MS SQL Server 2014 Instance Security Technical Implementation Guide

V1R9 2018-09-18       U_MS_SQL_Server_2014_Instance_STIG_V1R9_Manual-xccdf.xml
V1R8 2018-06-25       U_MS_SQL_Server_2014_Instance_STIG_V1R8_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]
Comparison
All 94
No Change 91
Updated 1
Added 0
Removed 2
V-67387 No Change
Findings ID: SQL4-00-024500 Rule ID: SV-81877r2_rule Severity: medium CCI: CCI-001199

Discussion

Backup and recovery of the Service Master Key may be critical to the complete recovery of the database. Not having this key can lead to loss of data during recovery.

Checks

Review procedures for, and evidence of backup of, the SQL Server Service Master Key in the System Security Plan.

If the procedures or evidence do not exist, this is a finding.

If the procedures do not indicate offline and off-site storage of the Service Master Key, this is a finding.

If procedures do not indicate access restrictions to the Service Master Key backup, this is a finding.

Fix

Document and implement procedures to safely back up and store the Service Master Key. Include in the procedures methods to establish evidence of backup and storage, and careful, restricted access and restoration of the Service Master Key. Also, include provisions to store the key off-site.

BACKUP SERVICE MASTER KEY TO FILE = 'path_to_file'
ENCRYPTION BY PASSWORD = 'password';

As this requires a password, take care to ensure it is not exposed to unauthorized persons or stored as plain text.
V-67757 No Change
Findings ID: SQL4-00-000100 Rule ID: SV-82247r1_rule Severity: medium CCI: CCI-000054

Discussion

A variety of technologies exist to limit or, in some cases, eliminate the effects of DoS attacks. For example, boundary protection devices can filter certain types of packets to protect devices on an organization’s internal network from being directly affected by DoS attacks.

One way SQL Server can limit exposure to DoS attacks is to restrict the number of connections that can be opened by a single user. SQL Server supports this through the use of logon triggers. (Note, however, that this need not be the only, or even the principal, means for satisfying this requirement. Depending on the architecture and capabilities of the network and application, a network device or an application may be more suitable for providing this protection.)

When determining the appropriate values for this limit, take the characteristics of the various kinds of user into account, and bear in mind that some applications and some users may need to have multiple sessions open. For example, while a standard account using a simple application may never need more than, say, five connections, a database administrator using SQL Server Management Studio may need significantly more, because each tab in that application counts as a distinct session.

Architectural note: In SQL Server, a count of active sessions by user can be obtained from one of the dynamic management views. For example:
SELECT original_login_name, count(*)
FROM sys.dm_exec_sessions
WHERE is_user_process = 1
GROUP BY original_login_name;
However, for this to return an accurate count in a logon trigger, the user would have to have the View Server State privilege. (Without this privilege, the trigger sees information only about the current session, so would always return a count of one.) View Server State would give that user access to a wide swath of information about the server. One way to avoid this exposure is to create a summary table, and a view of that table that restricts each user to seeing his/her own count, and establish a frequently-run background job to refresh the table (using the above query or similar). The logon trigger then queries the view to obtain a count that is accurate enough for this purpose in most circumstances.

Checks

Review the system documentation to determine whether any limits have been defined. If not, this is a finding.

If one limit has been defined but is not applied to all users, including privileged administrative accounts, this is a finding.

If multiple limits have been defined, to accommodate different types of user, verify that together they cover all users. If not, this is a finding.

If a mechanism other than a logon trigger is used, verify its correct operation by the appropriate means.

If it does not work correctly, this is a finding.

Otherwise, determine if a logon trigger exists:

EITHER, in SQL Server Management Studio's Object Explorer tree:
Expand [SQL Server Instance] >> Security >> Server Objects >> Triggers

OR run the query:
SELECT * FROM master.sys.server_triggers;

If no triggers are listed, this is a finding.

If triggers are listed, identify the one(s) limiting the number of concurrent sessions per user.

If none are found, this is a finding.

If they are present but disabled, this is a finding.

Examine the trigger source code for logical correctness and for compliance with the documented limit(s).

If errors or variances exist, this is a finding.

Verify that the system does execute the trigger(s) each time a user session is established.

If it does not operate correctly for all types of user, this is a finding.

Fix

Establish the limit(s) appropriate to the type(s) of user account accessing the SQL Server instance, and record them in the system documentation.

Implement one or more logon triggers to enforce the limit(s), without exposing the dynamic management views to general users.
V-67759 No Change
Findings ID: SQL4-00-030300 Rule ID: SV-82249r1_rule Severity: medium CCI: CCI-000015

Discussion

Enterprise environments make account management for applications and databases challenging and complex. A manual process for account management functions adds the risk of a potential oversight or other error. Managing accounts for the same person in multiple places is inefficient and prone to problems with consistency and synchronization.

A comprehensive application account management process that includes automation helps to ensure that accounts designated as requiring attention are consistently and promptly addressed.

Examples include, but are not limited to, using automation to take action on multiple accounts designated as inactive, suspended, or terminated, or by disabling accounts located in non-centralized account stores, such as multiple servers. Account management functions can also include: assignment of group or role membership; identifying account type; specifying user access authorizations (i.e., privileges); account removal, update, or termination; and administrative alerts. The use of automated mechanisms can include, for example: using email or text messaging to notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using automated telephone notification to report atypical system account usage.

Account management and authentication in a Windows environment normally use an LDAP-compatible directory service, usually Windows Active Directory. This in turn, in the DoD environment, is typically integrated with the Public Key Infrastructure (PKI). Additional technologies or products may be employed that when placed together constitute an overall mechanism supporting an organization's automated account management requirements. An example is the use of Group Policy Objects to enforce rules concerning passwords.

SQL Server must be configured to use Windows authentication, with SQL Server authentication disabled. If circumstances (such as the architecture of a purchased application) make it necessary to have SQL Server authentication available, its use must be kept to a minimum. The reasons for its use, and the measures taken to restrict it to only the necessary cases, must be documented, with AO approval.

It is assumed throughout this STIG that this integration has been implemented.

Checks

Determine whether SQL Server is configured to use only Windows authentication.

In the Object Explorer in SQL Server Management Studio (SSMS), right-click on the server instance; select Properties. Select the Security page.

If Windows Authentication Mode is selected, this is not a finding.

Alternatively, in a query interface such as the SSMS Transact-SQL editor, run the statement:
EXECUTE xp_instance_regread
N'HKEY_LOCAL_MACHINE',
N'Software\Microsoft\MSSQLServer\MSSQLServer',
N'LoginMode';

If the returned value in the "Data" column is 1, this is not a finding.

Mixed mode (both SQL Server authentication and Windows authentication) is in use.

If the need for mixed mode has not been documented and approved, this is a finding.

From the documentation, obtain the list of accounts authorized to be managed by SQL Server.

Determine the accounts (SQL Logins) actually managed by SQL Server. Run the statement:
SELECT
name
FROM
sys.sql_logins
WHERE
type_desc = 'SQL_LOGIN'
AND is_disabled = 0;

If any accounts listed by the query are not listed in the documentation, this is a finding.

Fix

If mixed mode is required, document the need and justification; describe the measures taken to ensure the use of SQL Server authentication is kept to a minimum; describe the measures taken to safeguard passwords; list or describe the SQL Logins used; obtain official approval.

If mixed mode is not required, disable it as follows:

In the SSMS Object Explorer, right-click on the server instance; select Properties. Select the Security page. Click on the radio button for Windows Authentication Mode. Click on "OK." Restart the SQL Server instance.

Alternatively, run the statement:
EXEC xp_instance_regwrite
N'HKEY_LOCAL_MACHINE',
N'Software\Microsoft\MSSQLServer\MSSQLServer',
N'LoginMode',
REG_DWORD,
1;
Restart the SQL Server instance.

For each account being managed by SQL Server but not requiring it, drop or disable the SQL Login. Replace it with an appropriately configured account, as needed.

To drop or disable a Login in the SSMS Object Explorer:
Navigate to <server name> >> Security >> Logins.
Right-click on the Login name; click on Delete or Disable.

To drop or disable a Login by using a query:
USE master;
DROP LOGIN <login name>;
ALTER LOGIN <login name> DISABLE;

Dropping a Login does not delete the equivalent database User(s). There may be more than one database containing a User mapped to the Login. Drop the User(s) unless still needed..

To drop a User in the SSMS Object Explorer:
Navigate to <server name> >> Databases >> <database name> >> Security >> Users.
Right-click on the User name; click on Delete.

To drop a User via a query:
USE <database name>;
DROP USER <user name>;
V-67761 No Change
Findings ID: SQL4-00-002010 Rule ID: SV-82251r1_rule Severity: medium CCI: CCI-000213

Discussion

Authentication with a DoD-approved PKI certificate does not necessarily imply authorization to access the SQL Server instance and server-level resources. To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems, including SQL Server instances, must be properly configured to implement access control policies.

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. Information systems 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 application to control access between users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, programs, and domains) in the information system.

This requirement is applicable to access control enforcement applications, a category that includes SQL Server. If SQL Server is not configured to follow applicable policy when approving access, it may be in conflict with networks or other applications in the information system. This may result in users either gaining or being denied access inappropriately and in conflict with applicable policy.

Checks

Review the system documentation to determine the required levels of protection for DBMS server securables, by type of login.

Review the permissions actually in place on the server.

The server permission functions and views provided in the supplemental file Permissions.sql can help with this.

If the actual permissions do not match the documented requirements, this is a finding.

Fix

Use GRANT, REVOKE, DENY, ALTER SERVER ROLE … ADD MEMBER … and/or ALTER SERVER ROLE …. DROP MEMBER statements to add and remove permissions on server-level securables, bringing them into line with the documented requirements.
V-67763 No Change
Findings ID: SQL4-00-023700 Rule ID: SV-82253r1_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 against later claims by a user of not having created, modified, or deleted a particular data item or collection of data in the database.

Use of shared accounts does not provide individual accountability for actions taken on the DBMS or data. Whenever a single database account is used to connect to the database, a secondary authentication method that provides individual accountability is required. This scenario most frequently occurs when an externally hosted application authenticates individual users to the application and the application uses a single account to retrieve or update database information on behalf of the individual users (as in connection pooling).

When shared accounts are utilized without another means of identifying individual users, users may deny having performed a particular action.

(Shared accounts should not be confused with Windows groups, which are used in role-based access control.)

Checks

Obtain the list of authorized SQL Server accounts in the system documentation.

If accounts are determined to be shared, determine if individuals are first individually authenticated.

If individuals are not individually authenticated before using the shared account (e.g., by the operating system or possibly by an application making calls to the database), this is a finding.

The key is individual accountability. If this can be traced, this is not a finding.

If accounts are determined to be shared, determine if they are directly accessible to end users. If so, this is a finding.

Review contents of audit logs, traces and data tables to confirm that the identity of the individual user performing the action is captured.

If shared identifiers are found, and not accompanied by individual identifiers, this is a finding.

Note: Privileged installation accounts may be required to be accessed by the DBA or other administrators for system maintenance. In these cases, each use of the account must be logged in some manner to assign accountability for any actions taken during the use of the account.

Fix

Remove user-accessible shared accounts and use individual userids.

Build/configure applications to ensure successful individual authentication prior to shared account access.

Ensure each user's identity is received and used in audit data in all relevant circumstances.

Design, develop, and implement a method to log use of any account to which more than one person has access. Restrict interactive access to shared accounts to the fewest persons possible.
V-67765 No Change
Findings ID: SQL4-00-011300 Rule ID: SV-82255r1_rule Severity: medium CCI: CCI-000171

Discussion

Without the capability to restrict which roles and individuals can select which events are audited, unauthorized personnel may be able to prevent or interfere with the auditing of critical events.

Suppression of auditing could permit an adversary to evade detection.

Misconfigured audits can 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.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

This version of the requirement deals with Trace-based audit trails.

Checks

If SQL Server Trace is not in use for audit purposes, this is not a finding.

Obtain the list of approved audit maintainers from the system documentation.

Review the server roles and individual logins that have the following permissions, all of which enable the ability to create and maintain audit definitions (the views and functions provided in the supplemental fine Permissions.sql can assist in this):
ALTER TRACE
CREATE TRACE EVENT NOTIFICATION

The functions and views provided in the supplemental file Permissions.sql can assist in this review. In the following, "STIG" stands for the schema where you have deployed these views and functions. To see which logins and server roles have been granted these permissions:
SELECT
*
FROM
STIG.server_permissions P
WHERE
P.[Permission] IN
(
'ALTER TRACE',
'CREATE TRACE EVENT NOTIFICATION'
);

To see what logins and server roles inherit these permissions from the server roles reported by the previous query, repeat the following for each one:
SELECT * FROM STIG.members_of_server_role(<server role name>);

To see all the permissions in effect for a server principal (server role or login):
SELECT * FROM STIG.server_effective_permissions(<principal name>);

If designated personnel are not able to configure auditable events, this is a finding.

If unapproved personnel are able to configure auditable events, this is a finding.

Fix

Create a server role specifically for audit maintainers, and give it permission to maintain traces, without granting it unnecessary permissions:
USE master;
GO
CREATE SERVER ROLE SERVER_AUDIT_MAINTAINERS;
GO
GRANT ALTER TRACE TO SERVER_AUDIT_MAINTAINERS;
-- Next line only if required:
GRANT CREATE TRACE EVENT NOTIFICATION TO SERVER_AUDIT_MAINTAINERS;
GO
(The role name used here is an example; other names may be used.)

Use REVOKE and/or DENY and/or ALTER SERVER ROLE ... DROP MEMBER ... statements to remove the ALTER TRACE and CREATE TRACE EVENT NOTIFICATION permissions from all logins.

Then, for each authorized login, run the statement:
ALTER SERVER ROLE SERVER_AUDIT_MAINTAINERS ADD MEMBER <login name>;
GO
V-67767 No Change
Findings ID: SQL4-00-011310 Rule ID: SV-82257r1_rule Severity: medium CCI: CCI-000171

Discussion

Without the capability to restrict which roles and individuals can select which events are audited, unauthorized personnel may be able to prevent or interfere with the auditing of critical events.

Suppression of auditing could permit an adversary to evade detection.

Misconfigured audits can 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.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

This version of the requirement deals with SQL Server Audit-based audit trails.

Checks

If SQL Server Audit is not in use, this is not a finding.

Obtain the list of approved audit maintainers from the system documentation.

Review the server roles and individual logins that have the following permissions, all of which enable the ability to create and maintain audit definitions (the views and functions provided in the supplemental fine Permissions.sql can assist in this):
ALTER ANY SERVER AUDIT
CONTROL SERVER
ALTER ANY DATABASE
CREATE ANY DATABASE

The functions and views provided in the supplemental file Permissions.sql can assist in this review. In the following, "STIG" stands for the schema where you have deployed these views and functions. To see which logins and server roles have been granted these permissions:
SELECT
*
FROM
STIG.server_permissions P
WHERE
P.[Permission] IN
(
'ALTER ANY SERVER AUDIT',
'CONTROL SERVER',
'ALTER ANY DATABASE',
'CREATE ANY DATABASE'
);

To see what logins and server roles inherit these permissions from the server roles reported by the previous query, repeat the following for each one:
SELECT * FROM STIG.members_of_server_role(<server role name>);

To see all the permissions in effect for a server principal (server role or login):
SELECT * FROM STIG.server_effective_permissions(<principal name>);

If designated personnel are not able to configure auditable events, this is a finding.

If unapproved personnel are able to configure auditable events, this is a finding.

Fix

Create a server role specifically for audit maintainers, and give it permission to maintain audits, without granting it unnecessary permissions:
USE master;
GO
CREATE SERVER ROLE SERVER_AUDIT_MAINTAINERS;
GO
GRANT ALTER ANY SERVER AUDIT TO SERVER_AUDIT_MAINTAINERS;
GO
(The role name used here is an example; other names may be used.)

Use REVOKE and/or DENY and/or ALTER SERVER ROLE ... DROP MEMBER ... statements to remove the ALTER ANY SERVER AUDIT permission from all logins.

Then, for each authorized login, run the statement:
ALTER SERVER ROLE SERVER_AUDIT_MAINTAINERS ADD MEMBER <login name>;
GO

Use REVOKE and/or DENY and/or ALTER SERVER ROLE ... DROP MEMBER ... statements to remove CONTROL SERVER, ALTER ANY DATABASE and CREATE ANY DATABASE permissions from logins that do not need them.
V-67769 No Change
Findings ID: SQL4-00-011410 Rule ID: SV-82259r2_rule Severity: medium CCI: CCI-000172

Discussion

The system must monitor who/what is reading privilege/permission/role information.

This requirement addresses explicit requests for privilege/permission/role membership information. It does not refer to the implicit retrieval of privileges/permissions/role memberships that SQL Server continually performs to determine if any and every action on the database is permitted.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

This requirement applies to SQL Server Audit-based audit trails; Trace does not have this capability.

Checks

If SQL Server Trace is in use for audit purposes, and SQL Server Audit is not in use, this is not a finding.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the broad, server-level audit action group SCHEMA_OBJECT_ACCESS_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all SELECT actions on the permissions-related system views, and any locally-defined permissions tables, are being audited:

USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP';

If no row is returned, this is a finding.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE", this is a finding.

Fix

Design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67771 No Change
Findings ID: SQL4-00-030410 Rule ID: SV-82261r2_rule Severity: medium CCI: CCI-000172

Discussion

Under some circumstances, it may be useful to monitor who/what is reading privilege/permission/role information. Therefore, it must be possible to configure auditing to do this. DBMSs typically make such information available through views or functions.

This requirement addresses explicit requests for privilege/permission/role membership information. It does not refer to the implicit retrieval of privileges/permissions/role memberships that the DBMS continually performs to determine if any and every action on the database is permitted.

To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

This requirement applies to SQL Server Audit-based audit trails; Trace does not have this capability.

Use of SQL Server Audit's SCHEMA_OBJECT_ACCESS_GROUP causes capture of all accesses, successful and otherwise, to the system views (and all other schema-scoped objects). The [Succeeded] column in the audit output indicates the success or failure of the attempted action. Be aware, however, that it may report True in some cases where one would intuitively expect False. For example, SELECT 1/0 FROM SYS.ALL_OBJECTS will appear in the audit trail as successful, if the user has permission to perform that action, even though it contains an invalid expression. Some other actions that one would consider failures (such as selecting from a table that does not exist) may not appear at all.

Checks

If SQL Server Trace is in use for audit purposes, and SQL Server Audit is not in use, this is not a finding.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the broad, server-level audit action group SCHEMA_OBJECT_ACCESS_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all SELECT actions on the permissions-related system views, and any locally-defined permissions tables, are being audited:

USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP';
GO

If no row is returned, this is a finding.

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE", this is a finding.

Fix

Design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67773 No Change
Findings ID: SQL4-00-011900 Rule ID: SV-82263r1_rule Severity: medium CCI: CCI-000131

Discussion

Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not limited to: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, file names involved, and access control or flow control rules invoked.

