Application Server Security Requirements Guide

V2R6 2019-07-01       U_Application_Server_SRG_V2R6_Manual-xccdf.xml
V2R5 2019-01-07       U_Application_Server_SRG_V2R5_Manual-xccdf.xml
The Application Server Security Requirements Guide (SRG) is published as a tool to improve the security of Department of Defense (DoD) information systems. The requirements are derived from the NIST 800-53 and related documents. Comments or proposed revisions to this document should be sent via e-mail to the following address: [email protected]
Comparison
All 129
No Change 128
Updated 0
Added 0
Removed 1
V-35070 No Change
Findings ID: SRG-APP-000001-AS-000001 Rule ID: SV-46335r3_rule Severity: medium CCI: CCI-000054

Discussion

Application management includes the ability to control the number of sessions that utilize an application by all accounts and/or account types. Limiting the number of allowed sessions is helpful in limiting risks related to Denial of Service attacks.

Application servers host and expose business logic and application processes.

The application server must possess the capability to limit the maximum number of concurrent sessions in a manner that affects the entire application server or on an individual application basis.

Although there is some latitude concerning the settings themselves, the settings should follow DoD-recommended values, but the settings should be configurable to allow for future DoD direction.

While the DoD will specify recommended values, the values can be adjusted to accommodate the operational requirement of a given system.

Checks

Review the application server product documentation and configuration to determine if the number of concurrent sessions can be limited to the organization-defined number of sessions for all accounts and/or account types.

If a feature to limit the number of concurrent sessions is not available, is not set, or is set to unlimited, this is a finding.

Fix

Configure the application server to limit the number of concurrent sessions for all accounts and/or account types to the organization-defined number.
V-35089 No Change
Findings ID: SRG-APP-000014-AS-000009 Rule ID: SV-46376r3_rule Severity: medium CCI: CCI-000068

Discussion

Remote management access is accomplished by leveraging common communication protocols and establishing a remote connection to the application server via a network for the purposes of managing the application server. If cryptography is not used, then the session data traversing the remote connection could be intercepted and compromised.

Types of management interfaces utilized by an application server include web-based HTTPS interfaces as well as command line-based management interfaces.

Checks

Check the application server configuration to ensure all management interfaces use encryption in accordance with the management data.

If the application server is not configured to encrypt remote access management sessions in accordance with the categorization of the management data, this is a finding.

Fix

Configure the application server to use encryption strength in accordance with the categorization of the management data during remote access management sessions.
V-35090 No Change
Findings ID: SRG-APP-000015-AS-000010 Rule ID: SV-46377r3_rule Severity: medium CCI: CCI-001453

Discussion

Encryption is critical for protection of remote access sessions. If encryption is not being used for integrity, malicious users may gain the ability to modify the application server configuration. The use of cryptography for ensuring integrity of remote access sessions mitigates that risk.

Application servers utilize a web management interface and scripted commands when allowing remote access. Web access requires the use of TLS and scripted access requires using ssh or some other form of approved cryptography. Application servers must have a capability to enable a secure remote admin capability.

FIPS 140-2 approved TLS versions include TLS V1.0 or greater.

FIPS 140-2 approved TLS versions must be enabled and non-FIPS-approved SSL versions must be disabled.

NIST SP 800-52 specifies the preferred configurations for government systems.

Checks

Review the application server documentation and configuration to ensure the application server is configured to use cryptography to protect the integrity of remote access sessions.

If the application server is not configured to implement cryptography mechanisms to protect the integrity of remote access sessions, this is a finding.

Fix

Configure the application server to implement cryptography mechanisms to protect the integrity of the remote access session.
V-35096 No Change
Findings ID: SRG-APP-000068-AS-000035 Rule ID: SV-46383r3_rule Severity: medium CCI: CCI-000048

Discussion

Application servers are required to display the Standard Mandatory DoD Notice and Consent Banner before granting access to the system management interface, providing privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance that states that:

(i) users are accessing a U.S. Government information system;
(ii) system usage may be monitored, recorded, and subject to audit;
(iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
(iv) the use of the system indicates consent to monitoring and recording.

System use notification messages can be implemented in the form of warning banners displayed when individuals log on to the information system.

System use notification is intended only for information system access including an interactive logon interface with a human user, and is not required when an interactive interface does not exist.

Use this banner for desktops, laptops, and other devices accommodating banners of 1300 characters. The banner shall be implemented as a click-through banner at logon (to the extent permitted by the operating system), meaning it prevents further activity on the information system unless and until the user executes a positive action to manifest agreement by clicking on a box indicating "OK".

"You are accessing a U.S. Government (USG) Information System (IS) that is provided for USG-authorized use only.
By using this IS (which includes any device attached to this IS), you consent to the following conditions:
-The USG routinely intercepts and monitors communications on this IS for purposes including, but not limited to, penetration testing, COMSEC monitoring, network operations and defense, personnel misconduct (PM), law enforcement (LE), and counterintelligence (CI) investigations.
-At any time, the USG may inspect and seize data stored on this IS.
-Communications using, or data stored on, this IS are not private, are subject to routine monitoring, interception, and search, and may be disclosed or used for any USG-authorized purpose.
-This IS includes security measures (e.g., authentication and access controls) to protect USG interests--not for your personal benefit or privacy.
-Notwithstanding the above, using this IS does not constitute consent to PM, LE or CI investigative searching or monitoring of the content of privileged communications, or work product, related to personal representation or services by attorneys, psychotherapists, or clergy, and their assistants. Such communications and work product are private and confidential. See User Agreement for details."

Checks

Review the application server management interface configuration to verify the application server is configured to display the Standard Mandatory DoD Notice and Consent Banner before granting access.

The banner must read:

"You are accessing a U.S. Government (USG) Information System (IS) that is provided for USG-authorized use only.
By using this IS (which includes any device attached to this IS), you consent to the following conditions:
-The USG routinely intercepts and monitors communications on this IS for purposes including, but not limited to, penetration testing, COMSEC monitoring, network operations and defense, personnel misconduct (PM), law enforcement (LE), and counterintelligence (CI) investigations.
-At any time, the USG may inspect and seize data stored on this IS.
-Communications using, or data stored on, this IS are not private, are subject to routine monitoring, interception, and search, and may be disclosed or used for any USG-authorized purpose.
-This IS includes security measures (e.g., authentication and access controls) to protect USG interests--not for your personal benefit or privacy.
-Notwithstanding the above, using this IS does not constitute consent to PM, LE or CI investigative searching or monitoring of the content of privileged communications, or work product, related to personal representation or services by attorneys, psychotherapists, or clergy, and their assistants. Such communications and work product are private and confidential. See User Agreement for details."

If the application server management interface does not display the banner or displays an unapproved banner, this is a finding.

Fix

Configure the application server management interface so it displays the Standard Mandatory DoD Notice and Consent Banner prior to allowing access.

The banner must read:

"You are accessing a U.S. Government (USG) Information System (IS) that is provided for USG-authorized use only.
By using this IS (which includes any device attached to this IS), you consent to the following conditions:
-The USG routinely intercepts and monitors communications on this IS for purposes including, but not limited to, penetration testing, COMSEC monitoring, network operations and defense, personnel misconduct (PM), law enforcement (LE), and counterintelligence (CI) investigations.
-At any time, the USG may inspect and seize data stored on this IS.
-Communications using, or data stored on, this IS are not private, are subject to routine monitoring, interception, and search, and may be disclosed or used for any USG-authorized purpose.
-This IS includes security measures (e.g., authentication and access controls) to protect USG interests--not for your personal benefit or privacy.
-Notwithstanding the above, using this IS does not constitute consent to PM, LE or CI investigative searching or monitoring of the content of privileged communications, or work product, related to personal representation or services by attorneys, psychotherapists, or clergy, and their assistants. Such communications and work product are private and confidential. See User Agreement for details."
V-35098 No Change
Findings ID: SRG-APP-000069-AS-000036 Rule ID: SV-46385r3_rule Severity: medium CCI: CCI-000050

Discussion

To establish acceptance of system usage policy, a click-through banner at the application server management interface logon is required. The banner shall prevent further activity on the application server unless and until the user executes a positive action to manifest agreement by clicking on a box indicating "OK".

Checks

Review application server management interface product documentation and configuration to determine that the logon banner can be displayed until the user takes action to acknowledge the agreement.

If the banner screen allows continuation to the application server without user interaction, this is a finding.

Fix

Configure the application server management interface to retain the logon banner on the screen until the user takes explicit action to logon to the server.
V-35135 No Change
Findings ID: SRG-APP-000080-AS-000045 Rule ID: SV-46422r3_rule Severity: medium CCI: CCI-000166

Discussion

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, approving information (e.g., indicating concurrence or signing a contract), and receiving a message.

Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document.

Typical application server actions requiring non-repudiation will be related to application deployment among developers/users and administrative actions taken by admin personnel.

Checks

Review application server product documentation and server configuration to determine if the system does protect against an individual's (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.

If the application does not meet this requirement, this is a finding.

Fix

Configure the application server to protect against an individual's (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
V-35139 No Change
Findings ID: SRG-APP-000086-AS-000048 Rule ID: SV-46426r3_rule Severity: medium CCI: CCI-000174

Discussion

Log generation and log records can be generated from various components within the application server. The list of logged events is the set of events for which logs are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating log records (e.g., logable events, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked).

The events occurring must be time-correlated in order to conduct accurate forensic analysis. In addition, the correlation must meet certain tolerance criteria. For instance, DoD may define that the time stamps of different logged events must not differ by any amount greater than ten seconds. It is also acceptable for the application server to utilize an external logging tool that provides this capability.

Checks

Review the application server log feature configuration to determine if the application server or an external logging tool in conjunction with the application server does compile log records from multiple components within the server into a system-wide log trail that is time-correlated with an organization-defined level of tolerance for the relationship between time stamps of individual records in the log trail.

If the application server does not meet this requirement, this is a finding.

Fix

Configure the application server or an external logging tool supporting the application server to compile log records from multiple components within the server into a system-wide log trail that is time-correlated with an organization-defined level of tolerance for the relationship between time stamps of individual records in the log trail.
V-35141 No Change
Findings ID: SRG-APP-000089-AS-000050 Rule ID: SV-46428r3_rule Severity: medium CCI: CCI-000169

Discussion

Log records can be generated from various components within the application server. From an application server perspective, certain specific application server functionalities may be logged as well. The application server must allow the definition of what events are to be logged. As conditions change, the number and types of events to be logged may change, and the application server must be able to facilitate these changes.

The minimum list of logged events should be those pertaining to system startup and shutdown, system access, and system authentication events.

Checks

Review the application server documentation and the deployed system configuration to determine if, at a minimum, system startup and shutdown, system access, and system authentication events are logged.

If the logs do not include the minimum logable events, this is a finding.

Fix

Configure the application server to generate log records for system startup and shutdown, system access, and system authentication events.
V-35142 No Change
Findings ID: SRG-APP-000090-AS-000051 Rule ID: SV-46429r3_rule Severity: medium CCI: CCI-000171

Discussion

Log records can be generated from various components within the application server, (e.g., httpd, beans, etc.) From an application perspective, certain specific application functionalities may be logged, as well.

The list of logged events is the set of events for which logs are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating log records (e.g., logable events, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked).


Application servers utilize role-based access controls in order to specify the individuals who are allowed to configure application component logable events. The application server must be configured to select which personnel are assigned the role of selecting which logable events are to be logged.

The personnel or roles that can select logable events are only the ISSM (or individuals or roles appointed by the ISSM).

Checks

Review application server product documentation and configuration to determine if the system only allows the ISSM (or individuals or roles appointed by the ISSM) to change logable events.

If the system is not configured to perform this function, this is a finding.

Fix

Configure the application server to only allow the ISSM (or individuals or roles appointed by the ISSM) to change logable events.
V-35143 No Change
Findings ID: SRG-APP-000091-AS-000052 Rule ID: SV-46430r3_rule Severity: medium CCI: CCI-000172

Discussion

Accessing a subject's privileges can be used to elevate a lower-privileged subject's privileges temporarily in order to cause harm to the application server or to gain privileges to operate temporarily for a designed purpose. When these actions take place, the event needs to be logged.

Application servers either provide a local user store, or they integrate with enterprise user stores like LDAP. When the application server provides the user store and enforces authentication, the application server must generate a log record when modification of privileges is successfully or unsuccessfully performed.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records when successful/unsuccessful attempts are made to access privileges.

If log records are not generated, this is a finding.

Fix

Configure the application server to generate log records when privileges are successfully/unsuccessfully accessed.
V-35148 No Change
Findings ID: SRG-APP-000092-AS-000053 Rule ID: SV-46435r3_rule Severity: medium CCI: CCI-001464

Discussion

Session logging activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.

Checks

Review the application server product documentation and server configuration to determine if the application server initiates session logging on application server startup.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to initiate session logging on application server startup.
V-35159 No Change
Findings ID: SRG-APP-000095-AS-000056 Rule ID: SV-46446r3_rule Severity: medium CCI: CCI-000130

Discussion

Information system logging capability is critical for accurate forensic analysis. Without being able to establish what type of event occurred, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible.

Log record content that may be necessary to satisfy the requirement of this control includes time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked.

Application servers must log all relevant log data that pertains to the application server. Examples of relevant data include, but are not limited to, Java Virtual Machine (JVM) activity, HTTPD/Web server activity, and application server-related system process activity.

Checks

Review the application server log configuration to determine if the application server produces log records showing what type of event occurred.

If the log data does not show the type of event, this is a finding.

Fix

Configure the application server to include the event type in the log data.
V-35165 No Change
Findings ID: SRG-APP-000096-AS-000059 Rule ID: SV-46452r3_rule Severity: medium CCI: CCI-000131

Discussion

Application server logging capability is critical for accurate forensic analysis. Without sufficient and accurate information, a correct replay of the events cannot be determined.

Ascertaining the correct order of the events that occurred is important during forensic analysis. Events that appear harmless by themselves might be flagged as a potential threat when properly viewed in sequence. By also establishing the event date and time, an event can be properly viewed with an enterprise tool to fully see a possible threat in its entirety.

Without sufficient information establishing when the log event occurred, investigation into the cause of event is severely hindered. Log record content that may be necessary to satisfy the requirement of this control includes, but is not limited to, time stamps, source and destination IP addresses, user/process identifiers, event descriptions, application-specific events, success/fail indications, file names involved, access control, or flow control rules invoked.

