IBM DataPower Network Device Management Security Technical Implementation Guide

U_IBM_DataPower_NDM_STIG_V1R2_Manual-xccdf.xml

This Security Technical Implementation Guide is published as a tool to improve the security of Department of Defense (DoD) information systems. The requirements are derived from the National Institute of Standards and Technology (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]
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Version / Release: V1R2

Published: 2017-10-05

Updated At: 2018-09-23 19:13:30

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    Vuln Rule Version CCI Severity Title Description Status Finding Details Comments
    SV-79471r1_rule WSDP-NM-000013 CCI-000213 MEDIUM The DataPower Gateway must enforce the assigned privilege level for each administrator and authorizations for access to all commands relative to the privilege level in accordance with applicable policy for the device. To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems must be properly configured to incorporate access control methods that do not rely solely on the possession of a certificate for access. Successful authentication must not automatically give an entity access to an asset or security boundary. Authorization procedures and controls must be implemented to ensure each authenticated entity also has a validated and current authorization. Authorization is the process of determining whether an entity, once authenticated, is permitted to access a specific asset. Network devices use access control policies and enforcement mechanisms to implement this requirement. Access control policies include identity-based policies, role-based policies, and attribute-based policies. Access enforcement mechanisms include access control lists, access control matrices, and cryptography. These policies and mechanisms must be employed by the network device to control access between administrators (or processes acting on behalf of administrators) and objects (e.g., device commands, files, records, processes) in the network device.
    SV-79553r1_rule WSDP-NM-000014 CCI-001368 MEDIUM The DataPower Gateway must enforce approved authorizations for controlling the flow of management information within DataPower based on information flow control policies. A mechanism to detect and prevent unauthorized communication flow must be configured or provided as part of the system design. If management information flow is not enforced based on approved authorizations, the network device may become compromised. Information flow control regulates where management information is allowed to travel within a network device. The flow of all management information must be monitored and controlled so it does not introduce any unacceptable risk to the network device or data. Application-specific examples of enforcement occur in systems that employ rule sets or establish configuration settings that restrict information system services or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Applications providing information flow control must be able to enforce approved authorizations for controlling the flow of management information within the system in accordance with applicable policy.
    SV-79555r1_rule WSDP-NM-000016 CCI-000048 LOW The DataPower Gateway must display the Standard Mandatory DoD Notice and Consent Banner before granting access to the device. Display of the DoD-approved use notification before granting access to the network device ensures privacy and security notification verbiage used is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. System use notifications are required only for access via logon interfaces with human users.
    SV-79557r1_rule WSDP-NM-000017 CCI-000050 MEDIUM The DataPower Gateway must retain the Standard Mandatory DoD Notice and Consent Banner on the screen until the administrator acknowledges the usage conditions and takes explicit actions to log on for further access. The banner must be acknowledged by the administrator prior to allowing the administrator access to the network device. This provides assurance that the administrator has seen the message and accepted the conditions for access. If the consent banner is not acknowledged by the administrator, DoD will not be in compliance with system use notifications required by law. To establish acceptance of the network administration policy, a click-through banner at management session logon is required. The device must prevent further activity until the administrator executes a positive action to manifest agreement by clicking on a box indicating "OK".
    SV-79559r1_rule WSDP-NM-000022 CCI-000169 MEDIUM The DataPower Gateway must provide audit record generation capability for DoD-defined auditable events within DataPower. Without the capability to generate audit records, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one. Audit records can be generated from various components within the network device (e.g., process, module). Certain specific device functionalities may be audited as well. The list of audited events is the set of events for which audits 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 audit records. DoD has defined the list of events for which the device will provide an audit record generation capability as the following: (i) Successful and unsuccessful attempts to access, modify, or delete privileges, security objects, security levels, or categories of information (e.g., classification levels); (ii) Access actions, such as successful and unsuccessful logon attempts, privileged activities or other system level access, starting and ending time for user access to the system, concurrent logons from different workstations, successful and unsuccessful accesses to objects, all program initiations, and all direct access to the information system; and (iii) All account creation, modification, disabling, and termination actions.
