MS SQL Server 2016 Instance Security Technical Implementation Guide

V1R4 2019-01-03       U_MS_SQL_Server_2016_Instance_STIG_V1R4_Manual-xccdf.xml
V1R2 2018-06-25       U_MS_SQL_Server_2016_Instance_STIG_V1R2_Manual-xccdf.xml
This Security Technical Implementation Guide is published as a tool to improve the security of Department of Defense (DoD) information systems. The requirements are derived from the National Institute of Standards and Technology (NIST) 800-53 and related documents. Comments or proposed revisions to this document should be sent via email to the following address: [email protected]
Comparison
All 120
No Change 98
Updated 20
Added 0
Removed 2
V-79119 No Change
Findings ID: SQL6-D0-003600 Rule ID: SV-93825r1_rule Severity: medium CCI: CCI-000054

Discussion

Database management includes the ability to control the number of users and user sessions utilizing SQL Server. Unlimited concurrent connections to SQL Server could allow a successful Denial of Service (DoS) attack by exhausting connection resources; and a system can also fail or be degraded by an overload of legitimate users. Limiting the number of concurrent sessions per user is helpful in reducing these risks.

This requirement addresses concurrent session control for a single account. It does not address concurrent sessions by a single user via multiple system accounts; and it does not deal with the total number of sessions across all accounts.

The capability to limit the number of concurrent sessions per user must be configured in or added to SQL Server (for example, by use of a logon trigger), when this is technically feasible. Note that it is not sufficient to limit sessions via a web server or application server alone, because legitimate users and adversaries can potentially connect to SQL Server by other means.

The organization will need to define the maximum number of concurrent sessions by account type, by account, or a combination thereof. In deciding on the appropriate number, it is important to consider the work requirements of the various types of users. For example, 2 might be an acceptable limit for general users accessing the database via an application; but 10 might be too few for a database administrator using a database management GUI tool, where each query tab and navigation pane may count as a separate session.

(Sessions may also be referred to as connections or logons, which for the purposes of this requirement are synonyms.)

Checks

Review the system documentation to determine whether any limits have been defined. If it does not, assume a limit of 10 for database administrators and 2 for all other users.

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:

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

OR

Run the query:
SELECT name 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.

CREATE TRIGGER SQL_STIG_Connection_Limit
ON ALL SERVER WITH EXECUTE AS 'sa' --Make sure to use the renamed SA account here.
FOR LOGON
AS
BEGIN
IF (SELECT COUNT(1)
FROM sys.dm_exec_sessions
WHERE is_user_process = 1
And original_login_name = ORIGINAL_LOGIN()
) > 1000 --Organizationally defined number
BEGIN
PRINT 'The login [' + ORIGINAL_LOGIN() + '] has exceeded the concurrent session limit.'
ROLLBACK;
END
END;

Reference: https://msdn.microsoft.com/en-us/library/ms189799.aspx
V-79121 No Change
Findings ID: SQL6-D0-003700 Rule ID: SV-93827r1_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.

SQL Server must be configured to automatically utilize organization-level account management functions, and these functions must immediately enforce the organization's current account policy.

Automation may be comprised of differing technologies that when placed together contain an overall mechanism supporting an organization's automated account management requirements.

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.

OR

In a query interface such as the SSMS Transact-SQL editor, run the statement:
SELECT CASE SERVERPROPERTY('IsIntegratedSecurityOnly')
WHEN 1 THEN 'Windows Authentication'
WHEN 0 THEN 'Windows and SQL Server Authentication'
END as [Authentication Mode]

If the returned value in the "Authentication Mode" column is "Windows Authentication", 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.

Risk must be accepted by the ISSO/ISSM.

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.

OR

Run the statement:
USE [master]
EXEC xp_instance_regwrite N'HKEY_LOCAL_MACHINE', N'Software\Microsoft\MSSQLServer\MSSQLServer', N'LoginMode', REG_DWORD, 2
GO

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 "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 Databases >> Security Users.
Right-click on the User name.
Click "Delete".

To drop a User via a query:
USE database_name;
DROP USER <user_name>;
V-79123 No Change
Findings ID: SQL6-D0-003800 Rule ID: SV-93829r1_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.

SQL Server must be configured to automatically utilize organization-level account management functions, and these functions must immediately enforce the organization's current account policy.

Automation may be comprised of differing technologies that when placed together contain an overall mechanism supporting an organization's automated account management requirements.

SQL Server supports several authentication methods to allow operation in various environments, Kerberos, NTLM, and SQL Server. An instance of SQL Server must be configured to utilize the most-secure method available. Service accounts utilized by SQL Server should be unique to a given instance.

Checks

If the SQL Server is not part of an Active Directory domain, this finding is Not Applicable.

Obtain the fully qualified domain name of the SQL Server instance:

Launch Windows Explorer.

Right-click on "Computer" or "This PC" (Varies by OS level), click "Properties".

Note the value shown for "Full computer name".

*** Note: For a cluster, this value must be obtained from the Failover Cluster Manager. ***

Obtain the TCP port that is supporting the SQL Server instance:

Click Start >> Type "SQL Server 2016 Configuration Manager" >> From the search results, click "SQL Server 2016 Configuration Manager".

From the tree on the left, expand "SQL Server Network Configuration".

Click "Protocols for <Instance Name>" where <Instance Name> is the name of the instance (MSSQLSERVER is the default name).

In the right pane, right-click on "TCP/IP" and choose "Properties".

In the window that opens, click the "IP Addresses" tab.

Note the TCP port configured for the instance.

Obtain the service account that is running the SQL Server service:

Click "Start".
Type "SQL Server 2016 Configuration Manager".
From the search results, click "SQL Server 2016 Configuration Manager".

From the tree on the left, select "SQL Server Services".

Note the account listed in the "Log On As" column for the SQL Server instance being reviewed.

Launch a command-line or PowerShell window.

Enter the following command where <Service Account> is the identity of the service account.

setspn -L <Service Account>

Example: setspn -L CONTOSO\sql2016svc

Review the Registered Service Principal Names returned.

If the listing does not contain the following two service principal names, this is a finding.

MSSQLSvc/<Fully Qualified Domain Name>
MSSQLSvc/<Fully Qualified Domain Name>:<TCP Port>

If the MSSQLSvc service is registered for any fully qualified domain names that do not match the current server, this may indicate the service account is shared across SQL Server instances. Review server documentation, if the sharing of service accounts across instances is not documented and authorized, this is a finding.

Fix

Ensure Service Principal Names (SPNs) are properly registered for the SQL Server instance.

Utilize the Microsoft Kerberos Configuration Manager to review Kerberos configuration issues for a given SQL Server instance.

https://www.microsoft.com/en-us/download/details.aspx?id=39046

Alternatively, SPNs for SQL Server can be manually registered.

Using an account with permissions to register SPNs, issue the following commands from a command-prompt:

setspn -S MSSQLSvc/<Fully Qualified Domain Name> <Service Account>
setspn -S MSSQLSvc/<Fully Qualified Domain Name>:<TCP Port> <Service Account>

Restart the SQL Server instance.

More information regarding this process is available at:
https://docs.microsoft.com/en-us/sql/database-engine/configure-windows/register-a-service-principal-name-for-kerberos-connections#Manual
V-79125 No Change
Findings ID: SQL6-D0-003900 Rule ID: SV-93831r1_rule Severity: high CCI: CCI-000213

Discussion

Authentication with a DoD-approved PKI certificate does not necessarily imply authorization to access SQL Server. 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 databases, 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 database management systems. If SQL Server does not 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.

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

Use the supplemental file "Instance permissions assignments to logins and roles.sql."

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-79127 No Change
Findings ID: SQL6-D0-004000 Rule ID: SV-93833r1_rule Severity: medium CCI: CCI-000166

Discussion

Non-repudiation of actions taken is required in order to maintain data 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.

In designing a database, the organization must define the types of data and the user actions that must be protected from repudiation. The implementation must then include building audit features into the application data tables and configuring SQL Server's audit tools to capture the necessary audit trail. Design and implementation also must ensure that applications pass individual user identification to SQL Server, even where the application connects to SQL Server with a standard, shared account.

Checks

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

Determine if any accounts are shared. A shared account is defined as a username and password that are used by multiple individuals to log into SQL Server. An example of a shared account is the SQL Server installation account. Windows Groups are not shared accounts as the group itself does not have a password.

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 user IDs.

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-79129 No Change
Findings ID: SQL6-D0-004100 Rule ID: SV-93835r2_rule Severity: high CCI: CCI-000166

Discussion

Non-repudiation of actions taken is required in order to maintain data 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.

In designing a database, the organization must define the types of data and the user actions that must be protected from repudiation. The implementation must then include building audit features into the application data tables and configuring the DBMS's audit tools to capture the necessary audit trail. Design and implementation also must ensure that applications pass individual user identification to the DBMS, even where the application connects to the DBMS with a standard, shared account.

Any user with enough access to the server can execute a task that will be run as NT AUTHORITY\SYSTEM either using task scheduler or other tools. At this point, NT AUTHORITY\SYSTEM essentially becomes a shared account because the operating system and SQL Server are unable to determine who created the process.

Prior to SQL Server 2012, NT AUTHORITY\SYSTEM was a member of the sysadmin role by default. This allowed jobs/tasks to be executed in SQL Server without the approval or knowledge of the DBA because it looked like operating system activity.

Checks

Execute the following query to list permissions granted to NT AUTHORITY\SYSTEM (SYSTEM):
EXECUTE AS LOGIN = 'NT AUTHORITY\SYSTEM'
SELECT * FROM fn_my_permissions(NULL,NULL)
REVERT
If any permissions have been granted to SYSTEM beyond "CONNECT SQL" and "VIEW ANY DATABASE", this is a finding.

Fix

Unselect any roles, mappings, or permissions that were not identified as allowed in the check content.

To grant permissions to services or applications, utilize the Service SID of the service or a domain service account.
V-79131 Updated
Findings ID: SQL6-D0-004200 Rule ID: SV-93837r23_rule Severity: medium CCI: CCI-000166

Discussion

Non-repudiation of actions taken is required in order to maintain data 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.

In designing a database, the organization must define the types of data and the user actions that must be protected from repudiation. The implementation must then include building audit features into the application data tables and configuring the DBMS's audit tools to capture the necessary audit trail. Design and implementation also must ensure that applications pass individual user identification to the DBMS, even where the application connects to the DBMS with a standard, shared account.

If the computer account of a remote computer is granted access to SQL Server, any service or scheduled task running as NT AUTHORITY\SYSTEM or NT AUTHORITY\NETWORK SERVICE can log into the instance and perform actions. These actions cannot be traced back to a specific user or process.

Checks

Execute the following query:

SELECT name
FROM sys.server_principals
WHERE type in ('U','G')
AND name LIKE '%$'

If no logins are returned, this is not a finding.

If logins are returned, determine whether each login is a computer account.

Launch PowerShell.

Execute the following code:

Note: <name> represents the username portion of the login. For example, if the login is "CONTOSO\user1$", the username is "user1".

([ADSISearcher]"(&(
!ObjectCategory=Computer)(Name=<name>))").FindAll()

If no account information is returned, this is not a finding.

If account information is returned, this is a finding.

Fix

Remove all logins that were returned in the check content.
V-79133 No Change
Findings ID: SQL6-D0-004300 Rule ID: SV-93839r1_rule Severity: medium CCI: CCI-000169

Discussion

Without the capability to generate audit records, it would be difficult to establish, correlate, and investigate the events relating to an incident or identify those responsible for one.

Audit records can be generated from various components within SQL Server (e.g., process, module). Certain specific application functionalities may be audited as well. The list of audited events is the set of events for which audits are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating audit records.

DoD has defined the list of events for which SQL Server will provide an audit record generation capability as the following:

(i) Successful and unsuccessful attempts to access, modify, or delete privileges, security objects, security levels, or categories of information (e.g., classification levels);

(ii) Access actions, such as successful and unsuccessful logon attempts, privileged activities, or other system-level access, starting and ending time for user access to the system, concurrent logons from different workstations, successful and unsuccessful accesses to objects, all program initiations, and all direct access to the information system; and

(iii) All account creation, modification, disabling, and termination actions.

Organizations may define additional events requiring continuous or ad hoc auditing.

Checks

Review the server documentation to determine if any additional events are required to be audited. If no additional events are required, this is not a finding.

Execute the following query to get all of the installed audits:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

All currently defined audits for the SQL server instance will be listed. If no audits are returned, this is a finding.

To view the actions being audited by the audits, execute the following query:

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1

Compare the documentation to the list of generated audit events. If there are any missing events, this is a finding.

Fix

Add all required audit events to the STIG Compliant audit specification server documentation.
V-79135 No Change
Findings ID: SQL6-D0-004400 Rule ID: SV-93841r1_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.

Checks

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

Review the server roles and individual logins that have the following role memberships, all of which enable the ability to create and maintain audit definitions.

sysadmin
dbcreator

Review the server roles and individual logins that have the following permissions, all of which enable the ability to create and maintain audit definitions.

ALTER ANY SERVER AUDIT
CONTROL SERVER
ALTER ANY DATABASE
CREATE ANY DATABASE

Use the following query to determine the roles and logins that have the listed permissions:

SELECT-- DISTINCT
CASE
WHEN SP.class_desc IS NOT NULL THEN
CASE
WHEN SP.class_desc = 'SERVER' AND S.is_linked = 0 THEN 'SERVER'
WHEN SP.class_desc = 'SERVER' AND S.is_linked = 1 THEN 'SERVER (linked)'
ELSE SP.class_desc
END
WHEN E.name IS NOT NULL THEN 'ENDPOINT'
WHEN S.name IS NOT NULL AND S.is_linked = 0 THEN 'SERVER'
WHEN S.name IS NOT NULL AND S.is_linked = 1 THEN 'SERVER (linked)'
WHEN P.name IS NOT NULL THEN 'SERVER_PRINCIPAL'
ELSE '???'
END AS [Securable Class],
CASE
WHEN E.name IS NOT NULL THEN E.name
WHEN S.name IS NOT NULL THEN S.name
WHEN P.name IS NOT NULL THEN P.name
ELSE '???'
END AS [Securable],
P1.name AS [Grantee],
P1.type_desc AS [Grantee Type],
sp.permission_name AS [Permission],
sp.state_desc AS [State],
P2.name AS [Grantor],
P2.type_desc AS [Grantor Type],
R.name AS [Role Name]
FROM
sys.server_permissions SP
INNER JOIN sys.server_principals P1
ON P1.principal_id = SP.grantee_principal_id
INNER JOIN sys.server_principals P2
ON P2.principal_id = SP.grantor_principal_id

FULL OUTER JOIN sys.servers S
ON SP.class_desc = 'SERVER'
AND S.server_id = SP.major_id

FULL OUTER JOIN sys.endpoints E
ON SP.class_desc = 'ENDPOINT'
AND E.endpoint_id = SP.major_id

FULL OUTER JOIN sys.server_principals P
ON SP.class_desc = 'SERVER_PRINCIPAL'
AND P.principal_id = SP.major_id

FULL OUTER JOIN sys.server_role_members SRM
ON P.principal_id = SRM.member_principal_id

LEFT OUTER JOIN sys.server_principals R
ON SRM.role_principal_id = R.principal_id
WHERE sp.permission_name IN ('ALTER ANY SERVER AUDIT','CONTROL SERVER','ALTER ANY DATABASE','CREATE ANY DATABASE')
OR R.name IN ('sysadmin','dbcreator')

If any of the logins, roles, or role memberships returned have permissions that are not documented, or the documented audit maintainers do not have permissions, 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 (the role name used here is an example; other names may be used):

CREATE SERVER ROLE SERVER_AUDIT_MAINTAINERS;
GO

GRANT ALTER ANY SERVER AUDIT TO SERVER_AUDIT_MAINTAINERS;
GO

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;
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-79137 No Change
Findings ID: SQL6-D0-004500 Rule ID: SV-93843r1_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 SQL Server continually performs to determine if any and every action on the database is permitted.