In addition to logging event information, application servers must also log the corresponding dates and times of these events. Examples of event data include, but are not limited to, Java Virtual Machine (JVM) activity, HTTPD activity, and application server-related system process activity.

Checks

Review the logs on the application server to determine if the date and time are included in the log event data.

If the date and time are not included, this is a finding.

Fix

Configure the application server logging system to log date and time with the event.
V-35167 No Change
Findings ID: SRG-APP-000097-AS-000060 Rule ID: SV-46454r4_rule Severity: medium CCI: CCI-000132

Discussion

Application server logging capability is critical for accurate forensic analysis. Without sufficient and accurate information, a correct replay of the events cannot be determined.

Ascertaining the correct location or process within the application server where the events occurred is important during forensic analysis. To determine where an event occurred, the log data must contain information that identifies the source and destination of the events such as application components, modules, filenames, host names, servlets, containers, API’s, and other functionality.

Checks

Review the configuration settings on the application server to determine if the application server is configured to log information that establishes where within the application server the event occurred.

The data in the log file should identify the event, the component, module, filename, host name, servlets, containers, API’s, or other functionality within the application server, as well as, any source and destination information that indicates where an event occurred.

If the application server is not configured to log where within the application server the event took place, this is a finding.

Fix

Configure the application server logging system to log where the event took place.
V-35170 No Change
Findings ID: SRG-APP-000098-AS-000061 Rule ID: SV-46457r3_rule Severity: medium CCI: CCI-000133

Discussion

Application server logging capability is critical for accurate forensic analysis. Without sufficient and accurate information, a correct replay of the events cannot be determined.

Ascertaining the correct source, e.g., source IP, of the events is important during forensic analysis. Correctly determining the source will add information to the overall reconstruction of the logable event. By determining the source of the event correctly, analysis of the enterprise can be undertaken to determine if the event compromised other assets within the enterprise.

Without sufficient information establishing the source of the logged event, investigation into the cause of event is severely hindered. Log record content that may be necessary to satisfy the requirement of this control includes, but is not limited to, time stamps, source and destination IP addresses, user/process identifiers, event descriptions, application-specific events, success/fail indications, file names involved, access control, or flow control rules invoked.

Checks

Review the application server documentation and deployment configuration to determine if the application server is configured to generate sufficient information to resolve the source, e.g., source IP, of the log event.

Request a user access the application server and generate logable events, and then review the logs to determine if the source of the event can be established.

If the source of the event cannot be determined, this is a finding.

Fix

Configure the application server to generate the source of each logable event.
V-35176 No Change
Findings ID: SRG-APP-000099-AS-000062 Rule ID: SV-46463r3_rule Severity: medium CCI: CCI-000134

Discussion

Information system logging capability is critical for accurate forensic analysis. Log record content that may be necessary to satisfy the requirement of this control includes, but is not limited to, time stamps, source and destination IP addresses, user/process identifiers, event descriptions, application-specific events, success/fail indications, filenames involved, access control or flow control rules invoked.

Success and failure indicators ascertain the outcome of a particular application server event or function. As such, they also provide a means to measure the impact of an event and help authorized personnel to determine the appropriate response. Event outcome may also include event-specific results (e.g., the security state of the information system after the event occurred).

Checks

Review application server documentation and the log files on the application server to determine if the logs contain information that establishes the outcome of event data.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server logging system to log the event outcome.
V-35182 No Change
Findings ID: SRG-APP-000100-AS-000063 Rule ID: SV-46469r3_rule Severity: medium CCI: CCI-001487

Discussion

Information system logging capability is critical for accurate forensic analysis. Log record content that may be necessary to satisfy the requirement of this control includes: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked.

Application servers have differing levels of logging capabilities that can be specified by setting a verbosity level. The application server must, at a minimum, be capable of establishing the identity of any user or process that is associated with any particular event.

Checks

Review application server documentation and the log files on the application server to determine if the logs contain information that establishes the identity of the user or process associated with log event data.

If the application server does not produce logs that establish the identity of the user or process associated with log event data, this is a finding.

Fix

Configure the application server logging system to log the identity of the user or process related to the events.
V-35186 No Change
Findings ID: SRG-APP-000108-AS-000067 Rule ID: SV-46473r3_rule Severity: medium CCI: CCI-000139

Discussion

Logs are essential to monitor the health of the system, investigate changes that occurred to the system, or investigate a security incident. When log processing fails, the events during the failure can be lost. To minimize the timeframe of the log failure, an alert needs to be sent to the SA and ISSO at a minimum.

Log processing failures include, but are not limited to, failures in the application server log capturing mechanisms or log storage capacity being reached or exceeded. In some instances, it is preferred to send alarms to individuals rather than to an entire group. Application servers must be able to trigger an alarm and send an alert to, at a minimum, the SA and ISSO in the event there is an application server log processing failure.

Checks

Review application server log configuration. Verify the application server sends alerts to the SA and ISSO in the event of a log processing failure.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server log feature to alert the SA and ISSO in the event of a log processing failure.
V-35190 No Change
Findings ID: SRG-APP-000109-AS-000068 Rule ID: SV-46477r3_rule Severity: medium CCI: CCI-000140

Discussion

It is critical that, when a system is at risk of failing to process logs, it detects and takes action to mitigate the failure. Log processing failures include software/hardware errors, failures in the log capturing mechanisms, and log storage capacity being reached or exceeded. During a failure, the application server must be configured to shut down unless the application server is part of a high availability system.

When availability is an overriding concern, other approved actions in response to a log failure are as follows:

(i) If the failure was caused by the lack of log record storage capacity, the application must continue generating log records if possible (automatically restarting the log service if necessary), overwriting the oldest log records in a first-in-first-out manner.

(ii) If log records are sent to a centralized collection server and communication with this server is lost or the server fails, the application must queue log records locally until communication is restored or until the log records are retrieved manually. Upon restoration of the connection to the centralized collection server, action should be taken to synchronize the local log data with the collection server.

Checks

If the application server is a high availability system, this finding is NA.

Review the application server configuration settings to determine if the application server is configured to shut down on a log failure.

If the application server is not configured to shut down on a log failure, this is a finding.

Fix

If the application server is a high availability system, this finding is NA.

Configure the application server to shut down on a log failure.
V-35191 No Change
Findings ID: SRG-APP-000109-AS-000070 Rule ID: SV-46478r3_rule Severity: medium CCI: CCI-000140

Discussion

This requirement is dependent upon system MAC and availability. If the system MAC and availability do not specify redundancy requirements, this requirement is NA.

It is critical that, when a system is at risk of failing to process logs as required, it detects and takes action to mitigate the failure.

Application servers must be capable of failing over to another system which can handle application and logging functions upon detection of an application log processing failure. This will allow continual operation of the application and logging functions while minimizing the loss of operation for the users and loss of log data.

Checks

If the system MAC level and availability do not require redundancy, this requirement is NA.

Review the system's accreditation documentation to determine system MAC and confidentiality requirements. Review application server configuration settings to determine if the application server is configured to fail over operation to another system when the log subsystem fails to operate.

If the system MAC level requires redundancy and the application server is not configured to fail over to another system which can handle application and log functions when a log subsystem failure occurs, this is a finding.

Fix

If the system MAC level and availability do not require redundancy, this requirement is NA.

Configure the application server to fail over to another system which can handle log functions when the logging subsystem fails.
V-35203 No Change
Findings ID: SRG-APP-000116-AS-000076 Rule ID: SV-46490r3_rule Severity: medium CCI: CCI-000159

Discussion

Without the use of an approved and synchronized time source configured on the systems, events cannot be accurately correlated and analyzed to determine what is transpiring within the application server.

If an event has been triggered on the network, and the application server is not configured with the correct time, the event may be seen as insignificant, when in reality the events are related and may have a larger impact across the network. Synchronization of system clocks is needed in order to correctly correlate the timing of events that occur across multiple systems. Determining the correct time a particular event occurred on a system, via time stamps, is critical when conducting forensic analysis and investigating system events.

Application servers must utilize the internal system clock when generating time stamps and log records.

Checks

Review the application server configuration files to determine if the internal system clock is used for time stamps. If this is not feasible, an alternative workaround is to take an action that generates an entry in the logs and then immediately query the operating system for the current time. A reasonable match between the two times will suffice as evidence that the system is using the internal clock for timestamps.

If the application server does not use the internal system clock to generate time stamps, this is a finding.

Fix

Configure the application server to use internal system clocks to generate time stamps for log records.
V-35205 No Change
Findings ID: SRG-APP-000118-AS-000078 Rule ID: SV-46492r3_rule Severity: medium CCI: CCI-000162

Discussion

If log 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 addition, access to log records provides information an attacker could potentially use to his or her advantage.

Application servers contain admin interfaces that allow reading and manipulation of log records. Therefore, these interfaces should not allow unfettered access to those records. Application servers also write log data to log files which are stored on the OS, so appropriate file permissions must also be used to restrict access.

Log information includes all information (e.g., log records, log settings, transaction logs, and log reports) needed to successfully log information system activity. Application servers must protect log information from unauthorized read access.

Checks

Review the configuration settings to determine if the application server log features protect log information from unauthorized access.

Review file system settings to verify the application server sets secure file permissions on log files.

If the application server does not protect log information from unauthorized read access, this is a finding.

Fix

Configure the application server to protect log information from unauthorized read access.
V-35212 No Change
Findings ID: SRG-APP-000120-AS-000080 Rule ID: SV-46499r3_rule Severity: medium CCI: CCI-000164

Discussion

If log 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.

Application servers contain admin interfaces that allow reading and manipulation of log records. Therefore, these interfaces should not allow for unfettered access to those records. Application servers also write log data to log files which are stored on the OS, so appropriate file permissions must also be used to restrict access.

Log information includes all information (e.g., log records, log settings, transaction logs, and log reports) needed to successfully log information system activity. Application servers must protect log information from unauthorized deletion.

Checks

Review the configuration settings to determine if the application server log features protect log information from unauthorized deletion.

Review file system settings to verify the application server sets secure file permissions on log files to prevent unauthorized deletion.

If the application server does not protect log information from unauthorized deletion, this is a finding.

Fix

Configure the application server to protect log information from unauthorized deletion.
V-35213 No Change
Findings ID: SRG-APP-000121-AS-000081 Rule ID: SV-46500r3_rule Severity: medium CCI: CCI-001493

Discussion

Protecting log 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 provide the only means to manipulate and manage application and system log data.

It is, therefore, imperative that access to log tools be controlled and protected from unauthorized access.

Application servers provide a web- and/or a command line-based management functionality for managing the application server log capabilities. In addition, subsets of log tool components may be stored on the file system as jar or xml configuration files. The application server must ensure that in addition to protecting any web-based log tools, any file system-based tools are protected as well.

Checks

Review the application server documentation and server configuration to determine if the application server protects log tools from unauthorized access.

Request a system administrator attempt to access log tools while logged into the server in a role that does not have the requisite privileges.

If the application server does not protect log tools from unauthorized access, this is a finding.

Fix

Configure the application server or OS to protect log tools from unauthorized access.
V-35214 No Change
Findings ID: SRG-APP-000122-AS-000082 Rule ID: SV-46501r3_rule Severity: medium CCI: CCI-001494

Discussion

Protecting log 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 provide the only means to manipulate and manage application and system log data.

It is, therefore, imperative that access to log tools be controlled and protected from unauthorized modification. If an attacker were to modify log tools, he could also manipulate logs to hide evidence of malicious activity.

Application servers provide a web- and/or a command line-based management functionality for managing the application server log capabilities. In addition, subsets of log tool components may be stored on the file system as jar or xml configuration files. The application server must ensure that in addition to protecting any web-based log tools, any file system-based tools are protected as well.

Checks

Review the application server documentation and server configuration to determine if the application server protects log tools from unauthorized modification. Request a system administrator attempt to modify log tools while logged into the server in a role that does not have the requisite privileges.

Locate binary copies of log tool executables that are located on the file system and attempt to modify using unprivileged credentials.

If the application server does not protect log tools from unauthorized modification, this is a finding.

Fix

Configure the application server or the OS to protect log tools from unauthorized modification.
V-35215 No Change
Findings ID: SRG-APP-000123-AS-000083 Rule ID: SV-46502r3_rule Severity: medium CCI: CCI-001495

Discussion

Protecting log 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 provide the only means to manipulate and manage application and system log data.

It is, therefore, imperative that access to log tools be controlled and protected from unauthorized modification. If an attacker were to delete log tools, the application server administrator would have no way of managing or viewing the logs.

Application servers provide a web- and/or a command line-based management functionality for managing the application server log capabilities. In addition, subsets of log tool components may be stored on the file system as jar, class or xml configuration files. The application server must ensure that in addition to protecting any web-based log tools, any file system-based tools are protected from unauthorized deletion as well.

Checks

Review the application server documentation and server configuration to determine if the application server protects log tools from unauthorized deletion.

Locate binary copies of log tool executables that are located on the file system and attempt to delete using unprivileged credentials.

If the application server does not protect log tools from unauthorized deletion, this is a finding.

Fix

Configure the application server or the OS to protect log tools from unauthorized deletion.
V-35216 No Change
Findings ID: SRG-APP-000125-AS-000084 Rule ID: SV-46503r3_rule Severity: medium CCI: CCI-001348

Discussion

Protection of log data includes assuring log data is not accidentally lost or deleted. Backing up log records to a different system or onto separate media from the system the application server is actually running on helps to assure that in the event of a catastrophic system failure, the log records will be retained.

Checks

Review the application server configuration to determine if the application server backs up log records every seven days onto a different system or media from the system being logged.

If the application server does not back up log records every seven days onto a different system or media from the system being logged, this is a finding.

Fix

Configure the application server to back up log records every seven days onto a different system or media from the system being logged.
V-35217 No Change
Findings ID: SRG-APP-000126-AS-000085 Rule ID: SV-46504r3_rule Severity: medium CCI: CCI-001350

Discussion

Protection of log records is of critical importance. Encrypting log records provides a level of protection that does not rely on host-based protections that can be accidentally misconfigured, such as file system permissions. Cryptographic mechanisms are the industry-established standard used to protect the integrity of log data. An example of a cryptographic mechanism is the computation and application of a cryptographic-signed hash using asymmetric cryptography.