SQL Server is capable of a range of actions on data stored within the database. It is important, for accurate forensic analysis, to know exactly when actions were performed. This requires specific information regarding the date and time an audit record is referring to. If date and time information is not recorded and stored with the audit record, the record itself is of very limited use.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Audit is in use, the event time and date are always captured: this is not a finding.

If SQL Server Trace is in use for audit purposes, verify that for all events it captures the start and (where relevant) end time.
From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
WITH
EC AS (SELECT eventid, columnid FROM sys.fn_trace_geteventinfo(2)),
E AS (SELECT DISTINCT eventid FROM EC)
SELECT
E.eventid,
CASE WHEN EC14.columnid IS NULL THEN 'Start Time (14) missing' ELSE '14 OK' END AS field14,
CASE WHEN EC15.columnid IS NULL THEN 'End Time (15) missing' ELSE '15 OK' END AS field15
FROM E E
LEFT OUTER JOIN EC EC14
ON EC14.eventid = E.eventid
AND EC14.columnid = 14
LEFT OUTER JOIN EC EC15
ON EC15.eventid = E.eventid
AND EC15.columnid = 15
WHERE
EC14.columnid IS NULL OR EC15.columnid IS NULL;

If the resulting list indicates any field specifications are missing, this is a finding.

Fix

Design and deploy a SQL Server Audit or a Trace that captures Start Time and (where relevant) End Time for all auditable events.

The script provided in the supplemental file Trace.sql can be used to create a trace.

The script provided in the supplemental file Audit.sql can be used to create an audit..
V-67775 No Change
Findings ID: SQL4-00-012000 Rule ID: SV-82265r2_rule Severity: medium CCI: CCI-000132

Discussion

Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not limited to: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, file names involved, and access control or flow control rules invoked.

SQL Server is capable of a range of actions on data stored within the database. It is important, for accurate forensic analysis, to know exactly where actions were performed. This requires specific information regarding the event location an audit record is referring to. If event location information is not recorded and stored with the audit record, the record itself is of very limited use.

An event location can be a database instance, table, column, row, etc. Without sufficient information establishing where the audit events occurred, investigation into the cause of events is severely hindered. If SQL Server Audit is enabled, SQL Server does capture the event location-specific information in all audit records.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Audit is in use, the server instance, database, schema, and object names are each automatically captured when applicable; this is not a finding.

If SQL Server Trace is in use for audit purposes, verify that for all events it captures the server name, database name, object type, object name and object owner (each where relevant).
From the query prompt:

SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:

WITH
EC AS (SELECT eventid, columnid FROM sys.fn_trace_geteventinfo(#)),
E AS (SELECT DISTINCT eventid FROM EC)
SELECT
E.eventid,
CASE WHEN EC26.columnid IS NULL THEN 'Server Name (26) missing' ELSE '26 OK' END AS field26,
CASE WHEN EC35.columnid IS NULL THEN 'Database Name (35) missing' ELSE '35 OK' END AS field35,
CASE WHEN EC28.columnid IS NULL THEN 'Object Type (28) missing' ELSE '28 OK' END AS field28,
CASE WHEN EC34.columnid IS NULL THEN 'Object Name (34) missing' ELSE '34 OK' END AS field34,
CASE WHEN EC37.columnid IS NULL THEN 'Object Owner (37) missing' ELSE '34 OK' END AS field37
FROM E E
LEFT OUTER JOIN EC EC26
ON EC26.eventid = E.eventid
AND EC26.columnid = 26
LEFT OUTER JOIN EC EC35
ON EC35.eventid = E.eventid
AND EC35.columnid = 35
LEFT OUTER JOIN EC EC28
ON EC28.eventid = E.eventid
AND EC28.columnid = 28
LEFT OUTER JOIN EC EC34
ON EC34.eventid = E.eventid
AND EC34.columnid = 34
LEFT OUTER JOIN EC EC37
ON EC37.eventid = E.eventid
AND EC37.columnid = 37
WHERE
EC26.columnid IS NULL OR EC35.columnid IS NULL OR EC28.columnid IS NULL OR EC34.columnid IS NULL OR EC37.columnid IS NULL;

If the resulting list indicates any field specifications are missing, this is a finding.

Fix

Design and deploy a SQL Server Audit or Trace that captures the server name, database name, object type, object name and object owner (each where relevant) for all auditable events.

The script provided in the supplemental file Trace.sql can be used to create a trace.

The script provided in the supplemental file Audit.sql can be used to create an audit..
V-67777 No Change
Findings ID: SQL4-00-012100 Rule ID: SV-82267r2_rule Severity: medium CCI: CCI-000133

Discussion

Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not limited to: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, file names involved, and access control or flow control rules invoked.

SQL Server is capable of a range of actions on data stored within the database. It is important, for accurate forensic analysis, to know exactly who performed what actions. This requires specific information regarding the source of the event an audit record is referring to. If the source of the event information is not recorded and stored with the audit record, the record itself is of very limited use.

The source of the event can be a user account and sometimes a system account when timed jobs are run. Without information establishing the source of activity, the value of audit records from a forensics perspective is questionable. If Trace is enabled for auditing, SQL Server does capture the source of the event-specific information in all audit records.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Audit is in use, this is not a finding.

If SQL Server Trace is in use for audit purposes, verify that for all events it captures the NT User Name, NT Domain Name, Host Name, Client Process ID, Application Name, Login Name, SPID, DB User Name, and Login SID (each where relevant).
From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
WITH
EC AS (SELECT eventid, columnid FROM sys.fn_trace_geteventinfo(#)),
E AS (SELECT DISTINCT eventid FROM EC)
SELECT
E.eventid,
CASE WHEN EC6.columnid IS NULL THEN 'NT User Name (6) missing' ELSE '6 OK' END AS field26,
CASE WHEN EC7.columnid IS NULL THEN 'NT Domain Name (7) missing' ELSE '7 OK' END AS field7,
CASE WHEN EC8.columnid IS NULL THEN 'Host Name (8) missing' ELSE '8 OK' END AS field8,
CASE WHEN EC9.columnid IS NULL THEN 'Client Process ID (9) missing' ELSE '9 OK' END AS field9,
CASE WHEN EC10.columnid IS NULL THEN 'Application Name (10) missing' ELSE '10 OK' END AS field10,
CASE WHEN EC11.columnid IS NULL THEN 'Login Name (11) missing' ELSE '11 OK' END AS field11,
CASE WHEN EC12.columnid IS NULL THEN 'SPID (12) missing' ELSE '12 OK' END AS field12,
CASE WHEN EC40.columnid IS NULL THEN 'DB User Name (40) missing' ELSE '40 OK' END AS field40,
CASE WHEN EC41.columnid IS NULL THEN 'Login SID (41) missing' ELSE '41 OK' END AS field41
FROM E E
LEFT OUTER JOIN EC EC6
ON EC6.eventid = E.eventid
AND EC6.columnid = 6
LEFT OUTER JOIN EC EC7
ON EC7.eventid = E.eventid
AND EC7.columnid = 7
LEFT OUTER JOIN EC EC8
ON EC8.eventid = E.eventid
AND EC8.columnid = 8
LEFT OUTER JOIN EC EC9
ON EC9.eventid = E.eventid
AND EC9.columnid = 9
LEFT OUTER JOIN EC EC10
ON EC10.eventid = E.eventid
AND EC10.columnid = 10
LEFT OUTER JOIN EC EC11
ON EC11.eventid = E.eventid
AND EC11.columnid = 11
LEFT OUTER JOIN EC EC12
ON EC12.eventid = E.eventid
AND EC12.columnid = 12
LEFT OUTER JOIN EC EC40
ON EC40.eventid = E.eventid
AND EC40.columnid = 40
LEFT OUTER JOIN EC EC41
ON EC41.eventid = E.eventid
AND EC41.columnid = 41
WHERE
EC6.columnid IS NULL OR EC7.columnid IS NULL OR EC8.columnid IS NULL OR EC9.columnid IS NULL
OR EC10.columnid IS NULL OR EC11.columnid IS NULL OR EC12.columnid IS NULL
OR EC40.columnid IS NULL OR EC41.columnid IS NULL;

If the resulting list indicates any field specifications are missing, this is a finding.

If SQL Server Audit is in use, check to see that all audit records include enough information to establish the sources of the events; if not, this is a finding.

Fix

Design and deploy a SQL Server Audit or Trace that captures the NT User Name, NT Domain Name, Host Name, Client Process ID, Application Name, Login Name, SPID, DB User Name, and Login SID (each where relevant) for all auditable events.

The script provided in the supplemental file Trace.sql can be used to create a trace.

If SQL Server Audit is intended to be in use, design and deploy an Audit that captures all auditable events. The code provided in the supplemental file Audit.sql can be used as the basis for creating an Audit.
V-67779 No Change
Findings ID: SQL4-00-012200 Rule ID: SV-82269r2_rule Severity: medium CCI: CCI-000134

Discussion

Information system auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes, but is not limited to: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, file names involved, and access control or flow control rules invoked.

SQL Server is capable of a range of actions on data stored within the database. It is important, for accurate forensic analysis, to know the outcome of attempted actions. This requires specific information regarding the outcome of the action or event that the audit record is referring to. If outcome status information is not recorded and stored with the audit record, the record itself is of very limited use.

Success and failure indicators ascertain the outcome of a particular event. As such, they also provide a means to measure the impact of an event and help authorized personnel to determine the appropriate response. Without knowing the outcome of audit events, it is very difficult to accurately recreate the series of events during forensic analysis.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

If Trace is enabled for auditing, SQL Server does capture the outcome status information in all audit records.

If SQL Server Audit is enabled, the [Succeeded] column in the audit output indicates the success or failure of the attempted action. Be aware, however, that it may report True in some cases where one would intuitively expect False. For example, SELECT 1/0 FROM SYS.ALL_OBJECTS will appear in the audit trail as successful, if the user has permission to perform that action, even though it contains an invalid expression. Some other actions that one would consider failures (such as selecting from a table that does not exist) may not appear at all.

Checks

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

If SQL Server Audit is in use, the Succeeded column is populated for all relevant events: this is not a finding.

If SQL Server Trace is in use for audit purposes, verify that for all events it captures the Success flag (successful use of permissions), State and Error number (each where relevant).
From the query prompt:

SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:

WITH
EC AS (SELECT eventid, columnid FROM sys.fn_trace_geteventinfo(#)),
E AS (SELECT DISTINCT eventid FROM EC)
SELECT
E.eventid,
CASE WHEN EC23.columnid IS NULL THEN 'Success (successful use of permissions) (23) missing' ELSE '23 OK' END AS field23,
CASE WHEN EC30.columnid IS NULL THEN 'State (30) missing' ELSE '30 OK' END AS field30,
CASE WHEN EC31.columnid IS NULL THEN 'Error (31) missing' ELSE '31 OK' END AS field31
FROM E E
LEFT OUTER JOIN EC EC23
ON EC23.eventid = E.eventid
AND EC23.columnid = 23
LEFT OUTER JOIN EC EC30
ON EC30.eventid = E.eventid
AND EC30.columnid = 30
LEFT OUTER JOIN EC EC31
ON EC31.eventid = E.eventid
AND EC31.columnid = 31
WHERE
EC23.columnid IS NULL OR EC30.columnid IS NULL OR EC31.columnid IS NULL;

If the resulting list indicates any field specifications are missing, this is a finding.

Fix

If Trace is in use for audit purposes, design and deploy a Trace that captures the NT User Name, NT Domain Name, Host Name, Login Name, DB User Name and Login SID (each where relevant) for all auditable events. The script provided in the supplemental file Trace.sql can be used to create a trace.

If SQL Server Audit is intended to be in use, design and deploy an Audit that captures all auditable events. The code provided in the supplemental file Audit.sql can be used as the basis for creating an Audit.
V-67781 No Change
Findings ID: SQL4-00-012300 Rule ID: SV-82271r2_rule Severity: medium CCI: CCI-001487

Discussion

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

Database software is capable of a range of actions on data stored within the database. It is important, for accurate forensic analysis, to know exactly who performed a given action. If user identification information is not recorded and stored with the audit record, the record itself is of very limited use.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Audit is in use, the Principal Name columns are populated for all relevant events: this is not a finding.

If SQL Server Trace is in use for audit purposes, verify that for all events it captures the NT User Name, NT Domain Name, Host Name, Login Name, DB User Name and Login SID (each where relevant).
From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
WITH
EC AS (SELECT eventid, columnid FROM sys.fn_trace_geteventinfo(#)),
E AS (SELECT DISTINCT eventid FROM EC)
SELECT
E.eventid,
CASE WHEN EC6.columnid IS NULL THEN 'NT User Name (6) missing' ELSE '6 OK' END AS field26,
CASE WHEN EC7.columnid IS NULL THEN 'NT Domain Name (7) missing' ELSE '7 OK' END AS field7,
CASE WHEN EC8.columnid IS NULL THEN 'Host Name (8) missing' ELSE '8 OK' END AS field8,
CASE WHEN EC11.columnid IS NULL THEN 'Login Name (11) missing' ELSE '11 OK' END AS field11,
CASE WHEN EC40.columnid IS NULL THEN 'DB User Name (40) missing' ELSE '40 OK' END AS field40,
CASE WHEN EC41.columnid IS NULL THEN 'Login SID (41) missing' ELSE '41 OK' END AS field41
FROM E E
LEFT OUTER JOIN EC EC6
ON EC6.eventid = E.eventid
AND EC6.columnid = 6
LEFT OUTER JOIN EC EC7
ON EC7.eventid = E.eventid
AND EC7.columnid = 7
LEFT OUTER JOIN EC EC8
ON EC8.eventid = E.eventid
AND EC8.columnid = 8
LEFT OUTER JOIN EC EC11
ON EC11.eventid = E.eventid
AND EC11.columnid = 11
LEFT OUTER JOIN EC EC40
ON EC40.eventid = E.eventid
AND EC40.columnid = 40
LEFT OUTER JOIN EC EC41
ON EC41.eventid = E.eventid
AND EC41.columnid = 41
WHERE
EC6.columnid IS NULL OR EC7.columnid IS NULL OR EC8.columnid IS NULL
OR EC11.columnid IS NULL OR EC40.columnid IS NULL OR EC41.columnid IS NULL;

If the resulting list indicates any field specifications are missing, this is a finding.

Fix

If Trace is in use for audit purposes, design and deploy a Trace that captures the NT User Name, NT Domain Name, Host Name, Login Name, DB User Name and Login SID (each where relevant) for all auditable events. The script provided in the supplemental file Trace.sql can be used to create a trace.

If SQL Server Audit is intended to be in use, design and deploy an Audit that captures all auditable events. The code provided in the supplemental file Audit.sql can be used as the basis for creating an Audit.
V-67783 No Change
Findings ID: SQL4-00-012400 Rule ID: SV-82273r1_rule Severity: medium CCI: CCI-000135

Discussion

SQL Server auditing capability is critical for accurate forensic analysis. Audit record content which may be necessary to satisfy the requirement of this control includes: time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, file names involved, and access control or flow control rules invoked.

SQL Server does have a means available to add organizationally defined additional, more detailed information in the audit event records. These events may be identified by type, location, or subject. An example of more detailed information the organization may require in audit records could be the name of the application where the request is coming from.

Some organizations may determine that more detailed information is required for specific database event types. If this information is not available, it could negatively impact forensic investigations into user actions or other malicious events.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

Review system documentation to determine whether SQL Server is required to audit any events, and any fields, in addition to those in the standard audit or audit-oriented trace.

If there are none specified, this is not a finding.

If SQL Server Trace is in use for audit purposes, review the audit-oriented trace definition script(s) to identify any events and/or fields that are required but not in the script.

If any such are identified, this is a finding.

If SQL Server Audit is in use, compare the audit specification(s) with the documented requirements.

If any such requirement is not satisfied by the audit specification(s) (or by supplemental, locally-deployed mechanisms), this is a finding.

Fix

If Trace is in use for audit purposes, where SQL Server's trace facilities can provide the necessary data, define and enable a trace that captures all organization-defined auditable events and fields. The script provided in the supplemental file Trace.sql can be used for this, after appropriate editing.

Where SQL Server's trace facilities cannot provide the necessary data, designate the event code(s) that will be used (Microsoft provides codes 82 through 91 for this purpose), design and deploy triggers that will recognize the events and invoke sp_trace_generateevent to populate the trace with the necessary information. Add a block of sp_trace_setevent calls to the trace script for each event code designated for this purpose.

If SQL Server Audit is in use, design and deploy an Audit that captures all auditable events and data items. The script provided in the supplemental file Audit.sql can be used as the basis for this. Supplement the standard audit data as necessary, using database audit specifications, Extended Events and/or triggers.
V-67785 No Change
Findings ID: SQL4-00-013000 Rule ID: SV-82275r1_rule Severity: medium CCI: CCI-000140

Discussion

It is critical that when SQL Server is at risk of failing to process audit logs as required, it take action to mitigate the failure. Audit processing failures include: software/hardware errors; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Responses to audit failure depend upon the nature of the failure mode.

When the need for system availability does not outweigh the need for a complete audit trail, SQL Server should shut down immediately, rolling back all in-flight transactions.

Systems where audit trail completeness is paramount will most likely be at a lower MAC level than MAC I; the final determination is the prerogative of the application owner, subject to Authorizing Official concurrence. In any case, sufficient auditing resources must be allocated to avoid a shutdown in all but the most extreme situations.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

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

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

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

If is_shutdown = 0, this is a finding.

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

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

Fix

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

If SQL Server Audit is in use, configure SQL Server Audit to shut SQL Server down upon audit failure, to include running out of space for audit logs. Run this T-SQL script for each identified audit:
ALTER SERVER AUDIT <server_audit_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT <server_audit_name> WITH (ON_FAILURE = SHUTDOWN);
GO
ALTER SERVER AUDIT <server_audit_name> WITH (STATE = ON);
GO
The audit defined in the supplemental file Audit.sql includes this setting.
V-67787 No Change
Findings ID: SQL4-00-030600 Rule ID: SV-82277r4_rule Severity: high CCI: CCI-000140

Discussion

It is critical that when SQL Server is at risk of failing to process audit logs as required, it take action to mitigate the failure. Audit processing failures include: software/hardware errors; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Responses to audit failure depend upon the nature of the failure mode.

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

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

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

Systems where availability is paramount will most likely be MAC I; the final determination is the prerogative of the application owner, subject to Authorizing Official concurrence. In any case, sufficient auditing resources must be allocated to avoid audit data loss in all but the most extreme situations.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

However, although Trace supports FIFO rollover, SQL Server Audit does not: its CONTINUE option stops the production of new audit records when there is an audit failure.

Checks

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

If SQL Server Audit is not in use, this is a finding.

If SQL Server Audit is in use, review the defined server audits by running the statement:

SELECT [name], [max_rollover_files] FROM sys.server_file_audits
WHERE is_state_enabled = 1;

By observing the [name] and [max_rollover_files] columns, identify the row or rows in use.