Checks

Review the system documentation to determine if SQL Server is required to audit the retrieval of privilege/permission/role membership information.

If SQL Server is not required to audit the retrieval of privilege/permission/role membership information, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query. If no records are returned, this is a finding.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the SCHEMA_OBJECT_ACCESS_GROUP is included in the server audit specification:

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the SCHEMA_OBJECT_ACCESS_GROUP is not returned in an active audit, this is a finding.

Fix

If SQL Server is required to audit the retrieval of privilege/permission/role membership information, create a dedicated audit to capture this information.

USE [master];
GO

Set variables needed by setup script:
DECLARE @auditName varchar(50), @auditPath varchar(260), @auditGuid uniqueidentifier, @auditFileSize varchar(4), @auditFileCount varchar(4)

Define the name of the audit:
SET @auditName = 'STIG_Audit_Permissions_Queries'

Define the directory in which audit log files reside:
SET @auditPath = 'C:\Program Files\Microsoft SQL Server\MSSQL13.SQL2016\MSSQL\Audits'

Define the unique identifier for the audit:
SET @auditGuid = NEWID()

Define the maximum size for a single audit file (MB):
SET @auditFileSize = 200

Define the number of files that should be kept online. Use -1 for unlimited:
SET @auditFileCount = 50

Insert the variables into a temp table so they survive for the duration of the script:
CREATE TABLE #SetupVars
(
Variable varchar(50),
Value varchar(260)
)
INSERT INTO #SetupVars (Variable, Value)
VALUES ('auditName', @auditName),
('auditPath', @auditPath),
('auditGuid', convert(varchar(40), @auditGuid)),
('auditFileSize', @auditFileSize),
('auditFileCount', @auditFileCount)
GO

Delete the audit if it currently exists:

Disable the Server Audit Specification:
DECLARE @auditName varchar(50), @disableSpecification nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @disableSpecification = '
IF EXISTS (SELECT 1 FROM sys.server_audit_specifications WHERE name = N''' + @auditName + '_SERVER_SPECIFICATION'')
ALTER SERVER AUDIT SPECIFICATION [' + @auditName + '_SERVER_SPECIFICATION] WITH (STATE = OFF);'
EXEC(@disableSpecification)
GO

Drop the Server Audit Specification:
DECLARE @auditName varchar(50), @dropSpecification nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @dropSpecification = '
IF EXISTS (SELECT 1 FROM sys.server_audit_specifications WHERE name = N''' + @auditName + '_SERVER_SPECIFICATION'')
DROP SERVER AUDIT SPECIFICATION [' + @auditName + '_SERVER_SPECIFICATION];'
EXEC(@dropSpecification)
GO

Disable the Server Audit:
DECLARE @auditName varchar(50), @disableAudit nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @disableAudit = '
IF EXISTS (SELECT 1 FROM sys.server_audits WHERE name = N''' + @auditName + ''')
ALTER SERVER AUDIT [' + @auditName + '] WITH (STATE = OFF);'
EXEC(@disableAudit)
GO

Drop the Server Audit:
DECLARE @auditName varchar(50), @dropAudit nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @dropAudit = '
IF EXISTS (SELECT 1 FROM sys.server_audits WHERE name = N''' + @auditName + ''')
DROP SERVER AUDIT [' + @auditName + '];'
EXEC(@dropAudit)
GO

Set up the SQL Server Audit:

USE [master];
GO

Create the Server Audit:
DECLARE @auditName varchar(50), @auditPath varchar(260), @auditGuid varchar(40), @auditFileSize varchar(4), @auditFileCount varchar(5)

SELECT @auditName = Value FROM #SetupVars WHERE Variable = 'auditName'
SELECT @auditPath = Value FROM #SetupVars WHERE Variable = 'auditPath'
SELECT @auditGuid = Value FROM #SetupVars WHERE Variable = 'auditGuid'
SELECT @auditFileSize = Value FROM #SetupVars WHERE Variable = 'auditFileSize'
SELECT @auditFileCount = Value FROM #SetupVars WHERE Variable = 'auditFileCount'

DECLARE @createStatement nvarchar(max)
SET @createStatement = '
CREATE SERVER AUDIT [' + @auditName + ']
TO FILE
(
FILEPATH = ''' + @auditPath + '''
, MAXSIZE = ' + @auditFileSize + ' MB
, MAX_ROLLOVER_FILES = ' + CASE WHEN @auditFileCount = -1 THEN 'UNLIMITED' ELSE @auditFileCount END + '
, RESERVE_DISK_SPACE = OFF
)
WITH
(
QUEUE_DELAY = 1000
, ON_FAILURE = SHUTDOWN
, AUDIT_GUID = ''' + @auditGuid + '''
)
WHERE ([Schema_Name] = ''sys'' AND [Object_Name] = ''all_objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''database_permissions'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''database_principals'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''database_role_members'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_column_store_object_pool'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_db_xtp_object_stats'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_os_memory_objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_xe_object_columns'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_xe_objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''dm_xe_session_object_columns'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''filetable_system_defined_objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''linked_logins'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''login_token'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''remote_logins'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''server_permissions'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''server_principal_credentials'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''server_principals'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''server_role_members'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''sql_logins'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''syscacheobjects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''syslogins'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''sysobjects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''sysoledbusers'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''syspermissions'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''sysremotelogins'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''system_objects'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''sysusers'')
OR ([Schema_Name] = ''sys'' AND [Object_Name] = ''user_token'')
'

EXEC(@createStatement)
GO

Turn on the Audit:
DECLARE @auditName varchar(50), @enableAudit nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @enableAudit = '
IF EXISTS (SELECT 1 FROM sys.server_audits WHERE name = N''' + @auditName + ''')
ALTER SERVER AUDIT [' + @auditName + '] WITH (STATE = ON);'
EXEC(@enableAudit)
GO

Create the server audit specifications:
DECLARE @auditName varchar(50), @createSpecification nvarchar(max)
SET @auditName = (SELECT Value FROM #SetupVars WHERE Variable = 'auditName')
SET @createSpecification = '
CREATE SERVER AUDIT SPECIFICATION [' + @auditName + '_SERVER_SPECIFICATION]
FOR SERVER AUDIT [' + @auditName + ']
ADD (SCHEMA_OBJECT_ACCESS_GROUP)
WITH (STATE = ON);'
EXEC(@createSpecification)
GO

Clean up:
DROP TABLE #SetupVars
V-79139 Updated
Findings ID: SQL6-D0-004600 Rule ID: SV-93845r12_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 SQL Server 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.

Checks

Review the system documentation to determine if SQL Server is required to audit the retrieval of privilege/permission/role membership information.

If SQL Server is not required to audit the retrieval of privilege/permission/role membership information, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query. If no records are returned, this is a finding.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the SCHEMA_OBJECT_ACCESS_GROUP is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the SCHEMA_OBJECT_ACCESS_GROUP is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit the retrieval of privilege/permission/role membership information. See the supplemental file "SQL 2016 Permissions Queries Audit.sql".
V-79141 No Change
Findings ID: SQL6-D0-004700 Rule ID: SV-93847r1_rule Severity: medium CCI: CCI-001464

Discussion

Session auditing is for use when a user's activities are under investigation. To be sure of capturing all activity during those periods when session auditing is in use, it needs to be in operation for the whole time SQL Server is running.

Checks

When Audits are enabled, they start up when the instance starts.
https://msdn.microsoft.com/en-us/library/cc280386.aspx#Anchor_2

Check if an audit is configured and enabled.

Execute the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status
WHERE status_desc = 'STARTED'

All currently defined audits for the SQL server instance will be listed. If no audits are returned, this is a finding.

Fix

Configure the SQL Audit(s) to automatically start during system start-up.

ALTER SERVER AUDIT [<Server Audit Name>] WITH STATE = ON

Execute the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status
WHERE status_desc = 'STARTED'

Ensure the SQL STIG Audit is configured to initiate session auditing upon startup.
V-79143 No Change
Findings ID: SQL6-D0-004800 Rule ID: SV-93849r1_rule Severity: medium CCI: CCI-001462

Discussion

Without the capability to capture, record, and log all content related to a user session, investigations into suspicious user activity would be hampered.

Typically, this DBMS capability would be used in conjunction with comparable monitoring of a user's online session, involving other software components such as operating systems, web servers and front-end user applications. The current requirement, however, deals specifically with SQL Server.

Checks

Review the system documentation to determine if auditing of a session is required.

If auditing of a session is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Fix

SQL Server Extended Events has a highly scalable and highly configurable architecture that allows users to collect as much or as little information as is necessary to troubleshoot or document session activity.

Extended Events is a light weight performance monitoring system that uses very few performance resources. Extended Events provides two graphical user interfaces and T-SQL syntax to create, modify, display, and analyze session data. Use Extended Events to capture and review a user session. Auditing must only be enabled for member of the auditors group or sysadmin. 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.

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

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;
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-79145 No Change
Findings ID: SQL6-D0-005500 Rule ID: SV-93851r1_rule Severity: medium CCI: CCI-000135

Discussion

Information system auditing capability is critical for accurate forensic analysis. Reconstruction of harmful events or forensic analysis is not possible if audit records do not contain enough information. To support analysis, some types of events will need information to be logged that exceeds the basic requirements of event type, time stamps, location, source, outcome, and user identity. If additional information is not available, it could negatively impact forensic investigations into user actions or other malicious events.

The organization must determine what additional information is required for complete analysis of the audited events. The additional information required is dependent on the type of information (e.g., sensitivity of the data and the environment within which it resides). At a minimum, the organization must employ either full-text recording of privileged commands or the individual identities of users of shared accounts, or both. The organization must maintain audit trails in sufficient detail to reconstruct events to determine the cause and impact of compromise.

Examples of detailed information the organization may require in audit records are full-text recording of privileged commands or the individual identities of shared account users.

Checks

If a SQL Server Audit is not in use for audit purposes, this is a finding unless a third-party product is being used that can perform detailed auditing for SQL Server.

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.

If there are none specified, this is not 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

Design and deploy an Audit that captures all auditable events and data items. In the event a third-party tool is used for auditing it must contain all the required information including but not limited to events, type, location, subject, date and time and by whom the change occurred.

Implement additional custom audits to capture the additional organizational required information.
V-79147 No Change
Findings ID: SQL6-D0-005600 Rule ID: SV-93853r1_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 takes 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.

Checks

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

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 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 [AuditNameHere] WITH (STATE = OFF);
GO
ALTER SERVER AUDIT [AuditNameHere] WITH (ON_FAILURE = SHUTDOWN);
GO
ALTER SERVER AUDIT [AuditNameHere] WITH (STATE = ON);
GO
V-79149 No Change
Findings ID: SQL6-D0-005700 Rule ID: SV-93855r1_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 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, SQL Server must continue generating audit records, if possible (automatically restarting the audit service if necessary), 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, SQL Server 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.

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-79151 No Change
Findings ID: SQL6-D0-005900 Rule ID: SV-93857r1_rule Severity: medium CCI: CCI-000162

Discussion

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

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.

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

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 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 and 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)

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

Fix

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 the file and 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.130).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.

1) In Windows Explorer, right-click 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$" user and click "OK".
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names".
7.b.ii) Select the "SQLAgent$" user and click "OK".
8) Click "OK".
9) Permission like a normal user from here.
V-79153 No Change
Findings ID: SQL6-D0-006000 Rule ID: SV-93859r1_rule Severity: medium CCI: CCI-000163

Discussion

If audit data were to become compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is 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 that 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 access decisions regarding the modification of audit data. SQL Server is an application that does provide access to audit file 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 of, or the 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 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 and 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)

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

Fix

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 the file and 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.130).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.

1) In Windows Explorer, right-click 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$" user and click "OK".
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names".
7.b.ii) Select the "SQLAgent$" user and click "OK".
8) Click "OK".
9) Permission like a normal user from here.
V-79155 No Change
Findings ID: SQL6-D0-006100 Rule ID: SV-93861r1_rule Severity: medium CCI: CCI-000164

Discussion

If audit data were to become compromised, then competent forensic analysis and discovery of the true source of potentially malicious system activity is 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 make access decisions regarding the deletion of audit data. SQL Server is an application that does provide access to audit file 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 of, or the 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 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 and 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)
SQL Server SQL Agent Service SID OR Service Account, if SQL Server Agent is in use. (Read, Execute, Write)

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

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 the file and 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.130).aspx.

Note 2: Tips for adding a service SID/virtual account to a folder's permission list.

1) In Windows Explorer, right-click 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$" user and click "OK".
7.b) SQL Agent Service
7.b.i) Type "NT SERVICE\SQL" and click "Check Names".
7.b.ii) Select the "SQLAgent$" user and click "OK".
8) Click "OK".
9) Permission like a normal user from here.
V-79157 No Change
Findings ID: SQL6-D0-006200 Rule ID: SV-93863r2_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. 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

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-79159 No Change
Findings ID: SQL6-D0-006300 Rule ID: SV-93865r1_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. SQL Server is an application that does provide access to audit data.

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.

Checks

Check the server documentation for a list of approved users with access to SQL Server Audits.

To alter, or drop a server audit, principals require the ALTER ANY SERVER AUDIT or the CONTROL SERVER permission.

Review the SQL Server permissions granted to principals. Look for permissions ALTER ANY SERVER AUDIT, ALTER ANY DATABASE AUDIT:

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')
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-79161 No Change
Findings ID: SQL6-D0-006400 Rule ID: SV-93867r1_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. SQL Server is an application that does provide access to audit data.

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.

Checks

Check the server documentation for a list of approved users with access to SQL Server Audits.

To alter, or drop a server audit, principals require the ALTER ANY SERVER AUDIT or the CONTROL SERVER permission.

Review the SQL Server permissions granted to principals. Look for permissions ALTER ANY SERVER AUDIT, ALTER ANY DATABASE AUDIT, CONTROL SERVER:

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')
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-79163 No Change
Findings ID: SQL6-D0-006500 Rule ID: SV-93869r1_rule Severity: medium CCI: CCI-001499

Discussion

If the system 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.

Accordingly, only qualified and authorized individuals must 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

Review Server documentation to determine the authorized owner and users or groups with modify rights for this SQL instance's binary files. Additionally check the owner and users or groups with modify rights for shared software library paths on disk.

If any unauthorized users are granted modify rights or the owner is incorrect, this is a finding.

To determine the location for these instance-specific binaries, Launch SQL Server Management Studio (SSMS) >> Connect to the instance to be reviewed >> Right-click server name in Object Explorer >> Click Facets >> Select the Server facet >> Record the value for the "RootDirectory" facet property.

Navigate to the folder above, and review the "Binn" subdirectory.

Fix

Change the ownership of all shared software libraries on disk to the authorized account. Remove any modify permissions granted to unauthorized users or groups.
V-79165 No Change
Findings ID: SQL6-D0-006600 Rule ID: SV-93871r1_rule Severity: medium CCI: CCI-001499

Discussion

If the system 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.

Accordingly, only qualified and authorized individuals must 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

Review server documentation to determine the process by which shared software libraries are monitored for change. Ensure the process alerts for changes in a file's ownership, modification dates, and hash value at a minimum.

If alerts do not at least hash their value, this is a finding.

To determine the location for these instance-specific binaries:

Launch SQL Server Management Studio (SSMS) >> Connect to the instance to be reviewed >> Right-click server name in Object Explorer >> Click Facets >> Select the Server facet >> Record the value for the "RootDirectory" facet property

TIP: Use the Get-FileHash cmdlet shipped with PowerShell 5.0 to get the SHA-2 hash of one or more files.

Fix

Implement and document a process by which changes made to software libraries are monitored and alerted.

A PowerShell based hashing solution is one such process. The Get-FileHash command (https://msdn.microsoft.com/en-us/powershell/reference/5.1/microsoft.powershell.utility/get-filehash) can be used to compute the SHA-2 hash of one or more files.

Using the Export-Clixml command (https://msdn.microsoft.com/powershell/reference/5.1/microsoft.powershell.utility/Export-Clixml), a baseline can be established and exported to a file.