Checks

Review the application server documentation and configuration to determine if the application server can protect log data using cryptographic means.

If the application server is not configured to encrypt and sign logs, this is a finding.

Fix

Configure the application server to encrypt and sign logs.
V-35224 No Change
Findings ID: SRG-APP-000133-AS-000092 Rule ID: SV-46511r3_rule Severity: medium CCI: CCI-001499

Discussion

Application servers have the ability to specify that the hosted applications utilize shared libraries. The application server must have a capability to divide roles based upon duties wherein one project user (such as a developer) cannot modify the shared library code of another project user. The application server must also be able to specify that non-privileged users cannot modify any shared library code at all.

Checks

Check the application server documentation and configuration to determine if the application server provides role-based access that limits the capability to change shared software libraries.

Validate file permission settings to ensure library files are secured in relation to OS access.

If the application server does not meet this requirement, this is a finding.

Fix

Configure the application server to limit privileges to change the software resident within software libraries through the use of defined user roles and file permissions.
V-35234 No Change
Findings ID: SRG-APP-000141-AS-000095 Rule ID: SV-46521r3_rule Severity: medium CCI: CCI-000381

Discussion

Application servers provide a myriad of differing processes, features and functionalities. Some of these processes may be deemed to be unnecessary or too unsecure to run on a production DoD system. Application servers must provide the capability to disable or deactivate functionality and services that are deemed to be non-essential to the server mission or can adversely impact server performance, for example, disabling dynamic JSP reloading on production application servers as a best practice.

Checks

Review the application server documentation and configuration to determine if the application server can disable non-essential features and capabilities.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to use only essential features and capabilities.
V-35299 No Change
Findings ID: SRG-APP-000148-AS-000101 Rule ID: SV-46586r3_rule Severity: medium CCI: CCI-000764

Discussion

To assure accountability and prevent unauthorized access, application server users must be uniquely identified and authenticated. This is typically accomplished via the use of a user store which is either local (OS-based) or centralized (LDAP) in nature.

To ensure support to the enterprise, the authentication must utilize an enterprise solution.

Checks

Review application server documentation and configuration settings to determine if the application server is using an enterprise solution to authenticate organizational users and processes running on the users' behalf.

If an enterprise solution is not being used, this is a finding.

Fix

Configure the application server to use an enterprise user management system to uniquely identify and authenticate users and processes acting on behalf of organizational users.
V-35300 No Change
Findings ID: SRG-APP-000149-AS-000102 Rule ID: SV-46587r3_rule Severity: medium CCI: CCI-000765

Discussion

Multifactor authentication creates a layered defense and makes it more difficult for an unauthorized person to access the application server. If one factor is compromised or broken, the attacker still has at least one more barrier to breach before successfully breaking into the target. Unlike a simple username/password scenario where the attacker could gain access by knowing both the username and password without the user knowing his account was compromised, multifactor authentication adds the requirement that the attacker must have something from the user, such as a token, or to biometrically be the user.

Multifactor authentication is defined as: using two or more factors to achieve authentication.

Factors include:
(i) something a user knows (e.g., password/PIN);
(ii) something a user has (e.g., cryptographic identification device, token); or
(iii) something a user is (e.g., biometric). A CAC or PKI Hardware Token meets this definition.

A privileged account is defined as an information system account with authorizations of a privileged user. These accounts would be capable of accessing the web management interface.

When accessing the application server via a network connection, administrative access to the application server must be PKI Hardware Token enabled.

Checks

Review the application server configuration to ensure the system is authenticating via multifactor authentication for privileged users.

If all aspects of application server web management interfaces are not authenticating privileged users via multifactor authentication methods, this is a finding.

Fix

Configure the application server to authenticate privileged users via multifactor authentication for network access to the management interface.
V-35301 No Change
Findings ID: SRG-APP-000151-AS-000103 Rule ID: SV-46588r3_rule Severity: medium CCI: CCI-000767

Discussion

Multifactor authentication creates a layered defense and makes it more difficult for an unauthorized person to access the application server. If one factor is compromised or broken, the attacker still has at least one more barrier to breach before successfully breaking into the target. Unlike a simple username/password scenario where the attacker could gain access by knowing both the username and password without the user knowing his account was compromised, multifactor authentication adds the requirement that the attacker must have something from the user, such as a token, or to biometrically be the user.

Multifactor authentication is defined as: using two or more factors to achieve authentication.

Factors include:
(i) something a user knows (e.g., password/PIN);
(ii) something a user has (e.g., cryptographic identification device, token); or
(iii) something a user is (e.g., biometric). A CAC or PKI Hardware Token meets this definition.

A privileged account is defined as an information system account with authorizations of a privileged user. These accounts would be capable of accessing the command line management interface.

When accessing the application server via a local connection, administrative access to the application server must be PKI hardware token enabled.

Checks

Review the application server configuration to ensure the system is authenticating via multifactor authentication for privileged users.

If all aspects of application server command line management interfaces are not authenticating privileged users via multifactor authentication methods, this is a finding.

Fix

Configure the application server to authenticate privileged users via multifactor authentication for local access to the management interface.
V-35302 No Change
Findings ID: SRG-APP-000153-AS-000104 Rule ID: SV-46589r3_rule Severity: medium CCI: CCI-000770

Discussion

To assure individual accountability and prevent unauthorized access, application server users (and any processes acting on behalf of application server users) must be individually identified and authenticated.

A group authenticator is a generic account used by multiple individuals. Use of a group authenticator alone does not uniquely identify individual users.

Application servers must ensure that individual users are authenticated prior to authenticating via role or group authentication. This is to ensure that there is non-repudiation for actions taken.

Checks

Review the application server documentation and configuration to determine if the application server individually authenticates users prior to authenticating via a role or group.

Review application server logs to verify user accesses requiring authentication can be traced back to an individual account.

If the application server does not authenticate users on an individual basis, this is a finding.

Fix

Configure the application server to authenticate users individually prior to allowing any group-based authentication.
V-35304 No Change
Findings ID: SRG-APP-000156-AS-000106 Rule ID: SV-46591r3_rule Severity: medium CCI: CCI-001941

Discussion

Application servers may provide a web services capability that could be leveraged to allow remote access to sensitive application data. A web service, which is a repeatable process used to make data available to remote clients, should not be confused with a web server.

Many web services utilize SOAP, which in turn utilizes XML and HTTP as a transport. Natively, SOAP does not provide security protections. As such, the application server must provide security extensions to enhance SOAP capabilities to ensure that secure authentication mechanisms are employed to protect sensitive data. The WS_Security suite is a widely used and acceptable SOAP security extension.

Checks

Review application server documentation to ensure the application server provides extensions to the SOAP protocol that provide secure authentication. These protocols include, but are not limited to, WS_Security suite. Review policy and data owner protection requirements in order to identify sensitive data.

If secure authentication protocols are not utilized to protect data identified by data owner as requiring protection, this is a finding.

Fix

Configure the application server to utilize secure authentication when SOAP web services are used to access sensitive data.
V-35306 No Change
Findings ID: SRG-APP-000158-AS-000108 Rule ID: SV-46593r3_rule Severity: medium CCI: CCI-000778

Discussion

Without identifying devices, unidentified or unknown devices may be introduced, thereby facilitating malicious activity.

For distributed application servers and components, the decisions regarding the validation of identification claims may be made by services separate from the application server. In such situations, it is necessary to provide the identification decisions (as opposed to the actual identifiers) to the services that need to act on those decisions.

Checks

Review application server documentation and configuration to ensure the application server identifies devices before allowing connections.

If the application server does not identify a device before connection, this is a finding.

Fix

Configure the application server to identify devices before allowing connections.
V-35309 No Change
Findings ID: SRG-APP-000163-AS-000111 Rule ID: SV-46596r3_rule Severity: medium CCI: CCI-000795

Discussion

Inactive identifiers pose a risk to systems and applications. Attackers that are able to exploit an inactive identifier can potentially obtain and maintain undetected access to the application. Owners of inactive accounts will not notice if unauthorized access to their user account has been obtained.

Applications need to track periods of inactivity and disable application identifiers after 35 days of inactivity.

Management of user identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). It is commonly the case that a user account is the name of an information system account associated with an individual.

To avoid having to build complex user management capabilities directly into their application, wise developers leverage the underlying OS or other user account management infrastructure (AD, LDAP) that is already in place within the organization and meets organizational user account management requirements.

Checks

Review the application server documentation and configuration to ensure the application server disables identifiers (individuals, groups, roles, and devices) after 35 days of inactivity.

If the application server is not configured to disable identifiers (individuals, groups, roles, and devices) after 35 days of inactivity, this is a finding.

Fix

Configure the application server to disable identifiers (individuals, groups, roles, and devices) after 35 days of inactivity.
V-35317 No Change
Findings ID: SRG-APP-000171-AS-000119 Rule ID: SV-46604r3_rule Severity: medium CCI: CCI-000196

Discussion

Applications must enforce password encryption when storing passwords. Passwords need to be protected at all times and encryption is the standard method for protecting passwords. If passwords are not encrypted, they can be plainly read and easily compromised.

Application servers provide either a local user store or they integrate with enterprise user stores like LDAP. When the application server is responsible for creating or storing passwords, the application server must enforce the storage of encrypted representations of passwords.

Checks

Review application server documentation and configuration to determine if the application server enforces the requirement to only store encrypted representations of passwords.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to only store encrypted representations of passwords.
V-35318 No Change
Findings ID: SRG-APP-000172-AS-000120 Rule ID: SV-46605r3_rule Severity: medium CCI: CCI-000197

Discussion

Passwords need to be protected at all times, and encryption is the standard method for protecting passwords during transmission. If passwords are not encrypted, they can be plainly read (i.e., clear text) and easily compromised.

Application servers have the capability to utilize either certificates (tokens) or user IDs and passwords in order to authenticate. When the application server transmits or receives passwords, the passwords must be encrypted.

Checks

Review application server documentation and configuration to determine if the application server enforces the requirement to encrypt passwords when they are transmitted.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to transmit only encrypted representations of passwords.
V-35319 No Change
Findings ID: SRG-APP-000172-AS-000121 Rule ID: SV-46606r3_rule Severity: medium CCI: CCI-000197

Discussion

Passwords need to be protected at all times, and encryption is the standard method for protecting passwords during transmission.

Application servers have the capability to utilize LDAP directories for authentication. If LDAP connections are not protected during transmission, sensitive authentication credentials can be stolen. When the application server utilizes LDAP, the LDAP traffic must be encrypted.

Checks

Review application server documentation and configuration to determine if the application server enforces the requirement to encrypt LDAP traffic.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to encrypt LDAP traffic.
V-35322 No Change
Findings ID: SRG-APP-000175-AS-000124 Rule ID: SV-46609r3_rule Severity: medium CCI: CCI-000185

Discussion

A certificate's certification path is the path from the end entity certificate to a trusted root certification authority (CA). Certification path validation is necessary for a relying party to make an informed decision regarding acceptance of an end entity certificate. Certification path validation includes checks such as certificate issuer trust, time validity and revocation status for each certificate in the certification path. Revocation status information for CA and subject certificates in a certification path is commonly provided via certificate revocation lists (CRLs) or online certificate status protocol (OCSP) responses.

Checks

Review the application server documentation and deployed configuration to determine whether the application server provides PKI functionality that validates certification paths in accordance with RFC 5280.

If PKI is not being used, this is NA.

If the application server is using PKI, but it does not perform this requirement, this is a finding.

Fix

Configure the application server to validate certificates in accordance with RFC 5280.
V-35324 No Change
Findings ID: SRG-APP-000176-AS-000125 Rule ID: SV-46611r3_rule Severity: medium CCI: CCI-000186

Discussion

The cornerstone of the PKI is the private key used to encrypt or digitally sign information.

If the private key is stolen, this will lead to the compromise of the authentication and non-repudiation gained through PKI because the attacker can use the private key to digitally sign documents and can pretend to be the authorized user.

Both the holders of a digital certificate and the issuing authority must protect the computers, storage devices, or whatever they use to keep the private keys. Java-based application servers utilize the Java keystore, which provides storage for cryptographic keys and certificates. The keystore is usually maintained in a file stored on the file system.

Checks

Review application server configuration and documentation to ensure the application server enforces authorized access to the corresponding private key.

If the application server is not configured to enforce authorized access to the corresponding private key, this is a finding.

Fix

Configure the application server to enforce authorized access to the corresponding private key.
V-35325 No Change
Findings ID: SRG-APP-000177-AS-000126 Rule ID: SV-46612r3_rule Severity: medium CCI: CCI-000187

Discussion

The cornerstone of PKI is the private key used to encrypt or digitally sign information. The key by itself is a cryptographic value that does not contain specific user information, but the key can be mapped to a user. Without mapping the certificate used to authenticate to the user account, the ability to determine the identity of the individual user or group will not be available for forensic analysis.

Application servers must provide the capability to utilize and meet requirements of the DoD Enterprise PKI infrastructure for application authentication.

Checks

Review application server documentation to ensure the application server provides a PKI integration capability that meets DoD PKI infrastructure requirements.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to utilize the DoD Enterprise PKI infrastructure.
V-35328 No Change
Findings ID: SRG-APP-000178-AS-000127 Rule ID: SV-46615r3_rule Severity: medium CCI: CCI-000206

Discussion

To prevent the compromise of authentication information during the authentication process, the application server authentication screens must obfuscate input so an unauthorized user cannot view a password, PIN, or any other authenticator value as it is being typed.

This can occur when a user is authenticating to the application server through the web management interface or command line interface. The application server must obfuscate all passwords, PINs, or other authenticator information when typed. User ID is not required to be obfuscated.

Checks

Review the application server documentation and configuration to determine if any interfaces which are provided for authentication purposes display the user's password when it is typed into the data entry field.

If authentication information is not obfuscated when entered, this is a finding.

Fix

Configure the application server to obscure feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
V-35329 No Change
Findings ID: SRG-APP-000179-AS-000129 Rule ID: SV-46616r3_rule Severity: medium CCI: CCI-000803

Discussion

Encryption is only as good as the encryption modules utilized. Unapproved cryptographic module algorithms cannot be verified and cannot be relied upon to provide confidentiality or integrity, and DoD data may be compromised due to weak algorithms. The use of TLS provides confidentiality of data in transit between the application server and client. FIPS 140-2 approved TLS versions include TLS V1.0 or greater.