If the [max_rollover_files] is greater than zero, this is not a finding. Otherwise, this is a finding.

Fix

If SQL Server Audit is in use, configure SQL Server Audit to continue to generate audit records, overwriting the oldest existing records, in the case of an auditing failure.

Run this T-SQL script for each identified audit:

ALTER SERVER AUDIT [AuditName] WITH (STATE = OFF);
GO
ALTER SERVER AUDIT [AuditName] to file (max_rollover_files = IntegerValue);
GO
ALTER SERVER AUDIT [AuditName] WITH (STATE = ON);
GO
V-67789 No Change
Findings ID: SQL4-00-013600 Rule ID: SV-82279r2_rule Severity: medium CCI: CCI-000162

Discussion

If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be difficult, if not impossible, to achieve. In addition, access to audit records provides information an attacker could potentially use to his or her advantage.

To ensure the veracity of audit data, the information system and/or the application must protect audit information from any and all unauthorized access. This includes read, write, copy, etc.

SQL Server and third-party tools are examples of applications that are easily able to view and manipulate audit file data. Additionally, applications with user interfaces to audit records should not allow unfettered manipulation of, or access to, those records via any application. If an application provides access to the audit data, the application becomes accountable for ensuring that audit information is protected from unauthorized access.

This requirement can be achieved through multiple methods, which will depend upon system architecture and design. Some commonly employed methods include ensuring log files enjoy the proper file system permissions utilizing file system protections, and limiting log data location.

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity.

Checks

Obtain the SQL Server audit file location(s) by running the following SQL script:
SELECT DISTINCT
LEFT(path, (LEN(path) - CHARINDEX('\',REVERSE(path)) + 1)) AS "Audit Path"
FROM sys.traces
UNION
SELECT log_file_path AS "Audit Path"
FROM sys.server_file_audits

For each audit, the path column will give the location of the file.

Verify that all audit files have the correct permissions by doing the following for each audit file: Navigate to audit folder location(s) using a command prompt or Windows Explorer.

Right-click the file/folder, click Properties. On the Security tab, verify that at most the following permissions are applied:
Administrator(read)
Users (none)
Audit Administrator (Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

If any less restrictive permissions are present and not specifically justified and approved in the system security plan, this is a finding.

If less restrictive permissions are present and specifically justified and approved in the system security plan, this is not a finding.


-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here

Fix

Edit the system security plan to include justification and authorization for any less restrictive permissions that are present and needed. (An example might be where Auditors need "Read & Execute" rather than "Read" alone.)

Modify audit file permissions to meet the requirement to protect against unauthorized access.

Navigate to audit folder location(s) using a command prompt or Windows Explorer. Right-click on the file, click Properties.
On the Security tab, modify the security permissions to:
Administrator(read)
Users (none)
Audit Administrator(Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here
V-67791 No Change
Findings ID: SQL4-00-013700 Rule ID: SV-82281r2_rule Severity: medium CCI: CCI-000163

Discussion

If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be impossible to achieve.

To ensure the veracity of audit data, the information system and/or the application must protect audit information from unauthorized modification.

This requirement can be achieved through multiple methods, which will depend upon system architecture and design. Some commonly employed methods include ensuring log files enjoy the proper file system permissions, and limiting log data locations.

Applications providing a user interface to audit data will leverage user permissions and roles identifying the user accessing the data and the corresponding rights that the user enjoys in order to make decisions regarding the modification of audit data.

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity.

Modification of database audit data could mask the theft or unauthorized modification of sensitive data stored in the database.

Checks

Obtain the SQL Server audit file location(s) by running the following SQL script:
SELECT DISTINCT
LEFT(path, (LEN(path) - CHARINDEX('\',REVERSE(path)) + 1)) AS "Audit Path"
FROM sys.traces
UNION
SELECT log_file_path AS "Audit Path"
FROM sys.server_file_audits

For each audit, the Audit Path column will give the location of the file.

Verify that all audit files have the correct permissions by doing the following for each audit file: Navigate to audit folder location(s) using a command prompt or Windows Explorer. The following instructions assume Windows Explorer is used.

Right-click the file/folder, click Properties. On the Security tab, verify that at most the following permissions are applied:
Administrator(read)
Users (none)
Audit Administrator (Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

If any less restrictive permissions are present and not specifically justified and approved in the system security plan, this is a finding.

If less restrictive permissions are present and specifically justified and approved in the system security plan, this is not a finding.

If Trace is in use, SQL Server creates each trace file with a standard set of permissions, overriding the folder permissions. It grants full control to OWNER RIGHTS, Administrators and <SQL Server Instance name>.

Since this is not configurable, this is not a finding.

-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here

Fix

Edit the system security plan to include justification and authorization for any less restrictive permissions that are present and needed. (An example might be where Auditors need "Read & Execute" rather than "Read" alone.)

Modify audit file permissions to meet the requirement to protect against unauthorized modification.

Navigate to audit folder location(s) using a command prompt or Windows Explorer. Right-click on the file, click Properties. On the Security tab, modify the security permissions to:
Administrator(read)
Users (none)
Audit Administrator(Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here
V-67793 No Change
Findings ID: SQL4-00-013800 Rule ID: SV-82283r2_rule Severity: medium CCI: CCI-000164

Discussion

If audit data were to become compromised, competent forensic analysis and discovery of the true source of potentially malicious system activity would be impossible to achieve.

To ensure the veracity of audit data, the information system and/or the application must protect audit information from unauthorized deletion. This requirement can be achieved through multiple methods, which will depend upon system architecture and design.

Some commonly employed methods include ensuring log files enjoy the proper file system permissions utilizing file system protections, restricting access, and backing up log data to ensure log data is retained.

Applications providing a user interface to audit data will leverage user permissions and roles identifying the user accessing the data and the corresponding rights the user enjoys in order to make decisions regarding the deletion of audit data.

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity.

Deletion of database audit data could mask the theft or unauthorized modification of sensitive data stored in the database.

Checks

Obtain the SQL Server audit file location(s) by running the following SQL script:
SELECT DISTINCT
LEFT(path, (LEN(path) - CHARINDEX('\',REVERSE(path)) + 1)) AS "Audit Path"
FROM sys.traces
UNION
SELECT log_file_path AS "Audit Path"
FROM sys.server_file_audits

For each audit, the path column will give the location of the file.

Verify that all audit files have the correct permissions by doing the following for each audit file: Navigate to audit folder location(s) using a command prompt or Windows Explorer.

Right-click the file/folder, click Properties. On the Security tab, verify that at most the following permissions are applied:
Administrator(read)
Users (none)
Audit Administrator (Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

If any less restrictive permissions are present and not specifically justified and approved in the system security plan, this is a finding.

If less restrictive permissions are present and specifically justified and approved in the system security plan, this is not a finding.

-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here

Fix

Modify audit file permissions to meet the requirement to protect against unauthorized deletion.

Navigate to audit folder location(s) using a command prompt or Windows Explorer. Right-click on the file, click Properties.
On the Security tab, modify the security permissions to:
Administrator(read)
Users (none)
Audit Administrator(Full Control)
Auditors group (Read)
SQL Server Service SID OR Service Account (Full Control) [Notes 1, 2]
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write) [Notes 1, 2]

-----

Note 1: It is highly advisable to use a separate account for each service. When installing SQL Server in single-server mode, you can opt to have these provisioned for you. These automatically-generated accounts are referred to as virtual accounts. Each virtual account has an equivalent Service SID, with the same name. The installer also creates an equivalent SQL Server login, also with the same name. Applying folder and file permissions to Service SIDs, rather than to domain accounts or local computer accounts, provides tighter control, because these permissions are available only to the specific service when it is running, and not in any other context. (However, when using failover clustering, a domain account must be specified at installation, rather than a virtual account.) For more on this topic, see http://msdn.microsoft.com/en-us/library/ms143504(v=sql.120).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.
1) In Windows Explorer, right-click on the folder and select "Properties."
2) Select the "Security" tab
3) Click "Edit"
4) Click "Add"
5) Click "Locations"
6) Select the computer name
7) Search for the name
7.a) SQL Server Service
7.a.i) Type "NT SERVICE\MSSQL" and click "Check Names". (What you have just typed in is the first 16 characters of the name. At least one character must follow "NT SERVICE\"; you will be presented with a list of all matches. If you have typed in the full, correct name, step 7.a.ii is bypassed.)
7.a.ii) Select the "MSSQL$<instance name>" user and click OK
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names"
7.b.ii) Select the "SQLAgent$<instance name>" user and click OK
8) Click OK
9) Permission like a normal user from here
V-67795 Updated
Findings ID: SQL4-00-013900 Rule ID: SV-82285r12_rule Severity: medium CCI: CCI-001493

Discussion

Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data.

Depending upon the log format and application, system and application log tools may provide the only means to manipulate and manage application and system log data. It is, therefore, imperative that access to audit tools be controlled and protected from unauthorized access.

If an attacker were to gain access to audit tools, he could analyze audit logs for system weaknesses or weaknesses in the auditing itself. An attacker could also manipulate logs to hide evidence of malicious activity.

This focuses on audit/trace log tools within SQL Server. Other STIG requirements govern operating system settings to control access to external tools
Applications 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 has in order to make access decisions regarding access to the audit tools. SQL Server is an application that does provide access to audit data.

Audit tools include, but are not limited to, OS-provided audit tools, vendor-provided audit tools, and open source audit tools needed to successfully view and manipulate audit information system activity and records.

If an attacker were to gain access to audit tools, he could analyze audit logs for system weaknesses or weaknesses in the auditing itself. An attacker could also manipulate logs to hide evidence of malicious activity
.

Checks

Review the SQL Server permissions granted to principals. TheCheck the server documentation for a list of approved users with access to SQL Server Audits.

To create, alter, or drop a server audit, principals require the "ALTER ANY SERVER AUDIT" or the "CONTROL SERVER" permission. To
views and functions provided in the supplemental file Permissions.sql can help with thi Audit log requires the "CONTROL SERVER" permission. To use Profiler, "ALTER TRACE" is required.

Review the SQL Server permissions granted to principal
s. Look for permissions such as "ALTER ANY SERVER AUDIT", "ALTER ANY DATABASE AUDIT", ALTER TRACE; or EXECUTE on the stored procedures with names beginning "SP_TRACE", or on scopes including those procedures."CONTROL SERVER", and "ALTER TRACE":

SELECT login.name, perm.permission_name, perm.state_desc
FROM sys.server_permissions perm -- or STIG.server_permissions
JOIN sys.server_principals login
ON perm.grantee_principal_id = login.principal_id
WHERE permission_name in ('CONTROL SERVER', 'ALTER ANY DATABASE AUDIT', 'ALTER ANY SERVER AUDIT','ALTER TRACE')
and login.name not like '##MS_%';


If unauthorized accounts have these privileges, this is a finding.

Fix

Use REVOKE and/or DENY statements to rRemove audit-related permissions from individuals and roles not authorized to have them.
V-67803 No Change
Findings ID: SQL4-00-014000 Rule ID: SV-82293r1_rule Severity: medium CCI: CCI-001494

Discussion

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.

Applications 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 make access decisions regarding the modification of 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.

This focuses on external tools for log maintenance and review. Other STIG requirements govern SQL Server privileges to maintain trace or audit definitions.

Checks

In Windows, review the access permissions to tools used to view or modify audit log data (to include traces used for audit purposes).

If appropriate permissions and access controls to prevent unauthorized changes are not applied to these tools, this is a finding.

Fix

Apply or modify Windows permissions on tools used to view or modify audit log data (to include traces used for audit purposes), to make them accessible by authorized personnel only.
V-67805 No Change
Findings ID: SQL4-00-014100 Rule ID: SV-82295r1_rule Severity: medium CCI: CCI-001495

Discussion

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.

Applications 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 make access decisions regarding the deletion of 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.

This focuses on external tools for log maintenance and review. Other STIG requirements govern SQL Server privileges to maintain trace or audit definitions.

Checks

In Windows, review the access permissions to tools used to view or modify audit log data (to include traces used for audit purposes).

If appropriate permissions and access controls to prevent unauthorized deletions are not applied to these tools, this is a finding.

Fix

Apply or modify Windows permissions on tools used to view or modify audit log data (to include traces used for audit purposes), to make them accessible by authorized personnel only.
V-67807 No Change
Findings ID: SQL4-00-015350 Rule ID: SV-82297r1_rule Severity: medium CCI: CCI-001499

Discussion

When dealing with change control issues, it should be noted, any changes to the hardware, software, and/or firmware components of applications and tools related to SQL Server can potentially have significant effects on the overall security of the system. Only qualified and authorized individuals shall be allowed to obtain access to components related to SQL Server for purposes of initiating changes, including upgrades and modifications.

Unmanaged changes that occur to the software libraries or configuration can lead to unauthorized or compromised installations.

Of particular note in this context is that any software installed for auditing and/or audit file management must be protected and monitored.

Checks

Verify that files and folders that are part of, or related to, the SQL Server 2014 installation have only the appropriate privileges. In Windows Explorer, right-click the file/folder, click Properties. On the Security tab, modify the security permissions, so that at most the following permissions are present:
Trusted Installer (Full Control)
SYSTEM (Full Control)
Administrators (Full Control) [See Note 1]
Users (Read, List Folder Contents, Read & Execute)
Creator Owner (Special Permissions - Full control - Subfolders and files only)
All Application Packages (Read & Execute) [Only as needed - see Note 2]

If any less restrictive permissions are present (and not specifically justified and approved), this is a finding.

Verify that files and folders that are part of, or related to, the SQL Server 2014 installation have auditing enabled. Right-click on the file/folder, click Properties. On the Security tab, click Advanced. On the Auditing tab, verify that the following is set up on at least one audit:
Type: All
Principal: Everyone
Access: Modify
Applies to: This Folder, subfolder, and files [where applicable]

If the required audit settings are not configured, there is a risk that unauthorized changes to the software will go undetected, and this is a finding.

If a third-party security and data integrity tool is not used for monitoring and alerting files and folders based on cryptographic hashes, this is a finding.

If the tool does not verify files/folder locations as listed in the documentation, this is a finding.

Note 1: In the interest of separation of responsibilities with least privilege, consider granting Full Control only to SQL Database Administrators (or another appropriate group of administrators) and providing the local Administrators group with Read access only.

Note 2: Some files also require 'ALL APPLICATION PACKAGES (READ, EXECUTE)' permissions for certain functionality to work appropriately, and this is considered acceptable where those permissions are required. (All SQL Server files that require this access reside by default in the ..\Microsoft SQL Server\110\ directory.)

Fix

Include locations of all files, libraries, scripts, and executables that are part of, or related to, the SQL Server 2014 installation in the documentation.

Ensure that files and folders that are part of, or related to, the SQL Server 2014 installation have only the following privileges. Right-click the file/folder, click Properties. On the Security tab, modify the security permissions, so that at most the following permissions are present:
Trusted Installer (Full Control)
SYSTEM (FULL CONTROL)
Administrators (FULL CONTROL)
Users (READ, LIST FOLDER CONTENTS, READ & EXECUTE)
Creator Owner (Special Permissions - Full control - Subfolders and files only)
All Application Packages (Read & Execute) [Only as needed - see Note 2]

Ensure that files and folders that are part of, or related to, the SQL Server 2014 installation have auditing enabled. Right-click on the file/folder, click Properties. On the Security tab, click Advanced. On the Auditing tab, use the Add or Edit buttons and the dialogs that follow from them, to set up the following on at least one audit:
Type: All
Principal: Everyone
Access: Modify
Applies to: This Folder, subfolder, and files [where applicable]

Deploy a third-party security and data integrity tool for monitoring and alerting files and folders based on cryptographic hashes, to verify files/folder locations as listed in the documentation.

Note 1: In the interest of separation of responsibilities with least privilege, consider granting Full Control only to SQL Database Administrators (or another appropriate group of administrators) and providing the local Administrators group with Read access only.

Note 2: Some files also require 'ALL APPLICATION PACKAGES (READ, EXECUTE)' permissions for certain functionality to work appropriately, and this is considered acceptable where those permissions are required. (All SQL Server files that require this access reside by default in the ..\Microsoft SQL Server\110\ directory.)
V-67809 No Change
Findings ID: SQL4-00-015300 Rule ID: SV-82299r1_rule Severity: medium CCI: CCI-001499

Discussion

When dealing with change control issues, it should be noted, any changes to security-relevant configuration settings of SQL Server can potentially have significant effects on the overall security of the system.

If SQL Server were to allow any user to make changes to configuration settings, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process. This requirement is contingent upon the configuration of SQL Server's hosted application and the security-relevant configuration settings of SQL Server.

Accordingly, only qualified and authorized individuals shall be allowed to obtain access to these security-relevant configuration settings for purposes of initiating changes, including upgrades and modifications.

Unmanaged changes that occur to SQL Server software libraries or configuration can lead to unauthorized or compromised installations.

Checks

Verify within the system documentation that SQL Server is monitored for security-relevant configuration settings to discover unauthorized changes.

This can be done by a third-party tool or a SQL script that does baselining and then comparisons.

If the monitoring of security-relevant configuration settings to discover unauthorized changes is not implemented on SQL Server, this is a finding.

Fix

Document the monitoring of security-relevant configuration settings to discover unauthorized changes within the system documentation.

Document the specific users or types of security personnel that are able to monitor security-relevant configuration settings to discover unauthorized changes.

Deploy and implement a third-party tool or some other SQL Server method of monitoring security-relevant configuration settings to discover unauthorized changes.
V-67811 No Change
Findings ID: SQL4-00-015400 Rule ID: SV-82301r1_rule Severity: medium CCI: CCI-001499

Discussion

When dealing with change control issues, it should be noted, any changes to the hardware, software, and/or firmware components of the information system and/or application can potentially have significant effects on the overall security of the system.

If the application were to allow any user to make changes to software libraries, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process.

This requirement is contingent upon the language in which the application is programmed, as many application architectures in use today incorporate their software libraries into, and make them inseparable from, their compiled distributions, rendering them static and version dependent. However, this requirement does apply to applications with software libraries accessible and configurable, as in the case of interpreted languages.

Accordingly, only qualified and authorized individuals shall be allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications.

DBA and other privileged administrative or application owner accounts are granted privileges that allow actions that can have a greater impact on SQL Server security and operation. It is especially important to grant access to privileged accounts to only those persons who are qualified and authorized to use them.

Checks

Check system documentation for policy and procedures to restrict use of the SQL Server software installation account.

Check OS settings to determine whether users are restricted from accessing SQL Server objects and data they are not authorized to access by checking the local OS user accounts.

From a Command Prompt, open lusrmgr.msc. Navigate to Users >> right-click individual user >> Properties >> Member Of.

If appropriate access controls for all users are not implemented to restrict access to only authorized users and to restrict the access of those users to objects and data they are authorized, this is a finding.

