema. The checklist also validates against the NIST-provided XCCDF

reference implementation.
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Field Name Description

CCE Expressed Whether the checklist has valid CCEs (yes or no). If yes, each configuration 

setting has an associated CCE.

CPE Expressed Whether the checklist has valid CPEs (yes or no). If yes, the checklist expresses 

its applicability to systems using CPE.

CVE Expressed Whether the checklist has valid CVEs (yes or no). If yes, each software flaw and 

patch has an associated CVE or CVEs.

CVSS Expressed Whether the checklist has valid CVSSs (yes or no). If yes, each CVE identifier 

has an associated CVSS base score.

OVAL Expressed Whether the checklist is expressed in OVAL (yes or no). If yes, each OVAL 

definition must validate according to the OVAL reference implementation.

Known Issues Summarizes issues that may arise after application of the checklist to help users 

pinpoint any functional or operational problems caused by the checklist.

Rollback Capability Whether the changes in product configuration made by applying the checklist 

can be rolled back and, if so, how to roll back the changes.

Testing Information

Platforms on which the checklist was tested. Can include any additional testingrelated information such as summary of testing procedures used. Should specify 

any operational testing performed in production or mirrored production 

environments.

Selecting the most appropriate set of security controls can be a daunting task because many security 

controls have limited system functionality and usability. In some cases, a security control can have a 

negative impact on other security controls. For example, installing a patch could inadvertently break 

another patch, or enabling a personal firewall could inadvertently block antivirus software from updating 

its signatures or disrupt patch management software. Therefore, it is important to perform testing for all 

security controls to determine what impact they have on system security, functionality, and usability, and 

to take appropriate steps to address any significant issues.

NIST has produced SP 800-115, Technical Guide to Information Security Testing and Assessment [22], to 

help administrators in testing systems for vulnerabilities and configuration problems. Although this 

publication is focused more on testing systems than testing on individual IT products, it may be useful to 

checklist developers.

5.2.3 Checklist Documented

The quality of checklist documentation often makes a major difference in the checklist’s effectiveness.

The checklist documentation should clearly explain how to use the checklist, with concise, sound, and 

complete instructions. The skill level required to use the checklist should be identified, as well as the 

targeted environment. The documentation should also explain the significance of individual settings, 

including any changes to product functionality. If applicable, the documentation should also include 

procedures to verify that the checklist installation is successful, as well as guidance for uninstalling the 

checklist or restoring the product to its state before installation of the checklist. In some cases, it may not 

be possible to roll back checklist settings, in which case the checklist documentation should recommend 

procedures such as backups and system restoration as applicable.

The testing methodology, such as how the checklist was tested and what platforms were used, should be 

documented. The checklist documentation should also contain information for troubleshooting if errors 

occur or if the checklist settings cause the product to operate incorrectly. Ideally, assistance is available 

for (registered) users of the product if there are problems.
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Table 5-3 shows additional fields in the checklist description that would be completed in this step.

Table 5-3: Additional Documentation Fields

Field Name Description

Comments, Warnings, 

Miscellaneous Any additional information that the checklist developer wishes to convey to users.

Disclaimer Legal notice pertaining to the checklist.

Product Support

Vendor will accept support calls from users who have applied this checklist on their IT 

product; warranty for the IT product has not been affected. Required for usage of NCP 

logo if the submitter is the product vendor. If the submitter is not the product vendor, the 

submitter should describe any agreement that they may have with the product vendor.

Point of Contact

An email address where questions, comments, suggestions, and problem reports can 

be sent in reference to the checklist. The point of contact should be an email address 

that the checklist developer monitors for checklist problem reports.

Sponsor States the name of the IT product manufacturer organization and individuals who 

sponsor the submitted checklist if it is submitted by a third-party entity.

Licensing States the license agreement (e.g., the checklist is copyrighted, open source, General 

Public License [GPL], free software, shareware).

SCAP Content A link to the machine-readable content representing the configuration guidance. This 

guidance is expressed using SCAP.

Supporting Resource

A link to any supporting information, or content, relating to the guidance. This field can 

hold data ranging from an English prose representation of the actual guidance, to 

configuration scripts that apply guidance specific settings on a target product.

Dependency/ 

Requirement

Indicate that another checklist or guide is required to properly use and implement the 

current checklist.

References Any supporting references chosen by the developer that were used to produce the 

checklist or checklist documentation.

The developer needs to complete the fields as indicated to describe the checklist accurately and minimize 

user confusion as to what the checklist accomplishes.

In summary, well-structured checklist documentation includes the following, as appropriate:

 Complete and accurate checklist description 

 Statement of the security objectives, including the targeted environment and the expected behavior of 

the product after applying the checklist

 The target audience (e.g., end user, system administrator) and the level of technical skill required to 

use the checklist

 Explanation of the checklist settings, including each setting’s effect on operation of the product and 

any functionality the settings enable or disable

 Backup procedures or any other initial steps required before applying the checklist

 As appropriate, step-by-step instructions for applying the checklist (e.g., screen shots, illustrated 

procedures) and verifying that the installation is successful

 Procedures for uninstalling the checklist (if applicable)
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 Troubleshooting instructions or other information and references.

5.2.4 Checklist Submitted to NIST 

At this point, the checklist developer has completed, tested, and documented the checklist. The developer 

now submits the package of materials to NIST. The package includes the following: 

 Checklist and configuration files, templates, scripts, etc.

 Completed checklist description 

 Checklist documentation

 Identification of the developer point of contact

 Signed participation agreement. 

The participation agreement and other requirements are outlined in detail in Appendix C, which also 

includes the appropriate NIST contact information.

5.3 NIST Steps for Reviewing and Finalizing Checklists for Publication

The NIST process for screening and publishing a checklist is described in the following sections. Figure 

5-1 shows the general steps; steps 4 and 5 may loop depending on the amount of feedback to the 

developer. Steps 6 and 8 may repeat depending on the magnitude of updates to an already-published 

checklist (most changes should not require additional public reviews).

5.3.1 NIST Screening of the Checklist Package

This step involves determining if the checklist is sufficiently accurate and complete to be publicly 

reviewed. NIST screens the checklist materials for completeness and accuracy, and examines the testing 

procedures used to evaluate the checklist. NIST may contact the developer with questions about the 

submitted materials during the screening period. NIST completes the screening and, if all issues are 

addressed, posts the checklist and its description as a candidate for public review for a period of 30 to 60 

days.