TLS must be enabled and non-FIPS-approved SSL versions must be disabled. NIST SP 800-52 specifies the preferred configurations for government systems.

Checks

Review the application server documentation and deployed configuration to determine which version of TLS is being used.

If the application server is not using TLS when authenticating users or non-FIPS-approved SSL versions are enabled, this is a finding.

Fix

Configure the application server to use a FIPS-2 approved TLS version to authenticate users and to disable all non-FIPS-approved SSL versions.
V-35376 No Change
Findings ID: SRG-APP-000211-AS-000146 Rule ID: SV-46663r3_rule Severity: medium CCI: CCI-001082

Discussion

The application server consists of the management interface and hosted applications. By separating the management interface from hosted applications, the user must authenticate as a privileged user to the management interface before being presented with management functionality. This prevents non-privileged users from having visibility to functions not available to the user. By limiting visibility, a compromised non-privileged account does not offer information to the attacker to functionality and information needed to further the attack on the application server.

Application server management functionality includes functions necessary to administer the application server and requires privileged access via one of the accounts assigned to a management role. The hosted application and hosted application functionality consists of the assets needed for the application to function, such as the business logic, databases, user authentication, etc.

The separation of application server administration functionality from hosted application functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, network addresses, network ports, or combinations of these methods, as appropriate.

Checks

Review the application server documentation and configuration to verify that the application server separates admin functionality from hosted application functionality.

If the application server does not separate application server admin functionality from hosted application functionality, this is a finding.

Fix

Configure the application server so that admin management functionality and hosted applications are separated.
V-35381 No Change
Findings ID: SRG-APP-000219-AS-000147 Rule ID: SV-46668r3_rule Severity: medium CCI: CCI-001184

Discussion

This control focuses on communications protection at the session, versus packet level.

At the application layer, session IDs are tokens generated by web applications to uniquely identify an application user's session. Web applications utilize session tokens or session IDs in order to establish application user identity. Proper use of session IDs addresses man-in-the-middle attacks, including session hijacking or insertion of false information into a session.

Application servers must provide the capability to perform mutual authentication. Mutual authentication is when both the client and the server authenticate each other.

Checks

Review the application server configuration and documentation to ensure the application server provides mutual authentication capabilities.

If the application server does not provide the ability for applications to utilize mutual authentication, this is a finding.

Fix

Configure the application server to mutually authenticate during the entire session as required by application design and policy.
V-35415 No Change
Findings ID: SRG-APP-000220-AS-000148 Rule ID: SV-46702r3_rule Severity: medium CCI: CCI-001185

Discussion

If communications sessions remain open for extended periods of time even when unused, there is the potential for an adversary to hijack the session and use it to gain access to the device or networks to which it is attached. Terminating sessions after a logout event or after a certain period of inactivity is a method for mitigating the risk of this vulnerability. When a user management session becomes idle, or when a user logs out of the management interface, the application server must terminate the session.

Checks

Review the application server configuration and organizational policy to determine if the system is configured to terminate administrator sessions upon administrator logout or any other organization- or policy-defined session termination events, such as idle time limit exceeded.

If the configuration is not set to terminate administrator sessions per defined events, this is a finding.

Fix

Configure the application server to terminate administrative sessions upon logout or any other organization- or policy-defined session termination events.
V-35421 No Change
Findings ID: SRG-APP-000223-AS-000151 Rule ID: SV-46708r3_rule Severity: medium CCI: CCI-001664

Discussion

This requirement focuses on communications protection at the application session, versus network packet level. The intent of this control is to establish grounds for confidence at each end of a communications session in the ongoing identity of the other party and in the validity of the information being transmitted.

Unique session IDs are the opposite of sequentially generated session IDs which can be easily guessed by an attacker. Unique session identifiers help to reduce predictability of said identifiers.

Unique session IDs address man-in-the-middle attacks, including session hijacking or insertion of false information into a session. If the attacker is unable to identify or guess the session information related to pending application traffic, they will have more difficulty in hijacking the session or otherwise manipulating valid sessions.

Checks

Review the application server configuration to determine if the application server recognizes only system-generated session identifiers.

If the application server does not recognize only system-generated session identifiers, this is a finding.

Fix

Design the application server to recognize only system-generated session identifiers.
V-35422 No Change
Findings ID: SRG-APP-000224-AS-000152 Rule ID: SV-46709r3_rule Severity: medium CCI: CCI-001188

Discussion

The application server will use session IDs to communicate between modules or applications within the application server and between the application server and users. The session ID allows the application to track the communications along with credentials that may have been used to authenticate users or modules.

Unique session IDs are the opposite of sequentially generated session IDs which can be easily guessed by an attacker. Unique session identifiers help to reduce predictability of said identifiers.

Unique session IDs address man-in-the-middle attacks, including session hijacking or insertion of false information into a session. If the attacker is unable to identify or guess the session information related to pending application traffic, they will have more difficulty in hijacking the session or otherwise manipulating valid sessions.

Checks

Review the application server configuration and documentation to determine if the application server uses a FIPS 140-2 approved random number generator to create unique session identifiers.

Have a user log onto the application server to determine if the session IDs generated are random and unique.

If the application server does not generate unique session identifiers and does not use a FIPS 140-2 random number generator to create the randomness of the session ID, this is a finding.

Fix

Configure the application server to generate unique session identifiers and to use a FIPS 140-2 random number generator to generate the randomness of the session identifiers.
V-35423 No Change
Findings ID: SRG-APP-000225-AS-000153 Rule ID: SV-46710r3_rule Severity: medium CCI: CCI-001190

Discussion

Failure to a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system.

When an application is deployed to the application server, if the deployment process does not complete properly and without errors, there is the potential that some application files may not be deployed or may be corrupted and an application error may occur during runtime.

The application server must be able to perform complete application deployments. A partial deployment can leave the server in an inconsistent state. Application servers may provide a transaction rollback function to address this issue.

Checks

Review the application server configuration and documentation to ensure the system is configured to perform complete application deployments.

If the application server is not configured to ensure complete application deployments or provides no rollback functionality, this is a finding.

Fix

Configure the application server to detect errors that occur during application deployment and to prevent deployment if errors are encountered.
V-35424 No Change
Findings ID: SRG-APP-000225-AS-000154 Rule ID: SV-46711r3_rule Severity: medium CCI: CCI-001190

Discussion

This requirement is dependent upon system MAC and confidentiality. If the system MAC and confidentiality levels do not specify redundancy requirements, this requirement is NA.

Failure to a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. When application failure is encountered, preserving application state facilitates application restart and return to the operational mode of the organization with less disruption of mission/business processes.

Clustering of multiple application servers is a common approach to providing fail-safe application availability when system MAC and confidentiality levels require redundancy.

Checks

This requirement is dependent upon system MAC and confidentiality.

If the system MAC and confidentiality levels do not specify redundancy requirements, this requirement is NA.

Review the application server configuration and documentation to ensure the application server is configured to provide clustering functionality.

If the application server is not configured to provide clustering or some form of failover functionality, this is a finding.

Fix

This requirement is dependent upon system MAC and confidentiality.

If the system MAC and confidentiality levels do not specify redundancy requirements, this requirement is NA.

Configure the application server to provide application failover or participate in an application cluster which provides failover.
V-35426 No Change
Findings ID: SRG-APP-000231-AS-000156 Rule ID: SV-46713r3_rule Severity: medium CCI: CCI-001199

Discussion

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 the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system.

Application servers generate information throughout the course of their use, most notably, log data. If the data is not encrypted while at rest, the data used later for forensic investigation cannot be guaranteed to be unchanged and cannot be used for prosecution of an attacker. To accomplish a credible investigation and prosecution, the data integrity and information confidentiality must be guaranteed.

Application servers must provide the capability to protect all data, especially log data, so as to ensure confidentiality and integrity.

Checks

Review the application server configuration to ensure the system is protecting the confidentiality and integrity of all application server data at rest when stored off-line.

If the application server is not configured to protect all application server data at rest when stored off-line, this is a finding.

Fix

Configure the application server to employ cryptographic mechanisms to ensure confidentiality and integrity of all application server data at rest when stored off-line.
V-35436 No Change
Findings ID: SRG-APP-000251-AS-000165 Rule ID: SV-46723r3_rule Severity: medium CCI: CCI-001310

Discussion

Invalid user input occurs when a user inserts data or characters into an applications data entry field and the application is unprepared to process that data. This results in unanticipated application behavior potentially leading to an application or information system compromise. Invalid user input is one of the primary methods employed when attempting to compromise an application.

Application servers must ensure their management interfaces perform data input validation checks. Input validation consists of evaluating user input and ensuring that only allowed characters are utilized. An example is ensuring that the interfaces are not susceptible to SQL injection attacks.

Checks

Review the application server configuration to determine if the system checks the validity of information inputs to the management interface, except those specifically identified by the organization.

If the management interface data inputs are not validated, this is a finding.

Fix

Configure the application server to check the validity of data inputs into the management interface except those specifically identified by the organization.
V-35440 No Change
Findings ID: SRG-APP-000266-AS-000169 Rule ID: SV-46727r3_rule Severity: medium CCI: CCI-001312

Discussion

Any application providing too much information in error logs and in administrative messages to the screen risks compromising the data and security of the application and system. The structure and content of error messages needs to be carefully considered by the organization and development team.

The application server must not log sensitive information such as passwords, private keys, or other sensitive data. This requirement pertains to logs that are generated by the application server and application server processes, not the applications that may reside on the application server. Those errors are out of the scope of these requirements.

Checks

Review system documentation and logs to determine if the application server writes sensitive information such as passwords or private keys into the logs and administrative messages.

If the application server writes sensitive or potentially harmful information into the logs and administrative messages, this is a finding.

Fix

Configure the application server to not write sensitive information into the logs and administrative messages.
V-35441 No Change
Findings ID: SRG-APP-000267-AS-000170 Rule ID: SV-46728r3_rule Severity: medium CCI: CCI-001314

Discussion

If the application provides too much information in error logs and administrative messages to the screen, this could lead to compromise. The structure and content of error messages need to be carefully considered by the organization and development team. The extent to which the information system is able to identify and handle error conditions is guided by organizational policy and operational requirements.

Application servers must protect the error messages that are created by the application server. All application server users' accounts are used for the management of the server and the applications residing on the application server. All accounts are assigned to a certain role with corresponding access rights. The application server must restrict access to error messages so only authorized users may view them. Error messages are usually written to logs contained on the file system. The application server will usually create new log files as needed and must take steps to ensure that the proper file permissions are utilized when the log files are created.

Checks

Review the application server configuration and documentation to determine if the application server will restrict access to error messages so only authorized users may view or otherwise access them.

If the application server cannot be configured to restrict access to error messages to only authorized users, this is a finding.

Fix

Configure the application server to restrict access to error messages so only authorized users may view or otherwise access them.
V-35445 No Change
Findings ID: SRG-APP-000290-AS-000174 Rule ID: SV-46732r4_rule Severity: medium CCI: CCI-001496

Discussion

Protecting the integrity of the tools used for logging purposes is a critical step in ensuring the integrity of log data. Log data includes all information (e.g., log records, log settings, and log reports) needed to successfully log information system activity.

It is not uncommon for attackers to replace the log tools or inject code into the existing tools for the purpose of providing the capability to hide or erase system activity from the logs.

To address this risk, log tools must be cryptographically signed in order to provide the capability to identify when the log tools have been modified, manipulated or replaced. An example is a checksum hash of the file or files.

Application server log tools must use cryptographic mechanisms to protect the integrity of the tools or allow cryptographic protection mechanisms to be applied to their tools.

Checks

Review the application server configuration to determine if the application server log tools have been cryptographically signed to protect the integrity of the tools.

If the application server log tools have not been cryptographically signed, this is a finding.

Fix

Configure the application server log tools to be cryptographically signed to protect the integrity of the tools.
V-35738 No Change
Findings ID: SRG-APP-000033-AS-000024 Rule ID: SV-47025r3_rule Severity: medium CCI: CCI-000213

Discussion

Strong access controls are critical to securing the application server. Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) must be employed by the application server to control access between users (or processes acting on behalf of users) and objects (e.g., applications, files, records, processes, application domains) in the application server.

Without stringent logical access and authorization controls, an adversary may have the ability, with very little effort, to compromise the application server and associated supporting infrastructure.

Checks

Review application server product documentation and configuration to determine if the system enforces authorization requirements for logical access to the system in accordance with applicable policy.

If the application server is not configured to utilize access controls or follow access control policies, this is a finding.

Fix

Configure the application server to enforce access control policies for logical access to the system in accordance with applicable policy.
V-35772 No Change
Findings ID: SRG-APP-000119-AS-000079 Rule ID: SV-47059r3_rule Severity: medium CCI: CCI-000163

Discussion

If log 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 addition, access to log records provides information an attacker could potentially use to his or her advantage.

Application servers contain admin interfaces that allow reading and manipulation of log records. Therefore, these interfaces should not allow unfettered access to those records. Application servers also write log data to log files which are stored on the OS, so appropriate file permissions must also be used to restrict access.

Log information includes all information (e.g., log records, log settings, transaction logs and log reports) needed to successfully log information system activity. Application servers must protect log information from unauthorized modification.

Checks

Review the configuration settings to determine if the application server log features protect log information from unauthorized modification.

Review file system settings to verify the application server sets secure file permissions on log files to prevent unauthorized modification.

If the application server does not protect log information from unauthorized modification, this is a finding.

Fix

Configure the application server to protect log information from unauthorized modification.
V-57397 No Change
Findings ID: SRG-APP-000343-AS-000030 Rule ID: SV-71669r2_rule Severity: medium CCI: CCI-002234

Discussion

In order to be able to provide a forensic history of activity, the application server must ensure users who are granted a privileged role or those who utilize a separate distinct account when accessing privileged functions or data have their actions logged.

If privileged activity is not logged, no forensic logs can be used to establish accountability for privileged actions that occur on the system.

Checks

Review application server documentation and log configuration to verify the application server logs privileged activity.

If the application server is not configured to log privileged activity, this is a finding.

Fix

Configure the application server to log privileged activity.
V-57399 No Change
Findings ID: SRG-APP-000340-AS-000185 Rule ID: SV-71671r2_rule Severity: medium CCI: CCI-002235

Discussion

Preventing non-privileged users from executing privileged functions mitigates the risk that unauthorized individuals or processes may gain unnecessary access to information or privileges.