Using the Compare-Object command (https://technet.microsoft.com/en-us/library/ee156812.aspx), a comparison of the latest baseline versus the original baseline can be used to expose the differences.
V-79167 No Change
Findings ID: SQL6-D0-006700 Rule ID: SV-93873r1_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 have significant effects on the overall security of the system.

If the system 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. Accordingly, only qualified and authorized individuals must be allowed 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 great impact on SQL Server security and operation. It is especially important to grant privileged access to only those persons who are qualified and authorized to use them.

Checks

From the system documentation, obtain the list of accounts authorized to install/update SQL Server. Run the following PowerShell command to list all users who have installed/modified SQL Server 2016 software and compare the list against those persons who are qualified and authorized to use the software.

sl "C:\program files\microsoft sql server\130\setup bootstrap\Log"
Get-ChildItem -Recurse | Select-String -Pattern "LogonUser = "

If any accounts are shown that are not authorized in the system documentation, 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 and OS settings and access controls to restrict user access to objects and data that the user is authorized to view/use.
V-79169 Updated
Findings ID: SQL6-D0-006800 Rule ID: SV-93875r12_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.

Multiple applications can provide a cumulative negative effect. A vulnerability and subsequent exploit to one application can lead to an exploit of other applications sharing the same security context. For example, an exploit to 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 the other application's database objects or directories. Any method that provides any level of separation of security context assists in the protection between applications.

Checks

Determine the directory in which SQL Server has been installed.:

Using SQL Server Management Studio's Object Explorer:

Right-click [SQL Server Instance] >> Facets >> Record value for RootDirectory.

Verify that this path does not exist on the same drive as the Operating System.

Using Windows Explorer, navigate through all parts of this path verifying that no evidence exists of non-SQL Server or administrative files being stored in the same location.

If any non-SQL Server or administrative files are being stored in this location, t
- Right-click [SQL Server Instance]
- Select "Facets"
- Record the value of RootDirectory

Determine the Operating System directory:
- Click "Start"
- Type "Run"
- Press "Enter"
- Type "%windir%"
- Click "Ok"
- Record the value in the address bar

Verify the SQL Server RootDirectory is not in the Operating System directory.

Compare the SQL RootDirectory and the Operating System directory. If the SQL RootDirectory is in the same directory as the Operating System, this is a finding.

Verify the SQL Server RootDirectory is not in another application's directory.

Navigate to the SQL RootDirectory using Windows Explorer.

Examine each directory for evidence another application is stored in it.

If evidence exists the SQL RootDirectory is in another application's directory, this is a finding.

If the SQL RootDirectory is not in the Operating System directory or another application's directory. This is not a finding.

Examples:
1) The Operating System directory is "C:\Windows". The SQL RootDirectory is "D:\Program Files\MSSQLSERVER\MSSQL". The MSSQLSERVER directory is not living in the Operating System directory or the directory of another application. This is not a finding.

2) The Operating System directory is "C:\Windows". The SQL RootDirectory is "C:\Windows\MSSQLSERVER\MSSQL". This is a finding.

3) The Operating System directory is "C:\Windows". The SQL RootDirectory is "D:\Program Files\Microsoft Office\MSSQLSERVER\MSSQL". The MSSQLSERVER directory is in the Microsoft Office directory, which indicates Microsoft Office is installed here. T
his is a finding.

Fix

Re-install SQL Server application components using dedicated directories that are separate from the operating system.

Relocate or reinstall other application software that currently shares directories with SQL Server components.

Separate from the operating system and/or temporary storage.
V-79171 No Change
Findings ID: SQL6-D0-006900 Rule ID: SV-93877r2_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 software products 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 plugins not related to requirements or providing a wide array of functionality, not required for every mission, that cannot be disabled.

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

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 SQL Server and host system.

Checks

Review the server documentation, if this system is identified as a development or test system, this check is Not Applicable.

If this system is identified as production, gather a listing of databases from the server and look for any matching the following general demonstration database names:

pubs
Northwind
AdventureWorks
WorldwideImporters

If any of these databases exist, this is a finding.

Fix

Remove all demonstration or sample databases from production instances.
V-79173 No Change
Findings ID: SQL6-D0-007000 Rule ID: SV-93879r1_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 software products to provide, or install by default, functionality exceeding requirements or mission objectives.

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

Checks

From the server documentation, obtain a listing of required components.

Generate a listing of components installed on the server.

Click Start >> Type "SQL Server 2016 Installation Center" >> Launch the program >> Click Tools >> Click "Installed SQL Server features discovery report"

Compare the feature listing against the required components listing.

If any features are installed, but are not required, this is a finding.

Fix

Remove all features that are not required.
V-79175 No Change
Findings ID: SQL6-D0-007100 Rule ID: SV-93881r1_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 software products to provide, or install by default, functionality exceeding requirements or mission objectives.

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

Unused, unnecessary DBMS components increase the attack vector for 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. The techniques available for disabling components will vary by DBMS product, OS, and the nature of the component and may include DBMS configuration settings, OS service settings, OS file access security, and DBMS user/role permissions.

Checks

From the server documentation, obtain a listing of required components.

Generate a listing of components installed on the server.

Click Start >> Type "SQL Server 2016 Installation Center" >> Launch the program >> Click Tools >> Click "Installed SQL Server features discovery report"

Compare the feature listing against the required components listing. Note any components that are installed, but not required.

Launch SQL Server Configuration Manager.

If any components that are installed but are not required are not disabled, this is a finding.

If any required components are not installed, this is a finding.

Fix

Disable any unused components or features that cannot be uninstalled.
V-79177 No Change
Findings ID: SQL6-D0-007200 Rule ID: SV-93883r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server 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

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.

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

Disable use of or remove any external application executable object definitions that are not authorized.

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-79179 No Change
Findings ID: SQL6-D0-007300 Rule ID: SV-93885r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

The common language runtime (CLR) component of the .NET Framework for Microsoft Windows in SQL Server allows you to write stored procedures, triggers, user-defined types, user-defined functions, user-defined aggregates, and streaming table-valued functions, using any .NET Framework language, including Microsoft Visual Basic .NET and Microsoft Visual C#. CLR packing assemblies can access resources protected by .NET Code Access Security when it runs managed code. Specifying UNSAFE enables the code in the assembly complete freedom to perform operations in the SQL Server process space that can potentially compromise the robustness of SQL Server. UNSAFE assemblies can also potentially subvert the security system of either SQL Server or the common language runtime.

Checks

The common language runtime (CLR) component of the .NET Framework for Microsoft Windows in SQL Server allows you to write stored procedures, triggers, user-defined types, user-defined functions, user-defined aggregates, and streaming table-valued functions, using any .NET Framework language, including Microsoft Visual Basic .NET and Microsoft Visual C#. CLR packing assemblies can access resources protected by .NET Code Access Security when it runs managed code. Specifying UNSAFE enables the code in the assembly complete freedom to perform operations in the SQL Server process space that can potentially compromise the robustness of SQL Server. UNSAFE assemblies can also potentially subvert the security system of either SQL Server or the common language runtime.

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

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

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

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

If CLR code is required and approved, check for UNSAFE Assembly permission using the following script in Master. If records are returned and UNSAFE Assembly is not documented and authorized, this is a finding.

SELECT *
FROM sys.assemblies
WHERE permission_set_desc != 'SAFE'
AND is_user_defined = 1

Fix

Disable use of or remove any CLR code that is not authorized.

To disable the use of CLR, from the query prompt:

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'clr enabled', 0;
GO
RECONFIGURE;
GO

For any approved CLR code with Unsafe or External permissions, use the ALTER ASSEMBLY to change the Permission set for the Assembly and ensure a certificate is configured.
V-79181 Updated
Findings ID: SQL6-D0-007400 Rule ID: SV-93887r12_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

Extended stored procedures are DLLs that an instance of SQL Server can dynamically load and run. Extended stored procedures run directly in the address space of an instance of SQL Server and are programmed by using the SQL Server Extended Stored Procedure API. Non-Standard extended stored procedures can compromise the integrity of the SQL Server process. This feature will be removed in a future version of Microsoft SQL Server. Do not use this feature in new development work, and modify applications that currently use this feature as soon as possible.

Checks

Extended stored procedures are DLLs that an instance of SQL Server can dynamically load and run. Extended stored procedures run directly in the address space of an instance of SQL Server and are programmed by using the SQL Server Extended Stored Procedure API.

Non-Standard extended stored procedures can compromise the integrity of the SQL Server process. This feature will be removed in a future version of Microsoft SQL Server. Do not use this feature in new development work, and modify applications that currently use this feature as soon as possible.

To determine if non-standard extended
, stored procedures exist, run the following:

SELECT *
FROM


------------------------------------------------------------------------
USE [master]
GO
DECLARE @xplist AS TABLE
(

sys.objects O LEFT OUTER JOIN sys. xp_name sysname,
source_dll nvarchar(255)
)
INSERT INTO @xplist
EXEC sp_help
extended_properties E ON O.object_id = E.major_id
WHERE
O.name IS NOT NULL
AND ISNULL(
c

SELECT X.xp_name, X.source_dll, O.is_ms_shipped FROM @xplist X JOIN sys.all_objects O ON X.xp_name = O.name WHERE
O.is_ms_shipped, 0) = 0
AND O.type_desc = 'SQL_STORED_PROCEDURE'
ORDER BY O.name
ORDER BY X.xp_name
------------------------------------------------------------------------


If any records are returned, review the system documentation to determine whether the use of Non-Standard extended stored procedures are required and approved.


If it is not approved, this is a finding.

Fix

Remove any Non-Standard extended stored procedures that are not documented and approved.

sp_dropextendedproc 'proc name'
V-79183 No Change
Findings ID: SQL6-D0-007500 Rule ID: SV-93889r1_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. SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system. A linked server allows for access to distributed, heterogeneous queries against OLE DB data sources. After a linked server is created, distributed queries can be run against this server, and queries can join tables from more than one data source. If the linked server is defined as an instance of SQL Server, remote stored procedures can be executed. This access may be exploited by malicious users who have compromised the integrity of the SQL Server.

Checks

A linked server allows for access to distributed, heterogeneous queries against OLE DB data sources. After a linked server is created, distributed queries can be run against this server, and queries can join tables from more than one data source. If the linked server is defined as an instance of SQL Server, remote stored procedures can be executed.

To obtain a list of linked servers, execute the following command:

EXEC sp_linkedservers;

Review the system documentation to determine whether the linked servers listed are required and approved. If it is not approved, this is a finding.

Run the following to get a linked server login mapping:

SELECT s.name, p.principal_id, l.remote_name
FROM sys.servers s
JOIN sys.linked_logins l ON s.server_id = l.server_id
LEFT JOIN sys.server_principals p ON l.local_principal_id = p.principal_id
WHERE s.is_linked = 1

Review the linked login mapping and check the remote name as it can impersonate sysadmin. If a login in the list is impersonating sysadmin and system documentation does not require this, it is a finding.

Fix

Disable use of or remove any linked servers that are not authorized.

To remove a linked server and all associated logins run the following:

sp_dropserver 'LinkedServerName', 'droplogins';

To remove a login from a linked server run the following:

EXEC sp_droplinkedsrvlogin 'LoginName', NULL;
V-79185 No Change
Findings ID: SQL6-D0-007600 Rule ID: SV-93891r1_rule Severity: medium CCI: CCI-000382

Discussion

In order to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling (i.e., embedding of data types within data types), organizations must disable or restrict unused or unnecessary protocols on information systems.

Applications are capable of providing a wide variety of functions and services. Some of the functions and services provided by default may not be necessary to support essential organizational operations. Additionally, it is sometimes convenient to provide multiple services from a single component (e.g., email and web services); however, doing so increases risk over limiting the services provided by any one component.

To support the requirements and principles of least functionality, the application must support the organizational requirements providing only essential capabilities and limiting the use of protocols to only those required, authorized, and approved to conduct official business or to address authorized quality of life issues.

SQL Server using protocols deemed unsafe is open to attack through those protocols. This can allow unauthorized access to the database and through the database to other components of the information system.

Checks

To determine the protocol(s) enabled for SQL Server, open SQL Server Configuration Manager. In the left-hand pane, expand SQL Server Network Configuration. Click on the entry for the SQL Server instance under review: "Protocols for ". The right-hand pane displays the protocols enabled for the instance.

If Named Pipes is enabled and not specifically required and authorized, this is a finding.

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

Fix

In SQL Server Configuration Manager >> SQL Server Network Configuration >> Protocols, right-click on each listed protocol that is enabled but not authorized and Select "Disable".
V-79187 No Change
Findings ID: SQL6-D0-007700 Rule ID: SV-93893r1_rule Severity: medium CCI: CCI-000382

Discussion

In order to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling (i.e., embedding of data types within data types), organizations must disable or restrict unused or unnecessary physical and logical ports on information systems.

Applications are capable of providing a wide variety of functions and services. Some of the functions and services provided by default may not be necessary to support essential organizational operations. Additionally, it is sometimes convenient to provide multiple services from a single component (e.g., email and web services); however, doing so increases risk over limiting the services provided by any one component.

To support the requirements and principles of least functionality, the application must support the organizational requirements providing only essential capabilities and limiting the use of ports to only those required, authorized, and approved to conduct official business or to address authorized quality of life issues.

SQL Server using ports deemed unsafe is open to attack through those ports. This can allow unauthorized access to the database and through the database to other components of the information system.

Checks

Review SQL Server Configuration for the ports used by SQL Server.

To determine whether SQL Server is configured to use a fixed port or dynamic ports, in the right-hand pane double-click on the TCP/IP entry, to open the Properties dialog. (The default fixed port is 1433.)

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

Fix

Use SQL Server Configuration to 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-79189 No Change
Findings ID: SQL6-D0-007800 Rule ID: SV-93895r1_rule Severity: medium CCI: CCI-000764

Discussion

To assure accountability and prevent unauthenticated access, organizational users must be identified and authenticated to prevent potential misuse and compromise of the system.

Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors). Organizational users (and any processes acting on behalf of users) must be uniquely identified and authenticated for all accesses, except the following:

(i) Accesses explicitly identified and documented by the organization. Organizations document specific user actions that can be performed on the information system without identification or authentication; and
(ii) Accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals using shared accounts, for detailed accountability of individual activity.

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. Where an application connects to SQL Server using a standard, shared account, ensure that it also captures the individual user identification and passes it to SQL Server.

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.

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-79191 Updated
Findings ID: SQL6-D0-007900 Rule ID: SV-93897r13_rule Severity: medium CCI: CCI-000192

Discussion

OS/enterprise authentication and identification must be used (SQL2-00-023600). Native DBMS 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 and lifetime must be implemented. DBMS products that can inherit the rules for these from the operating system or access control program (e.g., Microsoft Active Directory) must be configured to do so. For other DBMSs, the rules must be enforced using available configuration parameters or custom code.

Checks

Check for use of SQL Server Authentication:


SELECT CASE SERVERPROPERTY('IsIntegratedSecurityOnly')
WHEN 1 THEN 'Windows Authentication' WHEN 0 THEN 'SQL Server Authentication' END as [Authentication Mode]

SQL Server should be configured to inherit password complexity and password lifetime rules from the operating system.

If SQL Server Authentication is enabled and "enforce password policy" and "enforce password expiration" is not employed, this is a finding.

Risk must be accepted by the ISSO/ISSM.


If the returned value in the “[Authentication Mode]” column is “Windows Authentication”, this is not a finding.

SQL Server should be configured to inherit password complexity and password lifetime rules from the operating system.

Review SQL Server to ensure log
ions are created with respect to the complexity settings. Ensure SQL Logins meet the required settings:

SELECT * FROM sys.sql_logins WHERE is_policy_checked <> 1 and is_expiration_checked <> 1

If any records are returned
and password lifetime rules by running the statement:

SELECT [name], is_expiration_checked, is_policy_checked
FROM sys.sql_logins

Review any accounts returned by the query other than the disabled SA account, ##MS_PolicyTsqlExecutionLogin##, and ##MS_PolicyEventProcessingLogin##.