The criteria used to screen the checklist are the same criteria that were used for checklist description 

development, which are described in Section 5.1. Essentially, the security objectives of the checklist 

should be consistent with recommended guidance from NIST and other recognized security organizations.

The checklist must be documented according to the guidelines in this section and in Appendix C. Some of 

the questions typically posed by NIST when screening checklist submissions include the following:

 Documentation

– Does it specify the checklist’s automation, SCAP, OVAL, and XCCDF compliance?

– Does it specify the target audience?

– Does it identify the targeted environment?

– Does it specify if the checklist is designed specifically for federal agencies?

– Does it explain the security objectives? 
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– Does it contain a complete, clear, and concise description of the checklist settings? 

 Best Practices

– Are the checklist settings consistent with recommended practices?

– Do the checklist settings take into account recent vulnerabilities?

 Impact of Settings

– Has the checklist developer tested the checklist settings on the product in an operationally 

realistic environment and determined that the application of the checklist settings causes the 

product to meet the security objectives of the checklist? 

– Do any of the checklist settings cause the product to become inoperable or unstable?

– Do any of the checklist settings reduce product functionality? If so, is this documented?

 Ease of Implementation

– Is the checklist straightforward to apply?

– Are the instructions concise, sound, and complete?

– Is the required skill level identified?

– Are procedures to verify that the installation is successful included? 

– Is there guidance for uninstalling the checklist or restoring the product to the state before 

installation?

– If the checklist cannot be rolled back, does the documentation recommend other preparatory 

measures such as backups?

 Assistance

– Is checklist-related help available? 

– Does the documentation contain information for troubleshooting if errors occur or if the checklist 

settings cause the product to operate incorrectly?

– Is there assistance available for qualified users of the product?

 If the checklist developer is NOT the IT product’s vendor, does the documentation indicate whether 

the checklist has been sponsored or endorsed by the IT product’s vendor? 

5.3.2 Public Review and Feedback for the Candidate Checklist

After the checklist has been screened and the developer has addressed any issues, NIST will post it for 

public review for a period of typically 30 to 60 days. This allows the public to review and test the 

checklist, and to provide the checklist developers and NIST with comments and feedback. Information 

from comments and feedback may be incorporated in a revision of the checklist to improve its quality.

When a candidate checklist has completed the review process, it is included in the checklist repository.
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A checklist reviewer will complete a form to provide comments as well as other information about the 

reviewer’s test environment, procedures, and other relevant information. Depending on the review, the 

checklist developer may need to respond to comments. NIST may also consult independent expert 

reviewers as appropriate. Typical reasons for using independent reviewers include the following:

 NIST may decide that it does not have the expertise to determine whether the comments have been 

addressed satisfactorily.

 NIST may disagree with the proposed issue resolutions and seek reviews from third parties.

At the end of the public review period, NIST will announce that the comment period is closed. Depending 

on the number of comments received and the ramifications of those comments to the checklist, NIST will 

specify a timeframe (typically 15 to 30 days from the end of the review period) in which the developer 

must respond to comments.

5.3.3 Final Listing on Checklist Repository, Maintenance, and Archival

After any outstanding issues are addressed, NIST lists the final checklist and announces that the checklist 

is now listed on the repository. At this time, the developer (e.g., IT product vendor) may be eligible to use 

the checklist logo on the IT product’s promotional material if the developer provides assistance for the 

checklist. Requirements for use of the logo are described in Appendix D.

NIST will also announce procedures for accepting further comments or questions about the checklist 

throughout its life cycle. Depending on the product and how frequently updates occur, NIST may 

maintain a mailing address for the associated checklists. Users who subscribe to the mailing list can 

receive announcements of updates or other issues connected with a checklist. The selected checklist’s 

description (on the checklist repository) will contain instructions for subscribing to the mailing address 

list. Throughout the checklist life cycle, NIST will continue to collect feedback and pass this information 

to the checklist developer.

When the final checklist is listed, NIST will establish a periodic review schedule with the developer.

Typically, the timeframe for the review will be 1 year; however, it could be sooner depending on factors 

such as the discovery of new vulnerabilities. If the developer decides to update the checklist, NIST will 

announce that the checklist is in the process of being updated. If the revised checklist contains major 

changes, it will be accepted as if it were a new submission, and will be required to undergo the same 

review process as a new submission. 

At the developer’s discretion, the checklist can be removed from the repository or reclassified as an 

archive. Typical reasons for such actions would be that the product is no longer supported or is obsolete, 

or that the developer no longer wishes to provide support for the checklist.
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Appendix A. References

Appendix A contains a list of the documents used to develop this publication.

[1] Cyber Security Research and Development Act of 2002, http://frwebgate.access.gpo.gov/cgibin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ305.107.pdf

[2] Federal Information Security Management Act (FISMA) of 2002, 

http://csrc.nist.gov/drivers/documents/FISMA-final.pdf

[3] OMB Circular A-130, http://www.whitehouse.gov/omb/circulars/a130/a130trans4.pdf

[4] NIST SP 800-14, Generally Accepted Principles and Practices for Securing Information 

Technology Systems, http://csrc.nist.gov/publications/nistpubs/800-14/800-14.pdf

[5] NIST SP 800-23, Guideline to Federal Organizations on Security Assurance and 

Acquisition/Use of Tested/Evaluated Products, http://csrc.nist.gov/publications/nistpubs/800-

23/sp800-23.pdf

[6] NIST SP 800-27 Revision A, Engineering Principles for Information Technology Security (A 

Baseline for Achieving Security), Revision A, http://csrc.nist.gov/publications/nistpubs/800-

