| V-220341 | High | MarkLogic Server must enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies. | Authentication with a DoD-approved PKI certificate does not necessarily imply authorization to access the DBMS. To mitigate the risk of unauthorized access to sensitive information by entities... |
| V-220367 | High | MarkLogic Server must enforce authorized access to all PKI private keys stored/utilized by the DBMS. | The DoD standard for authentication is DoD-approved PKI certificates. PKI certificate-based authentication is performed by requiring the certificate holder to cryptographically prove possession of... |
| V-220372 | High | MarkLogic Server must protect the confidentiality and integrity of all information at rest. | This control is intended to address the confidentiality and integrity of information at rest in non-mobile devices and covers user information and system information. Information at rest refers to... |
| V-265874 | High | MarkLogic Server must be a version supported by the vendor. | Unsupported commercial and database systems should not be used because fixes to newly identified bugs will not be implemented by the vendor. The lack of support can result in potential... |
| V-220365 | High | If passwords are used for authentication, the MarkLogic Server must transmit only encrypted representations of passwords. | The DoD standard for authentication is DoD-approved PKI certificates.
Authentication based on User ID and Password may be used only when it is not possible to employ a PKI certificate, and... |
| V-220368 | High | MarkLogic Server must use NIST FIPS 140-2 or 140-3 validated cryptographic modules for cryptographic operations and protect classified information in accordance with the requirements of the data owner. | Use of weak or not validated cryptographic algorithms undermines the purposes of using encryption and digital signatures to protect data. Weak algorithms can be easily broken, and cryptographic... |
| V-220384 | Medium | MarkLogic Server must disable network functions, ports, protocols, and services deemed by the organization to be nonsecure, in accordance with Ports, Protocols, and Services Management (PPSM) guidance. | Use of nonsecure network functions, ports, protocols, and services exposes the system to avoidable threats. |
| V-220385 | Medium | MarkLogic Server must prohibit the use of cached authenticators after an organization-defined time period. | If cached authentication information is out-of-date, the validity of the authentication information may be questionable. |
| V-220386 | Medium | MarkLogic Server must only accept end-entity certificates issued by DoD PKI or DoD-approved PKI Certification Authorities (CAs) for the establishment of all encrypted sessions. | Only DoD-approved external PKIs have been evaluated to ensure that they have security controls and identity vetting procedures in place sufficient for DoD systems to rely on the identity asserted... |
| V-220387 | Medium | MarkLogic Server must implement cryptographic mechanisms to prevent unauthorized modification of organization-defined information at rest (to include, at a minimum, PII and classified information) on organization-defined information system components. | DBMSs handling data requiring data-at-rest protections must employ cryptographic mechanisms to prevent unauthorized disclosure and modification of the information at rest. These cryptographic... |
| V-220380 | Medium | MarkLogic Server must allocate audit record storage capacity in accordance with organization-defined audit record storage requirements. | To ensure sufficient storage capacity for the audit logs, the DBMS must be able to allocate audit record storage capacity. Although another requirement (SRG-APP-000515-DB-000318) mandates that... |
| V-220381 | Medium | MarkLogic Server must provide a warning to appropriate support staff when allocated audit record storage volume reaches 75 percent of maximum audit record storage capacity. | Organizations are required to use a central log management system, so, under normal conditions, the audit space allocated to the DBMS on its own server will not be an issue. However, space will... |
| V-220382 | Medium | MarkLogic Server must provide an immediate real-time alert to appropriate support staff of all audit failures. | It is critical for the appropriate personnel to be aware if a system is at risk of failing to process audit logs as required. Without a real-time alert, security personnel may be unaware of an... |
| V-220383 | Medium | MarkLogic Server must produce audit records of its enforcement of access restrictions associated with changes to the configuration of the DBMS or database(s). | Without auditing the enforcement of access restrictions against changes to configuration, it would be difficult to identify attempted attacks and an audit trail would not be available for forensic... |
| V-220344 | Medium | MarkLogic Server must allow only the ISSM (or individuals or roles appointed by the ISSM) to select which auditable events are to be audited. | Without the capability to restrict which roles and individuals can select which events are audited, unauthorized personnel may be able to prevent or interfere with the auditing of critical... |