If any account doesn't have both "is_expiration_checked" and "is_policy_checked" equal to “
, this is a finding.


Review the Operating System settings relating to password complexity.



Determine whether the following rules are enforced. If any are not, this is a finding.



Check the server operating system for password complexity:
i
Navigate to Start >> All Programs >> Administrative Tools >> Local Security Policy and to review the local policies on the machine. Account Policy >> Password Policy:



Ensure the DISA Windows Password Policy is set on the SQL Server member server.

Fix

Configure the SQL Server operating system and SQL Server logins for compliance.

1. Ensure the DISA Windows Server 2012/2012 R2 Domain Controller Security Technical Implementation Guide password complexity guidelines are met.

2. Ensure SQL Server is configured to inherit password complexity rules from the operating system for SQL logins. Ensure check of policy and expiration are enforced when SQL logins are created.

CREATE LOGIN [] WITH PASSWORD=N'', CHECK_EXPIRATION=ON, CHECK_POLICY=ON
V-79193 No Change
Findings ID: SQL6-D0-008000 Rule ID: SV-93899r1_rule Severity: medium CCI: CCI-000192

Discussion

OS/enterprise authentication and identification must be used (SRG-APP-000023-DB-000001). Native DBMS 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 and lifetime must be implemented. DBMS products that can inherit the rules for these from the operating system or access control program (e.g., Microsoft Active Directory) must be configured to do so. For other DBMSs, the rules must be enforced using available configuration parameters or custom code.

Checks

Execute the following query to determine if Contained Databases are used:

SELECT * FROM sys.databases WHERE containment = 1

If any records are returned. Check the server documentation for a list of authorized contained database users. Ensure contained database users are not using SQL Authentication.

EXEC sp_MSforeachdb 'USE [?]; SELECT DB_NAME() AS DatabaseName, * FROM sys.database_principals WHERE authentication_type = 2'

If any records are returned, this is a finding.

Fix

Configure the SQL Server contained databases to have users originating from Windows principals. Remove any users not created from Windows principals.
V-79195 Updated
Findings ID: SQL6-D0-008200 Rule ID: SV-93901r12_rule Severity: high CCI: CCI-000197

Discussion

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

SQL Server passwords sent in clear text format across the network are vulnerable to discovery by unauthorized users. Disclosure of passwords may easily lead to unauthorized access to the database.

Checks

From a command prompt, open SQL Server Configuration Manager by typing "sqlservermanager13.msc", and pressing "ENTER".


Navigate to SQL Server Configuration Manager >> SQL Server Network Configuration. Right-click on Protocols for, where is a placeholder for the SQL Server instance name, and click on "Properties".

On the "Flags" tab, if "Force Encryption" is set to "NO", this is a finding.



On the "Flags" tab, if "Force Encryption" is set to "YES", examine the certificate used on the "Certificate" tab.



If it is not a DoD certificate, or if no certificate is listed, this is a finding.



A number of known vulnerabilities has been reported against SSL and earlier versions of TLS
, which has changed the security guidance to move to TLS 1.2 for support secure communication. Check to see if SSL is still in use instead of TLS 1.2, if soCheck to see if SSL is still in use instead of TLS 1.2, if so, this is a CAT II finding.

For clustered instances, the Certificate will NOT be shown in the SQL Server Configuration Manager.

1. From a command prompt navigate to the certificate store where the Full Qualified Domain Name (FQDN) certificate is stored, by typing "certlm.msc", and pressing "ENTER".

2. In the left side of the window, expand ”Personal” folder, and click on ”Certificates”.

3. Verify that the Certificate with the FQDN name is issued by the DOD. Double click the certificate, click the ”teilils” tab and note thl value for the Thuinprint.

4. The value for theu“Thumbprints field should match e invalue in ste registry by runeing aededit and l ok at " HKLM\SOFTWARE\MicrosofofMicro oft SQL Server\<instanLe>\MSSQLServSr\SuperSocketNetLib\Certificate ".

5. This check needs to be run on each nod of the.cluster.

If any node havifa certificate in use by Qs toat is not issue
, this is a CAT II finding.

Fix

Configure SQL Server to encrypt authentication data for remote connections using DoD-approved cryptography.

Deploy encryption to the SQL Server Network Connections.

From a command prompt, open SQL Server Configuration Manager by typing "sqlservermanager13.msc", and pressing "ENTER".

Navigate to SQL Server Configuration Manager >> SQL Server Network Configuration. Right-click on Protocols for, where is a placeholder for the SQL Server instance name, and click on "Properties".

In the "Protocols for Properties" dialog box, on the "Certificate" tab, select the DOD certificate from the drop down for the Certificate box, and then click "OK". On the "Flags" tab, in the "ForceEncryption" box, select "Yes", and then click "OK" to close the dialog box. Then Restart the SQL Server service.

In cases where SSL is being used instead of TLS 1.2, use the following guidance for switching to the more secure TLS 1.2.

https://support.microsoft.com/en-us/kb/3135244


Deploy encryption to the SQL Server Network Connections.

From a command prompt, open SQL Server Configuration Manager by typing "sqlservermanager13.msc", and pressing "ENTER".

Navigate to SQL Server Configuration Manager >> SQL Server Network Configuration. Right-click on Protocols for, where is a placeholder for the SQL Server instance name, and click on "Properties".

In the "Protocols for Properties" dialog box, on the "Certificate" tab, select the DOD certificate from the drop down for the Certificate box, and then click "OK". On the "Flags" tab, in the "ForceEncryption" box, select "Yes", and then click "OK" to close the dialog box. Then Restart the SQL Server service.

In cases where SSL is being used instead of TLS 1.2, use the following guidance for switching to the more secure TLS 1.2.

https://support.microsoft.com/en-us/kb/3135244

For clustered instances install the certificate after setting “Force Encryption” to “Yes” in SQL Server Configuration Manger.

1. Navigate to the certificate store where the FQDN certificate is stored, by typing "certlm.msc" and pressing "ENTER".

2. On the “Properties” page for the certificate, go to the “Details” tab and copy the “thumbprint” value of the certificate to a “Notepad” window.

3. Remove the spaces between the hex characters in the “thumbprint” value in Notepad.

4. Start regedit, navigate to the following registry key, and copy the value from step 2: HKLM\SOFTWARE\Microsoft\Microsoft SQL Server\<instance>\MSSQLServer\SuperSocketNetLib\Certificate

5. If the SQL virtual server is currently on this node, failover to another node in your cluster, and then reboot the node where the registry change occurred.

6. Repeat this procedure on all the nodes.

See the following for more information: https://support.microsoft.com/en-us/help/316898/how-to-enable-ssl-encryption-for-an-instance-of-sql-server-by-using-mi
V-79197 No Change
Findings ID: SQL6-D0-008400 Rule ID: SV-93903r1_rule Severity: low CCI: CCI-000186

Discussion

The DoD standard for authentication is DoD-approved PKI certificates. PKI certificate-based authentication is performed by requiring the certificate holder to cryptographically prove possession of the corresponding private key.

If the private key is stolen, an attacker can use the private key(s) to impersonate the certificate holder. In cases where SQL Server-stored private keys are used to authenticate SQL Server to the system’s clients, loss of the corresponding private keys would allow an attacker to successfully perform undetected man in the middle attacks against SQL Server system and its clients.

Both the holder of a digital certificate and the issuing authority must take careful measures to protect the corresponding private key. Private keys should always be generated and protected in FIPS 140-2 validated cryptographic modules.

All access to the private key(s) of SQL Server must be restricted to authorized and authenticated users. If unauthorized users have access to one or more of SQL Server's private keys, an attacker could gain access to the key(s) and use them to impersonate the database on the network or otherwise perform unauthorized actions.

Checks

Review system configuration to determine whether FIPS 140-2 support has been enabled.

Start >> Control Panel >> Administrative Tools >> Local Security Policy >> Local Policies >> Security Options

Ensure that "System cryptography: Use FIPS-compliant algorithms for encryption, hashing, and signing" is enabled.

If "System cryptography: Use FIPS-compliant algorithms for encryption, hashing, and signing" is not enabled, this is a finding.

For more information, see https://support.microsoft.com/en-us/kb/3141890.

Fix

Enable use of FIPS 140-2 compliant algorithms.

Start >> Control Panel >> Administrative Tools >> Local Security Policy >> Local Policies >> Security Options

Double-click "System cryptography: Use FIPS-compliant algorithms for encryption, hashing, and signing."

Click Enabled >> Apply.
V-79199 No Change
Findings ID: SQL6-D0-008700 Rule ID: SV-93905r1_rule Severity: medium 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.

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

NSA Type- (where =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.

https://support.microsoft.com/en-us/kb/955720

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-79201 No Change
Findings ID: SQL6-D0-008800 Rule ID: SV-93907r1_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 must 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.

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, other organizations, and the Nation.

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.

Execute the following query to obtain a list of logins on the SQL Server and ensure all accounts are uniquely identifiable:

SELECT name, type_desc FROM sys.server_principals WHERE type in ('S','U')

If accounts are determined to be shared, determine if individuals are first individually authenticated. Where an application connects to SQL Server using a standard, shared account, ensure that it also captures the individual user identification and passes it to SQL Server.

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

Ensure all logins are uniquely identifiable 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. Verify server documentation to ensure accounts are documented and unique.
V-79203 No Change
Findings ID: SQL6-D0-009200 Rule ID: SV-93909r1_rule Severity: medium CCI: CCI-001188

Discussion

One class of man-in-the-middle, or session hijacking, attack involves the adversary guessing at valid session identifiers based on patterns in identifiers already known.

The preferred technique for thwarting guesses at Session IDs is the generation of unique session identifiers using a FIPS 140-2 approved random number generator.

However, it is recognized that available DBMS products do not all implement the preferred technique yet may have other protections against session hijacking. Therefore, other techniques are acceptable, provided they are demonstrated to be effective.

Checks

Verify that Windows is configured to require the use of FIPS compliant algorithms.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing."

If the Security Setting for this option is "Disabled", this is a finding.

Fix

Configure Windows to require the use of FIPS compliant algorithms.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing." >> Change the Setting option to "Enabled" >> Restart Windows
V-79205 No Change
Findings ID: SQL6-D0-009500 Rule ID: SV-93911r1_rule Severity: high CCI: CCI-001199

Discussion

This control is intended to address the confidentiality and integrity of information at rest in non-mobile devices and covers user information and system information. Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system. Applications and application users generate information throughout the course of their application use.

User data generated, as well as application-specific configuration data, needs to be protected. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate.

If the confidentiality and integrity of SQL Server data is not protected, the data will be open to compromise and unauthorized modification.

Checks

Review system documentation to determine whether the system handles classified information. If the system does not handle classified information, the severity of this check should be downgraded to Category II.

If the application owner and Authorizing Official have determined that encryption of data at rest is required, ensure the data on secondary devices is encrypted.

If full-disk encryption is being used, this is not a finding.

If data encryption is required, ensure the data is encrypted before being put on the secondary device by executing:

SELECT
d.name AS [Database Name],
CASE e.encryption_state
WHEN 0 THEN 'No database encryption key present, no encryption'
WHEN 1 THEN 'Unencrypted'
WHEN 2 THEN 'Encryption in progress'
WHEN 3 THEN 'Encrypted'
WHEN 4 THEN 'Key change in progress'
WHEN 5 THEN 'Decryption in progress'
WHEN 6 THEN 'Protection change in progress'
END AS [Encryption State]
FROM sys.dm_database_encryption_keys e
RIGHT JOIN sys.databases d ON DB_NAME(e.database_id) = d.name
WHERE d.name NOT IN ('master','model','msdb')
ORDER BY [Database Name] ;

For each user database where encryption is required, verify that encryption is in effect. If not, this is a finding.

Verify that there are physical security measures, operating system access control lists and organizational controls appropriate to the sensitivity level of the data in the database(s). If not, this is a finding.

Fix

Apply appropriate controls to protect the confidentiality and integrity of data on a secondary device. Where encryption is required, this can be done by full-disk encryption or by database encryption.

To enable database encryption, create a master key, create a database encryption key, and protect it by using mechanisms tied to the master key, and then set encryption on.

Implement physical security measures, operating system access control lists and organizational controls appropriate to the sensitivity level of the data in the database(s).
V-79207 No Change
Findings ID: SQL6-D0-009600 Rule ID: SV-93913r1_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. Creating this backup should be one of the first administrative actions performed on the server. Not having this key can lead to loss of data during recovery.

Checks

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

If the procedures or evidence does 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-79209 No Change
Findings ID: SQL6-D0-009700 Rule ID: SV-93915r1_rule Severity: medium CCI: CCI-001199

Discussion

Backup and recovery of the 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

If the application owner and Authorizing Official have determined that encryption of data at rest is not required, this is not a finding.

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

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

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

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

Fix

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

BACKUP 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-79211 No Change
Findings ID: SQL6-D0-009800 Rule ID: SV-93917r1_rule Severity: medium CCI: CCI-001090

Discussion

The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after the resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse.

Checks

Review system documentation to determine if Common Criteria Compliance is not required due to potential impact on system performance.

SQL Server Residual Information Protection (RIP) requires a memory allocation to be overwritten with a known pattern of bits before memory is reallocated to a new resource. Meeting the RIP standard can contribute to improved security; however, overwriting the memory allocation can slow performance. After the common criteria compliance enabled option is enabled, the overwriting occurs.

Review the Instance configuration:

SELECT name, value_in_use FROM sys.configurations
WHERE name = 'common criteria compliance enabled'
and value_in_use = 0

If no records are returned and an exception is not defined in the system documentation, this is a finding.

NOTE: Enabling this feature may impact performance on highly active SQL Server instances. If enabling this feature impacts performance, this setting may be disabled and the category reduced to a CAT III finding.

Fix

Configure SQL Server to effectively protect the private resources of one process or user from unauthorized access by another user or process.

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'common criteria compliance enabled', 1;
GO
RECONFIGURE
GO
V-79213 Updated
Findings ID: SQL6-D0-009900 Rule ID: SV-93919r12_rule Severity: medium CCI: CCI-001090

Discussion

The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after the resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse.

Checks

Review the system documentation to determine if Instant File Initialization (IFI) is required.


If IFI is documented as required, this is not a finding.



Review system configuration to determine whether I
nstant File InitializationFI support has been enabled (by default in SQL Server 2016).


Start >> Control Panel >> Administrative Tools >> Local Security Policy >> Local Policies >>
Security Options
User Rights Assignment

If the SQL Service SID (Default instance: NT SERVICE\MSSQLSERVER. Named instance: NT SERVICE\MSSQL$InstanceName) has been granted "Perform volume maintenance tasks" Local Rights Assignment and
if it is not documented in the system documentation, this is a finding.

Fix

If IFI is not documented as being required, disable instant file initialization for the instance of SQL Server by removing the SQL Service SID and/or service account from the "Perform volume maintenance tasks" Local Rights Assignment.
V-79215 No Change
Findings ID: SQL6-D0-010000 Rule ID: SV-93921r2_rule Severity: medium CCI: CCI-001090

Discussion

SQL Server must prevent unauthorized and unintended information transfer via shared system resources. Permitting only SQL Server 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 log files, and database backup files.

To obtain the location of SQL Server data, transaction log, and backup files, open and execute the supplemental file "Get SQL Data and Backup Directories.sql".

For each of the directories returned by the above script, verify whether the correct permissions have been applied.

1) Launch Windows Explorer.
2) Navigate to the folder.
3) Right-click the folder and click "Properties".
4) Navigate to the "Security" tab.
5) Review the listing of principals and permissions.