27A/SP800-27-RevA.pdf

[7] NIST SP 800-28 Version 2, Guidelines on Active Content and Mobile Code, 

http://csrc.nist.gov/publications/nistpubs/800-28-ver2/SP800-28v2.pdf

[8] NIST SP 800-30, Risk Management Guide for Information Technology Systems, 

http://csrc.nist.gov/publications/nistpubs/800-30/sp800-30.pdf

[9] NIST SP 800-36, Guide to Selecting Information Security Products, 

http://csrc.nist.gov/publications/nistpubs/800-36/NIST-SP800-36.pdf

[10] NIST SP 800-40 Version 2, Creating a Patch and Vulnerability Management Program, 

http://csrc.nist.gov/publications/nistpubs/800-40-Ver2/SP800-40v2.pdf

[11] NIST SP 800-41 Revision 1, Guidelines on Firewalls and Firewall Policy,

http://csrc.nist.gov/publications/PubsSPs.html

[12] NIST SP 800-44 Version 2, Guidelines on Securing Public Web Servers, 

http://csrc.nist.gov/publications/nistpubs/800-44-ver2/SP800-44v2.pdf

[13] NIST SP 800-45 Version 2, Guidelines on Electronic Mail Security, 

http://csrc.nist.gov/publications/nistpubs/800-45-version2/SP800-45v2.pdf

[14] NIST SP 800-46 Revision 1, Guide to Enterprise Telework and Remote Access Security, 

http://csrc.nist.gov/publications/nistpubs/800-46-rev1/sp800-46r1.pdf

[15] NIST SP 800-48 Revision 1, Guide to Securing Legacy IEEE 802.11 Wireless Networks, 

http://csrc.nist.gov/publications/nistpubs/800-48-rev1/SP800-48r1.pdf
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[16] NIST SP 800-53 Revision 3, Recommended Security Controls for Federal Information Systems

and Organizations, http://csrc.nist.gov/publications/nistpubs/800-53-Rev3/sp800-53-rev3-finalerrata.pdf

[17] NIST SP 800-61 Revision 1, Computer Security Incident Handling Guide, 

http://csrc.nist.gov/publications/nistpubs/800-61-rev1/SP800-61rev1.pdf

[18] NIST SP 800-68 Revision 1, Guide to Securing Microsoft Windows XP Systems for IT 

Professionals: A NIST Security Configuration Checklist, 

http://csrc.nist.gov/itsec/guidance_WinXP.html

[19] NIST SP 800-69, Guidance for Securing Microsoft Windows XP Home Editions: A NIST 

Security Configuration Checklist, http://csrc.nist.gov/itsec/guidance_WinXP_Home.html

[20] NIST SP 800-83, Guide to Malware Incident Prevention and Handling, 

http://csrc.nist.gov/publications/nistpubs/800-83/SP800-83.pdf 

[21] NIST SP 800-97, Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i,

http://csrc.nist.gov/publications/nistpubs/800-97/SP800-97.pdf 

[22] NIST SP 800-115, Technical Guide to Information Security Testing and Assessment, 

http://csrc.nist.gov/publications/nistpubs/800-115/SP800-115.pdf

[23] NIST SP 800-123, Guide to General Server Security,

http://csrc.nist.gov/publications/nistpubs/800-123/SP800-123.pdf

[24] FIPS PUB 199, Standards for Security Categorization of Federal Information and Information 

Systems, http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf

[25] Defense Information Systems Agency (DISA) Security Technical Implementation Guides 

(STIG), available for .mil and .gov domains at https://iase.disa.mil/techguid/stigs.html and, for 

other domains, at http://iase.disa.mil/stigs/index.html

[26] Information Assurance Technical Framework (IATF), Release 3.0, 2000, 

http://oai.dtic.mil/oai/oai?verb=getRecord&metadataPrefix=html&identifier=ADA393328

[27] National Information Assurance (IA) Glossary, CNSS Instruction no. 4009, revised June 2006, 

http://www.cnss.gov/Assets/pdf/cnssi_4009.pdf

[28] National Security Agency (NSA) - Security Configuration Guides, available at

http://www.nsa.gov/ia/

[29] Draft NIST SP 800-126, The Technical Specification for the Security Content Automation 

Protocol (SCAP), http://csrc.nist.gov/publications/PubsSPs.html
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Appendix B. Checklist Description Template

Appendix B describes the fields of the checklist description that is maintained for each checklist on the 

checklist repository. The completed fields provide information about the checklist to users. Checklist 

developers must complete a checklist description form for each checklist. The latest version of the 

checklist description form can be downloaded from the checklist repository at http://checklists.nist.gov/.

Table B-1 lists all fields of the checklist description, with sample data from the NIST Microsoft Windows 

XP Professional checklist [18].

Table B-1: Fields in the Checklist Description Template

Field Name Description Example Data

Checklist Name The name of the checklist. NIST SP 800-68

Checklist ID Uniquely identifies the checklist in the 

NCP repository. This will be generated 

during the NCP submission process 

and assigned to the checklist.

76

Version The version or release number of the 

checklist.

R1.2.1

Review Status The status of the checklist within the 

internal NCP review process. A status 

of "Final" signifies that NCP has 

reviewed the checklist and has 

accepted it for publication within the 

program. Possible status options are: 

Candidate, Final, Archived, or Under

Review.

Final

Entry Date States the date when the checklist 

record was first listed in the NCP 

repository, in the format MM/DD/YYYY.

10/30/2007

Publication Date States the date when the actual 

checklist document was published, in 

the format MM/DD/YYYY.

04/01/2009

Last Modified Date States the date when the checklist 

record was last revised within the NCP 

repository, in the format MM/DD/YYYY.

06/15/2009

Product Category The main product category of the IT 

product (e.g., firewall, IDS, operating 

system, web server).

Operating System

Target Product(s) The set of specific IT systems or 

applications that the checklist provides 

guidance for.

Microsoft Windows XP

CPE Name The CPE representation of a specific 

Target Product.

cpe:/o:microsoft:windows_xp

Checklist Role The primary use or function of the IT 

product as described by the checklist 

(e.g., client desktop host, web server, 

bastion host, network border protection, 

intrusion detection).

Operating System
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Field Name Description Example Data

Tier The checklist tier (Tier I, II, III, or IV).

 Tier I checklists are prose-based, 

such as narrative descriptions of 

how a person can manually alter a 

product’s configuration.

 Tier II checklists document their 

recommended security settings in a 

machine-readable but nonstandard format, such as a 

proprietary format or a productspecific configuration script. These 

checklists may include some 

elements of SCAP (for example, 

they may contain CCE identifiers), 

but do not meet the Tier III 

requirements.

 Tier III checklists use SCAP to 

document their recommended 

security settings in machinereadable standardized SCAP 

formats that meet the definition of 

“SCAP Expressed” specified in 

NIST SP 800-126 [29]. Tier III 

checklists can be processed by 

SCAP-validated tools, which are 

products that have been validated 

by an accredited independent 

testing laboratory as conforming to 

applicable SCAP specifications and 

requirements. 