| V-220388 | Medium | MarkLogic Server must implement cryptographic mechanisms preventing the unauthorized disclosure of organization-defined information at rest on organization-defined information system components. | DBMSs handling data requiring data-at-rest protections must employ cryptographic mechanisms to prevent unauthorized disclosure and modification of the information at rest. These cryptographic... |
| V-220389 | Medium | Security-relevant software updates to MarkLogic Server must be installed within the time period directed by an authoritative source (e.g., IAVM, CTOs, DTMs, and STIGs). | Security flaws with software applications, including database management systems, are discovered daily. Vendors are constantly updating and patching their products to address newly discovered... |
| V-220416 | Medium | MarkLogic Server must implement NIST FIPS 140-2 or 140-3 validated cryptographic modules to protect unclassified information requiring confidentiality and cryptographic protection, in accordance with the requirements of the data owner. | Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards... |
| V-220340 | Medium | MarkLogic Server must integrate with an organization-level authentication/access mechanism providing account management and automation for all users, groups, roles, and any other principals. | Enterprise environments make account management for applications and databases challenging and complex. A manual process for account management functions adds the risk of a potential oversight or... |
| V-220378 | Medium | Execution of software modules (to include stored procedures, functions, and triggers) with elevated privileges must be restricted to necessary cases only. | In certain situations, to provide required functionality, a DBMS needs to execute internal logic (stored procedures, functions, triggers, etc.) and/or external code modules with elevated... |
| V-220413 | Medium | MarkLogic must be able to generate audit records when successful accesses to objects occur. | Without tracking all or selected types of access to all or selected objects (tables, views, procedures, functions, etc.), it would be difficult to establish, correlate, and investigate the events... |
| V-220371 | Medium | MarkLogic Server must maintain the authenticity of communications sessions by guarding against man-in-the-middle attacks that guess at Session ID values. | One class of man-in-the-middle, or session hijacking, attacks involves the adversary guessing at valid session identifiers based on patterns in known identifiers.
The preferred technique for... |
| V-220370 | Medium | MarkLogic Server must separate user functionality (including user interface services) from database management functionality. | Information system management functionality includes functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access.
The... |
| V-220373 | Medium | Access to MarkLogic Server files must be limited to relevant processes and to authorized, administrative users. | Applications, including DBMSs, must prevent unauthorized and unintended information transfer via shared system resources. Permitting only DBMS processes and authorized, administrative users to... |
| V-220375 | Medium | MarkLogic Server must associate organization-defined types of security labels having organization-defined security label values with information in process. | Without the association of security labels to information, there is no basis for the DBMS to make security-related access-control decisions.
Security labels are abstractions representing the... |
| V-220364 | Medium | If MarkLogic Server authentication using passwords is employed, MarkLogic Server must enforce the DOD standards for password complexity and lifetime. | OS/enterprise authentication and identification must be used (SRG-APP-000023-DB-000001). Native DBMS authentication may be used only when circumstances make it unavoidable, and must be documented... |
| V-220377 | Medium | MarkLogic Server must prevent non-privileged users from executing privileged functions, to include disabling, circumventing, or altering implemented security safeguards/countermeasures. | Preventing non-privileged users from executing privileged functions mitigates the risk that unauthorized individuals or processes may gain unnecessary access to information or privileges.
System... |
| V-220376 | Medium | MarkLogic Server must associate organization-defined types of security labels having organization-defined security label values with information in transmission. | Without the association of security labels to information, there is no basis for the DBMS to make security-related access-control decisions.
Security labels are abstractions representing the... |
| V-220353 | Medium | MarkLogic Server must protect its audit configuration from unauthorized modification. | Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on... |
| V-220411 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to execute privileged activities or other system-level access occur. | Without tracking privileged activity, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.
System... |
| V-220412 | Medium | MarkLogic Server must generate audit records when concurrent logons/connections by the same user from different workstations occur. | For completeness of forensic analysis, it is necessary to track who logs on to the DBMS.