Review procedures for controlling and granting access to use of the SQL Server software installation account.

If access or use of this account is not restricted to the minimum number of personnel required, or unauthorized access to this account has been granted, this is a finding.

Fix

From a Command Prompt, open lusrmgr.msc. Navigate to Users >> right-click individual user >> Properties >> Member Of.

Configure SQL Server & OS settings and access controls, to restrict user access to objects and data that the user is authorized to view or interact with.

Develop, document, and implement procedures to restrict use of the DBMS software installation account.
V-67813 No Change
Findings ID: SQL4-00-015500 Rule ID: SV-82303r2_rule Severity: low CCI: CCI-001499

Discussion

When dealing with change control issues, it should be noted, any changes to the hardware, software, and/or firmware components of the information system and/or application can potentially have significant effects on the overall security of the system.

Multiple applications can provide a cumulative negative effect. A vulnerability and subsequent exploit of one application can lead to an exploit of other applications sharing the same security context. For example, an exploit of a web server process that leads to unauthorized administrative access to host system directories can most likely lead to a compromise of all applications hosted by the same system. Database software not installed using dedicated directories both threatens and is threatened by other hosted applications. Access controls defined for one application may by default provide access to other applications’ database objects or directories. Any method that provides any level of separation of security context assists in the protection between applications.

Checks

Verify the SQL Server installations present on the server.

From a Command Prompt, type regedit.exe, and press [ENTER].

Navigate to HKEY_LOCAL_MACHINE >> SOFTWARE >> Microsoft >> Microsoft SQL Server >> Instance Names. Each instance installed on the server possesses a key inside a folder under this registry entry.

Analysis Services Instances are registered in the OLAP subfolder.
Reporting Services Instances are registered in the RS subfolder.
Standard SQL Server (database engine) Instances are registered in the SQL subfolder.

Inside each one of these folders, a single key is used to reference an Instance's specific Windows Registry tree. Each key will have its own registry tree at the following registry location: HKEY_LOCAL_MACHINE >> SOFTWARE >> Microsoft >> Microsoft SQL Server >> [INSTANCE NAME].

An [INSTANCE NAME] is listed as the Data component of a key found in one of the above OLAP, RS, or SQL folders.

To find the installation location of a particular instance, navigate to the following location in the Windows Registry:

HKEY_LOCAL_MACHINE >> SOFTWARE >> Microsoft >> Microsoft SQL Server >> [INSTANCE NAME] >> Setup. Examine the value of the 'SqlProgramDir' key. The value of the 'SqlProgramDir' key is the SQL Server installation directory for that SQL Server Instance.

Navigate to that folder location using a Command Prompt or Windows Explorer. Only applications that are required for the functioning and administration, not use, of SQL Server should be located on the same directory node as the SQL Server software libraries.

If any files or subfolders that are not part of the SQL Server installation are in the folder, this is a finding.

Fix

Separate database files (software, data) into dedicated directories.
V-67815 No Change
Findings ID: SQL4-00-030700 Rule ID: SV-82305r1_rule Severity: medium CCI: CCI-001499

Discussion

If SQL Server were to allow any user to make changes to database structure or logic, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process.

Accordingly, only qualified and authorized individuals shall be allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications.

Unmanaged changes that occur to the database software libraries or configuration can lead to unauthorized or compromised installations.

Checks

Using the system security plan, identify the group(s)/role(s) established for SQL Server DBMS and database modification, and the individuals authorized to modify the DBMS and database(s). If helpful, the views STIG.server_permissions and STIG.database_permissions, provided in the supplemental file Permissions.sql, can be used to search for the relevant roles: look for Permission values containing "Alter," "Create," "Control," etc.

Obtain the list of users in those group(s)/roles. The provided functions STIG.members_of_db_role() and STIG.members_of_server_role(), can be used for this.

If unauthorized access to the group(s)/role(s) has been granted, this is a finding.

Fix

Revoke unauthorized memberships in the group(s)/role(s) designated for DBMS and database modification.

Syntax examples:

ALTER ROLE Power DROP MEMBER JenUser; -- the member is a database role or database user.
ALTER SERVER ROLE GreatPower DROP MEMBER Irresponsibility; -- the member is a server role or login.
V-67817 No Change
Findings ID: SQL4-00-016200 Rule ID: SV-82307r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives. Examples include, but are not limited to, installing advertising software, demonstrations, or browser plug-ins not related to requirements and providing a wide array of functionality not required for every mission, but which cannot be disabled.

Applications must adhere to the principles of least functionality by providing only essential capabilities. Even though the very popular "Northwind" database is no longer installed by default, it introduces a vulnerability to SQL Server and must be removed, if present.

Demonstration and sample database objects and applications present publicly known attack points for malicious users. These demonstration and sample objects are meant to provide simple examples of coding specific functions and are not developed to prevent vulnerabilities from being introduced to the SQL Server and the OS.

Checks

Check SQL Server for the existence of the publicly available "Northwind" database by performing the following query:

SELECT name FROM sysdatabases WHERE name LIKE 'Northwind%';

If the "Northwind" database is present, this is a finding.

Fix

Remove the publicly available "Northwind" database from SQL Server by running the following script:

USE master;
GO
DROP DATABASE Northwind;
GO
V-67819 No Change
Findings ID: SQL4-00-016300 Rule ID: SV-82309r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives. Examples include, but are not limited to, installing advertising software, demonstrations, or browser plug-ins not related to requirements and providing a wide array of functionality not required for every mission, but which cannot be disabled.

Applications must adhere to the principles of least functionality by providing only essential capabilities. Even though the formerly popular "pubs" database is no longer installed by default, it introduces a vulnerability to SQL Server and must be removed, if present.

Demonstration and sample database objects and applications present publicly known attack points for malicious users. These demonstration and sample objects are meant to provide simple examples of coding specific functions and are not developed to prevent vulnerabilities from being introduced to the SQL Server and the OS.

Checks

Check SQL Server for the existence of the publicly available "pubs" database by performing the following query:

SELECT name FROM sysdatabases WHERE name LIKE 'pubs%';

If the "pubs" database is present, this is a finding.

Fix

Remove the publicly available "pubs" database from SQL Server by running the following script:

USE master;
GO
DROP DATABASE pubs;
GO
V-67821 No Change
Findings ID: SQL4-00-016310 Rule ID: SV-82311r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives. Examples include, but are not limited to, installing advertising software, demonstrations, or browser plug-ins not related to requirements and providing a wide array of functionality not required for every mission, but which cannot be disabled.

Applications must adhere to the principles of least functionality by providing only essential capabilities. Even though the very popular "AdventureWorks" database is no longer installed by default, it introduces a vulnerability to SQL Server and must be removed, if present.

Demonstration and sample database objects and applications present publicly known attack points for malicious users. These demonstration and sample objects are meant to provide simple examples of coding specific functions and are not developed to prevent vulnerabilities from being introduced to the SQL Server and the OS.

Checks

Check SQL Server for the existence of the publicly available "AdventureWorks" database by performing the following query:

SELECT name FROM sysdatabases WHERE name LIKE 'AdventureWorks%';

If the "AdventureWorks" database is present, this is a finding.

Fix

Remove the publicly available "AdventureWorks" database from SQL Server by running the following script:

USE master;
GO
DROP DATABASE AdventureWorks;
GO
V-67823 No Change
Findings ID: SQL4-00-016500 Rule ID: SV-82313r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Data Tools (SSDT) software component must be removed from SQL Server if it is unused.

Checks

Review the list of components and features installed with the database. Using an account with System Administrator privileges, from Command Prompt, open control.exe.

Navigate to Programs and Features. Check for the following entries in the 'Uninstall or change a program' window.

Microsoft SQL Server Data Tools - Database Projects - Web installer entry point
Prerequisites for SSDT

If SQL Server Data Tools is not documented as a server requirement, and these entries exist, this is a finding.

Fix

Document the requirement for SQL Server Data Tools to reside on this server.

If it is not required, using an account with System Administrator privileges, from Command Prompt, open control.exe.

Navigate to Programs and Features. Remove the following entries in the 'Uninstall or change a program' window.

Microsoft SQL Server Data Tools - Database Projects - Web installer entry point
Prerequisites for SSDT
V-67825 No Change
Findings ID: SQL4-00-016600 Rule ID: SV-82315r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Reporting Services (SSRS) software component must be removed from SQL Server if it is unused.

Checks

If the SQL Server service "SQL Server Reporting Services (<Instance Name>)" is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Server Reporting Services (<Instance Name>)".

If the "SQL Server Reporting Services (<Instance Name>)" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Reporting Services - Native; select Reporting Services Add-in for SharePoint Products if it is present; click Next.

Follow the remaining prompts, to remove SQL Server Reporting Services from SQL Server.
V-67827 No Change
Findings ID: SQL4-00-016700 Rule ID: SV-82317r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Integration Services (SSIS) software component must be removed from SQL Server if it is unused.

Checks

If the SQL Server service "SQL Server Integration Services 12.0" is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Server Integration Services 12.0".

If the "SQL Server Integration Services 12.0" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select '<< Remove shared features only >>'; click Next. Note: all SQL Server 2014 instances will be affected by this action.

Select Integration Services; click Next.

Follow the remaining prompts, to remove SQL Server Integration Services from SQL Server.
V-67829 No Change
Findings ID: SQL4-00-016800 Rule ID: SV-82319r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Analysis Service (SSAS) software component removed from SQL Server if it is unused.

Checks

If the SQL Server service "SQL Server Analysis Services (<Instance Name>)" is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Server Analysis Services (<Instance Name>)".

If the "SQL Server Analysis Services (<Instance Name>)" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Analysis Services; click Next.

Follow the remaining prompts, to remove SQL Server Analysis Services from SQL Server.
V-67831 No Change
Findings ID: SQL4-00-016805 Rule ID: SV-82321r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Distributed Replay Client software component must be removed if it is unused.

Checks

If the SQL Server service "SQL Server Distributed Replay Client" is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Server Distributed Replay Client".

If the "SQL Server Distributed Replay Client" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select a SQL Server instance; click Next. (Note: all instances of SQL Server 2012 or higher may be affected by this action.)

Select Distributed Replay Client; click Next.

Follow the remaining prompts, to remove Distributed Replay Client from SQL Server.
V-67833 No Change
Findings ID: SQL4-00-016810 Rule ID: SV-82323r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Distributed Replay Controller software component must be removed if it is unused.

Checks

If the SQL Server service "SQL Server Distributed Replay Controller" is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Server Distributed Replay Controller".

If the "SQL Server Distributed Replay Controller" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select '<< Remove shared features only >>'; click Next. (Note: all instances of SQL Server 2012 or higher may be affected by this action.)

Select Distributed Replay Controller; click Next.

Follow the remaining prompts, to remove Distributed Replay Controller from SQL Server.
V-67835 No Change
Findings ID: SQL4-00-016815 Rule ID: SV-82325r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Full-Text Search software component must be removed from SQL Server if it is unused.

Checks

If the SQL Server full-text search feature is used and satisfies organizational requirements, this is not a finding.

From a command prompt or the Start menu, using an account with System Administrator Privilege, open services.msc. Look for: "SQL Full-text Daemon Launcher(<Instance name>)".

If the "SQL Full-text Daemon Launcher(<Instance name>)" service exists, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Full-Text and Semantic Extractions for Search; click Next.

Follow the remaining prompts, to remove Full-Text and Semantic Extractions for Search from SQL Server.
V-67837 No Change
Findings ID: SQL4-00-016820 Rule ID: SV-82327r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Master Data Services software component must be removed from SQL Server if it is unused.

Checks

If the Master Data Services feature is used and satisfies organizational requirements, this is not a finding.

Click on the Start button. Navigate to >> Microsoft SQL Server 2014 >> Master Data Services.

If the "Master Data Services" folder exists and contains any programs, this is a finding.

In Windows Explorer, navigate to <drive where SQL Server is installed>:\Program Files\Microsoft SQL Server\120\Master Data Services\.

If this exists and contains any files, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select '<< Remove shared features only >>'; click Next. Note: all SQL Server 2014 instances will be affected by this action.)

Select Master Data Services; click Next.

Follow the remaining prompts, to remove Master Data Services from SQL Server.
V-67839 No Change
Findings ID: SQL4-00-016826 Rule ID: SV-82329r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The SQL Server Replication software component must be removed from SQL Server if it is unused.

Checks

If the SQL Server Replication feature is used and satisfies organizational requirements, this is not a finding.

In SQL Server Management Studio, Object Explorer, expand the instance. Right-click Replication >> New >> Publication.

If the Publication Wizard appears, with no error message, this is a finding.

Right-click Replication >> New >> Subscription.

If the Subscription Wizard appears, with no error message, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select SQL Server Replication; click Next.

Follow the remaining prompts, to remove SQL Server Replication from SQL Server.
V-67841 No Change
Findings ID: SQL4-00-016830 Rule ID: SV-82331r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Data Quality Client software component must be removed from SQL Server if it is unused.

Checks

If the Data Quality Client feature is used and satisfies organizational requirements, this is not a finding.

In Windows Server 2008 R2 or lower, click on the Start button. In the Start menu, navigate to All Programs >> Microsoft SQL Server 2014.

If the "Data Quality Services" folder exists and contains the Data Quality Client program, this is a finding.

In Windows Server 2012 or higher, click on the Start button. In the Start menu, navigate to Apps >> Microsoft SQL Server 2014.

If the Data Quality Client program is listed, this is a finding.

In Windows Explorer, navigate to <drive where SQL Server is installed>:\Program Files (x86)\Microsoft SQL Server\120\Tools\Binn\DQ\

If this folder exists and contains the file DataQualityServices.exe, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Data Quality Client; click Next.

Follow the remaining prompts, to remove Data Quality Client from SQL Server.
V-67843 No Change
Findings ID: SQL4-00-016835 Rule ID: SV-82333r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Data Quality Services software component must be removed from SQL Server if it is unused.

Checks

If the Data Quality Services feature is used and satisfies organizational requirements, this is not a finding.

Run the query:
SELECT * FROM sys.databases WHERE name in ('DQS_MAIN', 'DQS_PROJECTS', 'DQS_STAGING_DATA');

If any rows are returned, this is a finding.

In Windows Server 2008 R2 or lower, click on the Start button. In the Start menu, navigate to All Programs >> Microsoft SQL Server 2014.

If the "Data Quality Services" folder exists and contains the Data Quality Server Installer program, this is a finding.

In Windows Server 2012 or higher, click on the Start button. In the Start menu, navigate to Apps >> Microsoft SQL Server 2014.

If the Data Quality Server Installer program is listed, this is a finding.

In Windows Explorer, navigate to <drive where SQL Server is installed>:\Program Files\Microsoft SQL Server\MSSQL12.<Instance name>\MSSQL\Binn\

If this contains the file DQSInstaller.exe, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Data Quality Services; click Next.

Follow the remaining prompts, to remove Data Quality Services from SQL Server.

Then run the following script:
USE master;
GO
DROP DATABASE DQS_STAGING;
GO
DROP DATABASE DQS_PROJECTS;
GO
DROP DATABASE DQS_MAIN;
GO

Restart the server.
V-67845 No Change
Findings ID: SQL4-00-016845 Rule ID: SV-82335r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Client Tools Software Development Kit must be removed from SQL Server if it is unused.

Checks

If the Client Tools Software Development Kit is used and satisfies organizational requirements, this is not a finding.

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select '<< Remove shared features only >>'; click Next.

If the list of shared features includes Client Tools SDK, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select '<< Remove shared features only >>'; click Next. Note: all SQL Server 2014 instances will be affected by this action.)

Select Client Tools Software Development Kit; click Next.

Follow the remaining prompts, to remove the Client Tools Software Development Kit from SQL Server.
V-67847 No Change
Findings ID: SQL4-00-016850 Rule ID: SV-82337r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

Management Tools is an indispensable software component on any server running the SQL Server DBMS, if the database administrator logs on to the Windows server to do his/her work. However, it is also possible to use the management tools on a separate machine and still connect to SQL Server. If this approach is used and DBAs never need to use the Management Tools directly on the server, then the Management Tools software component must be removed from the server.

Checks

If the SQL Server Management Tools are used and satisfy organizational requirements, this is not a finding.

In Windows Server 2008 R2 or lower, click on the Start button. In the Start menu, navigate to All Programs >> Microsoft SQL Server 2014.

If the SQL Server Management Studio is listed, this is a finding.

In Windows Server 2012 or higher, click on the Start button. In the Start menu, navigate to Apps >> Microsoft SQL Server 2014.

If the SQL Server Management Studio is listed, this is a finding.

Fix

Either using the Start menu or via the command "control.exe", open the Windows Control Panel. Open Programs and Features. Double-click on Microsoft SQL Server 2014. In the dialog box that appears, select Remove. Wait for the Remove wizard to appear.

Select the relevant SQL Server instance; click Next.

Select Management Tools - Basic and Management Tools - Complete; click Next.

Follow the remaining prompts, to remove Management Tools from SQL Server.
V-67849 No Change
Findings ID: SQL4-00-016855 Rule ID: SV-82339r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default or selected for installation by an administrator, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Applications must adhere to the principles of least functionality by providing only essential capabilities. Unused and unnecessary SQL Server components increase the number of available attack vectors. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced.

The Filestream feature must be disabled if it is unused.

Checks

Determine whether Filestream is required to support the database(s) in this instance of SQL Server.

Either, in SQL Server Management Studio, Object Explorer, right-click on the SQL Server instance; select Properties; examine the Filestream section.

If Filestream Access Level is "Disabled", this is not a finding.

If Filestream Access Level is "Transact-SQL access enabled" or "Full access enabled," and Filestream is not required, this is a finding.

If Filestream Access Level is "Full access enabled," but only Transact-SQL access is required, this is a finding.

Or, in a query tool, run this code:
EXEC sys.sp_configure N'filestream access level';

Review the number in the config_value column. If it is 0, this is not a finding.

If config_value is 1 or 2, and Filestream is not required, this is a finding.

If config_value is 2, but only Transact-SQL access is required, this is a finding.

Fix

Either, in SQL Server Management Studio, Object Explorer, right-click on the SQL Server instance; select Properties; examine the Filestream section.

If Filestream is not required, set Filestream Access Level to "Disabled."

If Filestream is required only at the Transact-SQL query level, set Filestream Access Level to "Transact-SQL access enabled."

Restart the SQL Server instance.

Or, in a query tool, run this script, substituting the correct value for <Level>:
EXEC sys.sp_configure N'filestream access level', N'<Level>';
GO
RECONFIGURE WITH OVERRIDE;
GO

The <Level> values are:
0 - Disabled
1 - Transact-SQL access enabled
2 - Full access enabled
V-67851 No Change
Findings ID: SQL4-00-017000 Rule ID: SV-82341r2_rule Severity: medium CCI: CCI-000381

Discussion

SQL Server is capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives. Examples include, but are not limited to, installing advertising software demonstrations, or browser plug-ins not related to requirements or providing a wide array of functionality not required for every mission, but which cannot be disabled.