Account Type Directory Type Permission
-----------------------------------------------------------------------------------------------
Database Administrators ALL Full Control
SQL Server Service SID Data; Log; Backup; Full Control
SQL Server Agent Service SID Backup Full Control
SYSTEM ALL Full Control
CREATOR OWNER ALL Full Control

For information on how to determine a "Service SID", go to:
https://aka.ms/sql-service-sids

Additional permission requirements, including full directory permissions and operating system rights for SQL Server, are documented at:
https://aka.ms/sqlservicepermissions

If any additional permissions are granted but not documented as authorized, this is a finding.

Fix

Remove any unauthorized permission grants from SQL Server data, log, and backup directories.

1) On the "Security" tab, highlight the user entry.
2) Click "Remove".
V-79217 No Change
Findings ID: SQL6-D0-010100 Rule ID: SV-93923r2_rule Severity: medium CCI: CCI-001314

Discussion

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

Some default DBMS error messages can contain information that could aid an attacker in, among others things, identifying the database type, host address, or state of the database. Custom errors may contain sensitive customer information.

It is important that detailed error messages be visible only to those who are authorized to view them; that general users receive only generalized acknowledgment that errors have occurred; and that these generalized messages appear only when relevant to the user's task. For example, a message along the lines of, "An error has occurred. Unable to save your changes. If this problem persists, please contact your help desk." would be relevant. A message such as "Warning: your transaction generated a large number of page splits" would likely not be relevant. "ABGQ is not a valid widget code." would be appropriate; but "The INSERT statement conflicted with the FOREIGN KEY constraint "WidgetTransactionFK". The conflict occurred in database "DB7", table "dbo.WidgetMaster", column 'WidgetCode'" would not, as it reveals too much about the database structure.

Checks

Error messages within applications, custom database code (stored procedures, triggers) must be enforced by guidelines and code reviews practices.

SQL Server generates certain system events and user-defined events to the SQL Server error log. The SQL Server error log can be viewed using SQL Server Management Studio GUI. All users granted the security admin or sysadmin level of permission are able to view the logs. Review the users returned in the following script:

USE master
GO
SELECT Name
FROM syslogins
WHERE (sysadmin = 1 or securityadmin = 1)
and hasaccess = 1;

If any non-authorized users have access to the SQL Server Error Log located at Program Files\Microsoft SQL Server\MSSQL.n\MSSQL\LOG, this is a finding.

In addition, the SQL Server Error Log is also located at Program Files\Microsoft SQL Server\MSSQL.n\MSSQL\LOG\. Review the permissions on this folder to ensure that only authorized users are listed.

If any non-authorized users have access to the SQL Server Error Log in SQL Server Management Studio, this is a finding.

Fix

Configure audit logging, tracing and/or custom code in the database or application to record detailed error messages generated by SQL Server, for review by authorized personnel.

If any non-authorized users have access to the SQL Server Error Log in SQL Server Management Studio. Use the REVOKE or DENY commands to remove them from the security admin or sysadmin roles.

If any non-authorized users have access to the SQL Server Error Log located at Program Files\Microsoft SQL Server\MSSQL.n\MSSQL\LOG, remove their permissions.

Consider enabling trace flag 3625 to mask certain system-level error information returned to non-administrative users.

Launch SQL Server Configuration Manager >> Click SQL Services >> Open the instance properties >> Click the Service Parameters tab >> Enter "-T3625" >> Click Add >> Click OK >> Restart SQL instance.
V-79219 No Change
Findings ID: SQL6-D0-010400 Rule ID: SV-93925r1_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 SQL Server/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 an SQL environment, 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 capabilities of SQL Server and 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 server-level securables and built-in role membership to ensure only authorized users have privileged access and the ability to create server-level objects and grant permissions to themselves or others.

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

Review the permissions in place on the server. If the actual permissions do not match the documented requirements, this is a finding.

Get all permission assignments to logins and roles:

SELECT DISTINCT
CASE
WHEN SP.class_desc IS NOT NULL THEN
CASE
WHEN SP.class_desc = 'SERVER' AND S.is_linked = 0 THEN 'SERVER'
WHEN SP.class_desc = 'SERVER' AND S.is_linked = 1 THEN 'SERVER (linked)'
ELSE SP.class_desc
END
WHEN E.name IS NOT NULL THEN 'ENDPOINT'
WHEN S.name IS NOT NULL AND S.is_linked = 0 THEN 'SERVER'
WHEN S.name IS NOT NULL AND S.is_linked = 1 THEN 'SERVER (linked)'
WHEN P.name IS NOT NULL THEN 'SERVER_PRINCIPAL'
ELSE '???'
END AS [Securable Class],
CASE
WHEN E.name IS NOT NULL THEN E.name
WHEN S.name IS NOT NULL THEN S.name
WHEN P.name IS NOT NULL THEN P.name
ELSE '???'
END AS [Securable],
P1.name AS [Grantee],
P1.type_desc AS [Grantee Type],
sp.permission_name AS [Permission],
sp.state_desc AS [State],
P2.name AS [Grantor],
P2.type_desc AS [Grantor Type]
FROM
sys.server_permissions SP
INNER JOIN sys.server_principals P1
ON P1.principal_id = SP.grantee_principal_id
INNER JOIN sys.server_principals P2
ON P2.principal_id = SP.grantor_principal_id

FULL OUTER JOIN sys.servers S
ON SP.class_desc = 'SERVER'
AND S.server_id = SP.major_id

FULL OUTER JOIN sys.endpoints E
ON SP.class_desc = 'ENDPOINT'
AND E.endpoint_id = SP.major_id

FULL OUTER JOIN sys.server_principals P
ON SP.class_desc = 'SERVER_PRINCIPAL'
AND P.principal_id = SP.major_id

Get all server role memberships:

SELECT
R.name AS [Role],
M.name AS [Member]
FROM
sys.server_role_members X
INNER JOIN sys.server_principals R ON R.principal_id = X.role_principal_id
INNER JOIN sys.server_principals M ON M.principal_id = X.member_principal_id

The CONTROL SERVER permission is similar but not identical to the sysadmin fixed server role. Permissions do not imply role memberships and role memberships do not grant permissions. (e.g., CONTROL SERVER does not imply membership in the sysadmin fixed server role.)

Ensure only the documented and approved logins have privileged functions in SQL Server.

If the current configuration does not match the documented baseline, this is a finding.

Fix

Restrict the granting of permissions to server-level securables to only those authorized. Most notably, members of sysadmin and securityadmin built-in instance-level roles, CONTROL SERVER permission, and use of the GRANT with GRANT permission.
V-79221 No Change
Findings ID: SQL6-D0-010500 Rule ID: SV-93927r1_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.

Checks

Review the server documentation to obtain a listing of accounts used for executing external processes. Execute the following query to obtain a listing of accounts currently configured for use by external processes.

SELECT C.name AS credential_name, C.credential_identity
FROM sys.credentials C
GO

SELECT P.name AS proxy_name, C.name AS credential_name, C.credential_identity
FROM sys.credentials C
JOIN msdb.dbo.sysproxies P ON C.credential_id = P.credential_id
WHERE P.enabled = 1
GO

If any Credentials or SQL Agent Proxy accounts are returned that are not documented and authorized, this is a finding.

Fix

Remove any SQL Agent Proxy accounts and credentials that are not authorized.

DROP CREDENTIAL <Credential Name>
GO

USE [msdb]
EXEC sp_delete_proxy @proxy_name = '<Proxy Name>'
GO
V-79223 No Change
Findings ID: SQL6-D0-010700 Rule ID: SV-93929r1_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 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.

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 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 are written directly to or systematically transferred to a centralized log management system.
V-79225 No Change
Findings ID: SQL6-D0-010800 Rule ID: SV-93931r1_rule Severity: medium CCI: CCI-001844

Discussion

If the configuration of SQL Server's auditing is spread across multiple locations in the database management software, or across multiple commands, only loosely related, it is harder to use and takes longer to reconfigure in response to events.

SQL Server must provide a unified tool for audit configuration.

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-79227 No Change
Findings ID: SQL6-D0-010900 Rule ID: SV-93933r1_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.

The task of allocating audit record storage capacity is usually performed during initial installation of SQL Server and is closely associated with the DBA and system administrator roles. The DBA or system administrator will usually coordinate the allocation of physical drive space with the application owner/installer and the application will prompt the installer to provide the capacity information, the physical location of the disk, or both.

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 SQL Server's ability to reuse the space formerly occupied by off-loaded records.

Checks

Check the server documentation for the SQL Audit file size configurations. Locate the Audit file path and drive.

SELECT max_file_size, max_rollover_files, log_file_path AS "Audit Path"
FROM sys.server_file_audits

Calculate the space needed as the maximum file size and number of files from the SQL Audit File properties.

If the calculated product of the "max_file_size" times the "max_rollover_files" exceeds the size of the storage location or if "max_file_size" or "max_rollover_files" are set to "0" (UNLIMITED), this is a finding.

Fix

Review the SQL Audit file location, ensure the destination has enough space available to accommodate the maximum total size of all files that could be written.

Configure the maximum number of audit log files that are to be generated, staying within the number of logs the system was sized to support.

Update the "max_files" parameter of the audits to ensure the correct number of files is defined.
V-79229 No Change
Findings ID: SQL6-D0-011000 Rule ID: SV-93935r1_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 server for SQL Server 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.

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

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

Monitoring of free space can be accomplished using Microsoft System Center or a third-party monitoring tool.

Checks

The operating system and SQL Server offer a number of methods for checking the drive or volume free space. Locate the destination drive where SQL Audits are stored and review system configuration.

If no alert exist to notify support staff in the event the SQL Audit drive reaches 75%, this is a finding.

Fix

Utilize operating system alerting mechanisms, SQL Agent, Operations Management tools, and/or third-party tools to configure the system to notify appropriate support staff immediately upon storage volume utilization reaching 75%.
V-79231 No Change
Findings ID: SQL6-D0-011100 Rule ID: SV-93937r1_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.

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). Alerts can be generated using tools like the SQL Server Agent Alerts and Database Mail.

Checks

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

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

Fix

Configure the system to provide immediate real-time alerts to appropriate support staff when a specified audit event failures occurs.
V-79233 No Change
Findings ID: SQL6-D0-011200 Rule ID: SV-93939r1_rule Severity: medium CCI: CCI-001890

Discussion

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

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

Checks

SQL Server audits store the timestamp in UTC time.

Determine if the computer is joined to a domain.

SELECT DEFAULT_DOMAIN()[DomainName]

If this is not NULL, this is not a finding.

If the computer is not joined to a domain, determine what the time source is. (Run the following command in an elevated PowerShell session.)

w32tm /query /source

If the results of the command return "Local CMOS Clock" and 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-79235 No Change
Findings ID: SQL6-D0-011400 Rule ID: SV-93941r1_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, only qualified and authorized individuals should be allowed to obtain access to system components for the purposes of initiating changes, including upgrades and modifications.

Checks

Obtain a list of logins who have privileged permissions and role memberships in SQL.

Execute the following query to obtain a list of logins and roles and their respective permissions assignment:

SELECT p.name AS Principal,
p.type_desc AS Type,
sp.permission_name AS Permission,
sp.state_desc AS State
FROM sys.server_principals p
INNER JOIN sys.server_permissions sp ON p.principal_id = sp.grantee_principal_id
WHERE sp.permission_name = 'CONTROL SERVER'
OR sp.state = 'W'

Execute the following query to obtain a list of logins and their role memberships.

SELECT m.name AS Member,
m.type_desc AS Type,
r.name AS Role
FROM sys.server_principals m
INNER JOIN sys.server_role_members rm ON m.principal_id = rm.member_principal_id
INNER JOIN sys.server_principals r ON rm.role_principal_id = r.principal_id
WHERE r.name IN ('sysadmin','securityadmin','serveradmin')

Check the server documentation to verify the logins and roles returned are authorized. If the logins and/or roles are not documented and authorized, this is a finding.

Fix

Revoke unauthorized permissions from principals.

https://msdn.microsoft.com/en-us/library/ms186308.aspx

Remove unauthorized logins from roles.

ALTER SERVER ROLE DROP MEMBER login;

https://technet.microsoft.com/en-us/library/ee677634.aspx
V-79237 No Change
Findings ID: SQL6-D0-011500 Rule ID: SV-93943r1_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, only qualified and authorized individuals should be allowed to obtain access to system components for the purposes of initiating changes, including upgrades and modifications.

Checks

Obtain a list of users who have privileged access to the server via the local Administrators group.

Launch lusrmgr.msc
Select Groups
Double-click Administrators

Alternatively, execute the following command in PowerShell:

net localgroup administrators

Check the server documentation to verify the users returned are authorized.

If the users are not documented and authorized, this is a finding.

Fix

Remove users from the local Administrators group who are not authorized.
V-79239 Updated
Findings ID: SQL6-D0-011800 Rule ID: SV-93945r12_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.

Checks

Determine if an audit is configured to capture denied actions and started by executing the following query:


SELECT name AS 'Audit Name',

status_desc AS 'Audit Status',

audit_file_path AS 'Current Audit File'

FROM sys.dm_server_audit_status



If no records are returned, this is a finding.



Execute the following query to verify the following events are included in the server audit specification:



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_OWNERSHIP_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



SELECT a.name AS 'AuditName',

s.name AS 'SpecName',

d.audit_action_name AS 'ActionName',

d.audited_result AS 'Result'

FROM sys.server_audit_specifications s

JOIN sys.server_audits a ON s.audit_guid = a.audit_guid

JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id

WHERE a.is_state_enabled = 1

AND d.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_OWNERSHIP_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

'DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'DATABASE_PRINCIPAL_IMPERSONATION
_GROUP',
'
SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP',
'SERVER_OBJECT_CHANGE
DATABASE_ROLE_MEMBER_CHANGE_GROUP',
'DBCC
_GROUP',
'
SERVER_OBJECT_OWNERSHIP_CHANGELOGIN_CHANGE_PASSWORD_GROUP',
'S
ERVER_OBJECT_PERMISSIONCHEMA_OBJECT_CHANGE_GROUP',
'S
ERVER_OPERATION_GROUP',
'SERVER_PERMISSION
CHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP',
'S
ERVER_PRINCIPAL_IMPERSONATION_GROUP',
'SERVER_ROLE_MEMBER_CHANGE_GROUP',
'SERVER_STATE
CHEMA_OBJECT_PERMISSION_CHANGE_GROUP'
)
,

If the identified groups are not returned, this is a finding.

Fix

Add the required events to the server audit specification to audit denied actions.
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (APPLICATION_ROLE_CHANGE_PASSWORD_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (AUDIT_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (BACKUP_RESTORE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_ACCESS_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OWNERSHIP_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OPERATION_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OWNERSHIP_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PERMISSION_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_IMPERSONATION_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DBCC_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (LOGIN_CHANGE_PASSWORD_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OPERATION_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PERMISSION_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PRINCIPAL_IMPERSONATION_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_STATE_CHANGE_GROUP );
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (TRACE_CHANGE_GROUP );
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79241 No Change
Findings ID: SQL6-D0-011900 Rule ID: SV-93947r1_rule Severity: medium CCI: CCI-001762

Discussion

Use of nonsecure network functions, ports, protocols, and services exposes the system to avoidable threats.

Checks

SQL Server must only use approved network communication libraries, ports, and protocols.

Obtain a list of all approved network libraries, communication ports, and protocols from the server documentation.

Verify that the protocols are enabled for the instance.

If any ports or protocols are used that are not specifically approved in the server documentation, this is a finding.

Fix

Assign the approved TCP/IP port number to the SQL Server Database Engine.
1. In SQL Server Configuration Manager, in the console pane, expand SQL Server Network Configuration, expand Protocols for <instance name>, and then double-click "TCP/IP".
2. In the "TCP/IP Properties" dialog box, on the "IP Addresses" tab, several IP addresses appear in the format IP1, IP2, up to IPAll. One of these is for the IP address of the loopback adapter, 127.0.0.1. Additional IP addresses appear for each IP Address on the computer. (You will probably see both IP version 4 and IP version 6 addresses.) Right-click each address, and then click "Properties" to identify the IP address that you want to configure.
3. If the "TCP Dynamic Ports" dialog box contains "0", indicating the Database Engine is listening on dynamic ports, delete the "0".
4. In the "IPn Properties area" box, in the "TCP Port" box, type the port number you want this IP address to listen on, and then click "OK".
5. In the console pane, click "SQL Server Services".
6. In the details pane, right-click "SQL Server (<instance name>)" and then click "Restart", to stop and restart SQL Server.