Concurrent connections by the same user from multiple workstations may be valid uses of the system, such... |
| V-220400 | Medium | MarkLogic Server must generate audit records when categories of information (e.g., classification levels/security levels) are modified. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
For detailed information on categorizing information,... |
| V-220357 | Medium | MarkLogic Server software, including configuration files, must be stored in dedicated directories, or DASD pools, separate from the host OS and other applications. | When dealing with change control issues, it should be noted any changes to the hardware, software, and/or firmware components of the information system and/or application could potentially have... |
| V-220415 | Medium | MarkLogic Server must implement NIST FIPS 140-2 or 140-3 validated cryptographic modules to generate and validate cryptographic hashes. | Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards... |
| V-220355 | Medium | MarkLogic Server must limit privileges to change software modules, including stored procedures, functions, and triggers, and links to software external to the DBMS. | If the system were to allow any user to make changes to software libraries, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a... |
| V-220418 | Medium | MarkLogic Server must be configured in accordance with the security configuration settings based on DoD security configuration and implementation guidance, including STIGs, NSA configuration guides, CTOs, DTMs, and IAVMs. | Configuring the DBMS to implement organization-wide security implementation guides and security checklists ensures compliance with federal standards and establishes a common security baseline... |
| V-220414 | Medium | MarkLogic Server must implement NIST FIPS 140-2 or 140-3 validated cryptographic modules to provision digital signatures. | Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards... |
| V-220359 | Medium | The role(s)/group(s) used to modify database structure (including but not necessarily limited to indexes, storage, etc.) and logic modules (functions, triggers, links to software external to the MarkLogic Server, etc.) must be restricted to authorized users. | If the DBMS were to allow any user to make changes to database structure or logic, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of... |
| V-220358 | Medium | MarkLogic Server objects (including but not limited to indexes, storage, functions, triggers, links to software external to the server, etc.) must be owned by database/MarkLogic Server principals authorized for ownership. | Within the database, object ownership implies full privileges to the owned object, including the privilege to assign access to the owned objects to other subjects. Database functions and... |
| V-220356 | Medium | MarkLogic Server software installation account must be restricted to authorized users. | When dealing with change control issues, it should be noted any changes to the hardware, software, and/or firmware components of the information system and/or application could have significant... |
| V-220397 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to modify privileges/permissions occur. | Failed attempts to change the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized attempts to elevate or restrict privileges could... |
| V-220352 | Medium | MarkLogic Server must protect its audit features from unauthorized access. | Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data.
Depending upon the log format and application, system and application log tools may... |
| V-220395 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to add privileges/permissions occur. | Failed attempts to change the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized attempts to elevate or restrict privileges could... |
| V-220394 | Medium | MarkLogic Server must generate audit records when privileges/permissions are added. | Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected.... |
| V-220393 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to access categories of information (e.g., classification levels/security levels) occur. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
To aid in diagnosis, it is necessary to keep track of... |
| V-220392 | Medium | MarkLogic Server must generate audit records when categories of information (e.g., classification levels/security levels) are accessed. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
For detailed information on categorizing information,... |
| V-220391 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to access security objects occur. | Changes to the security configuration must be tracked.
This requirement applies to situations where security data is retrieved or modified via data manipulation operations, as opposed to via... |
| V-220390 | Medium | MarkLogic Server must be able to generate audit records when security objects are accessed. | Changes to the security configuration must be tracked.
This requirement applies to situations where security data is retrieved or modified via data manipulation operations, as opposed to via... |
| V-220406 | Medium | MarkLogic Server must generate audit records when categories of information (e.g., classification levels/security levels) are deleted. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
For detailed information on categorizing information,... |
| V-220354 | Medium | MarkLogic Server must protect its audit features from unauthorized removal. | Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on... |
| V-220342 | Medium | MarkLogic Server must protect against a user falsely repudiating having performed organization-defined actions. | Non-repudiation of actions taken is required in order to maintain data integrity. Examples of particular actions taken by individuals include creating information, sending a message, approving... |
| V-220399 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to modify security objects occur. | Changes in the database objects (tables, views, procedures, functions) that record and control permissions, privileges, and roles granted to users and roles must be tracked. Without an audit... |
| V-220404 | Medium | MarkLogic Server DBMS must generate audit records when security objects are deleted. | The removal of security objects from the database/DBMS would seriously degrade a system's information assurance posture. If such an event occurs, it must be logged. |
| V-220347 | Medium | MarkLogic Server must initiate session auditing upon startup. | Session auditing is used when a user's activities are under investigation. To ensure all activity is captured during the periods when session auditing is in use, it must be in operation for the... |
| V-220396 | Medium | MarkLogic Server must generate audit records when privileges/permissions are modified. | Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected.... |
| V-220410 | Medium | MarkLogic Server must generate audit records for all privileged activities or other system-level access. | Without tracking privileged activity, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.
System... |
| V-220398 | Medium | MarkLogic Server must generate audit records when security objects are modified. | Changes in the database objects (tables, views, procedures, functions) that record and control permissions, privileges, and roles granted to users and roles must be tracked. Without an audit... |
| V-220351 | Medium | The audit information produced by MarkLogic Server must be protected from unauthorized deletion. | If audit data becomes compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is impossible to achieve.
To ensure the veracity of... |
| V-220405 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to delete security objects occur. | The removal of security objects from the database/DBMS would seriously degrade a system's information assurance posture. If such an action is attempted, it must be logged.