    SV-79561r1_rule WSDP-NM-000023 CCI-000171 MEDIUM The DataPower Gateway must allow only the ISSM (or individuals or roles appointed by the ISSM) to select which auditable events are to be audited. Without the capability to restrict which roles and individuals can select which events are audited, unauthorized personnel may be able to prevent the auditing of critical events. Misconfigured audits may degrade the system's performance by overwhelming the audit log. Misconfigured audits may also make it more difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.
    SV-79563r1_rule WSDP-NM-000033 CCI-000139 MEDIUM The DataPower Gateway must alert the ISSO and SA (at a minimum) in the event of an audit processing failure. It is critical for the appropriate personnel to be aware if a system is at risk of failing to process audit logs as required. Without this notification, the security personnel may be unaware of an impending failure of the audit capability and system operation may be adversely affected. Audit processing failures include software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded.
    SV-79565r1_rule WSDP-NM-000036 CCI-000162 MEDIUM The DataPower Gateway must protect audit information from any type of unauthorized read access. Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. If audit data were to become compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is difficult, if not impossible, to achieve. In addition, access to audit records provides information an attacker could use to his or her advantage. To ensure the veracity of audit data, the information system and/or the network device must protect audit information from any and all unauthorized read access. This requirement can be achieved through multiple methods which will depend upon system architecture and design. Commonly employed methods for protecting audit information include least privilege permissions as well as restricting the location and number of log file repositories. Additionally, network devices with user interfaces to audit records should not allow for the unfettered manipulation of or access to those records via the device interface. If the device provides access to the audit data, the device becomes accountable for ensuring audit information is protected from unauthorized access.
    SV-79567r1_rule WSDP-NM-000039 CCI-001493 MEDIUM The DataPower Gateway must protect audit tools from unauthorized access. Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on audit data. Network devices providing tools to interface with audit data will leverage user permissions and roles identifying the user accessing the tools and the corresponding rights the user enjoys in order to make access decisions regarding the access to audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.
    SV-79569r1_rule WSDP-NM-000040 CCI-001494 MEDIUM The DataPower Gateway must protect audit tools from unauthorized modification. Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on audit data. Network devices providing tools to interface with audit data will leverage user permissions and roles identifying the user accessing the tools and the corresponding rights the user enjoys in order to make access decisions regarding the access to audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.
    SV-79571r1_rule WSDP-NM-000041 CCI-001495 MEDIUM The DataPower Gateway must protect audit tools from unauthorized deletion. Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operations on audit data. Network devices providing tools to interface with audit data will leverage user permissions and roles identifying the user accessing the tools and the corresponding rights the user enjoys in order to make access decisions regarding the access to audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.
    SV-79573r1_rule WSDP-NM-000042 CCI-001348 LOW The DataPower Gateway must back up audit records at least every seven days onto a different system or system component than the system or component being audited. Protection of log data includes assuring log data is not accidentally lost or deleted. Regularly backing up audit records to a different system or onto separate media than the system being audited helps to assure, in the event of a catastrophic system failure, the audit records will be retained. This helps to ensure a compromise of the information system being audited does not also result in a compromise of the audit records.
    SV-79575r1_rule WSDP-NM-000044 CCI-001749 MEDIUM The DataPower Gateway must 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. Changes to any software components can have significant effects on the overall security of the network device. 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 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 has been provided by a trusted vendor. Self-signed certificates are disallowed by this requirement. The device 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.
    SV-79577r1_rule WSDP-NM-000045 CCI-001499 MEDIUM The DataPower Gateway must limit privileges to change the software resident within software libraries. Changes to any software components of the network device can have significant effects on the overall security of the network. Therefore, only qualified and authorized individuals should be allowed administrative access to the network device for implementing any changes or upgrades. If the network device were to enable non-authorized users to make changes to software libraries, those changes could be implemented without undergoing testing, validation, and approval.