Restricting non-privileged users also prevents an attacker, who has gained access to a non-privileged account, from elevating privileges, creating accounts, and performing system checks and maintenance.

Checks

Review application server documentation and configuration to verify that non-privileged users cannot access or execute privileged functions.

Have a user logon as a non-privileged user and attempt to execute privileged functions.

If the user is capable of executing privileged functions, this is a finding.

Fix

Configure the application server to deny non-privileged users access to and execution of privileged functions.
V-57401 No Change
Findings ID: SRG-APP-000295-AS-000263 Rule ID: SV-71673r2_rule Severity: medium CCI: CCI-002361

Discussion

An attacker can take advantage of user sessions that are left open, thus bypassing the user authentication process.

To thwart the vulnerability of open and unused user sessions, the application server must be configured to close the sessions when a configured condition or trigger event is met.

Session termination terminates all processes associated with a user's logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated.

Conditions or trigger events requiring automatic session termination can include, for example, periods of user inactivity, targeted responses to certain types of incidents, and time-of-day restrictions on information system use.

Checks

Review application server documentation and configuration settings to determine if the application server is configured to close user sessions after defined conditions or trigger events are met.

If the application server is not configured or cannot be configured to disconnect users after defined conditions and trigger events are met, this is a finding.

Fix

Configure the application server to terminate user sessions on defined conditions or trigger events.
V-57403 No Change
Findings ID: SRG-APP-000296-AS-000201 Rule ID: SV-71675r2_rule Severity: medium CCI: CCI-002363

Discussion

If a user cannot explicitly end an application server management interface session, the session may remain open and be exploited by an attacker; this is referred to as a zombie session.

The attacker will then have access to the application server management functions without going through the user authentication process.

To prevent this type of attack, the application server management interface must close user sessions when defined events are met and provide a logout function for users to explicitly close the session and free resources that were in use by the user.

Checks

Review application server documentation and configuration settings to determine if the application server management interface provides a logout capability.

If the application server management interface does not provide a logout capability, this is a finding.

Fix

Configure the application server management interface to provide a logout capability for the users.
V-57405 No Change
Findings ID: SRG-APP-000297-AS-000188 Rule ID: SV-71677r2_rule Severity: medium CCI: CCI-002364

Discussion

Providing a logout capability to the user allows the user to explicitly close a session and free those resources used during the session.

If a user cannot explicitly end an application session, the session may remain open and be exploited by an attacker; this is referred to as a zombie session.

The attacker will then have access to the application server management functions without going through the user authentication process.

To inform the user that the session has been reliably closed, a logout message must be displayed to the user.

Checks

Review application server documentation and configuration settings to determine if the application server management interface displays a logout message.

If the application server management interface does not display a logout message, this is a finding.

Fix

Configure the application server management interface to display an explicit logout message to users.
V-57407 No Change
Findings ID: SRG-APP-000313-AS-000003 Rule ID: SV-71679r2_rule Severity: medium CCI: CCI-002263

Discussion

The application server provides a framework for applications to communicate between each other to form an overall well-designed application to perform a task. As the information traverses the application server and the components, the security attributes must be maintained. Without the association of security attributes to information, there is no basis for the application server or hosted applications to make security-related access control decisions. The security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information.

One example includes marking data as classified or FOUO. These security attributes may be assigned manually or during data processing, but either way, it is imperative these assignments are maintained while the data is in process. If the security attributes are lost when the data is being processed, there is the risk of a data compromise.

Checks

Review the application server documentation to determine if the application associates organization-defined types of security attributes with organization-defined security attribute values to information in process.

If the application server does not associate the security attributes to information in process or the feature is not implemented, this is a finding.

Fix

Configure the application server to associate organization-defined types of security attributes having organization-defined security attribute values with information in process.
V-57409 No Change
Findings ID: SRG-APP-000314-AS-000005 Rule ID: SV-71681r2_rule Severity: medium CCI: CCI-002264

Discussion

The application server provides a framework for applications to communicate between each other to form an overall well-designed application to perform a task. As the information is transmitted, the security attributes must be maintained. Without the association of security attributes to information, there is no basis for the application to make security-related access control decisions.

Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information.

One example includes marking data as classified or FOUO. These security attributes may be assigned manually or during data processing, but either way, it is imperative these assignments are maintained while the data is in transmission. If the security attributes are lost when the data is being transmitted, there is the risk of a data compromise.

Checks

Review the application server documentation to determine if the application associates organization-defined types of security attributes with organization-defined security attribute values to information in transmission.

If the application server does not associate the security attributes to information in transmission or the feature is not implemented, this is a finding.

Fix

Configure the application server to associate organization-defined types of security attributes having organization-defined security attribute values with information in transmission.
V-57411 No Change
Findings ID: SRG-APP-000016-AS-000013 Rule ID: SV-71683r2_rule Severity: medium CCI: CCI-000067

Discussion

Logging must be utilized in order to track system activity, assist in diagnosing system issues, and provide evidence needed for forensic investigations post security incident.

Remote access by administrators requires that the admin activity be logged.

Application servers provide a web and command line-based remote management capability for managing the application server. Application servers must ensure that all actions related to administrative functionality such as application server configuration are logged.

Checks

Review the application server product documentation to determine if the application server logs remote administrative sessions.

If the application server does not log remote sessions for the admin user, then this is a finding.

Fix

Configure the application server to log an event for each instance when the administrator accesses the system remotely.
V-57413 No Change
Findings ID: SRG-APP-000315-AS-000094 Rule ID: SV-71685r2_rule Severity: medium CCI: CCI-002314

Discussion

Application servers provide remote access capability and must be able to enforce remote access policy requirements or work in conjunction with enterprise tools designed to enforce policy requirements. Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by logging connection activities of remote users.

Examples of policy requirements include, but are not limited to, authorizing remote access to the information system, limiting access based on authentication credentials, and monitoring for unauthorized access.

Checks

Review organization policy, application server product documentation and configuration to determine if the system enforces the organization's requirements for remote connections.

If the system is not configured to enforce these requirements, or the remote connection settings are not in accordance with the requirements, this is a finding.

Fix

Configure the application server to enforce remote connection settings.
V-57415 No Change
Findings ID: SRG-APP-000316-AS-000199 Rule ID: SV-71687r2_rule Severity: medium CCI: CCI-002322

Discussion

Without the ability to immediately disconnect or disable remote access, an attack or other compromise taking progress would not be immediately stopped.

The application server must have the capability to immediately disconnect current users remotely accessing the management interface and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.

Checks

Review the application server product documentation and server configuration to ensure that there is a capability to immediately disconnect or disable remote access to the management interface.

If there is no capability, this is a finding.

Fix

Configure the application server to have the capability to immediately disconnect or disable remote access to the management interface.
V-57417 No Change
Findings ID: SRG-APP-000101-AS-000072 Rule ID: SV-71689r2_rule Severity: medium CCI: CCI-000135

Discussion

Privileged commands are commands that change the configuration or data of the application server. Since this type of command changes the application server configuration and could possibly change the security posture of the application server, these commands need to be logged to show the full-text of the command executed. Without the full-text, reconstruction of harmful events or forensic analysis is not possible.

Organizations can consider limiting the additional log information to only that information explicitly needed for specific log requirements. At a minimum, the organization must log either full-text recording of privileged commands or the individual identities of group users, or both. The organization must maintain log trails in sufficient detail to reconstruct events to determine the cause and impact of compromise.

Checks

Review the application server documentation and deployment configuration to determine if the application server is configured to generate full-text recording of privileged commands or the individual identities of group users at a minimum.

Have a user execute a privileged command and review the log data to validate that the full-text or identity of the individual is being logged.

If the application server is not meeting this requirement, this is a finding.

Fix

Configure the application server to generate the full-text recording of privileged commands or the individual identities of group users, or both.
V-57419 No Change
Findings ID: SRG-APP-000356-AS-000202 Rule ID: SV-71691r2_rule Severity: medium CCI: CCI-001844

Discussion

A clustered application server is made up of several servers working together to provide the user a failover and increased computing capability. To facilitate uniform logging in the event of an incident and later forensic investigation, the record format and logable events need to be uniform. This can be managed best from a centralized server.

Without the ability to centrally manage the content captured in the log records, identification, troubleshooting, and correlation of suspicious behavior would be difficult and could lead to a delayed or incomplete analysis of an ongoing attack.

Checks

Review application server documentation and configuration to determine if the application server is part of a cluster.

If the application server is not part of a cluster, this requirement is NA.

If the application server is part of a cluster, verify that the log settings are managed and configured from a centralized management server.

If the log settings are not centrally managed, this is a finding.

Fix

Configure the application server to allow centralized management and configuration of the content to be captured in log records.
V-57421 No Change
Findings ID: SRG-APP-000357-AS-000038 Rule ID: SV-71693r2_rule Severity: medium CCI: CCI-001849

Discussion

The proper management of log records not only dictates proper archiving processes and procedures be established, it also requires allocating enough storage space to maintain the logs online for a defined period of time.

If adequate online log storage capacity is not maintained, intrusion monitoring, security investigations, and forensic analysis can be negatively affected.

It is important to keep a defined amount of logs online and readily available for investigative purposes. The logs may be stored on the application server until they can be archived to a log system or, in some instances, a Storage Area Networks (SAN). Regardless of the method used, log record storage capacity must be sufficient to store log data when the data cannot be offloaded to a log system or SAN.

Checks

Review the application server documentation and configuration to determine if the application server creates log storage to buffer log data until offloading to a log data storage facility.

If the application server does not allocate storage for log data, this is a finding.

Fix

Configure the application server to allocate storage for log data before offloading to a log data storage facility.
V-57423 No Change
Findings ID: SRG-APP-000358-AS-000064 Rule ID: SV-71695r2_rule Severity: medium CCI: CCI-001851

Discussion

Information system logging capability is critical for accurate forensic analysis. Log record content that may be necessary to satisfy the requirement of this control includes, but is not limited to, time stamps, source and destination IP addresses, user/process identifiers, event descriptions, application-specific events, success/fail indications, filenames involved, access control or flow control rules invoked.

Off-loading is a common process in information systems with limited log storage capacity.

Centralized management of log records provides for efficiency in maintenance and management of records, as well as the backup and archiving of those records. Application servers and their related components are required to off-load log records onto a different system or media than the system being logged.

Checks

Verify the log records are being off-loaded to a separate system or transferred from the application server to a storage location other than the application server itself.

The system administrator of the device may demonstrate this capability using a log management application, system configuration, or other means.

If logs are not being off-loaded, this is a finding.

Fix

Configure the application server to off-load the logs to a remote log or management server.
V-57425 No Change
Findings ID: SRG-APP-000515-AS-000203 Rule ID: SV-71697r2_rule Severity: medium CCI: CCI-001851

Discussion

Information stored in one location is vulnerable to accidental or incidental deletion or alteration. Protecting log data is important during a forensic investigation to ensure investigators can track and understand what may have occurred. Off-loading should be set up as a scheduled task but can be configured to be run manually, if other processes during the off-loading are manual.

Off-loading is a common process in information systems with limited log storage capacity.

Checks

Verify the log records are being off-loaded, at a minimum of real time for interconnected systems and weekly for standalone systems.

If the application server is not meeting these requirements, this is a finding.

Fix

Configure the application server to off-load interconnected systems in real time and standalone systems weekly.
V-57427 No Change
Findings ID: SRG-APP-000359-AS-000065 Rule ID: SV-71699r2_rule Severity: medium CCI: CCI-001855

Discussion

It is critical for the appropriate personnel to be aware if a system is at risk of failing to process logs as required. Log processing failures include software/hardware errors, failures in the log capturing mechanisms, and log storage capacity being reached or exceeded. Notification of the storage condition will allow administrators to take actions so that logs are not lost. This requirement can be met by configuring the application server to utilize a dedicated logging tool that meets this requirement.

Checks

Review the configuration settings to determine if the application server logging system provides a warning to the SA and ISSO when 75% of allocated log record storage volume is reached.

If designated alerts are not sent, or the application server is not configured to use a dedicated logging tool that meets this requirement, this is a finding.

Fix

Configure the application server to provide an alert to the SA and ISSO when allocated log record storage volume reaches 75% of maximum log record storage capacity.
V-57429 No Change
Findings ID: SRG-APP-000360-AS-000066 Rule ID: SV-71701r2_rule Severity: medium CCI: CCI-001858

Discussion

It is critical for the appropriate personnel to be aware if a system is at risk of failing to process logs as required. Log processing failures include software/hardware errors, failures in the log capturing mechanisms, and log storage capacity being reached or exceeded. Notification of the failure event will allow administrators to take actions so that logs are not lost.

Checks

Review the configuration settings to determine if the application server log system provides a real-time alert to authorized users when log failure events occur requiring real-time alerts.

If designated alerts are not sent to authorized users, this is a finding.

Fix

Configure the application server to provide a real-time alert to authorized users when log failure events occur that require real-time alerts.
V-57431 No Change
Findings ID: SRG-APP-000374-AS-000210 Rule ID: SV-71703r2_rule Severity: medium CCI: CCI-001890

Discussion

If time stamps are not consistently applied and there is no common time reference, it is difficult to perform forensic analysis.

Time stamps generated by the application include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC.

Checks

Review the application server documentation and configuration files to determine if time stamps for log records can be mapped to UTC or GMT.

If the time stamp cannot be mapped to UTC or GMT, this is a finding.

Fix

Configure the application server to use time stamps for log records that can easily be mapped to UTC or GMT.
V-57433 No Change
Findings ID: SRG-APP-000375-AS-000211 Rule ID: SV-71705r2_rule Severity: medium CCI: CCI-001889

Discussion

To investigate an incident, the log records should be easily put into chronological order. Without sufficient granularity of time stamps, the chronological order cannot be determined.

Time stamps generated by the application server include date and time. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks.

Checks

Review the application server documentation and configuration files to determine if time stamps for log records meet a granularity of one second.

If the time stamp cannot generate to a one-second granularity, this is a finding.

Fix

Configure the application server to use time stamps for log records that can meet a granularity of one second.
V-57435 No Change
Findings ID: SRG-APP-000371-AS-000077 Rule ID: SV-71707r2_rule Severity: medium CCI: CCI-001891

Discussion

Determining the correct time a particular application event occurred on a system is critical when conducting forensic analysis and investigating system events.