 Tier IV checklists include all 

properties of Tier III checklists. 

Additionally, Tier IV checklists are 

considered production-ready and 

have been validated by NIST or a 

NIST-recognized authoritative 

entity to ensure, to the maximum 

extent possible, interoperability with 

SCAP-validated products. Tier IV 

checklists also demonstrate the 

ability to map low-level security 

settings (for example, standardized

identifiers for individual security 

configuration issues) to high-level 

security requirements as 

represented in various security 

frameworks (e.g., SP 800-53

controls for FISMA), and the 

mappings have been vetted with 

the appropriate authority.

Tier III

SCAP Expressed Checklists that are designed to be 

processed by SCAP-validated products. 

For more details regarding the definition 

of SCAP Expressed, see NIST SP 800-

126 [29].

Yes
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Field Name Description Example Data

XCCDF 

Expressed

Whether the checklist is expressed in 

XCCDF (yes or no). If yes, the checklist 

is expressed in XCCDF and validates 

against the published version of the 

XCCDF schema. The checklist also 

validates against the NIST-provided 

XCCDF reference implementation.

Yes

CCE Expressed Whether the checklist has valid CCEs 

(yes or no). If yes, each configuration 

setting has an associated CCE.

Yes

CPE Expressed Whether the checklist has valid CPEs 

(yes or no). If yes, the checklist 

expresses its applicability to systems 

using CPE.

Yes

CVE Expressed Whether the checklist has valid CVEs 

(yes or no). If yes, each software flaw 

and patch has an associated CVE or 

CVEs.

Yes

CVSS Expressed Whether the checklist has valid CVSSs 

(yes or no). If yes, each CVE identifier 

has an associated CVSS base score.

No

OVAL Expressed Whether the checklist is expressed in 

OVAL (yes or no). If yes, each OVAL 

definition must validate according to the 

OVAL reference implementation.18

Yes

Checklist 

Summary

Summarizes the purpose of the 

checklist and its settings.

NIST SP 800-68 Revision 1.2.1 has been created 

to assist IT professionals, in particular Windows XP 

system administrators and information security 

personnel, in effectively securing Windows XP 

Professional SP2 and SP3 systems. It provides 

detailed information on Windows XP security, 

including security configuration guidelines for 

popular applications and Windows XP. The guide 

provides insight into the threats and security 

controls that are relevant for various operational 

environments, such as for a large enterprise or a 

home office. It describes the need to document, 

implement, and test security controls, as well as to 

monitor and maintain systems on an ongoing basis. 

It presents an overview of the security components 

offered by Windows XP and provides guidance on 

installing, backing up, and patching Windows XP 

systems. It discusses security policy configuration, 

provides an overview of the settings in the 

accompanying NIST security templates, and 

discusses how to apply additional security settings 

that are not included in the NIST security 

templates.

 

18 More information on the OVAL reference implementation is available at http://ovaldi.wiki.sourceforge.net/. 
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Field Name Description Example Data

Known Issues Summarizes issues that may arise after 

application of the checklist to help users 

pinpoint any functional and operational 

problems caused by the checklist.

Do not attempt to implement any of the settings in 

this guide without first testing them in a nonoperational environment. These recommendations 

should be applied only to the Windows XP 

Professional SP2 and SP3 systems and will not 

work on Windows 9X/ME, Windows NT, Windows 

2000 or Windows Server 2003. The security 

templates have been tested on WinXP Professional 

SP2 and SP3 systems and will not work on 

Windows 9X/ME, Windows NT, Windows 2000 or 

Windows Server 2003. The Specialized SecurityLimited Functionality template should not be used 

by home users and should be used with caution 

since it will restrict the functionality and reduce the 

usability of the system.

Target Audience The intended audience that should be 

able to install, test, and use the 

checklist, including suggested minimum 

skills and knowledge required to 

correctly use the checklist.

This checklist has been created for IT 

professionals, particularly Windows XP system 

administrators and information security personnel. 

The document assumes that the reader has 

experience installing and administering Windowsbased systems in domain or standalone 

configurations.

Target Operational 

Environment

The IT product’s operational 

environment, such as Standalone, 

Managed, or Custom (with description, 

such as Specialized Security-Limited 

Functionality, Legacy, or Federal 

Desktop Core Configuration).

* Small Office/Home Office (SOHO)

* Enterprise

* Specialized Security-Limited Functionality 

(SSLF)

* Legacy

Checklist 

Installation Tools

Describes the functional tools required 

to use the checklist to configure the 

system, if they are not included with the 

checklist.

The Microsoft Windows tools (e.g., Security 

Templates MMC snap-in, Security Configuration 

Analysis MMC snap-in, Group Policy MMC snap-in, 

Group Policy Management Console MMC snap-in) 

can be used to customize and apply the NIST 

security templates to Windows XP systems.

Rollback 

Capability

Whether the changes in product 

configuration made by applying the 

checklist can be rolled back and, if so, 

how to roll back the changes.

There is no automated way of rolling back the 

settings unless a full system backup was 

performed before a security template was applied 

to the system.

Testing 

Information

Platforms on which the checklist was 

tested. Can include any additional 

testing-related information such as 

summary of testing procedures used. 

Should specify any operational testing 

performed in production or mirrored 

production environments.

The security templates have been tested on 

Windows XP Professional SP2 and SP3 systems 

and will not work on Windows 9X/ME, Windows 

NT, Windows 2000 or Windows Server 2003. 

FIPS 140-2 

Compliance

Whether the product can operate in a 

FIPS 140-2 validated mode (yes or no).

Yes

FIPS 140-2 

Compliance 

Verification

Whether the checklist enumerates the 

required settings which must be 

configured on a product for the product 

to be FIPS 140-2 compliant. 

Yes
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Field Name Description Example Data

Regulatory 

Compliance

Whether the checklist is consistent with 

various regulations (e.g., Health 

information Portability and 

Accountability Act [HIPAA], GrammLeach-Bliley Act [GLBA], FISMA [such 

as mappings to NIST SP 800-53 

controls], ISO 27001, Sarbanes-Oxley, 

Department of Defense [DoD] 8500).

The recommendations are consistent with the 

security control baselines advocated in SP 800-53 

(NIST FISMA implementation project publication).