    SV-79579r1_rule WSDP-NM-000046 CCI-000382 MEDIUM The DataPower Gateway must have SSH and web management bound to the management interface and Telnet disabled. In order to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling (i.e., embedding of data types within data types), organizations must disable unused or unnecessary physical and logical ports/protocols on information systems. Network devices are capable of providing a wide variety of functions and services. Some of the functions and services provided by default may not be necessary to support essential organizational operations. Additionally, it is sometimes convenient to provide multiple services from a single component (e.g., email and web services); however, doing so increases risk over limiting the services provided by any one component. To support the requirements and principles of least functionality, the network device must support the organizational requirements providing only essential capabilities and limiting the use of ports, protocols, and/or services to only those required, authorized, and approved to conduct official business or to address authorized quality of life issues. This requirement applies to applications, services, protocols, and ports used for network device management. NTP, SSH, HTTPS and SNMP are associated with device management, but, when used to manage the device, must be restricted to the management network.
    SV-79581r1_rule WSDP-NM-000053 CCI-000205 MEDIUM The DataPower Gateway must enforce a minimum 15-character password length. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password length is one factor of several that helps to determine strength and how long it takes to crack a password. The shorter the password, the lower the number of possible combinations that need to be tested before the password is compromised. Use of more characters in a password helps to exponentially increase the time and/or resources required to compromise the password.
    SV-79583r1_rule WSDP-NM-000054 CCI-000200 MEDIUM The DataPower Gateway must prohibit password reuse for a minimum of five generations. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. To meet password policy requirements, passwords need to be changed at specific policy-based intervals. If the network device allows the user to consecutively reuse their password when that password has exceeded its defined lifetime, the end result is a password that is not changed as per policy requirements.
    SV-79585r1_rule WSDP-NM-000055 CCI-000192 MEDIUM If multifactor authentication is not supported and passwords must be used, the DataPower Gateway must enforce password complexity by requiring that at least one upper-case character be used. Use of a complex passwords helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password is, the greater the number of possible combinations that need to be tested before the password is compromised.
    SV-79587r1_rule WSDP-NM-000056 CCI-000193 MEDIUM If multifactor authentication is not supported and passwords must be used, the DataPower Gateway must enforce password complexity by requiring that at least one lower-case character be used. Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised.
    SV-79589r1_rule WSDP-NM-000057 CCI-000194 MEDIUM If multifactor authentication is not supported and passwords must be used, the DataPower Gateway must enforce password complexity by requiring that at least one numeric character be used. Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised.
    SV-79591r1_rule WSDP-NM-000058 CCI-001619 MEDIUM If multifactor authentication is not supported and passwords must be used, the DataPower Gateway must enforce password complexity by requiring that at least one special character be used. Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised.
    SV-79593r1_rule WSDP-NM-000065 CCI-000187 MEDIUM The DataPower Gateway must map the authenticated identity to the user account for PKI-based authentication. Authorization for access to any network device requires an approved and assigned individual account identifier. To ensure only the assigned individual is using the account, the account must be bound to a user certificate when PKI-based authentication is implemented.
    SV-79595r1_rule WSDP-NM-000067 CCI-000803 MEDIUM The DataPower Gateway must use mechanisms meeting the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for authentication to a cryptographic module. Unapproved mechanisms that are used for authentication to the cryptographic module are not verified and therefore cannot be relied upon to provide confidentiality or integrity, and DoD data may be compromised. Network devices utilizing encryption are required to use FIPS-compliant mechanisms for authenticating to cryptographic modules. FIPS 140-2 is the current standard for validating that mechanisms used to access cryptographic modules utilize authentication that meets DoD requirements.
    SV-79597r1_rule WSDP-NM-000069 CCI-001133 HIGH The DataPower Gateway must terminate all network connections associated with a device management session at the end of the session, or the session must be terminated after 10 minutes of inactivity except to fulfill documented and validated mission requirements. Terminating an idle session within a short time period reduces the window of opportunity for unauthorized personnel to take control of a management session enabled on the console or console port that has been left unattended. In addition, quickly terminating an idle session will also free up resources committed by the managed network element. Terminating network connections associated with communications sessions includes, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. This does not mean that the device terminates all sessions or network access; it only ends the inactive session and releases the resources associated with that session.