Synchronization of system clocks is needed in order to correctly correlate the timing of events that occur across multiple systems. To meet this requirement, the organization will define an authoritative time source and have each system compare its internal clock at least every 24 hours.

Checks

Review application server documentation and confirm that the application server compares internal application server clocks at least every 24 hours with an authoritative time source.

If the application server does not compare internal application server clocks to an authoritative source or if the frequency is greater than every 24 hours, this is a finding.

Fix

Configure the application server to compare internal application server clocks at least every 24 hours with an authoritative time source.
V-57437 No Change
Findings ID: SRG-APP-000372-AS-000212 Rule ID: SV-71709r2_rule Severity: medium CCI: CCI-002046

Discussion

Determining the correct time a particular application event occurred on a system is critical when conducting forensic analysis and investigating system events.

Synchronization of internal application server clocks is needed in order to correctly correlate the timing of events that occur across multiple systems. To meet this requirement, the organization will define an authoritative time source and have each system synchronize when the time difference is greater than a defined time period. The industry standard for the threshold is 1ms.

Checks

Review application server documentation and configuration to determine if the application server is configured to reset internal information clocks when the difference is greater than a defined threshold with an authoritative time source.

If the application server cannot synchronize internal application server clocks to the authoritative time source when the time difference is greater than the organization-defined time period, this is a finding.

Fix

Configure the application server to reset internal information system clocks when the time difference is greater than a defined time period with the authoritative time source.
V-57439 No Change
Findings ID: SRG-APP-000495-AS-000220 Rule ID: SV-71711r2_rule Severity: medium CCI: CCI-000172

Discussion

Changing privileges of a subject/object may cause a subject/object to gain or lose capabilities. When successful/unsuccessful changes are made, the event needs to be logged. By logging the event, the modification or attempted modification can be investigated to determine if it was performed inadvertently or maliciously.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records when successful/unsuccessful attempts are made to modify privileges.

If log records are not generated, this is a finding.

Fix

Configure the application server to generate log records when privileges are successfully or unsuccessfully modified.
V-57441 No Change
Findings ID: SRG-APP-000499-AS-000224 Rule ID: SV-71713r2_rule Severity: medium CCI: CCI-000172

Discussion

Deleting privileges of a subject/object may cause a subject/object to gain or lose capabilities. When successful and unsuccessful privilege deletions are made, the events need to be logged. By logging the event, the modification or attempted modification can be investigated to determine if it was performed inadvertently or maliciously.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records when successful and unsuccessful attempts are made to delete privileges.

If log records are not generated, this is a finding.

Fix

Configure the application server to generate log records when privileges are successfully or unsuccessfully deleted.
V-57443 No Change
Findings ID: SRG-APP-000503-AS-000228 Rule ID: SV-71715r2_rule Severity: medium CCI: CCI-000172

Discussion

Logging the access to the application server allows the system administrators to monitor user accounts. By logging successful/unsuccessful logons, the system administrator can determine if an account is compromised (e.g., frequent logons) or is in the process of being compromised (e.g., frequent failed logons) and can take actions to thwart the attack.

Logging successful logons can also be used to determine accounts that are no longer in use.

Checks

Review product documentation and the system configuration to determine if the application server generates log records on successful and unsuccessful logon attempts by users.

If logon attempts do not generate log records, this is a finding.

Fix

Configure the application server to generate log records when successful/unsuccessful logon attempts are made by users.
V-57445 No Change
Findings ID: SRG-APP-000504-AS-000229 Rule ID: SV-71717r2_rule Severity: medium CCI: CCI-000172

Discussion

Without generating log records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.

Privileged activities would occur through the management interface. This interface can be web-based or can be command line utilities. Whichever method is utilized by the application server, these activities must be logged.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records for privileged activities.

If log records are not generated for privileged activities, this is a finding.

Fix

Configure the application server to generate log records for privileged activities.
V-57481 No Change
Findings ID: SRG-APP-000505-AS-000230 Rule ID: SV-71757r2_rule Severity: medium CCI: CCI-000172

Discussion

Determining when a user has accessed the management interface is important to determine the timeline of events when a security incident occurs. Generating these events, especially if the management interface is accessed via a stateless protocol like HTTP, the log events will be generated when the user performs a logon (start) and when the user performs a logoff (end). Without these events, the user and later investigators cannot determine the sequence of events and therefore cannot determine what may have happened and by whom it may have been done.

The generation of start and end times within log events allow the user to perform their due diligence in the event of a security breach.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records showing starting and ending times for user access to the management interface.

If log records are not generated showing starting and ending times of user access to the management interface, this is a finding.

Fix

Configure the application server to generate log records showing starting and ending times of user access to the management interface.
V-57483 No Change
Findings ID: SRG-APP-000506-AS-000231 Rule ID: SV-71759r2_rule Severity: medium CCI: CCI-000172

Discussion

Being able to work on a system through multiple views into the application allows a user to work more efficiently and more accurately. Before environments with windowing capabilities or multiple desktops, a user would log onto the application from different workstations or terminals. With today's workstations, this is no longer necessary and may signal a compromised session or user account.

When concurrent logons are made from different workstations to the management interface, a log record needs to be generated. This allows the system administrator to investigate the incident and to be aware of the incident.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records showing concurrent logons from different workstations to the management interface.

If concurrent logons from different workstations are not logged, this is a finding.

Fix

Configure the application server to generate log records showing concurrent logons from different workstations to the management interface.
V-57485 No Change
Findings ID: SRG-APP-000509-AS-000234 Rule ID: SV-71761r2_rule Severity: medium CCI: CCI-000172

Discussion

The maintenance of user accounts is a key activity within the system to determine access and privileges. Through changes to accounts, an attacker can create an account for persistent access, modify an account to elevate privileges or terminate/disable an account(s) to cause a DoS for user(s). To be able to track and investigate these actions, log records must be generated for any account modification functions.

Application servers either provide a local user store, or they can integrate with enterprise user stores like LDAP. As such, the application server must be able to generate log records on account creation, modification, disabling, and termination.

Checks

Review the application server documentation and the system configuration to determine if the application server generates log records when accounts are created, modified, disabled, or terminated.

If the application server does not generate log records for account creation, modification, disabling, and termination, this is a finding.

Fix

Configure the application server to generate log records when accounts are created, modified, disabled, or terminated.
V-57487 No Change
Findings ID: SRG-APP-000353-AS-000235 Rule ID: SV-71763r2_rule Severity: medium CCI: CCI-001914

Discussion

Log records can be generated from various components within the application server. The list of logged events is the set of events for which logs are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating log records (i.e., logable events). Application server log events may include, but are not limited to, HTTP, Database, and XML parsing activity.

The application server must be capable of allowing defined individuals or roles to change the logging to be performed on all application server components, based on all selectable event criteria during a defined time threshold. The time threshold can be defined by such events as a change in the threat environment. The ability to change logging parameters during the threat would allow important forensic information to be gathered during the time duration of the threat.

Checks

Review the application server configuration to determine if the application server provides the capability for organization-identified individuals or roles to change the logging to be performed on all application components, based on all selectable event criteria within organization-defined time thresholds.

If the application server cannot meet this requirement, this is a finding.

Fix

Configure the application server to provide the capability for organization-identified individuals or roles to change the logging to be performed on all application components, based on all selectable event criteria within organization-defined time thresholds.
V-57491 No Change
Findings ID: SRG-APP-000380-AS-000088 Rule ID: SV-71767r2_rule Severity: medium CCI: CCI-001813

Discussion

When dealing with access restrictions pertaining to change control, it should be noted that any changes to the software, and/or application server configuration can potentially have significant effects on the overall security of the system.

Access restrictions for changes also include application software libraries.

If the application server provides automatic code deployment capability, (where updates to applications hosted on the application server are automatically performed, usually by the developers' IDE tool), it must also provide a capability to restrict the use of automatic application deployment. Automatic code deployments are allowable in a development environment, but not in production.

Checks

Review the application server documentation and configuration to determine if the system employs mechanisms to enforce restrictions on application server configuration changes.

Configuration changes include, but are not limited to, automatic code deployments, software library updates, and changes to configuration settings within the application server.

If the application server does not enforce access restrictions for configuration changes, this is a finding.

Fix

Configure the application server to enforce access restrictions associated with changes to the application server configuration to include code deployment, library updates, and changes to application server configuration settings.
V-57493 No Change
Findings ID: SRG-APP-000381-AS-000089 Rule ID: SV-71769r2_rule Severity: medium CCI: CCI-001814

Discussion

Without logging the enforcement of access restrictions against changes to the application server configuration, it will be difficult to identify attempted attacks, and a log trail will not be available for forensic investigation for after-the-fact actions. Configuration changes may occur to any of the modules within the application server through the management interface, but logging of actions to the configuration of a module outside the application server is not logged.

Enforcement actions are the methods or mechanisms used to prevent unauthorized changes to configuration settings. Enforcement action methods may be as simple as denying access to a file based on the application of file permissions (access restriction). Log items may consist of lists of actions blocked by access restrictions or changes identified after the fact.

Checks

Check the application server documentation and logs to determine if enforcement actions used to restrict access associated with changes to the application server are logged.

If these actions are not logged, this is a finding.

Fix

Configure the application server to log the enforcement actions used to restrict access associated with changes to the application server.
V-57495 No Change
Findings ID: SRG-APP-000131-AS-000002 Rule ID: SV-71771r2_rule Severity: medium CCI: CCI-001749

Discussion

Changes to any software components can have significant effects on the overall security of the application. Verifying software components have been digitally signed using a certificate that is recognized and approved by the organization ensures the software has not been tampered with and that it has been provided by a trusted vendor.

Accordingly, patches, service packs, or application components must be signed with a certificate recognized and approved by the organization.

Verifying the authenticity of the software prior to installation validates the integrity of the patch or upgrade received from a vendor. This ensures the software has not been tampered with and that it has been provided by a trusted vendor. Self-signed certificates are disallowed by this requirement. The application should not have to verify the software again. This requirement does not mandate DoD certificates for this purpose; however, the certificate used to verify the software must be from an approved CA.

Checks

Review system documentation to determine if the application server prevents the installation of patches, service packs, or application components without verification the software component has been digitally signed using a certificate that is recognized and approved by the organization.

If the application server does not meet this requirement, this is a finding.

Fix

Configure the application server to prevent the installation of patches, service packs, or application components without verification the software component has been digitally signed using a certificate that is recognized and approved by the organization.
V-57497 No Change
Findings ID: SRG-APP-000133-AS-000093 Rule ID: SV-71773r2_rule Severity: medium CCI: CCI-001499

Discussion

Any changes to the components of the application server can have significant effects on the overall security of the system.

In order to ensure a prompt response to failed application installations and application server upgrades, the application server must provide an automated rollback capability that allows the system to be restored to a previous known good configuration state prior to the application installation or application server upgrade.

Checks

Check the application server documentation and configuration to determine if the application server provides an automated rollback capability to a known good configuration in the event of a failed installation and upgrade.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to automatically rollback to a known good configuration in the event of failed application installations and application server upgrades.
V-57499 No Change
Findings ID: SRG-APP-000516-AS-000237 Rule ID: SV-71775r2_rule Severity: medium CCI: CCI-000366

Discussion

Configuring the application to implement organization-wide security implementation guides and security checklists ensures compliance with federal standards and establishes a common security baseline across DoD that reflects the most restrictive security posture consistent with operational requirements.

Configuration settings are the set of parameters that can be changed that affect the security posture and/or functionality of the system. Security-related parameters are those parameters impacting the security state of the application, including the parameters required to satisfy other security control requirements.

Checks

Review the application server documentation and configuration to determine if the application server is configured in accordance with the security configuration settings based on DoD security configuration or implementation guidance, including STIGs, NSA configuration guides, CTOs, and DTMs.

If the application server is not configured in accordance with security configuration settings, this is a finding.

Fix

Configure the application server to be in accordance with the security configuration settings based on DoD security configuration or implementation guidance, including STIGs, NSA configuration guides, CTOs, and DTMs.
V-57501 No Change
Findings ID: SRG-APP-000142-AS-000014 Rule ID: SV-71777r2_rule Severity: medium CCI: CCI-000382

Discussion

Some networking protocols may not meet organizational security requirements to protect data and components.

Application servers natively host a number of various features, such as management interfaces, httpd servers and message queues. These features all run on TCPIP ports. This creates the potential that the vendor may choose to utilize port numbers or network services that have been deemed unusable by the organization. The application server must have the capability to both reconfigure and disable the assigned ports without adversely impacting application server operation capabilities. For a list of approved ports and protocols, reference the DoD ports and protocols web site at https://powhatan.iiie.disa.mil/ports/cal.html.

Checks

Review the application server documentation and deployment configuration to determine which ports and protocols are enabled.

Verify that the ports and protocols being used are not prohibited and are necessary for the operation of the application server and the hosted applications.

If any of the ports or protocols is prohibited or not necessary for the application server operation, this is a finding.

Fix

Configure the application server to disable any ports or protocols that are prohibited by the PPSM CAL and vulnerability assessments.
V-57503 No Change
Findings ID: SRG-APP-000391-AS-000239 Rule ID: SV-71779r2_rule Severity: medium CCI: CCI-001953

Discussion

The use of PIV credentials facilitates standardization and reduces the risk of unauthorized access.

PIV credentials are only used in an unclassified environment.

DoD has mandated the use of the CAC to support identity management and personal authentication for systems covered under HSPD 12, as well as its use as a primary component of layered protection for national security systems.

The application server must support the use of PIV credentials to access the management interface and perform management functions.

Checks

Review application server documentation and configuration to ensure the application server accepts PIV credentials to the management interface.

If PIV credentials are not accepted, this is a finding.

Fix

Configure the application server to accept PIV credentials to access the management interface.
V-57505 No Change
Findings ID: SRG-APP-000392-AS-000240 Rule ID: SV-71781r2_rule Severity: medium CCI: CCI-001954

Discussion

The use of Personal Identity Verification (PIV) credentials facilitates standardization and reduces the risk of unauthorized access.

PIV credentials are only used in an unclassified environment.

DoD has mandated the use of the CAC to support identity management and personal authentication for systems covered under HSPD 12, as well as its use as a primary component of layered protection for national security systems.

The application server must electronically verify the use of PIV credentials to access the management interface and perform management functions.

Checks

Review application server documentation and configuration to ensure the application server electronically verifies PIV credentials to the management interface.