Applications must adhere to the principles of least functionality by providing only essential capabilities.

Unused and unnecessary SQL Server components increase the number of available attack vectors to SQL Server by introducing additional targets for attack. By minimizing the services and applications installed on the system, the number of potential vulnerabilities is reduced. Components of the system that are unused and cannot be uninstalled must be disabled.

Checks

Review the components and features included in SQL Server and capable of being disabled (by configuration settings, permissions and privileges, etc.). Take note of those which are enabled.

Review the system documentation to verify that the enabled components or features are documented and authorized. If any enabled components or features are not authorized, this is a finding.

Fix

If any components or features of SQL Server are required for operation of applications that will be accessing SQL Server data or configuration, include them in the system documentation.

If any unused components or features of SQL Server are installed and cannot be uninstalled or removed, then disable those components or features.
V-67853 No Change
Findings ID: SQL4-00-017100 Rule ID: SV-82343r1_rule Severity: medium CCI: CCI-000381

Discussion

SQL Server's [sa] account has special privileges required to administer the database. The [sa] account is a well-known SQL Server account and is likely to be targeted by attackers and thus more prone to providing unauthorized access to the database.

This [sa] default account is administrative and could lead to catastrophic consequences, including the complete loss of control over SQL Server.

If the [sa] default account is not disabled, an attacker might be able to gain access through the account. SQL Server by default, at installation, disables the [sa] account.

Some applications that run on SQL Server require the [sa] account to be enabled in order for the application to function properly. These applications that require the [sa] account to be enabled are usually legacy systems.

Checks

Check SQL Server settings to determine if the [sa] (system administrator) account has been disabled by executing the following query:

USE master;
GO
SELECT name, is_disabled
FROM sys.sql_logins
WHERE principal_id = 1;
GO

Verify that the "name" column contains the current name of the [sa] database server account (see note).

If the "is_disabled" column is not set to 1, this is a finding.

Note: If the [sa] account name has been changed per SQL4-00-010200, its new name should appear in the query results.

Fix

Modify the enabled flag of SQL Server's [sa] (system administrator) account by running the following script. If the account name has been changed per SQL4-00-010200, replace the letters "sa" in the query with the new name.

USE master;
GO
ALTER LOGIN [sa] DISABLE;
GO
V-67855 No Change
Findings ID: SQL4-00-010200 Rule ID: SV-82345r1_rule Severity: low CCI: CCI-000381

Discussion

SQL Server's [sa] account has special privileges required to administer the database. The [sa] account is a well-known SQL Server account name and is likely to be targeted by attackers, and is thus more prone to providing unauthorized access to the database.

Since the SQL Server [sa] is administrative in nature, the compromise of a default account can have catastrophic consequences, including the complete loss of control over SQL Server. Since SQL Server needs for this account to exist and it should not be removed, one way to mitigate this risk is to change the [sa] account name.

Checks

Verify the SQL Server default [sa] (system administrator) account name has been changed by executing the following query:

USE master;
GO
SELECT *
FROM sys.sql_logins
WHERE [name] = 'sa' OR [principal_id] = 1;
GO

If the login account name "SA" or "sa" appears in the query output, this is a finding.

Fix

Modify the SQL Server's [sa] (system administrator) account by running the following script:

USE master;
GO
ALTER LOGIN [sa] WITH NAME = <new name>;
GO
V-67857 No Change
Findings ID: SQL4-00-017200 Rule ID: SV-82347r1_rule Severity: medium CCI: CCI-000381

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives.

Applications must adhere to the principles of least functionality by providing only essential capabilities.

DBMSs may spawn additional external processes to execute procedures that are defined in the DBMS, but stored in external host files (external procedures). The spawned process used to execute the external procedure may operate within a different OS security context than the DBMS and provide unauthorized access to the host system.

The xp_cmdshell extended stored procedure allows execution of host executables outside the controls of database access permissions. This access may be exploited by malicious users who have compromised the integrity of the SQL Server database process to control the host operating system to perpetrate additional malicious activity.

Checks

To determine if xp_cmdshell is enabled, execute the following commands:

EXEC SP_CONFIGURE 'show advanced options', '1';
RECONFIGURE WITH OVERRIDE;
EXEC SP_CONFIGURE 'xp_cmdshell';

If the value of config_value is 0, this is not a finding.

Review the system documentation to determine whether the use of xp_cmdshell is required and approved. If it is not approved, this is a finding.

Fix

To disable the use of xp_cmdshell, from the query prompt:
EXEC sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
EXEC sp_configure 'xp_cmdshell', 0;
GO
RECONFIGURE;
GO
V-67859 No Change
Findings ID: SQL4-00-017400 Rule ID: SV-82349r1_rule Severity: medium CCI: CCI-000382

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Additionally, it is sometimes convenient to provide multiple services from a single component of an information system (e.g., email and web services) but doing so increases risk over limiting the services provided by any one component.

To support the requirements and principles of least functionality, the application 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.

Database Management Systems using ports, protocols, and services deemed unsafe are open to attack through those ports, protocols, and services. This can allow unauthorized access to the database and, through the database, to other components of the information system.

For information on approved and prohibited ports, protocols, and services, see the Ports, Protocols, and Services Management (PPSM) section of the Information Assurance Support Environment (IASE) web site: http://iase.disa.mil/ppsm/Pages/index.aspx.

"Functions" in this requirement refers to system and infrastructure functionality, not to functions in mathematics and programming languages.

Checks

Open SQL Server Configuration Manager. Navigate to SQL Server Network Configuration > Protocols for <instance name>, where <instance name> is a placeholder for the SQL Server instance name.

If any listed protocol is enabled but not authorized, this is a finding.

Fix

In SQL Server Configuration Manager, right-click on each listed protocol that is enabled but not authorized; select Disable.
V-67861 No Change
Findings ID: SQL4-00-017410 Rule ID: SV-82351r1_rule Severity: medium CCI: CCI-000382

Discussion

Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions).

Additionally, it is sometimes convenient to provide multiple services from a single component of an information system (e.g., email and web services) but doing so increases risk over limiting the services provided by any one component.

To support the requirements and principles of least functionality, the application 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.

Database Management Systems using ports, protocols, and services deemed unsafe are open to attack through those ports, protocols, and services. This can allow unauthorized access to the database and, through the database, to other components of the information system.

For information on approved and prohibited ports, protocols, and services, see the Ports, Protocols, and Services Management (PPSM) section of the Information Assurance Support Environment (IASE) web site: http://iase.disa.mil/ppsm/Pages/index.aspx.

"Functions" in this requirement refers to system and infrastructure functionality, not to functions in mathematics and programming languages.

Checks

Review the ports used by SQL Server.

If these are in conflict with PPSM guidance, and not explained and approved in the system documentation, this is a finding.

Fix

Change the ports used by SQL Server to comply with PPSM guidance, or document the need for other ports, and obtain written approval. Close ports no longer needed.
V-67863 No Change
Findings ID: SQL4-00-018400 Rule ID: SV-82353r1_rule Severity: medium CCI: CCI-000764

Discussion

To ensure accountability and prevent unauthorized SQL Server access, organizational users shall be identified and authenticated.

Organizational users include organizational employees and individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations).

Users (and any processes acting on behalf of users) must be uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization, which must outline specific user actions that can be performed on SQL Server without identification or authentication.

Checks

Review SQL Server users to determine whether shared accounts exist. (This does not include the case where SQL Server has a guest or public account that is providing access to publicly available information.)

If accounts are determined to be shared, determine if individuals are first individually authenticated.

If individuals are not individually authenticated before using the shared account (e.g., by the operating system or possibly by an application making calls to the database), this is a finding.

If accounts are determined to be shared, determine if they are directly accessible to end users. If so, this is a finding.

Fix

Remove user-accessible shared accounts and use individual userids.

Build/configure applications to ensure successful individual authentication prior to shared account access.

Ensure each user's identity is received and used in audit data in all relevant circumstances.
V-67867 No Change
Findings ID: SQL4-00-039010 Rule ID: SV-82357r2_rule Severity: high CCI: CCI-000206

Discussion

To prevent the compromise of authentication information, such as passwords and PINs, during the authentication process, the feedback from the information system must not provide any information that would allow an unauthorized user to compromise the authentication mechanism.

Obfuscation of user-provided information when typed into the system is a method used in addressing this risk.

For example, displaying asterisks when a user types in a password or PIN, is an example of obscuring feedback of authentication information.

Database applications may allow for entry of the account name and password as a visible parameter of the application execution command. This practice must be prohibited and disabled to prevent shoulder surfing.

This calls for review of applications, which will require collaboration with the application developers. It is recognized that in many cases, the database administrator (DBA) is organizationally separate from the application developers and may have limited, if any, access to source code. Nevertheless, protections of this type are so important to the secure operation of databases that they must not be ignored. At a minimum, the DBA must attempt to obtain assurances from the development organization that this issue has been addressed and must document what has been discovered.

Checks

Determine whether any applications that access the database allow for entry of the account name and password, or PIN.

If any do, determine whether these applications obfuscate authentication data; if they do not, this is a finding.

Fix

Configure or modify applications to prohibit display of passwords in clear text.
V-67869 No Change
Findings ID: SQL4-00-039020 Rule ID: SV-82359r1_rule Severity: high CCI: CCI-000206

Discussion

To prevent the compromise of authentication information, such as passwords and PINs, during the authentication process, the feedback from the information system must not provide any information that would allow an unauthorized user to compromise the authentication mechanism.

Obfuscation of user-provided information when typed into the system is a method used in addressing this risk.

For example, displaying asterisks when a user types in a password or PIN, is an example of obscuring feedback of authentication information.

This requirement is applicable when mixed-mode authentication is enabled. When this is the case, password-authenticated accounts can be created in and authenticated by SQL Server. Other STIG requirements prohibit the use of mixed-mode authentication except when justified and approved. This deals with the exceptions.

SQLCMD and other command-line tools are part of any SQL Server installation. These tools can accept a plain-text password, but do offer alternative techniques. Since the typical user of these tools is a database administrator, the consequences of password compromise are particularly serious. Therefore, the use of plain-text passwords must be prohibited, as a matter of practice and procedure.

Checks

Run this query to determine whether SQL Server authentication is enabled:
EXEC master.sys.xp_loginconfig 'login mode';

If the config_value returned is "Windows NT Authentication", this is not a finding.

For SQLCMD, which cannot be configured not to accept a plain-text password, and any other essential tool with the same limitation, verify that the system documentation explains the need for the tool, who uses it, and any relevant mitigations; and that AO approval has been obtained; if not, this is a finding.

Request evidence that all users of the tool are trained in the importance of not using the plain-text password option and in how to keep the password hidden; and that they adhere to this practice; if not, this is a finding.

Fix

Where possible, change the login mode to Windows-only:
USE [master]
GO
EXEC xp_instance_regwrite N'HKEY_LOCAL_MACHINE', N'Software\Microsoft\MSSQLServer\MSSQLServer', N'LoginMode', REG_DWORD, 1;
GO

If mixed-mode authentication is necessary, then for SQLCMD, which cannot be configured not to accept a plain-text password when mixed-mode authentication is enabled, and any other essential tool with the same limitation:
1) Document the need for it, who uses it, and any relevant mitigations, and obtain AO approval.
2) Train all users of the tool in the importance of not using the plain-text password option and in how to keep the password hidden.
V-67871 No Change
Findings ID: SQL4-00-031100 Rule ID: SV-82361r1_rule Severity: high CCI: CCI-000803

Discussion

Use of weak or not validated cryptographic algorithms undermines the purposes of utilizing encryption and digital signatures to protect data. Weak algorithms can be easily broken and not validated cryptographic modules may not implement algorithms correctly. Unapproved cryptographic modules or algorithms should not be relied on for authentication, confidentiality or integrity. Weak cryptography could allow an attacker to gain access to and modify data stored in the database as well as the administration settings of SQL Server.

Applications, including DBMSs, utilizing cryptography are required to use approved NIST FIPS 140-2 validated cryptographic modules that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

Operations that require the use of cryptography include the provisioning of digital signatures, the generation and validation of cryptographic hashes, and the protection of data by storing and transmitting it in encrypted form.

The security functions validated as part of FIPS 140-2 for cryptographic modules are described in FIPS 140-2 Annex A.

SQL Server complies with FIPS 140-2 if Windows is configured to do so.

NSA Type-X (where X=1, 2, 3, 4) products are NSA-certified, hardware-based encryption modules.

Checks

In Windows, open Administrative Tools >> Local Security Policy. Expand Local Policies >> Security Options. In the right-side pane, find "System cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing".

If, in the Security Setting column, the value is "Disabled," this is a finding.

Fix

In Windows, open Administrative Tools >> Local Security Policy. Expand Local Policies >> Security Options. In the right-side pane, double-click on "System cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing".

In the dialog box that appears, if the radio buttons are active, click Enabled, and then click Apply. If the radio buttons are grayed out, use Group Policy Management (on the appropriate server for this domain) to enforce the Enabled policy, and deploy it to the server(s) running SQL Server.
V-67873 No Change
Findings ID: SQL4-00-018900 Rule ID: SV-82363r1_rule Severity: medium CCI: CCI-000804

Discussion

Non-organizational users include all information system users other than organizational users, which include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations).

Non-organizational users shall be uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization when related to the use of anonymous access, such as accessing a web server.

This may be accomplished by a code embedded within the userid, or via a flag or code column in a table of users, or by some other means. In any case, the user must be individually identified to, and within, SQL Server via a mapping to an individual account and not mapping to a shared account.

Accordingly, a risk assessment is used in determining the authentication needs of the organization.

Scalability, practicality, and security are simultaneously considered in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk to organizational operations, organizational assets, individuals, and other organizations.

Checks

Review documentation, SQL Server settings and authentication system settings to determine if non-organizational users are individually identified and authenticated when logging onto the system.

If the documentation indicates that this is a public-facing, read-only (from the point of view of public users) database that does not require individual authentication, this is not a finding.

If non-organizational users are not uniquely identified and authenticated, this is a finding.

Fix

Configure SQL Server to uniquely identify and authenticate all non-organizational users who log onto the system. This likely would be done via a combination of the operating system with unique accounts and the SQL Server by ensuring mapping to individual accounts.
V-67875 No Change
Findings ID: SQL4-00-020500 Rule ID: SV-82365r1_rule Severity: medium CCI: CCI-001082

Discussion

Information system management functionality includes functions necessary to administer databases, network components, workstations, or servers and typically requires privileged user access.

The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods, as appropriate.

An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources.

This may include isolating the administrative interface on a different domain and with additional access controls.

If administrative functionality or information regarding DBMS management is presented on an interface available for users, information on DBMS settings may be inadvertently made available to the user.

Checks

Check SQL Server permission settings to verify that administrative functionality is kept separate from user functionality. The views and functions provided in the supplemental file Permissions.sql can help with this review.

If administrator and general user functionality are not separated either physically or logically, this is a finding.

Fix

Establish one or more locally-defined server roles and one or more locally-defined database roles for organizing administrative permissions. Grant administrative permissions to these roles. Assign the appropriate administrative users to these roles. Do not grant the roles and permissions to general users.
V-67879 No Change
Findings ID: SQL4-00-021500 Rule ID: SV-82369r1_rule Severity: medium CCI: CCI-001084

Discussion

An isolation boundary provides access control and protects the integrity of the hardware, software, and firmware that perform security functions.

Security functions are defined as "the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based".

Developers and implementers can increase the assurance in security functions by employing well-defined security policy models; structured, disciplined, and rigorous hardware and software development techniques; and sound system/security engineering principles.

Database Management Systems typically separate security functionality from nonsecurity functionality via separate databases or schemas. SQL Server's [master] database and [sys] schema are examples of this. Further granularity of access protection is provided by assigning logins and users to appropriate server roles and database roles

Database objects or code implementing security functionality should not be commingled with objects or code implementing application logic. When security and nonsecurity functionality is commingled, users who have access to nonsecurity functionality may be able to access security functionality.

Checks

Determine application-specific security objects (lists of permissions, additional authentication information, stored procedures, application specific auditing, etc.) which are being housed inside SQL server in addition to the built-in security objects.

Review permissions, both direct and indirect, on the security objects, both built-in and application-specific. The functions and views provided in the supplemental file Permissions.sql can help with this.

If the database(s), schema(s) and permissions on security objects are not organized to provide effective isolation of security functions from nonsecurity functions, this is a finding.

Fix

Where possible, locate security-related database objects and code in a separate database, schema, or other separate security domain from database objects and code implementing application logic.

In all cases, use GRANT, REVOKE, DENY, ALTER ROLE … ADD MEMBER … and/or ALTER ROLE …. DROP MEMBER statements to add and remove permissions on server-level and database-level security-related objects to provide effective isolation.
V-67881 No Change
Findings ID: SQL4-00-031400 Rule ID: SV-82371r1_rule Severity: medium CCI: CCI-001090

Discussion

Applications, including DBMSs, must prevent unauthorized and unintended information transfer via shared system resources. Permitting only DBMS processes and authorized, administrative users to have access to the files where the database resides helps ensure that those files are not shared inappropriately and are not open to backdoor access and manipulation.

Checks

Review the permissions granted to users by the operating system/file system on the database files, database transaction log files, database audit log files, and database backup files.

If any user/role who is not an authorized system administrator with a need to know or database administrator with a need to know, or a system account for running DBMS processes, is permitted to read/view any of these files, this is a finding.

Fix

Configure the permissions granted by the operating system/file system on the database files, database transaction log files, database audit log files, and database backup files so that only relevant system accounts and authorized system administrators and database administrators with a need to know are permitted to read/view these files.
V-67883 No Change
Findings ID: SQL4-00-031700 Rule ID: SV-82373r1_rule Severity: medium CCI: CCI-002361

Discussion

This addresses the termination of user-initiated logical sessions in contrast to the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions.

Session termination ends all processes associated with a user's logical session except those batch processes/jobs 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, organization-defined periods of user inactivity, targeted responses to certain types of incidents, and time-of-day restrictions on information system use.

This capability is typically reserved for specific cases where the system owner, data owner, or organization requires additional assurance.

Checks

Review system documentation to obtain the organization's definition of circumstances requiring automatic session termination.

If the documentation explicitly states that such termination is not required or is prohibited, this is not a finding.

If the documentation requires automatic session termination, but SQL Server and Windows (or third-party tools) are not configured accordingly, this is a finding.

Fix

Configure SQL Server, Windows and/or third-party tools to automatically terminate a user session after organization-defined conditions or trigger events requiring session termination.
V-67885 No Change
Findings ID: SQL4-00-032500 Rule ID: SV-82375r1_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.

System documentation should include a definition of the functionality considered privileged.

Depending on circumstances, privileged functions can include, for example, establishing accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.