Comments, 

Warnings, 

Miscellaneous

Any additional information that the 

checklist developer wishes to convey to 

users.

Refer to Known Issues.

Disclaimer Legal notice pertaining to the checklist. Do not attempt to implement any of the settings in 

this guide without first testing them in a nonoperational environment. NIST assumes no 

responsibility whatsoever for its use by other 

parties, and makes no guarantees, expressed or 

implied, about its quality, reliability, or any other 

characteristic. NIST would appreciate 

acknowledgement if the document and template 

are used.

Product Support Vendor will accept support calls from 

users who have applied this checklist 

on their IT product; warranty for the IT 

product has not been affected. 

Required for usage of NCP logo if the 

submitter is the product vendor. If the 

submitter is not the product vendor, the 

submitter should describe any 

agreement that they may have with the 

product vendor.

Microsoft will provide best efforts support, in line 

with the customer’s support contract, to assist in 

removing the worst results of such file and registry 

permissions, but Microsoft can only guarantee 

returning to the recommended out-of-the-box 

settings by reformatting and reinstalling the 

operating system.
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Field Name Description Example Data

Authority The organization responsible for 

producing the original security 

configuration guidance represented by 

the checklist. Authorities are ranked 

according to their “Authority Type.” 

Within the NCP website, authorities are 

grouped with their authority types 

through the syntax of Authority Type: 

Authority.

If it is not clear which checklists(s) 

should be analyzed, users from Federal 

civilian agencies should first search for 

checklists produced by authorities of 

type “Governmental Authority.” If 

“Governmental Authority” produced 

checklists exist, the user should search 

for NIST-produced checklists, which are 

tailored for civilian agency use. If no 

NIST-produced checklist is available, 

then agency-produced checklists from 

the Defense Information Systems 

Agency (DISA) or the National Security 

Agency (NSA) should be used. If no 

“Governmental Authority” checklists 

exist, the user should search for 

checklists produced by authorities of 

type “Software Vendor.” If none of 

these checklists exist, the user should 

search for checklists produced by 

authorities of type “Third Party.”

Governmental Authority: NIST, Computer Security 

Division

Author The organization responsible for 

creating the checklist in its current 

format. In most cases an organization 

will represent both the author and 

authority of a checklist, but this is not 

always true. For example, if an 

organization produces validated SCAP 

content for NIST SP 800-68, the 

organization that created the SCAP 

content will be listed as the Author, but 

NIST will remain the Authority.

NIST, Computer Security Division

Authority Type Type of organization that lends its 

authority to the checklist. The three 

types are Governmental Authority, 

Software Vendor, and Third Party (e.g., 

security organizations).

Governmental Authority

Point of Contact An email address where questions, 

comments, suggestions, and problem 

reports can be sent in reference to the 

checklist. The point of contact should be 

an email address that the checklist 

developer monitors for checklist 

problem reports.

itsec@nist.gov

Sponsor States the name of the IT product 

manufacturer organization and 

individuals who sponsor the submitted 

checklist if it is submitted by a thirdparty entity.

Vlad Pigin and Chase Carpenter, Microsoft 

Corporation
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Field Name Description Example Data

Licensing States the license agreement (e.g., the 

checklist is copyrighted, open source, 

General Public License [GPL], free 

software, shareware).

This document was developed at the National 

Institute of Standards and Technology, which 

collaborated with NSA, DISA, CIS, and Microsoft to 

produce the Windows XP security templates. 

Pursuant to title 17 Section 105 of the United 

States Code this document and template are not 

subject to copyright protection and are in the public 

domain.

SCAP Content A link to the machine-readable content 

representing the configuration 

guidance. This guidance is expressed 

using SCAP.

http://nvd.nist.gov/scap/content/SCAPWinXPPro.zip

sha1 = 07F6F12B9644AF79C63469F059EE4CA

0B000C76E

sha256 = 8FDAA4AF17890E1277DB381705175

E0E4C45908E5A580679008DE9ACC66A093B

Supporting 

Resource

A link to any supporting information, or 

content, relating to the guidance. This 

field can hold data ranging from an 

English prose representation of the 

actual guidance, to configuration scripts 

that apply guidance specific settings on 

a target product.

Prose -

http://csrc.nist.gov/itsec/guidance_WinXP.html

Resource 

Description

A prose description of the resource. NIST prose guide for Windows XP.

Resource Type The format of the resource. Examples 

include SCAP content, prose, GPOs, 

security templates, etc.

Prose

SHA-1 The SHA-1 hash for the resource. 0C4020ADF1B066858F910FB3A627EF8D29F3D9

89

SHA-256 The SHA-256 hash for the resource. 1F618FD4C63A784C849B467D6402AD2E8D67B

F61EC438489EC9A1A336FC427BC

Resources Provides a logical grouping of the two 

content types within the National 

Checklist Program. Content found 

under this column includes SCAP 

Content and Supporting Resources.

SCAP Content (http://nvd.nist.gov/fdcc/fdcc-files1.2.1.0/fdcc-winxp.zip)

Prose

(http://csrc.nist.gov/itsec/guidance_WinXP.html)
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Field Name Description Example Data

Change History Running log detailing any changes

made to the checklist since its inclusion 

in the repository. This field is updated 

with each version of the checklist.

Security Templates (.inf files)

2007-05-08 - Release R1.2.1

2005-11-02 - Release R1.2.0

2004-08-24 - Draft Update R1.0.2

2004-07-04 - Draft Update R1.0.1 

2004-06-24 - Draft Release R1.0

SP 800-68 document 

2008-10-10 - Final Release of Revision 1

2008-07-25 - Draft Release of Revision 1

2005-11-02 - Final Release of Original Version

2004-08-24 - Draft Update of Original Version

2004-07-04 - Draft Update of Original Version

2004-06-24 - Draft Release of Original Version

SP 800-68 SCAP Content

2009-07-29 - Final Release of Revision 1

Dependency/ 

Requirement

Indicate that another checklist or guide 

is required to properly use and 

implement the current checklist.

References Any supporting references chosen by 

the developer that were used to 

produce the checklist or checklist 

documentation.

DISA, NSA, CIS, Microsoft and other security 

guides.
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Appendix C. Checklist Program Operational Procedures

Operational Procedures

for

The NIST National Checklist Program 

for Information Technology Products

Version 1.1

This document sets forth the policies, procedures and general requirements for the NIST National 

Checklist Program for Information Technology Products. This document is intended for those individuals 

in developer organizations who would need to formally agree to the program’s requirements. 