If PIV credentials are not electronically verified, this is a finding.

Fix

Configure the application server to electronically verify PIV credentials to access the management interface.
V-57507 No Change
Findings ID: SRG-APP-000394-AS-000241 Rule ID: SV-71783r2_rule Severity: medium CCI: CCI-001958

Discussion

Device authentication requires unique identification and authentication that may be defined by type, by specific device, or by a combination of type and device.

Device authentication is accomplished via the use of certificates and protocols such as SSL mutual authentication.

Device authentication is performed when the application server is providing web services capabilities and data protection requirements mandate the need to establish the identity of the connecting device before the connection is established.

Checks

Review application server documentation, application data protection requirements, and configuration to ensure the application server provides an SSL mutual authentication capability and the authentication is completed before the connection is fully established.

If data protection requirements require mutual authentication and the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to perform mutual authentication of network-connected endpoint devices before the connection is established.
V-57509 No Change
Findings ID: SRG-APP-000395-AS-000109 Rule ID: SV-71785r2_rule Severity: medium CCI: CCI-001967

Discussion

Device authentication requires unique identification and authentication that may be defined by type, by specific device, or by a combination of type and device.

Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk.

Device authentication is performed when the application server is providing web services capabilities and data protection requirements mandate the need to establish the identity of the connecting device before the connection is established.

Because of the challenges of applying this requirement on a large scale, organizations are encouraged to only apply the requirement to those limited number (and type) of devices that truly need to support this capability.

Checks

If data protection requirements do not mandate the need to establish the identity of the connecting device before the connection is established, this requirement is NA.

Review application server documentation and configuration to determine if the application server authenticates all endpoint devices before establishing a local, remote, and/or network connection using bidirectional authentication that is cryptographically based.

If the application server does not meet this requirement, this is a finding.

Fix

If data protection requirements do not mandate the need to establish the identity of the connecting device before the connection is established, this requirement is NA.

Configure the application server to authenticate all endpoint devices before establishing a local, remote, and/or network connection using bidirectional authentication that is cryptographically based.
V-57511 No Change
Findings ID: SRG-APP-000401-AS-000243 Rule ID: SV-71787r2_rule Severity: medium CCI: CCI-001991

Discussion

The cornerstone of the PKI is the private key used to encrypt or digitally sign information. The key by itself is a cryptographic value that does not contain specific user information.

Application servers must provide the capability to utilize and meet requirements of the DoD Enterprise PKI infrastructure for application authentication, but without configuring a local cache of revocation data, there is the potential to allow access to users who are no longer authorized (users with revoked certificates) when access through the network to the CA is not available.

Checks

Review application server documentation to ensure the application server provides a PKI integration capability that implements a local cache of revocation data to support path discovery and validation in case of the inability to access revocation information via the network.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to implement a local cache of revocation data to support path discovery and validation in case of the inability to access revocation information via the network.
V-57513 No Change
Findings ID: SRG-APP-000400-AS-000246 Rule ID: SV-71789r2_rule Severity: medium CCI: CCI-002007

Discussion

When the application server is using PKI authentication, a local revocation cache must be stored for instances when the revocation cannot be authenticated through the network, but if cached authentication information is out of date, the validity of the authentication information may be questionable.

Checks

Review application server documentation to ensure the application server prohibits the use of cached authenticators after an organization-defined timeframe.

If the application server is not configured to meet this requirement, this is a finding.

Fix

Configure the application server to prohibit the use of cached authenticators after an organization-defined timeframe.
V-57515 No Change
Findings ID: SRG-APP-000402-AS-000247 Rule ID: SV-71791r2_rule Severity: medium CCI: CCI-002009

Discussion

Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials. PIV credentials are only used in an unclassified environment.

Access may be denied to authorized users if federal agency PIV credentials are not accepted to access the management interface.

Checks

Review the application server documentation and configuration to determine if the application server accepts PIV credentials from other federal agencies to access the management interface.

If the application server does not accept other federal agency PIV credentials to access the management interface, this is a finding.

Fix

Configure the application server to accept PIV credentials from other federal agencies to access the management interface.
V-57517 No Change
Findings ID: SRG-APP-000403-AS-000248 Rule ID: SV-71793r3_rule Severity: medium CCI: CCI-002010

Discussion

Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials. PIV credentials are only used in an unclassified environment.

If PIV credentials are not electronically verified before accessing the management interface, unauthorized users may gain access to the system and data the user has not been granted access to.

Checks

The CAC is the standard DoD authentication token;the PIV is the standard authentication token used by federal/civilian agencies.

If access to the application server is limited to DoD personnel accessing the system via CAC; and PIV access is not warranted or allowed as per the system security plan, the PIV requirement is NA.

Review the application server documentation and configuration to determine if the application server electronically verifies PIV credentials from other federal agencies to access the management interface.

If the application server does not electronically verify other federal agency PIV credentials to access the management interface, this is a finding.

Fix

Configure the unclassified application server to electronically verify PIV credentials from other federal agencies before granting access to the management interface.
V-57519 No Change
Findings ID: SRG-APP-000404-AS-000249 Rule ID: SV-71795r2_rule Severity: medium CCI: CCI-002011

Discussion

Access may be denied to legitimate users if FICAM-approved third-party credentials are not accepted.

This requirement typically applies to organizational information systems that are accessible to non-federal government agencies and other partners. This allows federal government relying parties to trust such credentials at their approved assurance levels.

Third-party credentials are those credentials issued by non-federal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative.

Checks

Review the application server documentation and configuration to determine if the application server accepts FICAM-approved third-party credentials.

If the application server does not accept FICAM-approved third-party credentials, this is a finding.

Fix

Configure the application server to accept FICAM-approved third-party credentials.
V-57521 No Change
Findings ID: SRG-APP-000405-AS-000250 Rule ID: SV-71797r2_rule Severity: medium CCI: CCI-002014

Discussion

Without conforming to FICAM-issued profiles, the information system may not be interoperable with FICAM-authentication protocols, such as SAML 2.0 and OpenID 2.0.

This requirement addresses open identity management standards.

Checks

Review the application server documentation and configuration to determine if the application server conforms to FICAM-issued profiles.

If the application server does not conform to FICAM-issued profiles, this is a finding.

Fix

Configure the application server to conform to FICAM-issued profiles.
V-57523 No Change
Findings ID: SRG-APP-000389-AS-000253 Rule ID: SV-71799r2_rule Severity: medium CCI: CCI-002038

Discussion

Without re-authentication, users may access resources or perform tasks for which they do not have authorization.

When applications provide the capability to change security roles or escalate the functional capability of the application, it is critical the user re-authenticate.

In addition to the re-authentication requirements associated with session locks, the application server security model may require re-authentication of individuals in other situations, including (but not limited to) the following circumstances:

(i) When authenticators change;
(ii) When roles change;
(iii) When security categories of information systems change;
(iv) When the execution of privileged functions occurs;
(v) After a fixed period of time; or
(vi) Periodically.

Within the DoD, the minimum circumstances requiring re-authentication are privilege escalation and role changes.

Checks

Review the application server documentation and configuration to determine if the application server requires a user to re-authenticate when organization-defined circumstances or situations are met.

If the application server does not require a user to re-authenticate when organization-defined circumstances or situations are met, this is a finding.

Fix

Configure the application server to require a user to re-authenticate when organization-defined circumstances or situations are met.
V-57525 No Change
Findings ID: SRG-APP-000390-AS-000254 Rule ID: SV-71801r2_rule Severity: medium CCI: CCI-002039

Discussion

Without re-authenticating devices, unidentified or unknown devices may be introduced, thereby facilitating malicious activity.

In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of devices, including (but not limited to), the following other situations.

(i) When authenticators change;
(ii) When roles change;
(iii) When security categories of information systems change;
(iv) After a fixed period of time; or
(v) Periodically.

For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification decisions (as opposed to the actual identifiers) to the services that need to act on those decisions.

Checks

Review the application server documentation and configuration to determine if the application server requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.

If the application server does not require a device to re-authenticate, this is a finding.

Fix

Configure the application server to require devices to re-authenticate when organization-defined circumstances or situations require re-authentication.
V-57527 No Change
Findings ID: SRG-APP-000181-AS-000255 Rule ID: SV-71803r3_rule Severity: medium CCI: CCI-001876

Discussion

The ability to generate on-demand reports, including after the log data has been subjected to log reduction, greatly facilitates the organization's ability to generate incident reports as needed to better handle larger-scale or more complex security incidents.

Log reduction is a process that manipulates collected log information and organizes such information in a summary format that is more meaningful to analysts. The report generation capability provided by the application must support on-demand (i.e., customizable, ad-hoc, and as needed) reports.

Instead of the application server providing the log reduction function; it is also accepted practice to configure the application server to send its logs to a centralized log system that can be used to provide the log reduction with reporting capability. Security Incident Event Management (SIEM) systems are an example of such a solution.

To fully understand and investigate an incident within the components of the application server, the application server, must be configured to provide log reduction and on-demand reporting or be configured to send its logs to a centralized log system.

Checks

Review application server product documentation and server configuration to determine if the application server is configured to provide log reduction with on-demand reporting.

If the application server is not configured to provide log reduction with on-demand reporting, or is not configured to send its logs to a centralized log system, this is a finding.

Fix

Configure the application server to provide and utilize log reduction with on-demand reporting or configure the application server to send its logs to a centralized log log system that provides log reduction and on-demand reporting functions.
V-57529 No Change
Findings ID: SRG-APP-000435-AS-000163 Rule ID: SV-71805r2_rule Severity: medium CCI: CCI-002385

Discussion

DoS is a condition when a resource is not available for legitimate users. When this occurs, the organization either cannot accomplish its mission or must operate at degraded capacity. To reduce the possibility or effect of a DoS, the application server must employ defined security safeguards. These safeguards will be determined by the placement of the application server and the type of applications being hosted within the application server framework.

There are many examples of technologies that exist to limit or, in some cases, eliminate the effects of DoS attacks (e.g., limiting processes or restricting the number of sessions the application opens at one time). Employing increased capacity and bandwidth, combined with service redundancy or clustering, may reduce the susceptibility to some DoS attacks.

Checks

Review application server documentation and configuration to determine if the application server can protect against or limit the effects of all types of Denial of Service (DoS) attacks by employing defined security safeguards.

If the application server cannot be configured to protect against or limit the effects of all types of DoS, this is a finding.

Fix

Configure the application server to protect against or limit the effects of all types of Denial of Service (DoS) attacks by employing defined security safeguards.
V-57531 No Change
Findings ID: SRG-APP-000435-AS-000069 Rule ID: SV-71807r2_rule Severity: medium CCI: CCI-002385

Discussion

A MAC I system is a system that handles data vital to the organization's operational readiness or effectiveness of deployed or contingency forces. A MAC I system must maintain the highest level of integrity and availability. By HA clustering the application server, the hosted application and data are given a platform that is load-balanced and provided high-availability.

Checks

If the application server is not a MAC I system, this requirement is NA.

Review the application server documentation and configuration to determine if the application server is part of an HA cluster.

If the application server is not part of an HA cluster, this is a finding.

Fix

If the application server is not a MAC I system, this requirement is NA.

Configure the application server to be part of an HA cluster.
V-57533 No Change
Findings ID: SRG-APP-000439-AS-000155 Rule ID: SV-71809r2_rule Severity: medium CCI: CCI-002418

Discussion

Preventing the disclosure of transmitted information requires that the application server take measures to employ some form of cryptographic mechanism in order to protect the information during transmission. This is usually achieved through the use of Transport Layer Security (TLS).

Transmission of data can take place between the application server and a large number of devices/applications external to the application server. Examples are a web client used by a user, a backend database, a log server, or other application servers in an application server cluster.

If data is transmitted unencrypted, the data then becomes vulnerable to disclosure. The disclosure may reveal user identifier/password combinations, website code revealing business logic, or other user personal information.

FIPS 140-2 approved TLS versions include TLS V1.0 or greater.

TLS must be enabled and non-FIPS-approved SSL versions must be disabled. NIST SP 800-52 specifies the preferred configurations for government systems.

Checks

Review the application server documentation and deployed configuration to determine which version of TLS is being used.

If the application server is not using TLS to maintain the confidentiality and integrity of transmitted information or non-FIPS-approved SSL versions are enabled, this is a finding.

Fix

Configure the application server to use a FIPS-2 approved TLS version to maintain the confidentiality and integrity of transmitted information and to disable all non-FIPS-approved SSL versions.
V-57535 No Change
Findings ID: SRG-APP-000440-AS-000167 Rule ID: SV-71811r2_rule Severity: medium CCI: CCI-002421

Discussion

Preventing the disclosure or modification of transmitted information requires that application servers take measures to employ approved cryptography in order to protect the information during transmission over the network. This is usually achieved through the use of Transport Layer Security (TLS), SSL VPN, or IPSec tunnel.

If data in transit is unencrypted, it is vulnerable to disclosure and modification. If approved cryptographic algorithms are not used, encryption strength cannot be assured.

FIPS 140-2 approved TLS versions include TLS V1.0 or greater.

TLS must be enabled and non-FIPS-approved SSL versions must be disabled. NIST SP 800-52 specifies the preferred configurations for government systems.

Checks

Review application server documentation and configuration to determine if the application server employs approved cryptographic mechanisms to prevent unauthorized disclosure of information and/or detect changes to information during transmission.

If the application server does not employ approved cryptographic mechanisms, this is a finding.

Fix

Configure the application server to use AES 128 or AES 256 encryption for data in transit.
V-57537 No Change
Findings ID: SRG-APP-000441-AS-000258 Rule ID: SV-71813r2_rule Severity: medium CCI: CCI-002420

Discussion

Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

An example of this would be an SMTP queue. This queue may be part of the application server so error messages from the server can be sent to system administrators, or SMTP functionality can be added to hosted applications by developers.

Any modules used by the application server that queue data before transmission must maintain the confidentiality and integrity of the information before the data is transmitted.

Checks

Review the application server documentation and deployed configuration to determine if the application server maintains the confidentiality and integrity of information during preparation before transmission.

If the confidentiality and integrity is not maintained, this is a finding.

