| V-213896 | High | Applications must obscure feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. | To prevent the compromise of authentication information, such as passwords and PINs, during the authentication process, the feedback from the information system must not provide any information... |
| V-213897 | High | When using command-line tools such as SQLCMD in a mixed-mode authentication environment, users must use a logon method that does not expose the password. | To prevent the compromise of authentication information, such as passwords and PINs, during the authentication process, the feedback from the information system must not provide any information... |
| V-213862 | High | SQL Server must use NIST FIPS 140-2 validated cryptographic modules for cryptographic operations. | Use of weak or not validated cryptographic algorithms undermines the purposes of utilizing encryption and digital signatures to protect data. Weak algorithms can be easily broken and not... |
| V-213860 | High | Where availability is paramount, the SQL Server must continue processing (preferably overwriting existing records, oldest first), in the event of lack of space for more Audit/Trace log records; and must keep processing after any failure of an Audit/Trace. | 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;... |
| V-213827 | Medium | Software, applications, and configuration files that are part of, or related to, the SQL Server installation must be monitored to discover unauthorized changes. | When dealing with change control issues, it should be noted, any changes to the hardware, software, and/or firmware components of applications and tools related to SQL Server can potentially have... |
| V-213826 | Medium | SQL Server security-relevant configuration settings must be monitored to discover unauthorized changes. | When dealing with change control issues, it should be noted, any changes to security-relevant configuration settings of SQL Server can potentially have significant effects on the overall security... |
| V-213825 | Medium | SQL Server and the operating system must protect SQL Server 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-213824 | Medium | SQL Server and/or the operating system 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-213823 | Medium | Audit tools used in, or in conjunction with, SQL Server must be protected 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... |
| V-213822 | Medium | The audit information produced by SQL Server must be protected from unauthorized deletion. | If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be impossible to achieve.
To ensure the... |
| V-213821 | Medium | The audit information produced by SQL Server must be protected from unauthorized modification. | If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be impossible to achieve.
To ensure the... |
| V-213820 | Medium | The audit information produced by SQL Server must be protected from unauthorized read access. | If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be difficult, if not impossible, to achieve.... |
| V-213828 | Medium | SQL Server software installation account(s) 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 can potentially have... |
| V-213892 | Medium | SQL Server must generate Trace or 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 SQL Server.
Concurrent connections by the same user from multiple workstations may be valid use of the system; or... |
| V-213893 | Medium | SQL 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.... |
| V-213890 | Medium | SQL Server must generate Trace or 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.
To aid in... |
| V-213891 | Medium | SQL Server must generate Trace or Audit records when logoffs or disconnections occur. | For completeness of forensic analysis, it is necessary to track who/what (a user or other principal) logs on to and off from SQL Server.
Use of SQL Server Audit is recommended. All features of... |
| V-213894 | Medium | If SQL Server authentication, using passwords, is employed, SQL Server must enforce the DoD standards for password complexity. | Windows domain/enterprise authentication and identification must be used (SQL4-00-030300). Native SQL Server authentication may be used only when circumstances make it unavoidable; and must be... |
| V-213895 | Medium | If SQL Server authentication, using passwords, is employed, SQL Server must enforce the DoD standards for password lifetime. | Windows domain/enterprise authentication and identification must be used (SQL4-00-030300). Native SQL Server authentication may be used only when circumstances make it unavoidable; and must be... |
| V-213818 | Medium | SQL Server must include organization-defined additional, more detailed information in Trace or Audit records for events identified by type, location, or subject. | SQL Server auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes: time stamps, source and... |
| V-213819 | Medium | 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. | 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;... |
| V-213812 | Medium | Where SQL Server Audit is in use, SQL Server must generate audit records when privileges/permissions are retrieved. | The system must monitor who/what is reading privilege/permission/role information.
This requirement addresses explicit requests for privilege/permission/role membership information. It does not... |
| V-213813 | Medium | SQL Server must produce Trace or Audit records containing sufficient information to establish when the events occurred. | Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not... |
| V-213810 | Medium | Where SQL Server Trace is in use for auditing purposes, SQL Server must allow only the ISSM (or individuals or roles appointed by the ISSM) to select which auditable events are to be traced. | 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-213811 | Medium | Where SQL Server Audit is in use, SQL Server must allow only the ISSM (or individuals or roles appointed by the ISSM) to select which auditable events are to be audited at the server level. | 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-213816 | Medium | SQL Server must produce Trace or Audit records containing sufficient information to establish the outcome (success or failure) of the events. | Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not... |
| V-213817 | Medium | SQL Server must produce Trace or Audit records containing sufficient information to establish the identity of any user/subject associated with the event. | Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes: time stamps,... |
| V-213814 | Medium | SQL Server must produce Trace or Audit records containing sufficient information to establish where the events occurred. | Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not... |
| V-213815 | Medium | SQL Server must produce Trace or Audit records containing sufficient information to establish the sources (origins) of the events. | Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not... |
| V-213885 | Medium | SQL Server must generate Trace or 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-213884 | Medium | SQL Server must generate Trace or 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-213887 | Medium | SQL Server must generate Trace or 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 SQL Server.