To disable a server network protocol for an instance:
1. In SQL Server Configuration Manager, in the console pane, expand SQL Server Network Configuration.
2. In the console pane, click "Protocols" for <instance name>.
3. In the details pane, right-click the protocol you want to change, and then click "Enable" or "Disable".
4. In the console pane, click "SQL Server Services".
5. In the details pane, right-click "SQL Server (<instance name>)", and then click "Restart", to stop and restart the SQL Server service.
V-79243 No Change
Findings ID: SQL6-D0-012300 Rule ID: SV-93949r1_rule Severity: medium CCI: CCI-002530

Discussion

Database management systems can maintain separate execution domains for each executing process by assigning each process a separate address space.

Each process has a distinct address space so that communication between processes is controlled through the security functions, and one process cannot modify the executing code of another process.

Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces.

Checks

Review the server documentation to determine whether use of CLR assemblies is required. Run the following query to determine whether CLR is enabled for the instance:

SELECT name, value, value_in_use
FROM sys.configurations
WHERE name = 'clr enabled'

If "value_in_use" is a "1" and CLR is not required, this is a finding.

Fix

Disable CLR support in SQL Server by executing the following query:

EXEC sp_configure 'clr enabled', 0
GO

RECONFIGURE
GO
V-79245 No Change
Findings ID: SQL6-D0-012400 Rule ID: SV-93951r1_rule Severity: medium CCI: CCI-002530

Discussion

Database management systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each process has a distinct address space so that communication between processes is controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces.

Checks

Review the server documentation to obtain a listing of required service accounts. Review the accounts configured for all SQL Server services installed on the server.

Click Start >> Type "SQL Server Configuration Manager" >> Launch the program >> Click SQL Server Services tree node. Review the "Log On As" column for each service.

If any services are configured with the same service account or are configured with an account that is not documented and authorized, this is a finding.

Fix

Configure SQL Server services to have a documented, dedicated account.

For non-domain servers, consider using virtual service accounts (VSA). See https://msdn.microsoft.com/en-us/library/ms143504.aspx#VA_Desc for more information.

For standalone, domain-joined servers, consider using managed service accounts. See https://msdn.microsoft.com/en-us/library/ms143504.aspx#MSA for more information.

For clustered instances, consider using group managed service accounts. See https://msdn.microsoft.com/en-us/library/ms143504.aspx#GMSA or https://blogs.msdn.microsoft.com/markweberblog/2016/05/25/group-managed-service-accounts-gmsa-and-sql-server-2016/ for more information.
V-79247 No Change
Findings ID: SQL6-D0-012700 Rule ID: SV-93953r1_rule Severity: medium CCI: CCI-002617

Discussion

Previous versions of DBMS components that are not removed from the information system after updates have been installed may be exploited by adversaries.

Some DBMSs' installation tools may remove older versions of software automatically from the information system. In other cases, manual review and removal will be required. In planning installations and upgrades, organizations must include steps (automated, manual, or both) to identify and remove the outdated modules.

A transition period may be necessary when both the old and the new software are required. This should be taken into account in the planning.

Checks

From the server documentation, obtain a listing of required components.

Generate a listing of components installed on the server.

Click Start >> Type "SQL Server 2016 Installation Center" >> Launch the program >> Click Tools >> Click "Installed SQL Server features discovery report"

Compare the feature listing against the required components listing. If any features are installed, but are not required, this is a finding.

Fix

Remove all features that are not required.
V-79249 No Change
Findings ID: SQL6-D0-012800 Rule ID: SV-93955r1_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).

This requirement will apply to software patch management solutions that are used to install patches across the enclave and also to applications themselves that are not part of that patch management solution. For example, many browsers today provide the capability to install their own patch software. 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.

SQL Server 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. To be considered supported, Microsoft must report that the version is supported by security patches to known vulnerability. Review the Support dates at: https://support.microsoft.com/en-us/lifecycle?C2=1044

Check the SQL Server Version by running the following script: Print @@version

If the SQL Server version is not shown as supported, this is a finding.

If such evidence cannot be obtained, or the evidence that is obtained indicates a pattern of noncompliance, this is a finding.

Fix

Upgrade SQL Server to the Microsoft-supported version. Institute and adhere to policies and procedures to ensure that patches are consistently applied to SQL Server within the time allowed.
V-79251 No Change
Findings ID: SQL6-D0-012900 Rule ID: SV-93957r2_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 specialized security functionality.

In an SQL environment, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the SCHEMA_OBJECT_ACCESS_GROUP is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit the retrieval of privilege/permission/role membership information. See the supplemental file "SQL 2016 Audit.sql".
V-79253 No Change
Findings ID: SQL6-D0-013000 Rule ID: SV-93959r1_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 specialized security functionality.

In an SQL environment, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

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

Checks

Review the system documentation to determine if SQL Server is required to audit the retrieval of privilege/permission/role membership information.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_statu

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the SCHEMA_OBJECT_ACCESS_GROUP is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit the retrieval of privilege/permission/role membership information. See the supplemental file "SQL 2016 Audit.sql".
V-79255 Updated
Findings ID: SQL6-D0-013100 Rule ID: SV-93961r12_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categorized information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are retrieved.


If this is not required, this is not a finding.



If the documentation does not exist, this is a finding.



Determine if an audit is configured and started by executing the following query.



SELECT name AS 'Audit Name',


status_desc AS 'Audit Status',

audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_stat
s
us

If no records are returned, this is a finding.


If the


If
auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.


SELECT a.name AS 'AuditName',


s.name AS 'SpecName',

d.audit_action_name AS 'ActionName',

d.audited_result AS 'Result'
FROM sys.server_audit_specifications s

JOIN sys.server_audits a ON s.audit_guid = a.audit_guid

JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id

WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'



If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are retrieved. See the supplemental file "SQL 2016 Audit.sql".
V-79257 No Change
Findings ID: SQL6-D0-013200 Rule ID: SV-93963r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categorized information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

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

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are unsuccessfully retrieved.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are unsuccessfully retrieved. See the supplemental file "SQL 2016 Audit.sql".
V-79259 Updated
Findings ID: SQL6-D0-013300 Rule ID: SV-93965r12_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 an SQL environment, adding permissions is typically done via the GRANT command, or, in the negative, the DENY command.

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79261 Updated
Findings ID: SQL6-D0-013400 Rule ID: SV-93967r12_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 an SQL environment, adding permissions is typically done via the GRANT command, or, in the negative, the DENY command.

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

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79263 Updated
Findings ID: SQL6-D0-013500 Rule ID: SV-93969r12_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 an SQL environment, modifying permissions is typically done via the GRANT, REVOKE, and DENY commands.

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79265 Updated
Findings ID: SQL6-D0-013600 Rule ID: SV-93971r12_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 an SQL environment, modifying permissions is typically done via the GRANT, REVOKE, and DENY commands.

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

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79267 No Change
Findings ID: SQL6-D0-013700 Rule ID: SV-93973r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in the database objects (tables, views, procedures, functions) that record and control permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized changes to the security subsystem could go undetected. The database could be severely compromised or rendered inoperative.

Checks

Determine if an audit is configured and started by executing the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "SCHEMA_OBJECT_CHANGE_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_CHANGE_GROUP'

If the "SCHEMA_OBJECT_CHANGE_GROUP" is not returned in an active audit, this is a finding.

Fix

Add the "SCHEMA_OBJECT_CHANGE_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79269 Updated
Findings ID: SQL6-D0-013800 Rule ID: SV-93975r12_rule Severity: medium CCI: CCI-000172

Discussion

Changes in the database objects (tables, views, procedures, functions) that record and control permissions, privileges, and roles granted to users and roles must be tracked. Without an audit trail, unauthorized changes to the security subsystem could go undetected. The database could be severely compromised or rendered inoperative.

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

Checks

Determine if an audit is configured and started by executing the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "SCHEMA_OBJECT_CHANGE_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_CHANGE_GROUP'

If the "SCHEMA_OBJECT_CHANGE_GROUP" is not returned in an active audit, this is a finding.

Fix

Add the "SCHEMA_OBJECT_CHANGE_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO

See supplemental script "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".
V-79271 No Change
Findings ID: SQL6-D0-013900 Rule ID: SV-93977r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categorized information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are modified.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are modified. See the supplemental file "SQL 2016 Audit.sql".
V-79273 No Change
Findings ID: SQL6-D0-014000 Rule ID: SV-93979r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categories of information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

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

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are unsuccessfully modified.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are unsuccessfully modified. See the supplemental file "SQL 2016 Audit.sql".
V-79275 Updated
Findings ID: SQL6-D0-014100 Rule ID: SV-93981r12_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 an SQL environment, deleting permissions is typically done via the REVOKE or DENY command.

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79277 Updated
Findings ID: SQL6-D0-014200 Rule ID: SV-93983r12_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 an SQL environment, deleting permissions is typically done via the REVOKE or DENY command.

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

Checks

Check the SQL Server Audit being used for the STIG compliant audit.

If the following events are not included, this is a finding.

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

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx

Fix

Add the following events to the SQL Server Audit that is being used for the STIG compliant audit.

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

See the supplemental file "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql".

Reference:
https://msdn.microsoft.com/en-us/library/cc280663.aspx
V-79279 Updated
Findings ID: SQL6-D0-014300 Rule ID: SV-93985r12_rule Severity: medium CCI: CCI-000172

Discussion

The removal of security objects from the database/DBMS would seriously degrade a system's information assurance posture. If such an event occurs, it must be logged.

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "SCHEMA_OBJECT_CHANGE_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_CHANGE_GROUP'

If the "SCHEMA_OBJECT_CHANGE_GROUP" is not returned in an active audit, this is a finding.

Fix

Add the "SCHEMA_OBJECT_CHANGE_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO

See the supplemental script "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql" for complete script.
V-79281 Updated
Findings ID: SQL6-D0-014400 Rule ID: SV-93987r12_rule Severity: medium CCI: CCI-000172

Discussion

The removal of security objects from the database/DBMS would seriously degrade a system's information assurance posture. If such an action is attempted, it must be logged.

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

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "SCHEMA_OBJECT_CHANGE_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_CHANGE_GROUP'

If the "SCHEMA_OBJECT_CHANGE_GROUP" is not returned in an active audit, this is a finding.

Fix

Add the "SCHEMA_OBJECT_CHANGE_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO

See the supplemental script "S
RG SQL Server Audit DefinitionQL 2016 Audit.sql" for complete script.
V-79283 No Change
Findings ID: SQL6-D0-014500 Rule ID: SV-93989r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categorized information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are deleted.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are deleted. See the supplemental file "SQL 2016 Audit.sql".
V-79285 No Change
Findings ID: SQL6-D0-014600 Rule ID: SV-93991r1_rule Severity: medium CCI: CCI-000172

Discussion

Changes in categorized information must be tracked. Without an audit trail, unauthorized access to protected data could go undetected.

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

For detailed information on categorizing information, refer to FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems.

Checks

Review the system documentation to determine if SQL Server is required to audit when data classifications are unsuccessfully deleted.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when data classifications are unsuccessfully deleted. See the supplemental file "SQL 2016 Audit.sql".
V-79287 No Change
Findings ID: SQL6-D0-014700 Rule ID: SV-93993r1_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.

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

Execute the following query to verify the SUCCESSFUL_LOGIN_GROUP is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SUCCESSFUL_LOGIN_GROUP'

If the "SUCCESSFUL_LOGIN_GROUP" is returned in an active audit, this is not a finding.

If "SUCCESSFUL_LOGIN_GROUP" is not in the active audit, determine whether "Both failed and successful logins" is enabled.

In SQL Management Studio
Right-click on the instance
>> Select "Properties"
>> Select "Security" on the left hand side
>> Check the setting for "Login auditing"

If "Both failed and successful logins" is not selected, this is a finding.

Fix

Add the "SUCCESSFUL_LOGIN_GROUP" to the server audit specification.
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SUCCESSFUL_LOGIN_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO

Alternatively, enable "Both failed and successful logins"
In SQL Management Studio
Right-click on the instance
>> Select "Properties"
>> Select "Security" on the left hand side
>> Select "Both failed and successful logins"
>> Click "OK"
V-79289 No Change
Findings ID: SQL6-D0-014800 Rule ID: SV-93995r1_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.

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "FAILED_LOGIN_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'FAILED_LOGIN_GROUP'

If the "FAILED_LOGIN_GROUP" is not returned in an active audit, this is a finding.

Fix

Add the "FAILED_LOGIN_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (FAILED_LOGIN_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79291 No Change
Findings ID: SQL6-D0-014900 Rule ID: SV-93997r2_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. In an SQL environment, 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 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.

Depending on the capabilities of SQL Server and the design of the database and associated applications, audit logging may be achieved by means of DBMS auditing features, database triggers, other mechanisms, or a combination of these.

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.

Checks

Determine if an audit is configured and started by executing the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the following events are included in the server audit specification:

APPLICATION_ROLE_CHANGE_PASSWORD_GROUP
AUDIT_CHANGE_GROUP
BACKUP_RESTORE_GROUP
DATABASE_CHANGE_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_CHANGE_GROUP
SERVER_PRINCIPAL_IMPERSONATION_GROUP
SERVER_ROLE_MEMBER_CHANGE_GROUP
SERVER_STATE_CHANGE_GROUP
TRACE_CHANGE_GROUP
USER_CHANGE_PASSWORD_GROUP

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1
AND d.audit_action_name IN ('APPLICATION_ROLE_CHANGE_PASSWORD_GROUP','AUDIT_CHANGE_GROUP','BACKUP_RESTORE_GROUP','DATABASE_CHANGE_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_CHANGE_GROUP','SERVER_PRINCIPAL_IMPERSONATION_GROUP','SERVER_ROLE_MEMBER_CHANGE_GROUP','SERVER_STATE_CHANGE_GROUP','TRACE_CHANGE_GROUP','USER_CHANGE_PASSWORD_GROUP')

If the identified groups are not returned, this is a finding.

Fix

Add the required events to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (APPLICATION_ROLE_CHANGE_PASSWORD_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (AUDIT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (BACKUP_RESTORE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OPERATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_IMPERSONATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DBCC_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (LOGIN_CHANGE_PASSWORD_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OPERATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PRINCIPAL_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PRINCIPAL_IMPERSONATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_STATE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (TRACE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (USER_CHANGE_PASSWORD_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79293 No Change
Findings ID: SQL6-D0-015000 Rule ID: SV-93999r2_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. In an SQL environment, it encompasses, but is not necessarily limited to:
CREATE
ALTER
DROP
GRANT
REVOKE
DENY

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.

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

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the following events are included in the server audit specification:

APPLICATION_ROLE_CHANGE_PASSWORD_GROUP
AUDIT_CHANGE_GROUP
BACKUP_RESTORE_GROUP
DATABASE_CHANGE_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_CHANGE_GROUP
SERVER_PRINCIPAL_IMPERSONATION_GROUP
SERVER_ROLE_MEMBER_CHANGE_GROUP
SERVER_STATE_CHANGE_GROUP
TRACE_CHANGE_GROUP
USER_CHANGE_PASSWORD_GROUP

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1
AND d.audit_action_name IN ('APPLICATION_ROLE_CHANGE_PASSWORD_GROUP','AUDIT_CHANGE_GROUP','BACKUP_RESTORE_GROUP','DATABASE_CHANGE_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_CHANGE_GROUP','SERVER_PRINCIPAL_IMPERSONATION_GROUP','SERVER_ROLE_MEMBER_CHANGE_GROUP','SERVER_STATE_CHANGE_GROUP','TRACE_CHANGE_GROUP','USER_CHANGE_PASSWORD_GROUP')

If the identified groups are not returned, this is a finding.