    SV-79599r1_rule WSDP-NM-000072 CCI-001188 MEDIUM The DataPower Gateway must generate unique session identifiers using a FIPS 140-2 approved random number generator. Sequentially generated session IDs can be easily guessed by an attacker. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future 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. This requirement is applicable to devices that use a web interface for device management.
    SV-79601r1_rule WSDP-NM-000076 CCI-000366 MEDIUM The DataPower Gateway must activate a system alert message, send an alarm, and/or automatically shut down when a component failure is detected. Predictable failure prevention requires organizational planning to address device failure issues. If components key to maintaining the device's security fail to function, the device could continue operating in an insecure state. If appropriate actions are not taken when a network device failure occurs, a denial of service condition may occur which could result in mission failure since the network would be operating without a critical security monitoring and prevention function. Upon detecting a failure of network device security components, the network device must activate a system alert message, send an alarm, or shut down.
    SV-79603r1_rule WSDP-NM-000077 CCI-001683 MEDIUM The DataPower Gateway must generate alerts that can be forwarded to the administrators and ISSO when accounts are created. Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of reestablishing access. One way to accomplish this is for the attacker to simply create a new account. Notification of account creation is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of accounts and notifies administrators and Information System Security Officers (ISSOs). Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes.
    SV-79605r1_rule WSDP-NM-000078 CCI-001684 MEDIUM The DataPower Gateway must generate alerts that can be forwarded to the administrators and ISSO when accounts are modified. Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of reestablishing access. One way to accomplish this is for the attacker to simply modify an existing account. Notification of account modification is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the modification of device administrator accounts and notifies administrators and Information System Security Officers (ISSOs). Such a process greatly reduces the risk that accounts will be surreptitiously modified and provides logging that can be used for forensic purposes. The network device must generate the alert. Notification may be done by a management server.
    SV-79607r1_rule WSDP-NM-000079 CCI-001685 MEDIUM The DataPower Gateway must generate alerts that can be forwarded to the administrators and ISSO when accounts are disabled. When application accounts are disabled, administrator accessibility is affected. Accounts are utilized for identifying individual device administrators or for identifying the device processes themselves. In order to detect and respond to events that affect administrator accessibility and device processing, devices must audit account disabling actions and, as required, notify the appropriate individuals so they can investigate the event. Such a capability greatly reduces the risk that device accessibility will be negatively affected for extended periods of time and also provides logging that can be used for forensic purposes.
    SV-79609r1_rule WSDP-NM-000080 CCI-001686 MEDIUM The DataPower Gateway must generate alerts that can be forwarded to the administrators and ISSO when accounts are removed. When application accounts are removed, administrator accessibility is affected. Accounts are utilized for identifying individual device administrators or for identifying the device processes themselves. In order to detect and respond to events that affect administrator accessibility and device processing, devices must audit account removal actions and, as required, notify the appropriate individuals so they can investigate the event. Such a capability greatly reduces the risk that device accessibility will be negatively affected for extended periods of time and also provides logging that can be used for forensic purposes.
    SV-79611r2_rule WSDP-NM-000081 CCI-002361 MEDIUM The DataPower Gateway must automatically terminate a network administrator session after organization-defined conditions or trigger events requiring session disconnect. Automatic session termination addresses the termination of administrator-initiated logical sessions in contrast to the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever an administrator (or process acting on behalf of a user) accesses a network device. Such administrator sessions can be terminated (and thus terminate network administrator access) without terminating network sessions. Session termination terminates all processes associated with an administrator's logical session except those processes that are specifically created by the administrator (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, and time-of-day restrictions on information system use. These conditions will vary across environments and network device types.
    SV-79613r2_rule WSDP-NM-000082 CCI-002363 MEDIUM The DataPower Gateway must provide a logout capability for administrator-initiated communication sessions. If an administrator cannot explicitly end a device management session, the session may remain open and be exploited by an attacker; this is referred to as a zombie session.
