Unless it has been determined that availability is paramount, SQL Server must shut down upon the failure of an Audit, or a Trace used for auditing purposes, to include the unavailability of space for more audit/trace log records.

Overview

Finding ID	Version	Rule ID	IA Controls	Severity
V-67785	SQL4-00-013000	SV-82275r1_rule		Medium

Description
It is critical that when SQL Server 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; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Responses to audit failure depend upon the nature of the failure mode. When the need for system availability does not outweigh the need for a complete audit trail, SQL Server should shut down immediately, rolling back all in-flight transactions. Systems where audit trail completeness is paramount will most likely be at a lower MAC level than MAC I; the final determination is the prerogative of the application owner, subject to Authorizing Official concurrence. In any case, sufficient auditing resources must be allocated to avoid a shutdown in all but the most extreme situations. Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Description

It is critical that when SQL Server 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; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Responses to audit failure depend upon the nature of the failure mode. When the need for system availability does not outweigh the need for a complete audit trail, SQL Server should shut down immediately, rolling back all in-flight transactions. Systems where audit trail completeness is paramount will most likely be at a lower MAC level than MAC I; the final determination is the prerogative of the application owner, subject to Authorizing Official concurrence. In any case, sufficient auditing resources must be allocated to avoid a shutdown in all but the most extreme situations. Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

STIG	Date
MS SQL Server 2014 Instance Security Technical Implementation Guide	2020-03-12

Details

Check Text ( C-68353r2_chk )
If neither SQL Server Audit nor SQL Server Trace is in use for audit purposes, this is a finding. If the system documentation indicates that availability takes precedence over audit trail completeness, this is not applicable (NA). If SQL Server Trace is in use for audit purposes, run the statement: SELECT * FROM sys.traces; In the results of the SELECT, identify the row representing the trace used for audit purposes. Examine the values in that row. If is_shutdown = 0, this is a finding. If SQL Server Audit is in use, review the defined server audits by running the statement: SELECT * FROM sys.server_audits; By observing the [name] and [is_state_enabled] columns, identify the row or rows in use. If the [on_failure_desc] is "SHUTDOWN SERVER INSTANCE" on this/these row(s), this is not a finding. Otherwise, this is a finding.

Check Text ( C-68353r2_chk )

If neither SQL Server Audit nor SQL Server Trace is in use for audit purposes, this is a finding.

If the system documentation indicates that availability takes precedence over audit trail completeness, this is not applicable (NA).

If SQL Server Trace is in use for audit purposes, run the statement:
SELECT * FROM sys.traces;

In the results of the SELECT, identify the row representing the trace used for audit purposes. Examine the values in that row.

If is_shutdown = 0, this is a finding.

If SQL Server Audit is in use, review the defined server audits by running the statement:
SELECT * FROM sys.server_audits;
By observing the [name] and [is_state_enabled] columns, identify the row or rows in use.

If the [on_failure_desc] is "SHUTDOWN SERVER INSTANCE" on this/these row(s), this is not a finding. Otherwise, this is a finding.

Fix Text (F-73901r2_fix)
If Trace is in use for audit purposes, redefine the trace, with @options = 6. The script provided in the supplemental file Trace.sql can be used to do this. If SQL Server Audit is in use, configure SQL Server Audit to shut SQL Server down upon audit failure, to include running out of space for audit logs. Run this T-SQL script for each identified audit: ALTER SERVER AUDIT WITH (STATE = OFF); GO ALTER SERVER AUDIT WITH (ON_FAILURE = SHUTDOWN); GO ALTER SERVER AUDIT WITH (STATE = ON); GO The audit defined in the supplemental file Audit.sql includes this setting.

Fix Text (F-73901r2_fix)

If Trace is in use for audit purposes, redefine the trace, with @options = 6. The script provided in the supplemental file Trace.sql can be used to do this.

If SQL Server Audit is in use, configure SQL Server Audit to shut SQL Server down upon audit failure, to include running out of space for audit logs. Run this T-SQL script for each identified audit:
ALTER SERVER AUDIT WITH (STATE = OFF);
GO
ALTER SERVER AUDIT WITH (ON_FAILURE = SHUTDOWN);
GO
ALTER SERVER AUDIT WITH (STATE = ON);
GO
The audit defined in the supplemental file Audit.sql includes this setting.