This document is organized as follows:

 Section 1 – general considerations for the NIST National Checklist Program

 Section 2 – procedures for initial screening of a checklist prior to public review

 Section 3 – procedures for the public review of a candidate checklist

 Section 4 – final acceptance procedures

 Section 5 – maintenance and delisting procedures

 Section 6 – record keeping

The following terminology is used in this appendix:

 Candidate is a checklist that has been screened and approved by NIST for public review.

 FCL refers to the final checklist list—the listing of all final checklists on the NIST repository.

 Final is a checklist that has completed public review, has had all issues addressed by the checklist 

developer and NIST, and has been approved for listing on the repository according to the procedures 

of this section.
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 Checklist is a Technical Configuration Checklist, which is a checklist that refers to a specific product 

and version.

 Checklist Developer or Developer is an individual or organization that develops and owns a checklist 

and submits it to the National Checklist Program.

 Independent Qualified Reviewers are tasked by NIST with making a recommendation to NIST 

regarding public review or listing of the checklist. They work independently of other reviewers and 

are considered expert in the technology represented by the checklist.

 Logo refers to the NIST National Checklist Program logo.

 National Checklist Program, Program, or NCP is used in place of the NIST National Checklist 

Program for Information Technology Products.

 NIST Checklist Repository or Repository refers to the website that maintains the checklists, the 

descriptions of the checklists, and other information regarding the National Checklist Program.

 Public Reviewer is any member of the general public who reviews a candidate checklist and sends 

comments to NIST.

 Operational Environments refer to the operational environments outlined in this document. 

References to documents that form a basis for the requirements of this program are as follows:

 FIPS PUB 199, Standards for Security Categorization of Federal Information and Information 

Systems, http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf

 NIST SP 800-14, Generally Accepted Principles and Practices for Securing Information Technology 

Systems, http://csrc.nist.gov/publications/nistpubs/800-14/800-14.pdf

 NIST SP 800-27 Revision A, Engineering Principles for Information Technology Security (A 

Baseline for Achieving Security), Revision A, http://csrc.nist.gov/publications/nistpubs/800-

27A/SP800-27-RevA.pdf

 NIST SP 800-53 Revision 3, Recommended Security Controls for Federal Information Systems and 

Organizations, http://csrc.nist.gov/publications/nistpubs/800-53-Rev3/sp800-53-rev3-final-errata.pdf

 NIST SP 800-70 Revision 1, National Checklist Program for IT Products, 

http://csrc.nist.gov/publications/PubsSPs.html

1. Overview and General Considerations

This section focuses on general considerations for all parts of the National Checklist Program.

(a) Checklist Lifecycle Overview: Checklists typically have the following lifecycle:

1. Checklist developers inquire about the program and download a submission package. The 

developer subsequently contacts NIST with a tested checklist, supporting information, and a 

signed agreement to the requirements of the NCP. General information about checklists is 

discussed in Section 1. Checklist submission requirements and procedures are discussed in 

Section 2.
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2. NIST verifies that all information is complete and performs a screening on the checklist.

Checklists meeting the requirements for listing receive further consideration and are referred 

to as ―candidate checklists.‖ Section 2 discusses screening criteria and procedures. Section 1d 

discusses issue resolution processes.

3. NIST lists the candidate checklist on the repository for public review, typically for a period of 

30 to 60 days, as discussed in Section 3.

4. NIST forwards comments from public reviewers to the developer. When all issues are 

addressed, the checklist is listed on the FCL, as discussed in Section 4.

5. The developer contacts NIST on typically an annual basis to determine whether the listing

should continue, be updated, or be archived, as discussed in Section 5.

(b) Intellectual Property Rights: Developers retain intellectual property rights to their checklists.

(c) Confidential Information: NIST does not anticipate the need to receive confidential information 

from checklist developers. If it becomes necessary to disclose confidential information to NIST, NIST 

and the developer must enter into a separate confidentiality agreement prior to such disclosure.

(d) Independent Qualified Reviewers: NIST may decide to seek technical advice from independent 

qualified experts who will review checklist submissions to determine whether they meet the program 

requirements. The reviewers are tasked with making a recommendation to NIST regarding a 

subsequent public review or final listing of the checklist. Typical but not exclusive of the reasons for 

using independent reviewers include the following:

1. NIST does not possess the expertise to determine whether issues have been addressed 

satisfactorily.

2. NIST disagrees with proposed issue resolutions.

(e) Terminating Consideration of a Checklist Submission: NIST or the developer may terminate 

consideration of checklist submissions at any time. If NIST terminates consideration, the points of 

contact are asked to respond within 10 business days. Typical but not exclusive of the reasons for 

terminating consideration of checklist submissions include the following:

1. The submission package does not meet the screening criteria.

2. The developer fails to address issues raised at other times.

3. The developer violates the terms and conditions of participation in the program.

2. Checklist Submission and Screening

This section outlines the procedures and requirements for submitting checklists to NIST and the process 

by which NIST determines if checklists are suitable for public review. When checklists meet the 

screening criteria, they receive further consideration in a public review and are referred to as ―candidate 

checklists.‖ NIST then follows the subsequent procedures.

(a) Notification of Checklist Program Requirements: NIST maintains on the repository a complete set 

of information for developers. The information outlines the requirements for participation in the 

program and describes materials and timeframes.
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(b) Materials Required From the Developer: Developers provide the following information:

1. Contact information for an individual from the submitting organization who will serve as the 

point of contact for questions and comments pertaining to the checklist, and contact

information for a backup or deputy point of contact. The information must include postal 

address, direct telephone number, facsimile number, and email address.

2. The checklist, documentation, and description template.

3. The participation agreement, which must be printed, signed, and sent to NIST. NIST accepts 

emailed PDF copies of the participation agreement, facsimiles, or copies via regular mail.

4. Participation fees. Currently, there is no fee to checklist developers. NIST reserves the right 

to charge fees for participation in the future. Fees are not retroactive.

(c) Preliminary Screening Checklist Contents: NIST performs a preliminary screening to verify that 

checklists meet the program requirements. The following paragraphs summarize the screening 

criteria, which are described more fully in NIST Special Publication 800-70 Revision 1.