A privileged function in the DBMS/database context is any operation that modifies the structure of the database, its built-in logic, or its security settings. This would include all Data Definition Language (DDL) statements and all security-related statements. In SQL Server, it encompasses, but is not necessarily limited to:
CREATE
ALTER
DROP
GRANT
REVOKE
DENY

There may also be Data Manipulation Language (DML) statements that, subject to context, should be regarded as privileged. Possible examples include:

TRUNCATE TABLE;
DELETE, or
DELETE affecting more than n rows, for some n, or
DELETE without a WHERE clause;

UPDATE or
UPDATE affecting more than n rows, for some n, or
UPDATE without a WHERE clause;

any SELECT, INSERT, UPDATE, or DELETE to an application-defined security table executed by other than a security principal.

Depending on the design of the database and associated applications, the prevention of unauthorized use of privileged functions may be achieved by means of DBMS security features, database triggers, other mechanisms, or a combination of these.

Checks

Review the system documentation to obtain the definition of the SQL Server database/DBMS functionality considered privileged in the context of the system in question.

Review the SQL Server security configuration and/or other means used to protect privileged functionality from unauthorized use.

If the configuration does not protect all of the actions defined as privileged, this is a finding.

The database permission functions and views provided in the supplemental file Permissions.sql can help with this.

Fix

Use REVOKE and/or DENY and/or ALTER SERVER ROLE ... DROP MEMBER ... statements to align EXECUTE permissions (and any other relevant permissions) with documented requirements.
V-67887 No Change
Findings ID: SQL4-00-032600 Rule ID: SV-82377r2_rule Severity: medium CCI: CCI-002233

Discussion

In certain situations, to provide required functionality, a DBMS needs to execute internal logic (stored procedures, functions, triggers, etc.) and/or external code modules with elevated privileges. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking the functionality applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.

Privilege elevation must be utilized only where necessary and protected from misuse.

This calls for inspection of application source code, which will require collaboration with the application developers. It is recognized that in many cases, the database administrator (DBA) is organizationally separate from the application developers and may have limited, if any, access to source code. Nevertheless, protections of this type are so important to the secure operation of databases that they must not be ignored. At a minimum, the DBA must attempt to obtain assurances from the development organization that this issue has been addressed and must document what has been discovered.

Checks

Review the system documentation, SQL Server instance and database security configuration, source code for stored procedures, functions, and triggers, source code of external modules invoked by the DBMS, and source code of the application(s) using the database.

If elevation of DBMS privileges is utilized but not documented, this is a finding.

If elevation of DBMS privileges is documented, but not implemented as described in the documentation, this is a finding.

If the privilege-elevation logic can be invoked in ways other than intended, or in contexts other than intended, or by subjects/principals other than intended, this is a finding.

Fix

Determine where, when, how, and by what principals/subjects elevated privilege is needed.

Modify documentation as necessary to align it with the actual need for privilege elevation.

Modify the database and DBMS security configuration, stored procedures, functions, and triggers, external modules invoked by the DBMS, and the application(s) using the database, so that privilege elevation is used only as required.
V-67889 No Change
Findings ID: SQL4-00-032800 Rule ID: SV-82379r1_rule Severity: medium CCI: CCI-001844

Discussion

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

The content captured in audit records must be managed from a central location (necessitating automation). Centralized management of audit records and logs provides for efficiency in maintenance and management of records, as well as the backup and archiving of those records.

SQL Server may write audit records to files in the file system, to other kinds of local repository, or directly to a centralized log management system. (If the Trace facility is used for auditing - this is no longer recommended, but may be in place for legacy reasons - a trace table is another possible destination.) Whatever the method used, it must be compatible with off-loading the records to the centralized system.

Checks

Review the system documentation for a description of how audit records are off-loaded and how local audit log space is managed.

If the SQL Server audit records (to include traces used for audit purposes) are not written directly to or systematically transferred to a centralized log management system, this is a finding.

Fix

Configure and/or deploy software tools to ensure that SQL Server audit records (to include traces used for audit purposes) are written directly to or systematically transferred to a centralized log management system.
V-67891 No Change
Findings ID: SQL4-00-033000 Rule ID: SV-82381r1_rule Severity: medium CCI: CCI-001849

Discussion

In order to ensure sufficient storage capacity for the audit logs, SQL Server must be able to allocate audit record storage capacity. Although another requirement (SRG-APP-000515-DB-000318) mandates that audit data be off-loaded to a centralized log management system, it remains necessary to provide space on the database server to serve as a buffer against outages and capacity limits of the off-loading mechanism.

In determining the capacity requirements, consider such factors as: total number of users; expected number of concurrent users during busy periods; number and type of events being monitored; types and amounts of data being captured; the frequency/speed with which audit records are off-loaded to the central log management system; and any limitations that exist on the ability to reuse the space formerly occupied by off-loaded records.

As noted elsewhere in this document, SQL Server's Audit and/or Trace features can be used for auditing purposes. This requirement applies to both.

Checks

Investigate whether there have been any incidents where the system ran out of audit log space (to include traces used for audit purposes) since the last time the space was allocated or other corrective measures were taken.

If there have been, this is a finding.

Fix

Allocate sufficient audit storage space to support peak demand.
V-67893 No Change
Findings ID: SQL4-00-033400 Rule ID: SV-82383r1_rule Severity: medium CCI: CCI-001855

Discussion

Organizations are required to use a central log management system, so, under normal conditions, the audit space allocated to SQL Server on its own server will not be an issue. However, space will still be required on the DBMS server for audit records in transit, and, under abnormal conditions, this could fill up. Since a requirement exists to halt processing upon audit failure, a service outage would result.

As noted elsewhere in this document, SQL Server's Audit and/or Trace features can be used for auditing purposes. This requirement applies to both.

If support personnel are not notified immediately upon storage volume utilization reaching 75%, they are unable to plan for storage capacity expansion.

The monitoring and alerting may be done at the database level, the operating system level, or by specialized monitoring tools.

The appropriate support staff include, at a minimum, the ISSO and the DBA/SA.

Checks

Review system configuration.

If appropriate support staff are not notified immediately upon storage volume utilization reaching 75%, this is a finding.

Fix

Configure the system to notify appropriate support staff immediately upon storage volume utilization reaching 75%.
V-67895 No Change
Findings ID: SQL4-00-033500 Rule ID: SV-82385r1_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 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.

As noted elsewhere in this document, SQL Server's Audit and/or Trace features can be used for auditing purposes. This requirement applies to both.

The appropriate support staff include, at a minimum, the ISSO and the DBA/SA.

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).

Checks

Review the system documentation to determine which audit failure events require real-time alerts.

Review settings in SQL Server, Windows, and any monitoring software. If the real-time alerting that is specified in the documentation is not enabled, this is a finding.

Fix

Configure the system to provide an immediate real-time alert to appropriate support staff when a specified audit failure occurs.
V-67897 No Change
Findings ID: SQL4-00-033600 Rule ID: SV-82387r1_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, in audit files, trace files/tables, and application data tables.

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. SQL Server obtains the date and time from the Windows operating system. In a normal configuration, the OS obtains them from an official time server, using Network Time Protocol (NTP). The ultimate source is the United States Naval Observatory Master Clock.

SQL Server built-in functions for retrieving current timestamps are: (high precision) sysdatetime(), sysdatetimeoffset(), sysutcdatetime(); (lower precision) CURRENT_TIMESTAMP or getdate(), getutcdate().

Provided the operating system is synchronized with an official time server, these timestamp-retrieval functions are automatically compliant with this requirement, as are SQL Server's audit and trace capabilities.

Checks

Verify that the Windows operating system is configured to synchronize with an official time server, using Network Time Protocol (NTP).

If it is not, and this is not documented, with justification and AO authorization, this is a finding.

If the OS does not synchronize with a time server, review the procedure for maintaining accurate time on the system.

If such a procedure does not exist, this is a finding.

If the procedure exists, review evidence that the correct time is actually maintained.

If the evidence indicates otherwise, this is a finding.

Fix

Where possible, configure the operating system to automatic synchronize with an official time server, using NTP.

Where there is reason not to implement automatic synchronization with an official time server, using NTP, document the reason, and the procedure for maintaining the correct time, and obtain AO approval. Enforce the procedure.
V-67899 No Change
Findings ID: SQL4-00-033800 Rule ID: SV-82389r1_rule Severity: medium CCI: CCI-001812

Discussion

Allowing regular users to install software, without explicit privileges, creates the risk that untested or potentially malicious software will be installed on the system. Explicit privileges (escalated or administrative privileges) provide the regular user with explicit capabilities and control that exceed the rights of a regular user.

The nature and requirements of databases will vary; so while users are not permitted to install unapproved software, there may be instances where the organization allows the user to install approved software packages such as from an approved software repository. The requirements for production servers will be more restrictive than those used for development and research.

SQL Server must control software installation by users based upon what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect) by the organization).

In the case of a database management system, this requirement covers stored procedures, functions, triggers, views, etc.

Checks

If the SQL Server instance supports only software development, experimentation and/or developer-level testing (that is, excluding production systems, integration testing, stress testing, and user acceptance testing), this is not a finding.

Review the SQL Server instance and database security settings with respect to non-administrative users' ability to create, alter, or replace logic modules, to include but not necessarily only stored procedures, functions, triggers, and views. The database permission functions and views provided in the supplemental file Permissions.sql can help with this.

If any such permissions exist and are not documented and approved, this is a finding.

Fix

Document and obtain approval for any non-administrative users who require the ability to create, alter or replace logic modules.

Implement the approved permissions. Revoke (or Deny) any unapproved permissions, and remove any unauthorized role memberships.
V-67901 No Change
Findings ID: SQL4-00-033900 Rule ID: SV-82391r1_rule Severity: medium CCI: CCI-001813

Discussion

Failure to provide logical access restrictions associated with changes to configuration may have significant effects on the overall security of the system.

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

Accordingly, SQL Server and Windows must allow only qualified and authorized individuals to obtain access to system components for the purposes of initiating changes, including upgrades and modifications.

Checks

Review the security configuration of the SQL Server instance and database(s).

If unauthorized Windows users can start the SQL Server Configuration Manager or SQL Server Management Studio, this is a finding.

If SQL Server does not enforce access restrictions associated with changes to the configuration of the SQL Server instance or database(s), this is a finding.

- - - - -

To assist in conducting reviews of permissions, the following views and permissions are defined in the supplemental file Permissions.sql, provided with this STIG:
database_permissions
database_role_members
server_permissions
server_role_members
database_effective_permissions('<database user/role name>')
database_roles_of('<database user/role name>')
members_of_db_role('<database role name>')
members_of_server_role('<server role name>')
server_effective_permissions('<server login/role name>')
server_roles_of('<server login/role name>')

Permissions of concern in this respect include the following, and possibly others:
- any server permission except CONNECT SQL, but including CONNECT ANY DATABASE
- any database permission beginning with "CREATE" or "ALTER"
- CONTROL
- INSERT, UPDATE, DELETE, EXECUTE on locally-defined tables and procedures designed for supplemental configuration and security purposes.

Fix

Configure SQL Server to enforce access restrictions associated with changes to the configuration of the SQL Server instance and database(s).
V-67903 No Change
Findings ID: SQL4-00-034000 Rule ID: SV-82393r3_rule Severity: medium CCI: CCI-001814

Discussion

Without auditing the enforcement of access restrictions against changes to configuration, it would be difficult to identify attempted attacks and an audit trail would not be available for forensic 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.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;
All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should be among those listed; if not, this is a finding:

102 -- Audit Statement GDR Event
103 -- Audit Object GDR Event
104 -- Audit AddLogin Event
105 -- Audit Login GDR Event
106 -- Audit Login Change Property Event
107 -- Audit Login Change Password Event
108 -- Audit Add Login to Server Role Event
109 -- Audit Add DB User Event
110 -- Audit Add Member to DB Role Event
111 -- Audit Add Role Event
112 -- Audit App Role Change Password Event
113 -- Audit Statement Permission Event
115 -- Audit Backup/Restore Event
116 -- Audit DBCC Event
117 -- Audit Change Audit Event
118 -- Audit Object Derived Permission Event
128 -- Audit Database Management Event
129 -- Audit Database Object Management Event
130 -- Audit Database Principal Management Event
131 -- Audit Schema Object Management Event
132 -- Audit Server Principal Impersonation Event
133 -- Audit Database Principal Impersonation Event
134 -- Audit Server Object Take Ownership Event
135 -- Audit Database Object Take Ownership Event
152 -- Audit Change Database Owner
153 -- Audit Schema Object Take Ownership Event
162 -- User error message
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
175 -- Audit Server Alter Trace Event
176 -- Audit Server Object Management Event
177 -- Audit Server Principal Management Event


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all configuration-related actions are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name IN
(
'APPLICATION_ROLE_CHANGE_PASSWORD_GROUP',
'AUDIT_CHANGE_GROUP',
'BACKUP_RESTORE_GROUP',
'DATABASE_CHANGE_GROUP',
'DATABASE_OBJECT_ACCESS_GROUP',
'DATABASE_OBJECT_CHANGE_GROUP',
'DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP',
'DATABASE_OBJECT_PERMISSION_CHANGE_GROUP',
'DATABASE_OPERATION_GROUP',
'DATABASE_OWNERSHIP_CHANGE_GROUP',
'DATABASE_PERMISSION_CHANGE_GROUP',
'DATABASE_PRINCIPAL_CHANGE_GROUP',
'DATABASE_PRINCIPAL_IMPERSONATION_GROUP',
'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'DBCC_GROUP',
'LOGIN_CHANGE_PASSWORD_GROUP',
'SCHEMA_OBJECT_CHANGE_GROUP',
'SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_CHANGE_GROUP',
'SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SERVER_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OPERATION_GROUP',
'SERVER_PERMISSION_CHANGE_GROUP',
'SERVER_PRINCIPAL_IMPERSONATION_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SERVER_STATE_CHANGE_GROUP',
'TRACE_CHANGE_GROUP'
);
GO

Examine the list produced by the query.

If any of the audit action groups specified in the WHERE clause are not included in the list, this is a finding.

If the audited_result column is not "SUCCESS AND FAILURE" on every row, this is a finding.

Fix

Design and deploy a SQL Server Audit or Trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to create a trace.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name>
ADD (APPLICATION_ROLE_CHANGE_PASSWORD_GROUP),
ADD (AUDIT_CHANGE_GROUP),
ADD (BACKUP_RESTORE_GROUP),
ADD (DATABASE_CHANGE_GROUP),
ADD (DATABASE_OBJECT_ACCESS_GROUP),
ADD (DATABASE_OBJECT_CHANGE_GROUP),
ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_OPERATION_GROUP),
ADD (DATABASE_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_PRINCIPAL_CHANGE_GROUP),
ADD (DATABASE_PRINCIPAL_IMPERSONATION_GROUP),
ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP),
ADD (DBCC_GROUP),
ADD (LOGIN_CHANGE_PASSWORD_GROUP),
ADD (SCHEMA_OBJECT_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_OBJECT_CHANGE_GROUP),
ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_OPERATION_GROUP),
ADD (SERVER_PERMISSION_CHANGE_GROUP),
ADD (SERVER_PRINCIPAL_IMPERSONATION_GROUP),
ADD (SERVER_STATE_CHANGE_GROUP),
ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP),
ADD (TRACE_CHANGE_GROUP)
;
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67905 No Change
Findings ID: SQL4-00-034200 Rule ID: SV-82395r1_rule Severity: medium CCI: CCI-001762

Discussion

Having unnecessary protocols enabled exposes the system to avoidable threats. In a typical installation, only TCP/IP will be required.

Checks

Review the system security plan to determine the communication protocols used by the SQL Server instance.

Open SQL Server Configuration Manager from the Windows Start menu or by entering "SQLServerManager12.msc" in a Command Prompt window or in the Run dialog box. Select SQL Server Network Configuration >> Protocols for <instance name>. Review the list of protocols.

If any that are not required are shown as enabled, this is a finding.

Fix

In SQL Server Configuration Manager, right-click on each enabled protocol that is not required. Select Disabled.

Close SQL Server Configuration Manager. Restart SQL Server.
V-67907 No Change
Findings ID: SQL4-00-034800 Rule ID: SV-82397r1_rule Severity: medium CCI: CCI-002476

Discussion

DBMSs handling data requiring "data at rest" protections must employ cryptographic mechanisms to prevent unauthorized disclosure and modification of the information at rest. These cryptographic mechanisms may be native to the DBMS or implemented via additional software or operating system/file system settings, as appropriate to the situation.

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).

The decision whether and what to encrypt rests with the data owner and is also influenced by the physical measures taken to secure the equipment and media on which the information resides.

Checks

Review the system documentation to determine whether the organization has defined the information at rest that is to be protected from modification, which must include, at a minimum, PII and classified information.

If no information is identified as requiring such protection, this is not a finding.

Review the configuration of SQL Server, Windows, and additional software as relevant.

If full-disk encryption is required, and Windows or the storage system is not configured for this, this is a finding.

If database transparent data encryption (TDE) is called for, check whether it is enabled:
In SQL Server Management Studio, Object Explorer, expand the instance and right-click on the database name; select properties. Select the Options page, State section, Encryption Enabled parameter.

If the value displayed is False, this is a finding.

If column encryption, done via SQL Server features, is required, review the definitions and contents of the relevant tables and columns.

If any of the information defined as requiring cryptographic protection is not encrypted in a manner that provides the required level of protection, this is a finding.

Fix

Where full-disk encryption is required, configure Windows and/or the storage system to provide this.

Where transparent data encryption (TDE) is required, deploy the necessary stack of certificates and keys, and set the Encryption Enabled to True. For guidance from the Microsoft Developer Network on how to do this, perform a web search for "SQL Server 2014 TDE".

Where column encryption is required, deploy the necessary stack of certificates and keys, and enable encryption on the columns in question. For guidance from the Microsoft Developer Network on how to do this, perform a web search for "SQL Server 2014 Encrypt a Column of Data".
V-67909 No Change
Findings ID: SQL4-00-035000 Rule ID: SV-82399r1_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.

Use of this requirement will be limited to situations where the data owner has a strict requirement for ensuring data integrity and confidentiality is maintained at every step of the data transfer and handling process.

When transmitting data, SQL Server, associated applications, and infrastructure must leverage transmission protection mechanisms.

Checks

If the data owner does not have a strict requirement for ensuring data integrity and confidentiality is maintained at every step of the data transfer and handling process, this is not a finding.

If SQL Server, associated applications, and infrastructure do not employ protective measures against unauthorized disclosure and modification during preparation for transmission, this is a finding.

Fix

Implement protective measures against unauthorized disclosure and modification during preparation for transmission.
V-67911 No Change
Findings ID: SQL4-00-035100 Rule ID: SV-82401r1_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.

This requirement applies only to those applications that are either distributed or can allow access to data nonlocally. Use of this requirement will be limited to situations where the data owner has a strict requirement for ensuring data integrity and confidentiality is maintained at every step of the data transfer and handling process.

When receiving data, SQL Server, associated applications, and infrastructure must leverage protection mechanisms.