Fix

Add the required events to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (APPLICATION_ROLE_CHANGE_PASSWORD_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (AUDIT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (BACKUP_RESTORE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OPERATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_PRINCIPAL_IMPERSONATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DATABASE_ROLE_MEMBER_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (DBCC_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (LOGIN_CHANGE_PASSWORD_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SCHEMA_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_OWNERSHIP_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OBJECT_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_OPERATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PERMISSION_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PRINCIPAL_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_PRINCIPAL_IMPERSONATION_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_ROLE_MEMBER_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SERVER_STATE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (TRACE_CHANGE_GROUP);
ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (USER_CHANGE_PASSWORD_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79295 No Change
Findings ID: SQL6-D0-015100 Rule ID: SV-94001r2_rule Severity: medium CCI: CCI-000172

Discussion

For completeness of forensic analysis, it is necessary to know how long a user's (or other principal's) connection to SQL Server lasts. This can be achieved by recording disconnections, in addition to logons/connections, in the audit logs.

Disconnection may be initiated by the user or forced by the system (as in a timeout) or result from a system or network failure. To the greatest extent possible, all disconnections must be logged.

Checks

Determine if an audit is configured and started by executing the following query:

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the following events are included in the server audit specification:

APPLICATION_ROLE_CHANGE_PASSWORD_GROUP
AUDIT_CHANGE_GROUP
BACKUP_RESTORE_GROUP
DATABASE_CHANGE_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_CHANGE_GROUP
SERVER_PRINCIPAL_IMPERSONATION_GROUP
SERVER_ROLE_MEMBER_CHANGE_GROUP
SERVER_STATE_CHANGE_GROUP
TRACE_CHANGE_GROUP
USER_CHANGE_PASSWORD_GROUP

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1
AND d.audit_action_name IN ('APPLICATION_ROLE_CHANGE_PASSWORD_GROUP','AUDIT_CHANGE_GROUP','BACKUP_RESTORE_GROUP','DATABASE_CHANGE_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_CHANGE_GROUP','SERVER_PRINCIPAL_IMPERSONATION_GROUP','SERVER_ROLE_MEMBER_CHANGE_GROUP','SERVER_STATE_CHANGE_GROUP','TRACE_CHANGE_GROUP','USER_CHANGE_PASSWORD_GROUP')

If the identified groups are not returned, this is a finding.

Fix

Add the "LOGOUT_GROUP" to the server audit specification
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (LOGOUT_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO
V-79297 No Change
Findings ID: SQL6-D0-015200 Rule ID: SV-94003r1_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.)

Checks

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

Execute the following query to verify the "SUCCESSFUL_LOGIN_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SUCCESSFUL_LOGIN_GROUP'

If the "SUCCESSFUL_LOGIN_GROUP" is returned in an active audit, this is not a finding.

If "SUCCESSFUL_LOGIN_GROUP" is not in the active audit, determine whether "Both failed and successful logins" is enabled.

In SQL Management Studio:
Right-click on the instance >> Select "Properties" >> Select "Security" on the left hand side >> Check the setting for "Login auditing"

If "Both failed and successful logins" is not selected, this is a finding.

Fix

Add the "SUCCESSFUL_LOGIN_GROUP" to the server audit specification.
USE [master];
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = OFF);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION ADD (SUCCESSFUL_LOGIN_GROUP);
GO

ALTER SERVER AUDIT SPECIFICATION STIG_AUDIT_SERVER_SPECIFICATION WITH (STATE = ON);
GO

Alternatively, enable "Both failed and successful logins"
In SQL Management Studio:
Right-click on the instance >> Select "Properties" >> Select "Security" on the left hand side >> Select "Both failed and successful logins" >> Click "OK"
V-79299 No Change
Findings ID: SQL6-D0-015300 Rule ID: SV-94005r1_rule Severity: medium CCI: CCI-000172

Discussion

Without tracking all or selected types of access to all or selected objects (tables, views, procedures, functions, etc.), it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one.

In an SQL environment, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

Checks

Review the system documentation to determine if SQL Server is required to audit when successful accesses to objects occur.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when successful accesses to objects occur. See the supplemental file "SQL 2016 Audit.sql".
V-79301 No Change
Findings ID: SQL6-D0-015400 Rule ID: SV-94007r1_rule Severity: medium CCI: CCI-000172

Discussion

Without tracking all or selected types of access to all or selected objects (tables, views, procedures, functions, etc.), it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one.

In an SQL environment, types of access include, but are not necessarily limited to:
SELECT
INSERT
UPDATE
DELETE
EXECUTE

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

Checks

Review the system documentation to determine if SQL Server is required to audit when unsuccessful accesses to objects occur.

If this is not required, this is not a finding.

If the documentation does not exist, this is a finding.

Determine if an audit is configured and started by executing the following query.

SELECT name AS 'Audit Name',
status_desc AS 'Audit Status',
audit_file_path AS 'Current Audit File'
FROM sys.dm_server_audit_status

If no records are returned, this is a finding.

If the auditing the retrieval of privilege/permission/role membership information is required, execute the following query to verify the "SCHEMA_OBJECT_ACCESS_GROUP" is included in the server audit specification.

SELECT a.name AS 'AuditName',
s.name AS 'SpecName',
d.audit_action_name AS 'ActionName',
d.audited_result AS 'Result'
FROM sys.server_audit_specifications s
JOIN sys.server_audits a ON s.audit_guid = a.audit_guid
JOIN sys.server_audit_specification_details d ON s.server_specification_id = d.server_specification_id
WHERE a.is_state_enabled = 1 AND d.audit_action_name = 'SCHEMA_OBJECT_ACCESS_GROUP'

If the "SCHEMA_OBJECT_ACCESS_GROUP" is not returned in an active audit, this is a finding.

Fix

Deploy an audit to audit when unsuccessful accesses to objects occur. See the supplemental file "SQL 2016 Audit.sql".
V-79303 No Change
Findings ID: SQL6-D0-015500 Rule ID: SV-94009r1_rule Severity: medium CCI: CCI-000172

Discussion

In this context, direct access is any query, command, or call to SQL Server that comes from any source other than the application(s) that it supports. Examples would be the command line or a database management utility program. The intent is to capture all activity from administrative and non-standard sources.

Checks

Determine whether any Server Audits are configured to filter records. From SQL Server Management Studio execute the following query:

SELECT name AS AuditName, predicate AS AuditFilter
FROM sys.server_audits
WHERE predicate IS NOT NULL

If any audits are returned, review the associated filters to determine whether administrative activities are being excluded.

If any audits are configured to exclude administrative activities, this is a finding.

Fix

Check the system documentation for required SQL Server Audits. Remove any Audit filters that exclude or reduce required auditing. Update filters to ensure administrative activity is not excluded.
V-79305 No Change
Findings ID: SQL6-D0-015600 Rule ID: SV-94011r1_rule Severity: high CCI: CCI-002450

Discussion

Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards approved by the federal government since this provides assurance they have been tested and validated.

For detailed information, refer to NIST FIPS Publication 140-2, Security Requirements For Cryptographic Modules. Note that the product's cryptographic modules must be validated and certified by NIST as FIPS-compliant.

Checks

Verify that Windows is configured to require the use of FIPS compliant algorithms.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing."

If the Security Setting for this option 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."
V-79307 No Change
Findings ID: SQL6-D0-015700 Rule ID: SV-94013r1_rule Severity: high CCI: CCI-002450

Discussion

Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards approved by the federal government since this provides assurance they have been tested and validated.

For detailed information, refer to NIST FIPS Publication 140-2, Security Requirements For Cryptographic Modules. Note that the product's cryptographic modules must be validated and certified by NIST as FIPS-compliant.

Checks

Verify that Windows is configured to require the use of FIPS 140-2 algorithms.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing."

If "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing" is not enabled, this is a finding.

Fix

Configure Windows to require the use of FIPS compliant algorithms.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing." >> Change the Setting option to "Enabled" >> Restart Windows
V-79309 No Change
Findings ID: SQL6-D0-015800 Rule ID: SV-94015r1_rule Severity: medium CCI: CCI-002450

Discussion

Use of weak or untested encryption algorithms undermines the purposes of utilizing encryption to protect data. The application must implement cryptographic modules adhering to the higher standards approved by the federal government since this provides assurance they have been tested and validated.

It is the responsibility of the data owner to assess the cryptography requirements in light of applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

For detailed information, refer to NIST FIPS Publication 140-2, Security Requirements For Cryptographic Modules. Note that the product's cryptographic modules must be validated and certified by NIST as FIPS-compliant.

Checks

Review the server documentation, if this system does not contain data that must be encrypted, this finding is NA.

Verify that Windows is configured to require the use of FIPS 140-2 algorithms for the unclassified information that requires it.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing."

If "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing" is not enabled, this is a finding.

Fix

Configure Windows to require the use of FIPS compliant algorithms for the unclassified information that requires it.

Click Start >> Type "Local Security Policy" >> Press Enter >> Expand "Local Policies" >> Select "Security Options" >> Locate "System Cryptography: Use FIPS compliant algorithms for encryption, hashing, and signing." >> Change the Setting option to "Enabled" >> Restart Windows
V-79311 No Change
Findings ID: SQL6-D0-015900 Rule ID: SV-94017r1_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 system SQL Server 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.

Checks

Review the system documentation for a description of how audit records are off-loaded.

If the system has a continuous network connection to the centralized log management system, but the DBMS audit records are not written directly to the centralized log management system or transferred in near-real-time, this is a finding.

If the system does not have a continuous network connection to the centralized log management system, and the DBMS audit records are not transferred to the centralized log management system weekly or more often, this is a finding.

Fix

Configure the system or 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-79313 No Change
Findings ID: SQL6-D0-016000 Rule ID: SV-94019r1_rule Severity: medium CCI: CCI-000366

Discussion

By default, Microsoft SQL Server enables participation in the customer experience improvement program (CEIP). This program collects information about how its customers are using the product. Specifically, SQL Server collects information about the installation experience, feature usage, and performance. This information helps Microsoft improve the product to better meet customer needs.

Checks

Launch "Registry Editor"

Navigate to HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\[InstanceId]\CPE
Review the following values: CustomerFeedback, EnableErrorReporting

Navigate to HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\130
Review the following values: CustomerFeedback, EnableErrorReporting

If this is a classified system, and any of the above values are not zero (0), this is a finding.

If this is an unclassified system, review the server documentation to determine whether CEIP participation is authorized.

If CEIP participation is not authorized, and any of the above values are one (1), this is a finding.

Fix

To disable participation in the CEIP program, change the value of the following registry keys to zero (0).

To enable participation in the CEIP program, change the value of the following registry keys to one (1).

HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\[InstanceId]\CPE\CustomerFeedback
HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\[InstanceId]\CPE\EnableErrorReporting
HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\130\CustomerFeedback
HKEY_LOCAL_MACHINE\Software\Microsoft\Microsoft SQL Server\130\EnableErrorReporting
V-79315 No Change
Findings ID: SQL6-D0-016100 Rule ID: SV-94021r1_rule Severity: medium CCI: CCI-000366

Discussion

By default, Microsoft SQL Server enables participation in the customer experience improvement program (CEIP). This program collects information about how its customers are using the product. Specifically, SQL Server collects information about the installation experience, feature usage, and performance. This information helps Microsoft improve the product to better meet customer needs. The Local Audit component of SQL Server Usage Feedback collection writes data collected by the service to a designated folder, representing the data (logs) that will be sent to Microsoft. The purpose of the Local Audit is to allow customers to see all data Microsoft collects with this feature, for compliance, regulatory or privacy validation reasons.

Checks

Review the server documentation to determine if auditing of the telemetry data is required. If auditing of telemetry data is not required, this is not a finding.

If auditing of telemetry data is required, determine the telemetry service user name by executing the following query:

SELECT name
FROM sys.server_principals
WHERE name LIKE '%SQLTELEMETRY%'

Review the values of the following registry key:
Note: InstanceId refers to the type and instance of the feature. (e.g., MSSQL13.SqlInstance, MSAS13.SSASInstance, MSRS13.SSRSInstance)

HKEY_LOCAL_MACHINE\SOFTWARE\Microsoft\Microsoft SQL Server\[InstanceId]\CPE\UserRequestedLocalAuditDirectory

If the registry key do not exist or the value is blank, this is a finding.

Navigate the path defined in the "UserRequestedLocalAuditDirectory" registry key in file explorer.

Right-click on the folder and choose "Properties".
Open the "Security" tab.

Verify the SQLTELEMETRY account has the following permissions:

- List folder contents
- Read
- Write

If the permissions are not set properly on the folder, this is a finding.

Open services.msc and find the telemetry service.
- For Database Engine, use SQL Server CEIP service (<INSTANCENAME>).
- For Analysis Services, use SQL Server Analysis Services CEIP (<INSTANCENAME>).

Right-click on the service and choose "Properties". Verify the "Startup type" is "Automatic."

If the service is not configured to automatically start, this is a finding.

Review the processes and procedures for reviewing the telemetry data. If there is evidence that the telemetry data is periodically reviewed in accordance with the processes and procedures, this is not a finding.

If no processes and procedures exist for reviewing telemetry data, this is a finding.

Fix

Configure the instance to audit telemetry data. More information about auditing telemetry data can be found at https://msdn.microsoft.com/en-us/library/mt743085.aspx.

Create a folder to store the telemetry audit data in.

Grant the SQLTELEMETRY service the following permissions on the folder:

- List folder contents
- Read
- Write

Create and configure the following registry key:
Note: InstanceId refers to the type and instance of the feature. (e.g., MSSQL13.SqlInstance, MSAS13.SSASInstance, MSRS13.SSRSInstance)

HKEY_LOCAL_MACHINE\SOFTWARE\Microsoft\Microsoft SQL Server\[InstanceId]\CPE\UserRequestedLocalAuditDirectory [string]

Set the "UserRequestedLocalAuditDirectory" key value to the path of the telemetry audit folder.

Set the telemetry service to start automatically. Restart the service.
- For Database Engine, use SQL Server CEIP service (<INSTANCENAME>).
- For Analysis Services, use SQL Server Analysis Services CEIP (<INSTANCENAME>).
V-79317 Updated
Findings ID: SQL6-D0-016200 Rule ID: SV-94023r12_rule Severity: medium CCI: CCI-000213

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
11, this is a finding.

Fix

Modify the enabled flag of SQL Server's [sa] (system administrator) account by running the following script.
USE master;
GO
ALTER LOGIN [sa] DISABLE;
GO
V-79319 No Change
Findings ID: SQL6-D0-016300 Rule ID: SV-94025r1_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 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-79321 No Change
Findings ID: SQL6-D0-016400 Rule ID: SV-94027r1_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.

When 'Scan for startup procs' is enabled, SQL Server scans for and runs all automatically run stored procedures defined on the server. The execution of start-up stored procedures will be done under a high privileged context, therefore it is a commonly used post-exploitation vector.

Checks

Review the system documentation to obtain a listing of documented stored procedures used by SQL Server during start up. Execute the following query:

Select [name] as StoredProc
From sys.procedures
Where OBJECTPROPERTY(OBJECT_ID, 'ExecIsStartup') = 1

If any stored procedures are returned that are not documented, this is a finding.

Fix

To disable start up stored procedure(s), run the following in Master for each undocumented procedure:

sp_procoption @procname = '<procedure name>', @OptionName = 'Startup', @optionValue = 'Off'
V-79323 No Change
Findings ID: SQL6-D0-016500 Rule ID: SV-94029r1_rule Severity: medium CCI: CCI-000366

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.

SQL Mirroring endpoints support different encryption algorithms, including no-encryption. Using a weak encryption algorithm or plaintext in communication protocols can lead to data loss, data manipulation and/or connection hijacking.

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, and the requirement is documented and authorized, this is not a finding.

If Database Mirroring is in use, run the following to check for encrypted transmissions:  

SELECT name, type_desc, encryption_algorithm_desc
FROM sys.database_mirroring_endpoints
WHERE encryption_algorithm != 2

If any records are returned, this is a finding.