1. The checklist settings reflect consideration of recommended security and engineering 

practices. 

2. The checklist contains a complete, clear, and concise description of the configuration settings.

3. The checklist has been tested and configuration or compatibility issues have been identified.

4. The documentation explains how to install and uninstall the checklist. 

5. Checklist-related help is available.

3. Candidate Checklist Public Review

NIST follows the subsequent procedures when listing candidate checklists for public review.

(a) Public Review Period: NIST typically lists candidate checklists for a 30 to 60 day comment period.

NIST reserves the right to extend the review cycle, particularly for long or complicated checklists.

NIST uses the following disclaimer (or very similar words) in conjunction with candidate checklists:

NIST does not guarantee or warrant the checklist’s accuracy or completeness. NIST is not 

responsible for loss, damage, or problems that may be caused by using the checklist.

(b) Accepting Comments from Reviewers: Public reviewers complete a web-based feedback form to 

capture their comments as well as other information about the reviewer’s test environment, 

procedures, and other relevant information. The contents of the feedback forms are considered public 

records.

(c) Maintaining Records: NIST maintains copies of all correspondence and feedback between the 

public and developers by creating a unique email address for each checklist. NIST will archive the 

information.
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(d) Addressing Comments: At the end of the public review period, NIST announces that the comment 

period is closed. Depending on the number of comments received and the ramifications of those 

comments to the checklist settings, NIST determines a timeframe in which the developer must 

respond to comments. This timeframe typically ranges from 15 to 30 days from the date the 

comments were submitted or from the end of the review period. At no time will this period be less 

than 15 days.

4. Final Checklist Listing

After NIST determines that a checklist and the associated developers have met all requirements for final 

listing, NIST lists checklists in the FCL and refers to them as ―final checklists.‖ NIST then follows the 

subsequent procedures.

(a) Finalizing Checklists: NIST lists the checklist in the FCL. NIST may send announcements to 

various email lists maintained by NIST or other organizations. NIST uses the following disclaimer (or 

very similar words) for final checklists:

NIST does not guarantee or warrant the checklist’s accuracy or completeness. NIST is not 

responsible for loss, damage, or problems that may be caused by using the checklist.

(b) Handling Comments: NIST continues to accept comments about final checklists by maintaining a 

central email address on the repository. NIST lists the procedures to be used for contacting the 

developer, along with the contact information for the developer, such as an email address or URL.

(c) Scheduling Periodic Reviews: NIST determines whether a final checklist should be reviewed 

periodically and typically sets a review timeframe of one year. NIST may request that a checklist be 

reviewed sooner for reasons such as new vulnerabilities or threats. NIST schedules reviews with the 

developer’s points of contact. If at any time the point of contact changes, NIST must be notified 

immediately.

5. Final Checklist Update, Archival, and Delisting

NIST follows the subsequent procedures for periodic update, archival, and delisting of final checklists.

(a) Periodic Reviews: NIST contacts developers at least annually to identify changes in the status of 

checklists. NIST also may contact developers, as appropriate, to determine if there are changes in the 

status of a checklist, in which case developers have 30 days to respond and indicate whether 

checklists should be updated, archived, or delisted. 

(b) Updates: NIST may indicate on the FCL when checklists are under periodic review. Developers have 

60 days after the review to submit the updated material to NIST. Depending on the magnitude of 

updates, NIST may screen the checklist and schedule a public review.

(c) Archival: When a developer no longer provides support for the checklist, at the developer and

NIST’s discretion, the checklist can remain in the repository, but it will be reclassified as an archive.

Typical reasons for archiving a checklist are that the product is no longer supported or is obsolete or 

that the developer no longer wants to provide support for the checklist.
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(d) Delisting: NIST removes the checklist from the FCL. NIST may send announcements to various 

email lists maintained by NIST or other organizations.

(e) Automatic Delisting: If a final checklist is not reviewed annually, it is automatically removed from 

the FCL. At the developer and NIST’s discretion, it can be reclassified as an archive.

6. Record Keeping

NIST maintains information associated with the program and requires that participants in the checklist 

program also maintain certain records, as follows.

(a) NIST Records: During the period that a checklist has been submitted to NIST, and during the period 

that a checklist is listed on the FCL as a final or archived checklist, and for three years thereafter, 

NIST will maintain the following:

1. The checklist description template, as listed on the repository

2. The checklist and checklist description, as listed on the repository

3. All comments submitted as part of the public review

4. All comments submitted to NIST regarding the checklist.

(b) Developer Records: During the period that a checklist has been submitted to NIST, and during the 

period that a checklist is listed on the FCL as a final or archived checklist, the developer will maintain 

the following:

1. The checklist description template, as listed on the repository

2. The checklist and checklist description, as listed on the repository

3. Test reports and other evidence of checklist testing.
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Appendix D. Participation and Logo Usage Agreement Form

This appendix contains the terms and requirements for participation in the NIST National Checklist 

Program (NCP) and for use of the NIST National Checklist Program logo. Prior to submission of a 

checklist to NIST, developers should ensure they have the most recent version of this appendix. The most 

recent version is available as a separate file at http://checklists.nist.gov/.

Participation and Logo Usage Agreement Form

for

The NIST National Checklist Program for 

Information Technology Products

Version 1.2

August 28, 2008

The phrase ―NIST National Checklist Program for Information Technology Products‖ and the NIST 

National Checklist Program logo are intended for use in association with specific versions of information 

technology (IT) products for which a checklist has been created and has met the requirements of the 

National Institute of Standards and Technology (NIST) National Checklist Program for Information 

Technology Products for final listing on its checklist repository. You may participate in the NIST 

National Checklist Program and use the phrase and logo provided that you agree in writing to the 

following terms and conditions:

1. You will follow the rules and requirements of the program as outlined in the NIST Operational 

Procedures for the NIST National Checklist Program (Appendix C of NIST SP 800-70 

Revision 1).

2. You will respond to comments and issues raised by a public review of your checklist submission.

Any comments from reviewers and your responses may be made publicly available.

3. You agree to maintain the checklist and provide a timely response to requests from NIST for 

information or assistance with regard to the contents of the checklist.

4. You agree to maintain checklist-related records according to the requirements of the NIST 

National Checklist Program.
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5. You will hold NIST harmless in any subsequent litigation involving the checklist submission.