Checks

If the data owner does not have a strict requirement for ensuring data integrity and confidentiality is maintained at every step of the data transfer and handling process, this is not a finding.

If SQL Server, associated applications, and infrastructure do not employ protective measures against unauthorized disclosure and modification during reception, this is a finding.

Fix

Implement protective measures against unauthorized disclosure and modification during reception.
V-67913 No Change
Findings ID: SQL4-00-035400 Rule ID: SV-82403r1_rule Severity: medium CCI: CCI-002605

Discussion

Security flaws with software applications, including database management systems, 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). Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling must also be addressed expeditiously.

Organization-defined time periods for updating security-relevant software may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw).

Patch criticality, as well as system criticality, will vary. Therefore, the tactical situations regarding the patch management process will also vary. This means that the time period utilized must be a configurable parameter. Time frames for application of security-relevant software updates may be dependent upon the Information Assurance Vulnerability Management (IAVM) process.

The application will be configured to check for and install security-relevant software updates within an identified time period from the availability of the update. The specific time period will be defined by an authoritative source (e.g. IAVM, CTOs, DTMs, and STIGs).

Checks

Obtain evidence that software patches are consistently applied to SQL Server within the time frame defined for each patch.

If such evidence cannot be obtained, or the evidence that is obtained indicates a pattern of noncompliance, this is a finding.

Fix

Institute and adhere to policies and procedures to ensure that patches are consistently applied to SQL Server within the time allowed.
V-67915 No Change
Findings ID: SQL4-00-035500 Rule ID: SV-82405r1_rule Severity: medium CCI: CCI-002605

Discussion

While it is important to apply SQL Server updates in a timely manner, it is also incumbent upon the database administrator and/or system administrator to ensure that their deployment will not interfere with the operation of the database and its applications. Other than in emergency situations, SQL Server updates must be applied to appropriately configured non-production systems, and the resulting version of SQL Server assessed for correct operation.

Checks

Obtain evidence that SQL Server software updates are tested before being applied to production servers, and that any exceptions are approved by the ISSM.

If such evidence cannot be obtained, or the evidence that is obtained indicates a pattern of noncompliance, this is a finding.

Fix

Institute and adhere to policies and procedures to ensure that SQL Server updates are tested prior to installation on production servers.
V-67917 No Change
Findings ID: SQL4-00-035600 Rule ID: SV-82407r2_rule Severity: medium CCI: CCI-000172

Discussion

Changes to the security configuration must be tracked.

This requirement applies to situations where security data is retrieved or modified via data manipulation operations, as opposed to via SQL Server's built-in security functionality (GRANT, REVOKE, DENY, ALTER [SERVER] ROLE ... ADD/DROP MEMBER ..., etc.).

In SQL Server, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

Since the system views are read-only, and the underlying tables are kept hidden by SQL Server, the Insert, Update and Delete cases are relevant only where the database includes user-defined tables to support additional security functionality.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016. Note also that Trace does not support auditing of SELECT statements, whereas Audit does.

Checks

If there are no locally-defined security tables, functions, or procedures, this is not applicable.

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

Obtain the list of locally-defined security tables that require tracking of Insert-Update-Delete operations.

If SQL Server Trace is in use for audit purposes, review these tables for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.

Check to see that all required event classes are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.

In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (at least one of these; 90 is used in the supplied script)
162 -- User error message


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the broad, server-level audit action group SCHEMA_OBJECT_ACCESS_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all SELECT, INSERT, UPDATE, and DELETE actions on locally-defined permissions tables, and EXECUTE actions on locally-defined permissions functions and procedures, are being audited:

USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP';

If no row is returned, this is a finding.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE", this is a finding.

Fix

Where SQL Server Trace is in use, create triggers to raise a custom event on each table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Add a block of code to the supplemental file Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers. Execute Trace.sql.

If SQL Server Audit is in use, design and deploy an Audit that captures all auditable events and data items. The script provided in the supplemental file Audit.sql can be used as the basis for this. Supplement the standard audit data as necessary, using Extended Events and/or triggers.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67919 No Change
Findings ID: SQL4-00-035700 Rule ID: SV-82409r2_rule Severity: medium CCI: CCI-000172

Discussion

Changes to the security configuration must be tracked. To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.

This requirement applies to situations where security data is retrieved or modified via data manipulation operations, as opposed to via SQL Server's built-in security functionality (GRANT, REVOKE, DENY, ALTER [SERVER] ROLE ... ADD/DROP MEMBER ..., etc.).

In SQL Server, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

Since the system views are read-only, and the underlying tables are kept hidden by SQL Server, the Insert, Update and Delete cases are relevant only where the database includes user-defined tables to support additional security functionality.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016. Note also that Trace does not support auditing of SELECT statements, whereas Audit does.

Use of SQL Server Audit's SCHEMA_OBJECT_ACCESS_GROUP causes capture of all accesses, successful and otherwise, to all schema-scoped objects. The [Succeeded] column in the audit output indicates the success or failure of the attempted action. Be aware, however, that it may report True in some cases where one would intuitively expect False. For example, SELECT 1/0 FROM SYS.ALL_OBJECTS will appear in the audit trail as successful, if the user has permission to perform that action, even though it contains an invalid expression. Some other actions that one would consider failures (such as selecting from a table that does not exist) may not appear at all.

Checks

If there are no locally-defined security tables, functions, or procedures, this is not applicable (NA).

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

Obtain the list of locally-defined security tables that require tracking of Insert-Update-Delete operations.

If SQL Server Trace is in use for audit purposes, review these tables for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.

Check to see that all required event classes are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (at least one of these; 90 is used in the supplied script)
162 -- User error message


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the broad, server-level audit action group SCHEMA_OBJECT_ACCESS_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all SELECT, INSERT, UPDATE, and DELETE actions on locally-defined permissions tables, and EXECUTE actions on locally-defined permissions functions and procedures, are being audited:

USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP';

If no row is returned, this is a finding.

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE", this is a finding.

Fix

Where SQL Server Trace is in use, create triggers to raise a custom event on each table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Add a block of code to the supplemental file Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers. Execute Trace.sql.

If SQL Server Audit is in use, design and deploy an Audit that captures all auditable events and data items. The script provided in the supplemental file Audit.sql can be used as the basis for this. Supplement the standard audit data as necessary, using Extended Events and/or triggers.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67921 No Change
Findings ID: SQL4-00-036000 Rule ID: SV-82411r2_rule Severity: medium CCI: CCI-000172

Discussion

Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected. Elevated privileges give users access to information and functionality that they should not have; restricted privileges wrongly deny access to authorized users.

In SQL Server, adding permissions is typically done via the GRANT command, or, in the negative, DENY; or with the ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . commands. Native SQL Server security functionality may be supplemented with application-specific tables and logic, in which case the following actions on these tables and procedures/triggers/functions are also relevant:
INSERT
UPDATE (in cases where more than one permission can be represented in a single row)
EXECUTE

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

Obtain the list of locally-defined security tables, procedures and functions (if any) that require tracking.

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (required only where there are locally-defined security tables or procedures)
102 -- Audit Database Scope GDR
103 -- Audit Object GDR Event
104 -- Audit AddLogin Event
105 -- Audit Login GDR Event
108 -- Audit Add Login to Server Role Event
109 -- Audit Add DB User Event
110 -- Audit Add Member to DB Role Event
111 -- Audit Add Role Event
162 -- User error message
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
177 -- Audit Server Principal Management Event

Review the locally-defined security tables (if any) for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all GRANT, ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . actions, all INSERT and UPDATE actions on any locally-defined permissions tables, and all EXECUTE actions on any system or locally-defined permissions-related procedures and functions, are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name IN
(
'DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP',
'DATABASE_OBJECT_PERMISSION_CHANGE_GROUP',
'DATABASE_OWNERSHIP_CHANGE_GROUP',
'DATABASE_PERMISSION_CHANGE_GROUP',
'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SERVER_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_PERMISSION_CHANGE_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_ACCESS_GROUP'
);
GO

Examine the list produced by the query.

If any locally-defined permissions tables, procedures, or functions exist, and the list does not include the audit action group SCHEMA_OBJECT_ACCESS_GROUP, this is a finding.

If any of the other audit action groups specified in the WHERE clause are not included in the list, this is a finding.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE" on every row, this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Create triggers to raise a custom event on each locally-defined security table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Add blocks of code to Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers. Execute Trace.sql.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name>
ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_PERMISSION_CHANGE_GROUP),
ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP)
;
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67923 No Change
Findings ID: SQL4-00-036100 Rule ID: SV-82413r2_rule Severity: medium CCI: CCI-000172

Discussion

Failed attempts to change the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized attempts to elevate or restrict privileges could go undetected.

In SQL Server, adding permissions is typically done via the GRANT command, or, in the negative, DENY; or with the ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . commands. Native security functionality may be supplemented with application-specific tables and logic, in which case the following actions on these tables and procedures/triggers/functions are also relevant:
INSERT
UPDATE
EXECUTE

To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

Obtain the list of locally-defined security tables, procedures and functions (if any) that require tracking.

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (required only where there are locally-defined security tables or procedures)
102 -- Audit Database Scope GDR
103 -- Audit Object GDR Event
104 -- Audit AddLogin Event
105 -- Audit Login GDR Event
108 -- Audit Add Login to Server Role Event
109 -- Audit Add DB User Event
110 -- Audit Add Member to DB Role Event
111 -- Audit Add Role Event
162 -- User error message
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
177 -- Audit Server Principal Management Event

Review the locally-defined security tables (if any) for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all GRANT, ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . actions, all INSERT and UPDATE actions on any locally-defined permissions tables, and all EXECUTE actions on any system or locally-defined permissions-related procedures and functions, are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name IN
(
'DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP',
'DATABASE_OBJECT_PERMISSION_CHANGE_GROUP',
'DATABASE_OWNERSHIP_CHANGE_GROUP',
'DATABASE_PERMISSION_CHANGE_GROUP',
'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SERVER_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_PERMISSION_CHANGE_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_ACCESS_GROUP'
);
GO

Examine the list produced by the query.

If any locally-defined permissions tables, procedures, or functions exist, and the list does not include the audit action group SCHEMA_OBJECT_ACCESS_GROUP, this is a finding.

If any of the other audit action groups specified in the WHERE clause are not included in the list, this is a finding.

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE" on every row, this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Create triggers to raise a custom event on each locally-defined security table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Add blocks of code to Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers. Execute Trace.sql.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name>
ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_OWNERSHIP_CHANGE_GROUP),
ADD (DATABASE_PERMISSION_CHANGE_GROUP),
ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP),
ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP),
ADD (SERVER_PERMISSION_CHANGE_GROUP),
ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP)
;
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67925 No Change
Findings ID: SQL4-00-036900 Rule ID: SV-82415r2_rule Severity: medium CCI: CCI-000172

Discussion

Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected. Elevated privileges give users access to information and functionality that they should not have; restricted privileges wrongly deny access to authorized users.

In SQL Server, deleting permissions is typically done via the REVOKE or DENY command; or with the ALTER SERVER ROLE . . . DROP MEMBER . . . and/or ALTER ROLE . . . DROP MEMBER . . . statements. However, native SQL Server security functionality may be supplemented with application-specific tables and logic, in which case the following actions on these tables and procedures/triggers/functions are also relevant:
DELETE
EXECUTE

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

Obtain the list of locally-defined security tables (if any) that require tracking of Insert-Update-Delete operations.

If SQL Server Trace is in use for audit purposes, review these tables for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.

Check to see that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (required only where there are locally-defined security tables or procedures)
102 -- Audit Database Scope GDR
103 -- Audit Object GDR Event
104 -- Audit AddLogin Event
105 -- Audit Login GDR Event
108 -- Audit Add Login to Server Role Event
109 -- Audit Add DB User Event
110 -- Audit Add Member to DB Role Event
111 -- Audit Add Role Event
162 -- User error message
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
177 -- Audit Server Principal Management Event


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all GRANT, ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . actions, all INSERT and UPDATE actions on any locally-defined permissions tables, and all EXECUTE actions on any system or locally-defined permissions-related procedures and functions, are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name IN
(
'DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP',
'DATABASE_OBJECT_PERMISSION_CHANGE_GROUP',
'DATABASE_OWNERSHIP_CHANGE_GROUP',
'DATABASE_PERMISSION_CHANGE_GROUP',
'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SERVER_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_PERMISSION_CHANGE_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_ACCESS_GROUP'
);
GO

Examine the list produced by the query.

If any locally-defined permissions tables, procedures, or functions exist, and the list does not include the audit action group SCHEMA_OBJECT_ACCESS_GROUP, this is a finding.

If any of the other audit action groups specified in the WHERE clause are not included in the list, this is a finding.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE" on every row, this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Add blocks of code to Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers.

Create triggers to raise a custom event on each locally-defined security table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Execute Trace.sql.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67927 No Change
Findings ID: SQL4-00-037000 Rule ID: SV-82417r2_rule Severity: medium CCI: CCI-000172

Discussion

Changes in the permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized elevation or restriction of privileges could go undetected. Elevated privileges give users access to information and functionality that they should not have; restricted privileges wrongly deny access to authorized users.

In SQL Server, deleting permissions is typically done via the REVOKE or DENY command; or with the ALTER SERVER ROLE . . . DROP MEMBER . . . and/or ALTER ROLE . . . DROP MEMBER . . . statements.

To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

Obtain the list of locally-defined security tables (if any) that require tracking of Insert-Update-Delete operations.

If SQL Server Trace is in use for audit purposes, review these tables for the existence of triggers to raise a custom event on each Insert-Update-Delete operation.

If such triggers are not present, this is a finding.

Check to see that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

42 -- SP:Starting
43 -- SP:Completed
82-91 -- User-defined Event (required only where there are locally-defined security tables or procedures)
102 -- Audit Database Scope GDR
103 -- Audit Object GDR Event
104 -- Audit AddLogin Event
105 -- Audit Login GDR Event
108 -- Audit Add Login to Server Role Event
109 -- Audit Add DB User Event
110 -- Audit Add Member to DB Role Event
111 -- Audit Add Role Event
162 -- User error message
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
177 -- Audit Server Principal Management Event


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all GRANT, ALTER SERVER ROLE . . . ADD MEMBER . . ., and/or ALTER ROLE . . . ADD MEMBER . . . actions, all INSERT and UPDATE actions on any locally-defined permissions tables, and all EXECUTE actions on any system or locally-defined permissions-related procedures and functions, are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name IN
(
'DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP',
'DATABASE_OBJECT_PERMISSION_CHANGE_GROUP',
'DATABASE_OWNERSHIP_CHANGE_GROUP',
'DATABASE_PERMISSION_CHANGE_GROUP',
'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP',
'SERVER_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_PERMISSION_CHANGE_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SCHEMA_OBJECT_ACCESS_GROUP'
);
GO

Examine the list produced by the query.

If any locally-defined permissions tables, procedures, or functions exist, and the list does not include the audit action group SCHEMA_OBJECT_ACCESS_GROUP, this is a finding.

If any of the other audit action groups specified in the WHERE clause are not included in the list, this is a finding.

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE" on every row, this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Add blocks of code to Trace.sql for each custom event class (integers in the range 82-91; the same event class may be used for all such triggers) used in these triggers.

Create triggers to raise a custom event on each locally-defined security table that requires tracking of Insert-Update-Delete operations. The examples provided in the supplemental file CustomTraceEvents.sql can serve as the basis for these.

Execute Trace.sql

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SCHEMA_OBJECT_ACCESS_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67929 No Change
Findings ID: SQL4-00-037500 Rule ID: SV-82419r2_rule Severity: medium CCI: CCI-000172

Discussion

For completeness of forensic analysis, it is necessary to track who/what (a user or other principal) logs on to SQL Server.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

14 -- Audit Login
15 -- Audit Logout
16 -- Attention
17 -- ExistingConnection


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the server-level audit action group SUCCESSFUL_LOGIN_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all logons and connections are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'SUCCESSFUL_LOGIN_GROUP';
GO

If no row is returned, this is a finding.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE", this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (SUCCESSFUL_LOGIN_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67931 No Change
Findings ID: SQL4-00-037600 Rule ID: SV-82421r2_rule Severity: medium CCI: CCI-000172

Discussion

For completeness of forensic analysis, it is necessary to track failed attempts to log on to SQL Server. While positive identification may not be possible in a case of failed authentication, as much information as possible about the incident must be captured.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;
All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event ID should be among those listed; if not, this is a finding:

20 -- Audit Login Failed


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the server-level audit action group FAILED_LOGIN_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all logons and connections are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'FAILED_LOGIN_GROUP';
GO

If no row is returned, this is a finding.

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE", this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (FAILED_LOGIN_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67933 No Change
Findings ID: SQL4-00-037700 Rule ID: SV-82423r2_rule Severity: medium CCI: CCI-000172

Discussion

Without tracking privileged activity, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.

System documentation should include a definition of the functionality considered privileged.

A privileged function in this context is any operation that modifies the structure of the database, its built-in logic, or its security settings. This would include all Data Definition Language (DDL) statements and all security-related statements. This encompasses, but is not necessarily limited to:
CREATE
ALTER
DROP
GRANT
REVOKE
DENY

There may also be Data Manipulation Language (DML) statements that, subject to context, should be regarded as privileged. Possible examples in SQL include:

TRUNCATE TABLE;
DELETE, or
DELETE affecting more than n rows, for some n, or
DELETE without a WHERE clause;

UPDATE or
UPDATE affecting more than n rows, for some n, or
UPDATE without a WHERE clause;

any SELECT, INSERT, UPDATE, or DELETE to an application-defined security table executed by other than a security principal.

Note that it is particularly important to audit, and tightly control, any action that weakens the implementation of this requirement itself, since the objective is to have a complete audit trail of all administrative activity.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed. If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

46 -- Object:Created
47 -- Object:Deleted
82-91 -- User-defined Event (required only where there are locally-defined auditable actions)
115 -- Audit Backup/Restore Event
116 -- Audit DBCC Event
117 -- Audit Change Audit Event
118 -- Audit Object Derived Permission Event
128 -- Audit Database Management Event
129 -- Audit Database Object Management Event
130 -- Audit Database Principal Management Event
131 -- Audit Schema Object Management Event
164 -- Object:Altered
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
175 -- Audit Server Alter Trace Event
176 -- Audit Server Object Management Event
177 -- Audit Server Principal Management Event

From the system security plan, obtain the list of any other actions considered privileged. For each, verify that event IDs (and triggers, where necessary) have been defined to capture audit information for these.

If they have not, this is a finding.


If SQL Server Audit is in use, verify that execution of all CREATE, ALTER, DROP, GRANT, REVOKE and DENY statements, all execution of security-related functions and procedures, and all other actions locally defined as privileged, is audited.

If any such actions are not audited, this is a finding.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all configuration-related actions are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>');
GO

Examine the list produced by the query.

If the audited_result column is not "SUCCESS" or "SUCCESS AND FAILURE" on every row, this is a finding.