Use of SQL Server Audit is recommended. All features of SQL Server... |
| V-213886 | Medium | SQL Server must generate Trace or Audit records when unsuccessful attempts to delete privileges/permissions occur. | 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-213881 | Medium | SQL Server must produce Trace or 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 SQL... |
| V-213880 | Medium | Software updates to SQL Server must be tested before being applied to production systems. | While it is important to apply SQL Server updates in a timely manner, it is also incumbent upon the database administrator and/or system administrator to ensure that their deployment will not... |
| V-213883 | Medium | SQL Server must generate Trace or 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-213882 | Medium | SQL Server must produce Trace or Audit records when unsuccessful attempts to access security objects occur. | Changes to the security configuration must be tracked. To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.
This requirement applies to... |
| V-213889 | Medium | SQL Server must generate Trace or 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-213888 | Medium | SQL Server must generate Trace or 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 SQL Server. While positive identification may not be possible in a case of failed authentication, as... |
| V-213808 | Medium | SQL Server must enforce approved authorizations for logical access to server-level system resources in accordance with applicable access control policies. | Authentication with a DoD-approved PKI certificate does not necessarily imply authorization to access the SQL Server instance and server-level resources. To mitigate the risk of unauthorized... |
| V-213807 | Medium | The number of concurrent SQL Server sessions for each system account must be limited. | A variety of technologies exist to limit or, in some cases, eliminate the effects of DoS attacks. For example, boundary protection devices can filter certain types of packets to protect devices on... |
| V-213878 | Medium | The confidentiality and integrity of information managed by SQL Server must be maintained during reception. | Information can be either unintentionally or maliciously disclosed or modified during reception, including, for example, during aggregation, at protocol transformation points, and during... |
| V-213879 | Medium | Security-relevant software updates to SQL 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-213870 | Medium | SQL Server or software monitoring SQL Server must provide an immediate real-time alert to appropriate support staff of all audit log 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-213871 | Medium | SQL Server must produce time stamps that can be mapped to Coordinated Universal Time (UTC, formerly GMT). | If time stamps are not consistently applied and there is no common time reference, it is difficult to perform forensic analysis, in audit files, trace files/tables, and application data... |
| V-213872 | Medium | SQL Server must prohibit user installation of logic modules (stored procedures, functions, triggers, views, etc.) without explicit privileged status. | Allowing regular users to install software, without explicit privileges, creates the risk that untested or potentially malicious software will be installed on the system. Explicit privileges... |
| V-213873 | Medium | SQL Server and Windows must enforce access restrictions associated with changes to the configuration of the SQL Server instance or database(s). | Failure to provide logical access restrictions associated with changes to configuration may have significant effects on the overall security of the system.