    SV-79615r1_rule WSDP-NM-000083 CCI-002364 MEDIUM The DataPower Gateway must display an explicit logout message to administrators indicating the reliable termination of authenticated communications sessions. If an explicit logout message is not displayed and the administrator does not expect to see one, the administrator may inadvertently leave a management session un-terminated. The session may remain open and be exploited by an attacker; this is referred to as a zombie session. Administrators need to be aware of whether or not the session has been terminated.
    SV-79617r1_rule WSDP-NM-000085 CCI-002130 MEDIUM The DataPower Gateway must automatically audit account enabling actions. Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of reestablishing access. One way to accomplish this is for the attacker to simply enable a new or disabled account. Notification of account enabling is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies administrators and Information System Security Officers (ISSOs). Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes.
    SV-79619r1_rule WSDP-NM-000086 CCI-002132 MEDIUM The DataPower Gateway must generate an immediate alert for account enabling actions. Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of reestablishing access. One way to accomplish this is for the attacker to simply enable a new or disabled account. Notification of account enabling is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies administrators and ISSOs. Such a process greatly reduces the risk that accounts will be surreptitiously enabled and provides logging that can be used for forensic purposes. In order to detect and respond to events that affect network administrator accessibility and device processing, network devices must audit account enabling actions and, as required, notify the appropriate individuals so they can investigate the event.
    SV-79621r1_rule WSDP-NM-000087 CCI-000366 MEDIUM The DataPower Gateway must be compliant with at least one IETF standard authentication protocol. Protecting access authorization information (i.e., access control decisions) ensures that authorization information cannot be altered, spoofed, or otherwise compromised during transmission. In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit, as part of the access authorization information, supporting security attributes. This is because, in distributed information systems, there are various access control decisions that need to be made, and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions.
    SV-79625r1_rule WSDP-NM-000088 CCI-002165 MEDIUM If the DataPower Gateway uses discretionary access control, the DataPower Gateway must enforce organization-defined discretionary access control policies over defined subjects and objects. Discretionary Access Control (DAC) is based on the notion that individual network administrators are "owners" of objects and therefore have discretion over who should be authorized to access the object and in which mode (e.g., read or write). Ownership is usually acquired as a consequence of creating the object or via specified ownership assignment. DAC allows the owner to determine who will have access to objects they control. An example of DAC includes user-controlled file permissions. When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. A subject that is constrained in its operation by Mandatory Access Control policies is still able to operate under the less rigorous constraints of this requirement. Thus, while Mandatory Access Control imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, this requirement permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control. The discretionary access control policies and the subjects and objects are defined uniquely for each network device, so they cannot be specified in the requirement.
    SV-79627r1_rule WSDP-NM-000089 CCI-000366 MEDIUM If the DataPower Gateway uses role-based access control, the DataPower Gateway must enforce role-based access control policies over defined subjects and objects. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When administrators are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every administrator (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. The RBAC policies and the subjects and objects are defined uniquely for each network device, so they cannot be specified in the requirement.
    SV-79629r1_rule WSDP-NM-000091 CCI-002234 MEDIUM The DataPower Gateway must audit the execution of privileged functions. Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse and identify the risk from insider threats and the advanced persistent threat.
    SV-79631r1_rule WSDP-NM-000094 CCI-001914 MEDIUM The DataPower Gateway must provide the capability for organization-identified individuals or roles to change the auditing to be performed based on all selectable event criteria within near-real-time. If authorized individuals do not have the ability to modify auditing parameters in response to a changing threat environment, the organization may not be able to effectively respond, and important forensic information may be lost. This requirement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near-real-time, within minutes, or within hours. The individuals or roles to change the auditing are dependent on the security configuration of the network device--for example, it may be configured to allow only some administrators to change the auditing, while other administrators can review audit logs but not reconfigure auditing. Because this capability is so powerful, organizations should be extremely cautious about only granting this capability to fully authorized security personnel.