If any of the audit action groups listed below is not included in the query results, this is a finding.

If there are locally-defined privileged activities not encompassed by the list below and not tracked in any other way, this is a finding.

APPLICATION_ROLE_CHANGE_PASSWORD_GROUP
AUDIT_CHANGE_GROUP
BACKUP_RESTORE_GROUP
DATABASE_CHANGE_GROUP
DATABASE_OBJECT_ACCESS_GROUP
DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP
DATABASE_OBJECT_PERMISSION_CHANGE_GROUP
DATABASE_OPERATION_GROUP
DATABASE_OWNERSHIP_CHANGE_GROUP
DATABASE_PERMISSION_CHANGE_GROUP
DATABASE_PRINCIPAL_CHANGE_GROUP
DATABASE_PRINCIPAL_IMPERSONATION_GROUP
DATABASE_ROLE_MEMBER_CHANGE_GROUP
DBCC_GROUP
FAILED_LOGIN_GROUP
LOGIN_CHANGE_PASSWORD_GROUP
LOGOUT_GROUP
SCHEMA_OBJECT_ACCESS_GROUP
SCHEMA_OBJECT_CHANGE_GROUP
SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP
SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP
SERVER_OBJECT_CHANGE_GROUP
SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP
SERVER_OBJECT_PERMISSION_CHANGE_GROUP
SERVER_OPERATION_GROUP
SERVER_PERMISSION_CHANGE_GROUP
SERVER_PRINCIPAL_CHANGE_GROUP
SERVER_PRINCIPAL_IMPERSONATION_GROUP
SERVER_ROLE_MEMBER_CHANGE_GROUP
SERVER_STATE_CHANGE_GROUP
SUCCESSFUL_LOGIN_GROUP
TRACE_CHANGE_GROUP

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

For additional actions considered privileged, identify the available event class IDs, or define custom event class IDs (integers in the range 82-91). Add blocks of code for these event IDs to Trace.sql.

Execute Trace.sql.

Define triggers as necessary to support data capture.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used to create an audit; supplement it as necessary to capture any additional, locally-defined privileged activity.
V-67935 No Change
Findings ID: SQL4-00-037800 Rule ID: SV-82425r2_rule Severity: medium CCI: CCI-000172

Discussion

Without tracking privileged activity, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.

To aid in diagnosis, it is necessary to keep track of failed attempts in addition to the successful ones.

System documentation should include a definition of the functionality considered privileged.

A privileged function in this context is any operation that modifies the structure of the database, its built-in logic, or its security settings. This would include all Data Definition Language (DDL) statements and all security-related statements. This encompasses, but is not necessarily limited to:
CREATE
ALTER
DROP
GRANT
REVOKE
DENY

There may also be Data Manipulation Language (DML) statements that, subject to context, should be regarded as privileged. Possible examples in SQL include:

TRUNCATE TABLE;
DELETE, or
DELETE affecting more than n rows, for some n, or
DELETE without a WHERE clause;

UPDATE or
UPDATE affecting more than n rows, for some n, or
UPDATE without a WHERE clause;

any SELECT, INSERT, UPDATE, or DELETE to an application-defined security table executed by other than a security principal.

Note that it is particularly important to audit, and tightly control, any action that weakens the implementation of this requirement itself, since the objective is to have a complete audit trail of all administrative activity.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;
All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should all be among those listed; if not, this is a finding:

46 -- Object:Created
47 -- Object:Deleted
82-91 -- User-defined Event (required only where there are locally-defined auditable actions)
115 -- Audit Backup/Restore Event
116 -- Audit DBCC Event
117 -- Audit Change Audit Event
118 -- Audit Object Derived Permission Event
128 -- Audit Database Management Event
129 -- Audit Database Object Management Event
130 -- Audit Database Principal Management Event
131 -- Audit Schema Object Management Event
164 -- Object:Altered
170 -- Audit Server Scope GDR Event
171 -- Audit Server Object GDR Event
172 -- Audit Database Object GDR Event
173 -- Audit Server Operation Event
175 -- Audit Server Alter Trace Event
176 -- Audit Server Object Management Event
177 -- Audit Server Principal Management Event

From the system security plan, obtain the list of any other actions considered privileged. For each, verify that event IDs (and triggers, where necessary) have been defined to capture audit information for these.

If they have not been defined to capture audit information, this is a finding.


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses broad, server-level audit action groups for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following code to verify that all configuration-related actions are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>');
GO

Examine the list produced by the query..

If the audited_result column is not "FAILURE" or "SUCCESS AND FAILURE" on every row, this is a finding.

If any of the audit action groups listed below is not included in the query results, this is a finding.

If there are locally-defined privileged activities not encompassed by the list below and not tracked in any other way, this is a finding.

APPLICATION_ROLE_CHANGE_PASSWORD_GROUP
AUDIT_CHANGE_GROUP
BACKUP_RESTORE_GROUP
DATABASE_CHANGE_GROUP
DATABASE_OBJECT_ACCESS_GROUP
DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP
DATABASE_OBJECT_PERMISSION_CHANGE_GROUP
DATABASE_OPERATION_GROUP
DATABASE_OWNERSHIP_CHANGE_GROUP
DATABASE_PERMISSION_CHANGE_GROUP
DATABASE_PRINCIPAL_CHANGE_GROUP
DATABASE_PRINCIPAL_IMPERSONATION_GROUP
DATABASE_ROLE_MEMBER_CHANGE_GROUP
DBCC_GROUP
FAILED_LOGIN_GROUP
LOGIN_CHANGE_PASSWORD_GROUP
LOGOUT_GROUP
SCHEMA_OBJECT_ACCESS_GROUP
SCHEMA_OBJECT_CHANGE_GROUP
SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP
SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP
SERVER_OBJECT_CHANGE_GROUP
SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP
SERVER_OBJECT_PERMISSION_CHANGE_GROUP
SERVER_OPERATION_GROUP
SERVER_PERMISSION_CHANGE_GROUP
SERVER_PRINCIPAL_CHANGE_GROUP
SERVER_PRINCIPAL_IMPERSONATION_GROUP
SERVER_ROLE_MEMBER_CHANGE_GROUP
SERVER_STATE_CHANGE_GROUP
SUCCESSFUL_LOGIN_GROUP
TRACE_CHANGE_GROUP

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

For additional actions considered privileged, identify the available event class IDs, or define custom event class IDs (integers in the range 82-91). Add blocks of code for these event IDs to Trace.sql.

Execute Trace.sql.

Define triggers as necessary to support data capture.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used to create an audit; supplement it as necessary to capture any additional, locally-defined privileged activity.
V-67937 No Change
Findings ID: SQL4-00-037900 Rule ID: SV-82427r2_rule Severity: medium CCI: CCI-000172

Discussion

For completeness of forensic analysis, it is necessary to track who/what (a user or other principal) logs on to and off from SQL Server.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;

All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should be among those listed; if not, this is a finding:

14 -- Audit Login
15 -- Audit Logout
16 -- Attention
17 -- ExistingConnection


If SQL Server Audit is in use, proceed as follows.

The basic SQL Server Audit configuration provided in the supplemental file Audit.sql uses the server-level audit action group LOGOUT_GROUP for this purpose. SQL Server Audit's flexibility makes other techniques possible. If an alternative technique is in use and demonstrated effective, this is not a finding.

Determine the name(s) of the server audit specification(s) in use.

To look at audits and audit specifications, in Management Studio's object explorer, expand
<server name> >> Security >> Audits
and
<server name> >> Security >> Server Audit Specifications.
Also,
<server name> >> Databases >> <database name> >> Security >> Database Audit Specifications.

Alternatively, review the contents of the system views with "audit" in their names.

Run the following to verify that all logons and connections are being audited:
USE [master];
GO
SELECT * FROM sys.server_audit_specification_details WHERE server_specification_id =
(SELECT server_specification_id FROM sys.server_audit_specifications WHERE [name] = '<server_audit_specification_name>')
AND audit_action_name = 'LOGOUT_GROUP';
GO

If no row is returned, this is a finding.

If the audited_result column is not "SUCCESS AND FAILURE", this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Where SQL Server Audit is in use, design and deploy a SQL Server Audit that captures all auditable events. The script provided in the supplemental file Audit.sql can be used for this.

Alternatively, to add the necessary data capture to an existing server audit specification, run the script:
USE [master];
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = OFF);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> ADD (LOGOUT_GROUP);
GO
ALTER SERVER AUDIT SPECIFICATION <server_audit_specification_name> WITH (STATE = ON);
GO
V-67939 No Change
Findings ID: SQL4-00-038000 Rule ID: SV-82429r1_rule Severity: medium CCI: CCI-000172

Discussion

For completeness of forensic analysis, it is necessary to track who logs on to SQL Server.

Concurrent connections by the same user from multiple workstations may be valid use of the system; or such connections may be due to improper circumvention of the requirement to use the CAC for authentication; or they may indicate unauthorized account sharing; or they may be because an account has been compromised.

If the fact of multiple, concurrent logons by a given user can be reliably reconstructed from the log entries for other events (logons/connections; voluntary and involuntary disconnections), then it is not mandatory to create additional log entries specifically for this.

Use of SQL Server Audit is recommended. All features of SQL Server Audit are available in the Enterprise and Developer editions of SQL Server 2014. It is not available at the database level in other editions. For this or legacy reasons, the instance may be using SQL Server Trace for auditing, which remains an acceptable solution for the time being. Note, however, that Microsoft intends to remove most aspects of Trace at some point after SQL Server 2016.

Checks

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

If SQL Server Trace is in use for audit purposes, verify that all required events are being audited. From the query prompt:
SELECT * FROM sys.traces;
All currently defined traces for the SQL server instance will be listed.

If no traces are returned, this is a finding.

Determine the trace(s) being used for the auditing requirement.
In the following, replace # with a trace ID being used for the auditing requirements.
From the query prompt:
SELECT DISTINCT(eventid) FROM sys.fn_trace_geteventinfo(#);

The following required event IDs should be among those listed; if not, this is a finding:

14 -- Audit Login
15 -- Audit Logout
16 -- Attention
17 -- ExistingConnection

If SQL Server Audit is in use, verify that the SUCCESSFUL_LOGIN_GROUP and LOGOUT_GROUP are enabled, as described in other STIG requirements; if not, this is a finding.

Fix

Where SQL Server Trace is in use, define and enable a trace that captures all auditable events. The script provided in the supplemental file Trace.sql can be used to do this.

Where SQL Server Audit is in use, enable the SUCCESSFUL_LOGIN_GROUP and LOGOUT_GROUP, as described in other STIG requirements.
V-67941 No Change
Findings ID: SQL4-00-038700 Rule ID: SV-82431r1_rule Severity: medium CCI: CCI-001851

Discussion

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.

The DBMS may write audit records to database tables, to files in the file system, to other kinds of local repository, or directly to a centralized log management system. Whatever the method used, it must be compatible with off-loading the records to the centralized system.

This applies to all data output for audit trail purposes, whether produced by SQL Server Audit, Trace, or other means; but excluding audit-trail information built into application data.

Checks

Review the system documentation for a description of how audit records are off-loaded.

If the database server has a continuous network connection to the centralized log management system, but the SQL Server audit records are not written directly to the centralized log management system or transferred in near-real-time, this is a finding.

If the database server does not have a continuous network connection to the centralized log management system, and the SQL Server audit records are not transferred to the centralized log management system weekly or more often, this is a finding.

Fix

Deploy and configure software tools to transfer audit records to a centralized log management system, continuously and in near-real time where a continuous network connection to the log management system exists, or at least weekly in the absence of such a connection.
V-67943 No Change
Findings ID: SQL4-00-038900 Rule ID: SV-82433r1_rule Severity: medium CCI: CCI-000192

Discussion

Windows domain/enterprise authentication and identification must be used (SQL4-00-030300). Native SQL Server authentication may be used only when circumstances make it unavoidable; and must be documented and AO-approved.

The DoD standard for authentication is DoD-approved PKI certificates. Authentication based on User ID and Password may be used only when it is not possible to employ a PKI certificate, and requires AO approval.

In such cases, the DoD standards for password complexity must be implemented.

The requirements for password complexity are:
a. minimum of 15 Characters, 1 of each of the following character sets:
- Upper-case
- Lower-case
- Numeric
- Special characters (e.g. ~ ! @ # $ % ^ & * ( ) _ + = - ' [ ] / ? >

Checks

Run the statement:
SELECT
name
FROM
sys.sql_logins
WHERE
type_desc = 'SQL_LOGIN'
AND is_disabled = 0
AND is_policy_checked = 0 ;

If no account names are listed, this is not a finding.

For each account name listed, determine whether it is documented as requiring exemption from the standard password complexity rules, if it is not, this is a finding.

Fix

For each SQL Server Login identified in the Check as out of compliance:
In SQL Server Management Studio Object Explorer, navigate to <SQL Server instance name> >> Security >> Logins >> <login name>. Right-click, select Properties. Select the check box Enforce Password Policy. Click OK.

Alternatively, for each identified Login, run the statement:
ALTER LOGIN <login name> CHECK_POLICY = ON;
V-67945 No Change
Findings ID: SQL4-00-038910 Rule ID: SV-82435r2_rule Severity: medium CCI: CCI-000198

Discussion

Windows domain/enterprise authentication and identification must be used (SQL4-00-030300). Native SQL Server authentication may be used only when circumstances make it unavoidable; and must be documented and AO-approved.

The DoD standard for authentication is DoD-approved PKI certificates. Authentication based on User ID and Password may be used only when it is not possible to employ a PKI certificate, and requires AO approval.

In such cases, the DoD standards for password lifetime must be implemented.

The requirements for password lifetime are:
a. Password lifetime limits for interactive accounts: Minimum 24 hours, Maximum 60 days
b. Password lifetime limits for non-interactive accounts: Minimum 24 hours, Maximum 365 days
c. Number of password changes before an old one may be reused: Minimum of 5.

To enforce this in SQL Server, configure each DBMS-managed login to inherit the rules from Windows.

Checks

Run the statement:
SELECT
name
FROM
sys.sql_logins
WHERE
type_desc = 'SQL_LOGIN'
AND is_disabled = 0
AND is_expiration_checked = 0;

If no account names are listed, this is not a finding.

For each account name listed, determine whether it is documented as requiring exemption from the standard password lifetime rules, if it is not, this is a finding.

Fix

For each SQL Server Login identified in the Check as out of compliance:
In SQL Server Management Studio Object Explorer, navigate to <SQL Server instance name> >> Security >> Logins >> <login name>. Right-click, select Properties. Select the check box Enforce Password Expiration. Click OK.

Alternatively, for each identified Login, run the statement:
ALTER LOGIN <login name> CHECK_EXPIRATION = ON;
V-70623 No Change
Findings ID: SQL4-00-039100 Rule ID: SV-85245r1_rule Severity: low CCI: CCI-000366

Discussion

The SQL Server Browser simplifies the administration of SQL Server, particularly when multiple instances of SQL Server coexist on the same computer. It avoids the need to hard-assign port numbers to the instances and to set and maintain those port numbers in client systems. It enables administrators and authorized users to discover database management system instances, and the databases they support, over the network.

This convenience also presents the possibility of unauthorized individuals gaining knowledge of the available SQL Server resources. Therefore, it is necessary to consider whether the SQL Server Browser is needed. Typically, if only a single instance is installed, using the default name (MSSQLSERVER) and port assignment (1433), the Browser is not adding any value. The more complex the installation, the more likely SQL Server Browser is to be helpful.

This requirement is not intended to prohibit use of the Browser service in any circumstances; rather, it calls for administrators and management to consider whether the benefits of its use outweigh the potential negative consequences.

Checks

If the need for the SQL Server Browser service is documented, with appropriate approval, this is not a finding.

Open the Services tool.

Either navigate, via the Windows Start Menu and/or Control Panel, to "Administrative Tools", and select "Services"; or at a command prompt, type "services.msc" and press the "Enter" key.

Scroll to "SQL Server Browser".

If its Startup Type is not shown as "Disabled", this is a finding.

Fix

If SQL Server Browser is needed, document the justification and obtain the appropriate approvals.

Where SQL Server Browser is judged unnecessary, in the Services tool, double-click on "SQL Server Browser" to open its "Properties" dialog.

Set Startup Type to "Disabled".

If Service Status is "Running", click on "Stop".

Click on "OK".
V-67797 Removed
Findings ID: SQL4-00-013910 Rule ID: SV-82287r2_rule Severity: medium CCI: CCI-001493

Discussion

Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. SQL Server Profiler is one such tool. If an attacker were to gain access to audit tools, he could analyze audit logs for system weaknesses or weaknesses in the auditing itself. An attacker could also manipulate logs to hide evidence of malicious activity.

Checks

Check the server documentation for a list of approved users with access to SQL Server Audits. To create, alter, or drop a server audit, principals require the ALTER ANY SERVER AUDIT or the CONTROL SERVER permission. To view an Audit log requires the CONTROL SERVER permission. To use Profiler, ALTER TRACE is required. Review the SQL Server permissions granted to principals. Look for permissions ALTER ANY SERVER AUDIT, ALTER ANY DATABASE AUDIT, CONTROL SERVER, ALTER TRACE: SELECT login.name, perm.permission_name, perm.state_desc FROM sys.server_permissions perm JOIN sys.server_principals login ON perm.grantee_principal_id = login.principal_id WHERE permission_name in ('CONTROL SERVER', 'ALTER ANY DATABASE AUDIT', 'ALTER ANY SERVER AUDIT','ALTER TRACE') and login.name not like '##MS_%'; If unauthorized accounts have these privileges, this is a finding.

Fix

Remove audit-related permissions from individuals and roles not authorized to have them. USE master; DENY [ALTER ANY SERVER AUDIT] TO [User]; GO
V-67799 Removed
Findings ID: SQL4-00-013920 Rule ID: SV-82289r1_rule Severity: medium CCI: CCI-001493

Discussion

Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Depending upon the log format and application, system and application log tools may provide the only means to manipulate and manage application and system log data. It is, therefore, imperative that access to audit tools be controlled and protected from unauthorized access. Applications 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 make access decisions regarding the access to audit tools. Audit tools include, but are not limited to, OS-provided audit tools, vendor-provided audit tools, and open source audit tools needed to successfully view and manipulate audit information system activity and records. If an attacker were to gain access to audit tools, he could analyze audit logs for system weaknesses or weaknesses in the auditing itself. An attacker could also manipulate logs to hide evidence of malicious activity. This focuses on external tools for log maintenance and review. Other STIG requirements govern SQL Server privileges to maintain trace or audit definitions.

Checks

In Windows, review the access permissions to tools used to view or modify audit log data (to include traces used for audit purposes). If appropriate permissions and access controls to prevent unauthorized read actions and executions are not applied to these tools, this is a finding.

Fix

Apply or modify Windows permissions on tools used to view or modify audit log data (to include traces used for audit purposes), to make them accessible by authorized personnel only.