When dealing with access restrictions... |
| V-213874 | Medium | SQL Server must produce Trace or 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-213875 | Medium | SQL Server must disable communication protocols not required for operation. | Having unnecessary protocols enabled exposes the system to avoidable threats. In a typical installation, only TCP/IP will be required. |
| V-213876 | Medium | SQL Server must implement and/or support 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-213877 | Medium | The confidentiality and integrity of information managed by SQL Server must be maintained during preparation for transmission. | Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission, including, for example, during aggregation, at protocol transformation points,... |
| V-213869 | Medium | SQL Server, the operating system, or the storage system must provide a warning to appropriate support staff when allocated audit record storage volume reaches 75% 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 SQL Server on its own server will not be an issue. However, space will... |
| V-213868 | Medium | SQL Server must allocate audit record storage capacity in accordance with organization-defined audit record storage requirements. | In order to ensure sufficient storage capacity for the audit logs, SQL Server must be able to allocate audit record storage capacity. Although another requirement (SRG-APP-000515-DB-000318)... |
| V-213863 | Medium | Access to database 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-213861 | Medium | The role(s)/group(s) used to modify database structure (including but not necessarily limited to tables, indexes, storage, etc.) and logic modules (stored procedures, functions, triggers, links to software external to SQL Server, etc.) must be restricted to authorized users. | If SQL Server 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... |
| V-213867 | Medium | SQL Server must utilize centralized management of the content captured in audit records generated by all components of the DBMS. | Without the ability to centrally manage the content captured in the audit records, identification, troubleshooting, and correlation of suspicious behavior would be difficult and could lead to a... |
| V-213866 | 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-213865 | Medium | SQL Server must prevent non-privileged users from executing privileged functionality, 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-213864 | Medium | SQL Server must automatically terminate a user session after organization-defined conditions or trigger events requiring session disconnect. | This addresses the termination of user-initiated logical sessions in contrast to the termination of network connections that are associated with communications sessions (i.e., network disconnect).... |
| V-213858 | Medium | SQL Server authentication and identity management must be integrated 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-213859 | Medium | Where SQL Server Audit is in use, SQL Server must 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-213856 | Medium | SQL Server must protect against an individual using a shared account from falsely denying having performed a particular action. | Non-repudiation of actions taken is required in order to maintain application integrity. Examples of particular actions taken by individuals include creating information, sending a message,... |
| V-213857 | Medium | The Service Master Key must be backed up, stored offline and off-site. | Backup and recovery of the Service Master Key may be critical to the complete recovery of the database. Not having this key can lead to loss of data during recovery. |
| V-213854 | Medium | SQL Server must be configured to 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-213855 | Medium | SQL Server must isolate security functions from nonsecurity functions. | An isolation boundary provides access control and protects the integrity of the hardware, software, and firmware that perform security functions.
Security functions are defined as "the hardware,... |
| V-213852 | Medium | SQL Server must uniquely identify and authenticate organizational users (or processes acting on behalf of organizational users). | To ensure accountability and prevent unauthorized SQL Server access, organizational users shall be identified and authenticated.
Organizational users include organizational employees and... |
| V-213853 | Medium | SQL 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-213850 | Medium | SQL Server must be configured to prohibit or restrict the use of unauthorized network protocols. | 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-213851 | Medium | SQL Server must be configured to prohibit or restrict the use of unauthorized network ports. | 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-213841 | Medium | SQL Server must have the SQL Server Replication software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213840 | Medium | SQL Server must have the Master Data Services software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213843 | Medium | SQL Server must have the Data Quality Services software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213842 | Medium | SQL Server must have the Data Quality Client software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213845 | Medium | SQL Server must have the Management Tools software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213844 | Medium | SQL Server must have the Client Tools SDK software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213847 | Medium | Unused database components that are integrated in SQL Server and cannot be uninstalled must be disabled. | SQL Server is 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 organizational... |
| V-213846 | Medium | SQL Server must have the Filestream feature disabled if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213849 | Medium | Access to xp_cmdshell must be disabled, unless specifically required and approved. | 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-213848 | Medium | The SQL Server default account [sa] must be disabled. | SQL Server's [sa] account has special privileges required to administer the database. The [sa] account is a well-known SQL Server account and is likely to be targeted by attackers and thus more... |
| V-213834 | Medium | SQL Server must have the SQL Server Reporting Services (SSRS) software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213835 | Medium | SQL Server must have the SQL Server Integration Services (SSIS) software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213836 | Medium | SQL Server must have the SQL Server Analysis Services (SSAS) software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213837 | Medium | SQL Server must have the SQL Server Distributed Replay Client software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213830 | Medium | SQL Server must have the publicly available Northwind sample database 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-213831 | Medium | SQL Server must have the publicly available pubs sample database 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-213832 | Medium | SQL Server must have the publicly available AdventureWorks sample database 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-213833 | Medium | SQL Server must have the SQL Server Data Tools (SSDT) software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213838 | Medium | SQL Server must have the SQL Server Distributed Replay Controller software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213839 | Medium | SQL Server must have the Full-Text Search software component removed if it is unused. | Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may... |
| V-213829 | Low | Database software directories, including SQL Server configuration files, must be stored in dedicated directories, 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 can potentially have... |
| V-213898 | Low | The SQL Server Browser service must be disabled if its use is not necessary.. | The SQL Server Browser simplifies the administration of SQL Server, particularly when multiple instances of SQL Server coexist on the same computer. It avoids the need to hard-assign port numbers... |
| V-213809 | Low | SQL Server default account [sa] must have its name changed. | SQL Server's [sa] account has special privileges required to administer the database. The [sa] account is a well-known SQL Server account name and is likely to be targeted by attackers, and is... |