Fix

Configure the application server to maintain the confidentiality and integrity of information during preparation for transmission.
V-57539 No Change
Findings ID: SRG-APP-000442-AS-000259 Rule ID: SV-71815r2_rule Severity: medium CCI: CCI-002422

Discussion

Information can be either unintentionally or maliciously disclosed or modified during reception, including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

Protecting the confidentiality and integrity of received information requires that application servers take measures to employ approved cryptography in order to protect the information during transmission over the network. This is usually achieved through the use of Transport Layer Security (TLS), SSL VPN, or IPSEC tunnel.

The application server must utilize approved encryption when receiving transmitted data.

Checks

Review application server configuration to determine if the server is using a transmission method that maintains the confidentiality and integrity of information during reception.

If a transmission method is not being used that maintains the confidentiality and integrity of the data during reception, this is a finding.

Fix

Configure the application server to utilize a transmission method that maintains the confidentiality and integrity of information during reception.
V-57541 No Change
Findings ID: SRG-APP-000416-AS-000140 Rule ID: SV-71817r2_rule Severity: medium CCI: CCI-002450

Discussion

Cryptography is only as strong as the encryption modules/algorithms employed to encrypt the data. Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data.

NSA has developed Type 1 algorithms for protecting classified information. The Committee on National Security Systems (CNSS) National Information Assurance Glossary (CNSS Instruction No. 4009) defines Type 1 products as:

"Cryptographic equipment, assembly or component classified or certified by NSA for encrypting and decrypting classified and sensitive national security information when appropriately keyed. Developed using established NSA business processes and containing NSA-approved algorithms
are used to protect systems requiring the most stringent protection mechanisms."

NSA-approved cryptography is required to be used for classified information system processing.

The application server must utilize NSA-approved encryption modules when protecting classified data. This means using AES and other approved encryption modules.

Checks

Review application server documentation to verify that the application server is using NSA-approved cryptography to protect classified data and applications resident on the device.

If the application server is not using NSA-approved cryptography for classified data and applications, this is a finding.

Fix

Configure the application server to utilize NSA-approved cryptography to protect classified information.
V-57543 No Change
Findings ID: SRG-APP-000514-AS-000136 Rule ID: SV-71819r2_rule Severity: medium CCI: CCI-002450

Discussion

An asymmetric encryption key must be protected during transmission. The public portion of an asymmetric key pair can be freely distributed without fear of compromise, and the private portion of the key must be protected. The application server will provide software libraries that applications can programmatically utilize to encrypt and decrypt information. These application server libraries must use NIST-approved or NSA-approved key management technology and processes when producing, controlling, or distributing symmetric and asymmetric keys.

Checks

Review application server configuration and the NIST FIPS certificate to validate the application server uses NIST-approved or NSA-approved key management technology and processes when producing, controlling or distributing symmetric and asymmetric keys.

If the application server does not use this NIST-approved or NSA-approved key management technology and processes, this is a finding.

Fix

Configure the application server to utilize NIST-approved or NSA-approved key management technology when the application server produces, controls, and distributes symmetric and asymmetric cryptographic keys.
V-57545 No Change
Findings ID: SRG-APP-000514-AS-000137 Rule ID: SV-71821r2_rule Severity: medium CCI: CCI-002450

Discussion

Class 3 PKI certificates are used for servers and software signing rather than for identifying individuals. Class 4 certificates are used for business-to-business transactions. Utilizing unapproved certificates not issued or approved by DoD or CNS creates an integrity risk. The application server must utilize approved DoD or CNS Class 3 or Class 4 certificates for software signing and business-to-business transactions.

Checks

Review the application server configuration to determine if the application server utilizes approved PKI Class 3 or Class 4 certificates.

If the application server is not configured to use approved DoD or CNS certificates, this is a finding.

Fix

Configure the application server to use DoD- or CNSS-approved Class 3 or Class 4 PKI certificates.
V-57547 No Change
Findings ID: SRG-APP-000206-AS-000145 Rule ID: SV-71823r2_rule Severity: medium CCI: CCI-001166

Discussion

Mobile code is defined as software modules obtained from remote systems, transferred across a network, and then downloaded and executed on a local system without explicit installation or execution by the recipient.

Mobile code technologies include: Java, JavaScript, ActiveX, PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on organizational servers and mobile code downloaded and executed on individual workstations.

Application servers must meet policy requirements regarding the deployment and/or use of mobile code. This includes digitally signing applets in order to provide a means for the client to establish application authenticity and prohibit unauthorized code from being used.

Checks

Review the application server configuration to determine if the application server is configured to identify prohibited mobile code.

If the application server is not configured to identify prohibited mobile code, this is a finding.

Fix

Configure the application server to identify prohibited mobile code.
V-57549 No Change
Findings ID: SRG-APP-000223-AS-000150 Rule ID: SV-71825r3_rule Severity: medium CCI: CCI-001664

Discussion

Unique session IDs are the opposite of sequentially generated session IDs, which can be easily guessed by an attacker. Unique session identifiers help to reduce predictability of session identifiers. Unique session IDs address man-in-the-middle attacks, including session hijacking or insertion of false information into a session. If the attacker is unable to identify or guess the session information related to pending application traffic, they will have more difficulty in hijacking the session or otherwise manipulating valid sessions.

Application servers must generate a unique session identifier for each application session so as to prevent session hijacking.

Checks

Review the application server session management configuration settings in either the application server management console, application server initialization or application server configuration files to determine if the application server is configured to generate a unique session identifier for each session.

If the application server is not configured to generate a unique session identifier for each session, this is a finding.

Fix

Configure the application server to generate a unique session identifier for each session.
V-57551 No Change
Findings ID: SRG-APP-000427-AS-000264 Rule ID: SV-71827r2_rule Severity: medium CCI: CCI-002470

Discussion

Untrusted Certificate Authorities (CA) can issue certificates, but they may be issued by organizations or individuals that seek to compromise DoD systems or by organizations with insufficient security controls. If the CA used for verifying the certificate is not a DoD-approved CA, trust of this CA has not been established.

The DoD will only accept PKI certificates obtained from a DoD-approved internal or external certificate authority. Reliance on CAs for the establishment of secure sessions includes, for example, the use of SSL/TLS certificates. The application server must only allow the use of DoD PKI-established certificate authorities for verification.

Checks

Review the application server documentation and configuration to determine if the application server only allows the use of DoD PKI-established certificate authorities.

If the application server allows other certificate authorities for verification, this is a finding.

Fix

Configure the application server to allow the use of DoD PKI-established certificate authorities for verification of the establishment of protected sessions.
V-57553 No Change
Findings ID: SRG-APP-000225-AS-000166 Rule ID: SV-71829r2_rule Severity: medium CCI: CCI-001190

Discussion

Fail-secure is a condition achieved by the application server in order to ensure that in the event of an operational failure, the system does not enter into an unsecure state where intended security properties no longer hold. Preserving information system state information also facilitates system restart and return to the operational mode of the organization with less disruption of mission-essential processes.

Checks

Review application server documentation and configuration to determine if the application server fails to a secure state if system initialization fails, shutdown fails, or aborts fail.

If the application server cannot be configured to fail securely, this is a finding.

Fix

Configure the application server to fail to a secure state if system initialization fails, shutdown fails, or aborts fail.
V-57555 No Change
Findings ID: SRG-APP-000231-AS-000133 Rule ID: SV-71831r2_rule Severity: medium CCI: CCI-001199

Discussion

When data is written to digital media such as hard drives, mobile computers, external/removable hard drives, personal digital assistants, flash/thumb drives, etc., there is risk of data loss and data compromise.

Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact if accessed by other than authorized personnel. In these situations, it is assumed the physical access controls where the media resides provide adequate protection.

As part of a defense-in-depth strategy, data owners and DoD consider routinely encrypting information at rest on selected secondary storage devices. The employment of cryptography is at the discretion of the information owner/steward. The selection of the cryptographic mechanisms used is based upon maintaining the confidentiality and integrity of the information.

The strength of mechanisms is commensurate with the classification and sensitivity of the information.

The application server must directly provide, or provide access to, cryptographic libraries and functionality that allow applications to encrypt data when it is stored.

Checks

Review the application server documentation and configuration to ensure the application server is protecting the confidentiality and integrity of all information at rest.

If the confidentiality and integrity of all information at rest is not protected, this is a finding.

Fix

Configure the application server to protect the confidentiality and integrity of all information at rest.
V-57557 No Change
Findings ID: SRG-APP-000428-AS-000265 Rule ID: SV-71833r2_rule Severity: medium CCI: CCI-002475

Discussion

Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an application server. Alternative physical protection measures include protected distribution systems.

In order to prevent unauthorized disclosure or modification of the information, application servers must protect data at rest by using cryptographic mechanisms.

Selection of a cryptographic mechanism is based on the need to protect the integrity of organizational information. The strength of the mechanism is commensurate with the security category and/or classification of the information. Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields).

Checks

Review application server documentation and configuration to determine if the application server implements cryptographic mechanisms to prevent unauthorized modification of organization-defined information at rest on organization-defined information system components.

If the application server does not implement cryptographic mechanisms to prevent unauthorized modification, this is a finding.

Fix

Configure the application server to implement cryptographic mechanisms to prevent unauthorized modification of organization-defined information at rest on organization-defined information system components.
V-57559 No Change
Findings ID: SRG-APP-000429-AS-000157 Rule ID: SV-71835r2_rule Severity: medium CCI: CCI-002476

Discussion

Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an application server. Alternative physical protection measures include protected distribution systems.

In order to prevent unauthorized disclosure or modification of the information, application servers must protect data at rest by using cryptographic mechanisms.

Checks

Review application server documentation and configuration to determine if the application server implements cryptographic mechanisms to prevent unauthorized disclosure of organization-defined information at rest on organization-defined information system components.

If the application server does not implement cryptographic mechanisms to prevent unauthorized disclosure, this is a finding.

Fix

Configure the application server to implement cryptographic mechanisms to prevent unauthorized disclosure of organization-defined information at rest on organization-defined information system components.
V-57561 No Change
Findings ID: SRG-APP-000456-AS-000266 Rule ID: SV-71837r2_rule Severity: medium CCI: CCI-002605

Discussion

Security flaws with software applications are discovered daily. Vendors are constantly updating and patching their products to address newly discovered security vulnerabilities. Organizations (including any contractor to the organization) are required to promptly install security-relevant software updates (e.g., patches, service packs, and hot fixes) to production systems after thorough testing of the patches within a lab environment. Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling must also be addressed expeditiously.

Checks

Review the application server documentation and configuration to determine if the application server checks with a patch management system to install security-relevant software updates within a timeframe directed by an authoritative source.

If the application server does not install security-relevant patches within the time period directed by the authoritative source, this is a finding.

Fix

Configure the application server to use a patch management system to ensure security-relevant updates are installed within the time period directed by the authoritative source.
V-57563 No Change
Findings ID: SRG-APP-000454-AS-000268 Rule ID: SV-71839r2_rule Severity: medium CCI: CCI-002617

Discussion

Installation of patches and updates is performed when there are errors or security vulnerabilities in the current release of the software. When previous versions of software components are not removed from the application server after updates have been installed, an attacker may use the older components to exploit the system.

Checks

Review the application server documentation and configuration to determine if organization-defined software components are removed after updated versions have been installed.

If organization-defined software components are not removed after updated versions have been installed, this is a finding.

Fix

Configure the application server to remove organization-defined software components after updated versions have been installed.
V-57565 No Change
Findings ID: SRG-APP-000447-AS-000273 Rule ID: SV-71841r2_rule Severity: medium CCI: CCI-002754

Discussion

Invalid user input occurs when a user inserts data or characters into an applications data entry field and the application is unprepared to process that data. This results in unanticipated application behavior potentially leading to an application or information system compromise. Invalid user input is one of the primary methods employed when attempting to compromise an application.

Application servers must ensure their management interfaces perform data input validation checks. When invalid data is entered, the application server must behave in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received. An example of a predictable behavior is trapping the data, logging the invalid data for forensic analysis if necessary, and continuing operation in a safe and secure manner.

Checks

Review the application server configuration to determine if the management interface behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

If the application server does not meet this requirement, this is a finding.

Fix

Configure the application server management interface to behave in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
V-57567 No Change
Findings ID: SRG-APP-000266-AS-000168 Rule ID: SV-71843r2_rule Severity: medium CCI: CCI-001312

Discussion

The structure and content of error messages need to be carefully considered by the organization and development team. Any application providing too much information in error logs and in administrative messages to the screen risks compromising the data and security of the application and system. The extent to which the application server is able to identify and handle error conditions is guided by organizational policy and operational requirements. Adequate logging levels and system performance capabilities need to be balanced with data protection requirements.

The structure and content of error messages needs to be carefully considered by the organization and development team.

Application servers must have the capability to log at various levels which can provide log entries for potential security-related error events.

An example is the capability for the application server to assign a criticality level to a failed logon attempt error message, a security-related error message being of a higher criticality.

Checks

Review the application server configuration to determine if the system identifies potentially security-relevant error conditions on the server.

If this function is not performed, this is a finding.

Fix

Configure the application server to identify potentially security-relevant error conditions on the server.
V-61351 No Change
Findings ID: SRG-APP-000439-AS-000274 Rule ID: SV-75833r1_rule Severity: medium CCI: CCI-002418

Discussion

During the initial setup of a Transport Layer Security (TLS) connection to the application server, the client sends a list of supported cipher suites in order of preference. The application server will reply with the cipher suite it will use for communication from the client list. If an attacker can intercept the submission of cipher suites to the application server and place, as the preferred cipher suite, a weak export suite, the encryption used for the session becomes easy for the attacker to break, often within minutes to hours.

Checks

Review the application server documentation and deployed configuration to determine if export ciphers are removed.

If the application server does not have the export ciphers removed, this is a finding.

Fix

Configure the application server to have export ciphers removed.
V-57489 Removed
Findings ID: SRG-APP-000355-AS-000055 Rule ID: SV-71765r2_rule Severity: medium CCI: CCI-001920

Discussion

Without the capability to remotely view/hear all content related to a user session, investigations into suspicious user activity would be hampered. Real-time monitoring allows authorized personnel to take action before additional damage is done. The ability to observe user sessions as they are happening allows for interceding in ongoing events that after-the-fact review of captured content would not allow.

Checks

Review the application server documentation to determine if the application server can be configured by authorized users to remotely view/hear, in real time, all content related to an established user session. If the application server does not have the capability to allow authorized users to remotely view/hear all content related to an established user session, this is a finding.

Fix

Configure the application server to provide the capability for authorized users to remotely view/hear, in real time, all content related to an established user session.