6. You may terminate your participation in the NIST National Checklist Program at any time. You 

will provide two business weeks’ notice to NIST of your intention to terminate participation.

NIST may terminate its consideration of a checklist submission or your participation in the NIST 

National Checklist Program at any time. NIST will contact you two business weeks prior to its 

intention to terminate your participation. You may, within one business week, appeal the rejection 

and provide supporting evidence. 

7. You may not use the name of NIST or the Department of Commerce on any advertisement, 

product, or service that is directly or indirectly related to this agreement. By accepting this 

agreement, NIST does not directly or indirectly endorse any product or service provided, or to be 

provided, by you, your successors, assignees, or licensees. You may not in any way imply that 

this agreement is an endorsement of any such product or service. You may not combine use of the 

logo with other Marks, phrases, or logos in such a way that would imply endorsement by NIST.

8. The phrase ―NIST National Checklist Program for Information Technology Products‖ and the 

NIST National Checklist Program logo are Registered Marks of NIST, which retains exclusive 

rights to their use. NIST reserves the right to control the quality of the use of the phrase ―NIST 

National Checklist Program for Information Technology Products‖ and the NIST National 

Checklist Program logo.

9. Your permission for advertising participation in the NIST National Checklist Program and use of 

the logo is conditional on and limited to those products and the specific product versions for 

which a checklist is made currently available by NIST through the NIST National Checklist 

Program on its Final Checklist List.

10. Your permission for advertising participation in the NIST National Checklist Program and use of 

the logo is conditional on and limited to those checklist developers who provide assistance and 

help to users of the checklist with regard to proper use of the checklist and that the warranty for 

the product and the specific product versions is not changed by use of the checklist.

11. Your use of the logo on product reports, letterhead, brochures, marketing material, and product 

packaging must be accompanied by the following: ―TM: a Registered Mark of NIST, which does 

not imply product endorsement by NIST or the U.S. Government.‖

12. The dimensional requirements for the size, placement, color, and other aspects of the logo are 

specified in NIST SP 800-70 Revision 1.

13. NIST reserves the right to charge a participation fee in the future. No fee is required at present.

No fees will be made retroactive.

14. NIST may terminate the NIST National Checklist Program at its discretion. NIST may terminate 

your participation in the Program for any violation of the terms and conditions of the program or 

for statutory or regulatory reasons.

By signature below, the developer agrees to the terms and conditions contained herein.
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Organization or company name:

Name and title of organization authorized person:

Signature:

Date:
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Appendix E. Acronyms and Abbreviations

Selected acronyms and abbreviations used in the guide are defined below.

CCE Common Configuration Enumeration

CERT®/CC Computer Emergency Response Team/Coordination Center

CIS Center for Internet Security

CMVP Cryptographic Module Validation Program

COTS Commercial Off-the-Shelf

CPE Common Platform Enumeration

CSRDA Cyber Security Research and Development Act of 2002

CVE Common Vulnerabilities and Exposures

CVSS Common Vulnerability Scoring System

DHCP Dynamic Host Configuration Protocol

DHS Department of Homeland Security 

DISA Defense Information Systems Agency 

DNS Domain Name System

DoD Department of Defense

FCL Final Checklist List

FDCC Federal Desktop Core Configuration

FIPS Federal Information Processing Standards

FISMA Federal Information Security Management Act 

GLBA Gramm-Leach-Bliley Act

GPL General Public License

GPO Group Policy Object

HIPAA Health Information Portability and Accountability Act

IA Information Assurance

IATF Information Assurance Technical Framework

IDS Intrusion Detection System

IP Internet Protocol

IR Interagency Report

IT Information Technology

ITL Information Technology Laboratory

LAN Local Area Network

NCP National Checklist Program

NIAP National Information Assurance Partnership 

NIST National Institute of Standards and Technology

NSA National Security Agency

NVD National Vulnerability Database

OMB Office of Management and Budget

OVAL Open Vulnerability and Assessment Language

PDA Personal Digital Assistant
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SCAP Security Content Automation Protocol

SMTP Simple Mail Transfer Protocol

SNMP Simple Network Management Protocol

SOHO Small Office/Home Office

SP Special Publication

SSLF Specialized Security-Limited Functionality

STIG Security Technical Implementation Guide

US-CERT United States Computer Emergency Readiness Team

VPN Virtual Private Network

WAP Wireless Access Point

WEP Wired Equivalent Privacy

WPA Wi-Fi Protected Access

XCCDF Extensible Configuration Checklist Description Format

XML Extensible Markup Language
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Appendix F. Glossary

Selected terms used in this guide are defined below. Definitions for some terms have been adapted from 

[27].

Availability: Timely, reliable access to data and information services for authorized users.

Candidate Checklist: Checklist approved by NIST for public review.

Confidentiality: Assurance that information is not disclosed to unauthorized individuals, processes, or 

devices.

Consortia: Associations or societies (e.g., Internet Engineering Task Force).

Consumer: Organization or private individual using checklists.

Custom: Specialized operational environment.

Federal Desktop Core Configuration (FDCC): Environment encompassing systems that need to be 

secured using an OMB-mandated security configuration known as the FDCC.

Final Checklist: Checklist approved by NIST for placement on the repository.

Independent Qualified Reviewer: Reviewer tasked by NIST to make a recommendation about a 

checklist.

Integrity: Quality of a system or product reflecting the logical correctness and reliability of the operating 

system; verification that the original contents of information have not been altered or corrupted.

Inward-Facing: Description of a system that is connected on the interior of a network behind a firewall.

Legacy: Typical Custom environment usually involving older systems or applications.

Logo: NIST National Checklist Program logo.

Managed: Inward-facing environment that is typically very structured and centrally managed.

Operational Environment: Standalone, Managed, or Custom (including Specialized Security-Limited

Functionality, Legacy, and Federal Desktop Core Configuration).

Outward-Facing: Description of a system that is connected directly to the Internet.

Producer: Developer of a checklist.

Public Reviewer: Member of the general public who reviews a candidate checklist and sends comments 

to NIST.

Repository: NIST checklist repository; http://checklists.nist.gov/.
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Specialized Security-Limited Functionality (SSLF): Environment encompassing systems with 

specialized security requirements, in which higher security needs typically result in more limited 

functionality.

Standalone: Small office/home office environment.

Template: XML-encoded checklist description template that describes aspects of a checklist.