    SV-79633r1_rule WSDP-NM-000095 CCI-001849 MEDIUM The DataPower Gateway must allocate audit record storage capacity in accordance with organization-defined audit record storage requirements. In order to ensure network devices have a sufficient storage capacity in which to write the audit logs, they need to be able to allocate audit record storage capacity. The task of allocating audit record storage capacity is usually performed during initial device setup if it is modifiable. The value for the organization-defined audit record storage requirement will depend on the amount of storage available on the network device, the anticipated volume of logs, the frequency of transfer from the network device to centralized log servers, and other factors.
    SV-79635r1_rule WSDP-NM-000096 CCI-001855 LOW The DataPower Gateway must generate an immediate alert when allocated audit record storage volume reaches 75% of repository maximum audit record storage capacity. If security personnel are not notified immediately upon storage volume utilization reaching 75%, they are unable to plan for storage capacity expansion. This could lead to the loss of audit information. Note that while the network device must generate the alert, notification may be done by a management server.
    SV-79637r1_rule WSDP-NM-000097 CCI-001858 LOW The DataPower Gateway must generate an immediate real-time alert of all audit failure events. It is critical for the appropriate personnel to be aware if a system is at risk of failing to process audit logs as required. Without a real-time alert, security personnel may be unaware of an impending failure of the audit capability and system operation may be adversely affected. Alerts provide organizations with urgent messages. Real-time alerts provide these messages immediately (i.e., the time from event detection to alert occurs in seconds or less).
    SV-79639r1_rule WSDP-NM-000098 CCI-001891 LOW The DataPower Gateway must compare internal information system clocks at least every 24 hours with an authoritative time server. Inaccurate time stamps make it more difficult to correlate events and can lead to an inaccurate analysis. Determining the correct time a particular event occurred on a system is critical when conducting forensic analysis and investigating system events. Sources outside of the configured acceptable allowance (drift) may be inaccurate. Additionally, unnecessary synchronization may have an adverse impact on system performance and may indicate malicious activity. Synchronizing internal information system clocks provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
    SV-79641r1_rule WSDP-NM-000099 CCI-002046 LOW The DataPower Gateway must synchronize internal information system clocks to the authoritative time source when the time difference is greater than one second. Inaccurate time stamps make it more difficult to correlate events and can lead to an inaccurate analysis. Determining the correct time a particular event occurred on a system is critical when conducting forensic analysis and investigating system events. Synchronizing internal information system clocks provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network. Organizations should consider setting time periods for different types of systems (e.g., financial, legal, or mission-critical systems). Organizations should also consider endpoints that may not have regular access to the authoritative time server (e.g., mobile, teleworking, and tactical endpoints). This requirement is related to the comparison done every 24 hours in CCI-001891 because a comparison must be done in order to determine the time difference. The organization-defined time period will depend on multiple factors, most notably the granularity of time stamps in audit logs. For example, if time stamps only show to the nearest second, there is no need to have accuracy of a tenth of a second in clocks.
    SV-79643r1_rule WSDP-NM-000100 CCI-000366 MEDIUM The DataPower Gateway must be configured to synchronize internal information system clocks with the primary and secondary time sources located in different geographic regions using redundant authoritative time sources. The loss of connectivity to a particular authoritative time source will result in the loss of time synchronization (free-run mode) and increasingly inaccurate time stamps on audit events and other functions. Multiple time sources provide redundancy by including a secondary source. Time synchronization is usually a hierarchy; clients synchronize time to a local source while that source synchronizes its time to a more accurate source. The network device must utilize an authoritative time server and/or be configured to use redundant authoritative time sources. This requirement is related to the comparison done in CCI-001891. DoD-approved solutions consist of a combination of a primary and secondary time source using a combination or multiple instances of the following: a time server designated for the appropriate DoD network (NIPRNet/SIPRNet); United States Naval Observatory (USNO) time servers; and/or the Global Positioning System (GPS). The secondary time source must be located in a different geographic region than the primary time source.
    SV-79645r1_rule WSDP-NM-000101 CCI-001890 MEDIUM The DataPower Gateway must record time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT). 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.