To aid in diagnosis, it... |
| V-220345 | Medium | MarkLogic Server must be able to generate audit records when privileges/permissions are retrieved. | Under some circumstances, it may be useful to monitor who/what is reading privilege/permission/role information. Therefore, it must be possible to configure auditing to do this. DBMSs typically... |
| V-220374 | Medium | MarkLogic Server must provide non-privileged users with error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries. | Any DBMS or associated application providing too much information in error messages on the screen or printout risks compromising the data and security of the system. The structure and content of... |
| V-220407 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to delete categories of information (e.g., classification levels/security levels) occur. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
To aid in diagnosis, it is necessary to keep track of... |
| V-220360 | Medium | Unused database components, DBMS software, and database objects must be removed. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential... |
| V-220343 | Medium | MarkLogic Server must be configured to provide audit record generation capability for DoD-defined auditable events within all DBMS/database components. | Without the capability to generate audit records, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.
Audit... |
| V-220403 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to delete privileges/permissions occur. | Failed attempts to change the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized attempts to elevate or restrict privileges could... |
| V-220366 | Medium | MarkLogic Server, when utilizing PKI-based authentication, must validate certificates by performing RFC 5280-compliant certification path validation. | The DoD standard for authentication is DoD-approved PKI certificates.
A certificate’s certification path is the path from the end entity certificate to a trusted root certification authority... |
| V-220402 | Medium | MarkLogic Server must generate audit records when privileges/permissions are deleted. | Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected.... |
| V-220401 | Medium | MarkLogic Server must generate audit records when unsuccessful attempts to modify categories of information (e.g., classification levels/security levels) occur. | Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.
To aid in diagnosis, it is necessary to keep track of... |
| V-220362 | Medium | MarkLogic Server must be configured to prohibit or restrict the use of organization-defined functions, ports, protocols, and/or services, as defined in the PPSM CAL and vulnerability assessments. | In order to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling (i.e., embedding of data types within data types), organizations must... |
| V-220363 | Medium | MarkLogic Server must uniquely identify and authenticate organizational users (or processes acting on behalf of organizational users). | To ensure accountability and prevent unauthenticated access, organizational users must be identified and authenticated to prevent potential misuse and compromise of the system.
Organizational... |
| V-220346 | Medium | MarkLogic Server must be able to generate audit records when unsuccessful attempts to retrieve privileges/permissions occur. | Under some circumstances, it may be useful to monitor who/what is reading privilege/permission/role information. Therefore, it must be possible to configure auditing to do this. DBMSs typically... |
| V-220361 | Medium | Access to external executables must be disabled or restricted. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential... |
| V-220348 | Medium | MarkLogic Server must shut down by default upon audit failure, to include the unavailability of space for more audit log records; or must be configurable to shut down upon audit failure. | It is critical that when the DBMS is at risk of failing to process audit logs as required, it take action to mitigate the failure. Audit processing failures include: software/hardware errors,... |
| V-220349 | Medium | The audit information produced by MarkLogic Server must be protected from unauthorized read access. | If audit data were to become compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is difficult, if not impossible, to achieve. In... |
| V-220409 | Medium | MarkLogic Server must generate audit records when unsuccessful logons or connection attempts occur. | For completeness of forensic analysis, it is necessary to track failed attempts to log on to the DBMS. While positive identification may not be possible in a case of failed authentication, as much... |
| V-220408 | Medium | MarkLogic Server must generate audit records when successful logons or connections occur. | For completeness of forensic analysis, it is necessary to track who/what (a user or other principal) logs on to the DBMS. |
| V-220350 | Medium | The audit information produced by MarkLogic Server must be protected from unauthorized modification. | If audit data were to become compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is impossible to achieve.
To ensure the... |
| V-220369 | Medium | MarkLogic Server must uniquely identify and authenticate non-organizational users (or processes acting on behalf of non-organizational users). | Non-organizational users include all information system users other than organizational users, which include organizational employees or individuals the organization deems to have equivalent... |
| V-220339 | Low | MarkLogic Server must limit the number of concurrent sessions to an organization-defined number per user for all accounts and/or account types. | Database management includes the ability to control the number of users and user sessions utilizing a DBMS. Unlimited concurrent connections to the DBMS could allow a successful Denial of Service... |
| V-220417 | Low | MarkLogic Server must off-load audit data to a separate log management facility; this must be continuous and in near real time for systems with a network connection to the storage facility and weekly or more often for stand-alone systems. | Information stored in one location is vulnerable to accidental or incidental deletion or alteration.
Off-loading is a common process in information systems with limited audit storage capacity.... |