Fix

Run the following to enable encryption on the mirroring endpoint:

ALTER ENDPOINT <Endpoint Name>
FOR DATABASE_MIRRORING
(ENCRYPTION = REQUIRED ALGORITHM AES)
V-79325 No Change
Findings ID: SQL6-D0-016600 Rule ID: SV-94031r1_rule Severity: medium CCI: CCI-000366

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.

SQL Server Service Broker endpoints support different encryption algorithms, including no-encryption. Using a weak encryption algorithm or plaintext in communication protocols can lead to data loss, data manipulation and/or connection hijacking.

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, and the requirement is documented and authorized, this is not a finding.

If SQL Service Broker is in use, run the following to check for encrypted transmissions:  

SELECT name, type_desc, encryption_algorithm_desc
FROM sys.service_broker_endpoints
WHERE encryption_algorithm != 2

If any records are returned, this is a finding.

Fix

Run the following to enable encryption on the Service Broker endpoint:

ALTER ENDPOINT <EndpointName>
FOR SERVICE_BROKER
(ENCRYPTION = REQUIRED ALGORITHM AES)
V-79327 No Change
Findings ID: SQL6-D0-016700 Rule ID: SV-94033r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

The registry contains sensitive information, including password hashes as well as clear text passwords. Registry extended stored procedures allow Microsoft SQL Server to access the machine's registry. The sensitivity of these procedures are exacerbated if Microsoft SQL Server is run under the Windows account LocalSystem. LocalSystem can read and write nearly all values in the registry, even those not accessible by the Administrator. Unlike the xp_cmdshell extended stored procedure, which runs under a separate context if executed by a login not in the sysadmin role, the registry extended stored procedures always execute under the security context of the MSSQLServer service. Because the sensitive information is stored in the registry, it is essential that access to that information be properly guarded.

Checks

Registry extended stored procedures allow Microsoft SQL Server to read, write, and enumerate values and keys in the registry. They are used by Enterprise Manager to configure the server. This rule checks that the permissions to execute registry extended stored procedures have been revoked from all users (other than dbo).

SELECT OBJECT_NAME(major_id) AS [Stored Procedure]
,dpr.NAME AS [Principal]
FROM sys.database_permissions AS dp
INNER JOIN sys.database_principals AS dpr ON dp.grantee_principal_id = dpr.principal_id
WHERE major_id IN (
 OBJECT_ID('xp_regaddmultistring')
 ,OBJECT_ID('xp_regdeletekey')
 ,OBJECT_ID('xp_regdeletevalue')
 ,OBJECT_ID('xp_regenumvalues')
 ,OBJECT_ID('xp_regenumkeys')
 ,OBJECT_ID('xp_regread')
 ,OBJECT_ID('xp_regremovemultistring')
 ,OBJECT_ID('xp_regwrite')
 ,OBJECT_ID('xp_instance_regaddmultistring')
 ,OBJECT_ID('xp_instance_regdeletekey')
 ,OBJECT_ID('xp_instance_regdeletevalue')
 ,OBJECT_ID('xp_instance_regenumkeys')
 ,OBJECT_ID('xp_instance_regenumvalues')
 ,OBJECT_ID('xp_instance_regread')
 ,OBJECT_ID('xp_instance_regremovemultistring')
 ,OBJECT_ID('xp_instance_regwrite')
 )
AND dp.[type] = 'EX'
ORDER BY dpr.NAME;

If any records are returned, review the system documentation to determine whether the accessing of the registry via  extended stored procedures are required and authorized. If it is not authorized, this is a finding.

Fix

Remove execute permissions to any registry extended stored procedure from all users (other than dbo).

USE master
GO
REVOKE EXECUTE ON [xp_regread] FROM public
GO
V-79329 Updated
Findings ID: SQL6-D0-016800 Rule ID: SV-94035r12_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.

The most significant potential for attacking an instance is through the use of features that expose an external interface or ad hoc execution capability. FILESTREAM integrates the SQL Server Database Engine with an NTFS file system by storing varbinary(max) binary large object (BLOB) data as files on the file system. Transact-SQL statements can insert, update, query, search, and back up FILESTREAM data.

Checks

Review the system documentation to see if FileStream is in use.  If in use authorized, this is not a finding.  

If File
Sstream is not documented as beingrequired and authorized, execute the following query.

DECLARE @EnableLevel INT
EXEC master.dbo.Xp_instance_regread
 N'HKEY_LOCAL_MACHINE',
 N'Software\Microsoft\MSSQLServer\MSSQLServer\Filestream',
 N'EnableLevel',
 @EnableLevel output
SELECT CASE
        WHEN @EnableLevel = 0 THEN 'No'
  ELSE 'Yes'
      END AS FileStreamEnabled;

If the above query returns "Yes" in the "FileStreamEnabled" f
:

EXEC sp_configure 'filestream access level'

If "run_value"EieDglea
rr" iSelz"ro
ield, this is a finding.

This rule checks t
hat Filestream SQL speciific option is disabled.

SELECT
CASE
 
A     WHEN EXISTS (SELECT *
                     FROM sys.configurations
                     WHERE Name = 'filestream access level'
E            FROMs                    WHERE Nae
                       
    AND Cast(value AS INT)END AS TSQLFileStreamAccess;

If the above query returns "Yes" in the "FileStreamEnabled" field, this is a finding.

Fix

Disable the use of Filestream.

1. Delete all FILESTREAM columns from all tables. ALTER TABLE <name> DROP COLUMN <column name>
2. Disassociate tables from the FILESTREAM filegroups. ALTER TABLE <name> SET (FILESTREAM_ON = 'NULL'
3. Remove all FILESTREAM data containers. ALTER DATABASE <name> REMOVE FILE <file name>
4. Remove all FILESTREAM filegroups. ALTER DATABASE <name> REMOVE FILEGROUP <file name>.
5. Disable FILESTREAM.
EXEC sp_configure filestream_access_level, 0
RECONFIGURE
6. Restart the SQL Service
V-79333 No Change
Findings ID: SQL6-D0-017000 Rule ID: SV-94039r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The Ole Automation Procedures option controls whether OLE Automation objects can be instantiated within Transact-SQL batches. These are extended stored procedures that allow SQL Server users to execute functions external to SQL Server in the security context of SQL Server.

The Ole Automation Procedures 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 "Ole Automation Procedures" option is enabled, execute the following query:

EXEC SP_CONFIGURE 'show advanced options', '1';
RECONFIGURE WITH OVERRIDE;
EXEC SP_CONFIGURE 'Ole Automation Procedures';

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Ole Automation Procedures" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Ole Automation Procedures" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'Ole Automation Procedures', 0;
GO
RECONFIGURE;
GO
V-79335 No Change
Findings ID: SQL6-D0-017100 Rule ID: SV-94041r1_rule Severity: medium CCI: CCI-000381

Discussion

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The user options option specifies global defaults for all users. A list of default query processing options is established for the duration of a user's work session. The user options option allows you to change the default values of the SET options (if the server's default settings are not appropriate).

Checks

To determine if "User Options" option is enabled, execute the following query:

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

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "user options" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "User Options" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'user options', 0;
GO
RECONFIGURE;
GO
V-79337 No Change
Findings ID: SQL6-D0-017200 Rule ID: SV-94043r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The Remote Access option controls the execution of local stored procedures on remote servers or remote stored procedures on local server.  'Remote access' functionality can be abused to launch a Denial-of-Service (DoS) attack on remote servers by off-loading query processing to a target.

Checks

To determine if "Remote Access" option is enabled, execute the following query:

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

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Remote Access" is required (linked servers) and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Remote Access" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'remote access', 0;
GO
RECONFIGURE;
GO
V-79341 No Change
Findings ID: SQL6-D0-017400 Rule ID: SV-94047r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The Hadoop Connectivity feature allows multiple types of external data sources to be created and used across all sessions on the server.  An exploit to the SQL Server instance could result in a compromise of the host system and external SQL Server resources.

Checks

To determine if "Hadoop Connectivity" option is enabled, execute the following query:

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

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Hadoop Connectivity" option is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Hadoop Connectivity" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'hadoop connectivity', 0;
GO
RECONFIGURE;
GO
V-79343 No Change
Findings ID: SQL6-D0-017500 Rule ID: SV-94049r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The Allow Polybase Export feature allows an export of data to an external data source such as Hadoop File System or Azure Data Lake. An exploit to the SQL Server instance could result in a compromise of the host system and external SQL Server resources.

Checks

To determine if "Allow Polybase Export" option is enabled, execute the following query:

EXEC SP_CONFIGURE 'show advanced options', '1';
RECONFIGURE WITH OVERRIDE;
EXEC SP_CONFIGURE 'allow polybase export';

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Allow Polybase Export" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Allow Polybase Export" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'allow polybase export', 0;
GO
RECONFIGURE;
GO
V-79345 No Change
Findings ID: SQL6-D0-017600 Rule ID: SV-94051r1_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.

SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system.

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The Remote Data Archive feature allows an export of local SQL Server data to an Azure SQL Database. An exploit to the SQL Server instance could result in a compromise of the host system and external SQL Server resources.

Checks

To determine if "Remote Data Archive" option is enabled, execute the following query:

EXEC SP_CONFIGURE 'show advanced options', '1';
RECONFIGURE WITH OVERRIDE;
EXEC SP_CONFIGURE 'remote data archive';

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Remote Data Archive" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Remote Data Archive" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'remote data archive', 0;
GO
RECONFIGURE;
GO
V-79347 No Change
Findings ID: SQL6-D0-017700 Rule ID: SV-94053r1_rule Severity: medium CCI: CCI-000381

Discussion

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

The External Scripts Enabled feature allows scripts external to SQL such as files located in an R library to be executed.

Checks

To determine if "External Scripts Enabled" option is enabled, execute the following query:

EXEC SP_CONFIGURE 'show advanced options', '1';
RECONFIGURE WITH OVERRIDE;
EXEC SP_CONFIGURE 'external scripts enabled';

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "External Scripts Enabled" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "External Scripts Enabled" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'external scripts enabled', 0;
GO
RECONFIGURE;
GO
V-79349 No Change
Findings ID: SQL6-D0-017800 Rule ID: SV-94055r1_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. SQL Server uses the SQL Server Browser service to enumerate instances of the Database Engine installed on the computer. This enables client applications to browse for a server, and helps clients distinguish between multiple instances of the Database Engine on the same computer.

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.  It calls for administrators and management to consider whether the benefits of its use outweigh the potential negative consequences of it being used by an attacker to browse the current infrastructure and retrieve a list of running SQL Server instances.

Checks

If the need for the SQL Server Browser service is documented and authorized, 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 authorization.

Where SQL Server Browser is judged unnecessary, the Service can be disabled.

To disable, in the Services tool, double-click "SQL Server Browser". Set "Startup Type" to "Disabled". If "Service Status" is "Running", click on "Stop". Click on "OK".
V-79351 No Change
Findings ID: SQL6-D0-017900 Rule ID: SV-94057r1_rule Severity: medium CCI: CCI-000381

Discussion

SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system.

Enabling the replication XPs opens a significant attack surface area that can be used by an attacker to gather information about the system and potentially abuse the privileges of SQL Server.

Checks

To determine if the "Replication Xps" option is enabled, execute the following query:

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

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

If the value of "config_value" is "1", review the system documentation to determine whether the use of "Replication Xps" is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Replication Xps" option, from the query prompt: 

sp_configure 'show advanced options', 1;
GO
RECONFIGURE;
GO
sp_configure 'replication xps', 0;
GO
RECONFIGURE;
GO
V-79353 No Change
Findings ID: SQL6-D0-018000 Rule ID: SV-94059r1_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. SQL Server uses the SQL Server Browser service to enumerate instances of the Database Engine installed on the computer. This enables client applications to browse for a server, and helps clients distinguish between multiple instances of the Database Engine on the same computer.

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.  It calls for administrators and management to consider whether the benefits of its use outweigh the potential negative consequences of it being used by an attacker to browse the current infrastructure and retrieve a list of running SQL Server instances. In order to prevent this, the SQL instance(s) can be hidden.

Checks

If the need for the SQL Server Browser service is documented and authorized, check to make sure the SQL Instances are hidden with the following query.

DECLARE @HiddenInstance INT
EXEC master.dbo.Xp_instance_regread
 N'HKEY_LOCAL_MACHINE',
 N'Software\Microsoft\MSSQLServer\MSSQLServer\SuperSocketNetLib',
 N'HideInstance',
 @HiddenInstance output

SELECT CASE
        WHEN @HiddenInstance = 0
             AND Serverproperty('IsClustered') = 0 THEN 'No'
        ELSE 'Yes'
      END AS [Hidden]

If the value of "Hidden" is "Yes", this is not a finding.

If the value of "Hidden" is "No" and the startup type of the "SQL Server Browser" service is not "Disabled", this is a finding.

Fix

If SQL Server Browser is needed, document the justification and obtain the appropriate authorization.

To hide the SQL instance, in SQL Server Configuration Manager, expand SQL Server Network Configuration, right-click Protocols for <server instance>, select "Properties", on the "Flags" tab, select "Yes" in the "HideInstance" box, then click "OK".  The change takes effect immediately for new connections.
V-79355 No Change
Findings ID: SQL6-D0-018100 Rule ID: SV-94061r1_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-79357 No Change
Findings ID: SQL6-D0-018200 Rule ID: SV-94063r1_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.

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-79331 Removed
Findings ID: SQL6-D0-016900 Rule ID: SV-94037r1_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. There are two settings governing Filestream option, one in the registry (OS level) and one in SQL Server configuration. There is a separation of security concerns between the Windows and database administrators, and the same access level set for the Windows service needs to be set for the SQL Server instance.

Checks

Review the system documentation to see if FileStream is in use.  If the use of Filestream is documented and authorized, execute the following query. DECLARE @EnableLevel INT; EXEC master.dbo.Xp_instance_regread  N'HKEY_LOCAL_MACHINE',  N'Software\Microsoft\MSSQLServer\MSSQLServer\Filestream',  N'EnableLevel',  @EnableLevel output; DECLARE @SqlSetting INT; SELECT @SqlSetting = CONVERT(INT, value) FROM   sys.configurations WHERE  NAME = 'filestream access level'; SELECT CASE WHEN @SqlSetting = @EnableLevel THEN 'No' ELSE 'Yes' END AS [RegistrySettingsAreDifferent] If the "RegistrySettingsAreDifferent" field returns a "Yes", this is a finding.

Fix

Review and adjust the FileStream permissions for the Windows service to match those of the SQL Server instance.
V-79339 Removed
Findings ID: SQL6-D0-017300 Rule ID: SV-94045r1_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. SQL Server may spawn additional external processes to execute procedures that are defined in the SQL Server 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 SQL Server and provide unauthorized access to the host system. SQL Server is capable of providing a wide range of features and services. Some of the features and services, provided by default, may not be necessary, and enabling them could adversely affect the security of the system. The SMO and DMO XPs are management object extended stored procedures that provide highly privileged actions that run externally to the DBMS under the security context of the SQL Server service account. If these procedures are available from a database session, an exploit to the SQL Server instance could result in a compromise of the host system and external SQL Server resources.

Checks

To determine if "Smo and Dmo Xps" option is enabled, execute the following query: EXEC SP_CONFIGURE 'show advanced options', '1'; RECONFIGURE WITH OVERRIDE; EXEC SP_CONFIGURE 'Smo and Dmo Xps'; If the value of "config_value" is "0", this is not a finding. If the value of "config_value" is "1", review the system documentation to determine whether the use of "Smo and Dmo Xps" option is required and authorized. If it is not authorized, this is a finding.

Fix

Disable use of or remove any external application executable object definitions that are not authorized. To disable the use of "Smo and Dmo Xps" option, from the query prompt:  sp_configure 'show advanced options', 1; GO RECONFIGURE; GO sp_configure 'Smo and Dmo Xps', 0; GO RECONFIGURE; GO