    SV-79647r1_rule WSDP-NM-000105 CCI-001744 MEDIUM The DataPower Gateway must implement organization-defined automated security responses if baseline configurations are changed in an unauthorized manner. Unauthorized changes to the baseline configuration could make the device vulnerable to various attacks or allow unauthorized access to the device. Changes to device configurations can have unintended side effects, some of which may be relevant to security. Detecting such changes and providing an automated response can help avoid unintended, negative consequences that could ultimately affect the security state of the device. Examples of security responses include, but are not limited to the following: halting application processing; halting selected functions; or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item. The appropriate automated security response may vary depending on the nature of the baseline configuration change, the role of the network device, the availability of organizational personnel to respond to alerts, etc.
    SV-79649r1_rule WSDP-NM-000106 CCI-001813 MEDIUM The DataPower Gateway must enforce access restrictions associated with changes to device configuration. Failure to provide logical access restrictions associated with changes to device configuration may have significant effects on the overall security of the system. When dealing with access restrictions pertaining to change control, it should be noted that any changes to the hardware, software, and/or firmware components of the device can potentially have significant effects on the overall security of the device. Accordingly, only qualified and authorized individuals should be allowed to obtain access to device components for the purposes of initiating changes, including upgrades and modifications. Logical access restrictions include, for example, controls that restrict access to workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
    SV-79651r1_rule WSDP-NM-000107 CCI-001814 MEDIUM The DataPower Gateway must audit the enforcement actions used to restrict access associated with changes to the device. Without auditing the enforcement of access restrictions against changes to the device configuration, it will be difficult to identify attempted attacks, and an audit trail will not be available for forensic investigation for after-the-fact actions. 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). Audit items may consist of lists of actions blocked by access restrictions or changes identified after the fact.
    SV-79653r1_rule WSDP-NM-000108 CCI-002038 MEDIUM The DataPower Gateway must require users to re-authenticate when privilege escalation or role changes occur. Without re-authentication, users may access resources or perform tasks for which they do not have authorization. When devices provide the capability to change security roles, it is critical the user re-authenticate. In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices 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.
    SV-79655r1_rule WSDP-NM-000112 CCI-001967 HIGH The DataPower Gateway must use SNMPv3. Without authenticating devices, unidentified or unknown devices may be introduced, thereby facilitating malicious activity. Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk. A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). 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. For network device management, this has been determined to be network management device addresses, SNMP authentication, and NTP authentication.
    SV-79657r1_rule WSDP-NM-000115 CCI-002007 MEDIUM The DataPower Gateway must prohibit the use of cached authenticators after an organization-defined time period. Some authentication implementations can be configured to use cached authenticators. If cached authentication information is out-of-date, the validity of the authentication information may be questionable. The organization-defined time period should be established for each device depending on the nature of the device; for example, a device with just a few administrators in a facility with spotty network connectivity may merit a longer caching time period than a device with many administrators.
    SV-79659r1_rule WSDP-NM-000117 CCI-002890 MEDIUM The IBM DataPower Gateway must only allow the use of protocols that implement cryptographic mechanisms to protect the integrity and confidentiality of management communications. This requires the use of secure protocols instead of their unsecured counterparts, such as SSH instead of telnet, SCP instead of FTP, and HTTPS instead of HTTP. If unsecured protocols (lacking cryptographic mechanisms) are used for sessions, the contents of those sessions will be susceptible to manipulation, potentially allowing alteration and hijacking of maintenance sessions.
    SV-79661r1_rule WSDP-NM-000128 CCI-001851 MEDIUM The DataPower Gateway must off-load audit records onto a different system or media than the system being audited. Information stored in one location is vulnerable to accidental or incidental deletion or alteration. Off-loading is a common process in information systems with limited audit storage capacity.
    SV-79663r1_rule WSDP-NM-000131 CCI-000366 MEDIUM The DataPower Gateway must use automated mechanisms to alert security personnel to threats identified by authoritative sources (e.g., CTOs) and in accordance with CJCSM 6510.01B. By immediately displaying an alarm message, potential security violations can be identified more quickly even when administrators are not logged into the network device. An example of a mechanism to facilitate this would be through the utilization of SNMP traps.
    SV-79665r1_rule WSDP-NM-000132 CCI-000366 MEDIUM The DataPower Gateway must generate audit log events for a locally developed list of auditable events. Auditing and logging are key components of any security architecture. Logging the actions of specific events provides a means to investigate an attack; to recognize resource utilization or capacity thresholds; or to identify an improperly configured network device. If auditing is not comprehensive, it will not be useful for intrusion monitoring, security investigations, and forensic analysis.
    SV-79667r1_rule WSDP-NM-000134 CCI-000366 MEDIUM The DataPower Gateway must employ automated mechanisms to centrally manage authentication settings. The use of authentication servers or other centralized management servers for providing centralized authentication services is required for network device management. Maintaining local administrator accounts for daily usage on each network device without centralized management is not scalable or feasible. Without centralized management, it is likely that credentials for some network devices will be forgotten, leading to delays in administration, which itself leads to delays in remediating production problems and in addressing compromises in a timely fashion.
    SV-79669r1_rule WSDP-NM-000135 CCI-000366 MEDIUM The DataPower Gateway must employ automated mechanisms to centrally apply authentication settings. The use of authentication servers or other centralized management servers for providing centralized authentication services is required for network device management. Maintaining local administrator accounts for daily usage on each network device without centralized management is not scalable or feasible. Without centralized management, it is likely that credentials for some network devices will be forgotten, leading to delays in administration, which itself leads to delays in remediating production problems and in addressing compromises in a timely fashion.
    SV-79671r1_rule WSDP-NM-000136 CCI-000366 MEDIUM The DataPower Gateway must employ automated mechanisms to centrally verify authentication settings. The use of authentication servers or other centralized management servers for providing centralized authentication services is required for network device management. Maintaining local administrator accounts for daily usage on each network device without centralized management is not scalable or feasible. Without centralized management, it is likely that credentials for some network devices will be forgotten, leading to delays in administration, which itself leads to delays in remediating production problems and in addressing compromises in a timely fashion.
    SV-79673r1_rule WSDP-NM-000138 CCI-000366 MEDIUM The DataPower Gateway must support organizational requirements to conduct backups of system level information contained in the information system when changes occur or weekly, whichever is sooner. System-level information includes default and customized settings and security attributes, including ACLs that relate to the network device configuration, as well as software required for the execution and operation of the device. Information system backup is a critical step in ensuring system integrity and availability. If the system fails and there is no backup of the system-level information, a denial of service condition is possible for all who utilize this critical network component. This control requires the network device to support the organizational central backup process for system-level information associated with the network device. This function may be provided by the network device itself; however, the preferred best practice is a centralized backup rather than each network device performing discrete backups.
    SV-79675r1_rule WSDP-NM-000140 CCI-000366 MEDIUM The DataPower Gateway must employ automated mechanisms to assist in the tracking of security incidents. Despite the investment in perimeter defense technologies, enclaves are still faced with detecting, analyzing, and remediating network breaches and exploits that have made it past the network device. An automated incident response infrastructure allows network operations to immediately react to incidents by identifying, analyzing, and mitigating any network device compromise. Incident response teams can perform root cause analysis, determine how the exploit proliferated, and identify all affected nodes, as well as contain and eliminate the threat. The network device assists in the tracking of security incidents by logging detected security events. The audit log and network device application logs capture different types of events. The audit log tracks audit events occurring on the components of the network device. The application log tracks the results of the network device content filtering function. These logs must be aggregated into a centralized server and can be used as part of the organization's security incident tracking and analysis.
    SV-79677r1_rule WSDP-NM-000141 CCI-000366 MEDIUM The DataPower Gateway must obtain its public key certificates from an appropriate certificate policy through an approved service provider. For user certificates, each organization obtains certificates from an approved, shared service provider, as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at medium assurance or higher, this Certification Authority will suffice.
    SV-79679r1_rule WSDP-NM-000143 CCI-001368 MEDIUM The DataPower Gateway must not use 0.0.0.0 as the management IP address. If 0.0.0.0 as the management IP address, the DataPower appliance will listen on all configured interfaces for management traffic. This can allow an attacker to gain privileged-level access from an untrusted network.