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Mainframe Product Security Requirements Guide

Version 1 Release 2
2017-07-28
U_Mainframe_Product_SRG_V1R2_Manual-xccdf.xml
This Security Requirements Guide is published as a tool to improve the security of Department of Defense (DoD) information systems. The requirements are derived from the National Institute of Standards and Technology (NIST) 800-53 and related documents. Comments or proposed revisions to this document should be sent via e-mail to the following address: disa.stig_spt@mail.mil.

Vulnerabilities (184)

The Mainframe Product must limit the number of concurrent sessions to three for all accounts and/or account types.

Finding ID
SRG-APP-000001-MFP-000001
Rule ID
SV-82291r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000001-MFP-000001
CCI
CCI-000054
Target Key
(None)
Documentable
No
Discussion

Application management includes the ability to control the number of users and user sessions that utilize an application. Limiting the number of allowed users and sessions per user is helpful in limiting risks related to DoS attacks. This requirement may be met via the application or by using information system session control provided by a web server with specialized session management capabilities. If it has been specified that this requirement will be handled by the application, the capability to limit the maximum number of concurrent single user sessions must be designed and built into the application. This requirement addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts. The maximum number of concurrent sessions should be defined based on mission needs and the operational environment for each system.

Fix Text

Configure the Mainframe Product to limit current sessions to three per account by type of user.

Check Content

If the Mainframe Product has no log on capability, this requirement is not applicable. Examine installation and configuration settings. If concurrent sessions are not limited to three per account by type of user, this is a finding.

The Mainframe Product must conceal, via the session lock, information previously visible on the display with a publicly viewable image.

Finding ID
SRG-APP-000002-MFP-000002
Rule ID
SV-82599r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000002-MFP-000002
CCI
CCI-000060
Target Key
(None)
Documentable
No
Discussion

A session time-out lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system, but does not log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. When the application design specifies the application rather than the operating system will determine when to lock the session, the application session lock event must include an obfuscation of the display screen so as to prevent other users from reading what was previously displayed. Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, a clock, a battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.

Fix Text

Configure the Mainframe Product to conceal previously displayed information at a session lock.

Check Content

If the Mainframe Product has no data screen capability, this requirement is not applicable. Examine configuration parameters to determine whether information previously displayed on the screen is concealed at a session lock. If information is not concealed, this is a finding.

The Mainframe Product must initiate a session lock after a 15-minute period of inactivity.

Finding ID
SRG-APP-000003-MFP-000003
Rule ID
SV-82601r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000003-MFP-000003
CCI
CCI-000057
Target Key
(None)
Documentable
No
Discussion

A session time-out lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system, but does not log out because of the temporary nature of the absence. Rather than relying on the user to manually lock their application session prior to vacating the vicinity, applications need to be able to identify when a user's application session has idled and take action to initiate the session lock. The session lock is implemented at the point where session activity can be determined and/or controlled. This is typically at the operating system-level and results in a system lock, but may be at the application-level where the application interface window is secured instead.

Fix Text

Configure the Mainframe Product to perform a session lock after 15 minutes of inactivity.

Check Content

If the Mainframe Product has no data screen capability, this requirement is not applicable. Examine configuration parameters to determine whether the Mainframe Product performs a session lock after 15 minutes of inactivity. If it does not, this is a finding.

The Mainframe Product must provide the capability for users to directly initiate a session lock.

Finding ID
SRG-APP-000004-MFP-000004
Rule ID
SV-82603r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000004-MFP-000004
CCI
CCI-000058
Target Key
(None)
Documentable
No
Discussion

A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system, but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. Rather than be forced to wait for a period of time to expire before the user session can be locked, applications need to provide users with the ability to manually invoke a session lock so users may secure their application should the need arise for them to temporarily vacate the immediate physical vicinity.

Fix Text

Configure the Mainframe Product user’s attributes to enable ability to initiate a session lock. Verify the external security manager permits it.

Check Content

If the Mainframe Product has no data screen capability, this requirement is not applicable. Determine whether the Mainframe Product allows users to directly initiate a session lock. If it does not this is a finding. Examine the Mainframe Product configuration parameters and user attributes to determine whether user can initiate a session lock. If the parameters are not properly set and/or user is not permitted, this is a finding.

The Mainframe Product must retain the session lock until the user reestablishes access using established identification and authentication procedures.

Finding ID
SRG-APP-000005-MFP-000005
Rule ID
SV-82605r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000005-MFP-000005
CCI
CCI-000056
Target Key
(None)
Documentable
No
Discussion

A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system, but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically determined and performed at the operating system-level, but in some instances it may be at the application-level. Regardless of where the session lock is determined and implemented, once invoked the session lock must remain in place until the user re-authenticates. No other system or application activity aside from re-authentication must unlock the system.

Fix Text

Configure the Mainframe Product setting to retain session locks until user reestablishes access using established identification and authentication procedures.

Check Content

If the Mainframe Product has no data screen capability, this requirement is not applicable. Determine whether the Mainframe Product has the capability to retain the session lock until user reestablishes access using established Identification and authentication procedures. If it does not, this is a finding. Examine configuration settings to determine if sessions locks are held until the user reestablishes access. If they are not properly set, this is a finding.

The Mainframe Product must automatically terminate a user session after conditions, as defined in site security plan, are met or trigger events requiring session disconnect.

Finding ID
SRG-APP-000295-MFP-000006
Rule ID
SV-82607r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000295-MFP-000006
CCI
CCI-002361
Target Key
(None)
Documentable
No
Discussion

Automatic session termination addresses the termination of user-initiated logical sessions in contrast to the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user's logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, and time-of-day restrictions on information system use. This capability is typically reserved for specific application system functionality where the system owner, data owner, or organization requires additional assurance. Based on requirements and events specified by the data or application owner, the application developer must incorporate logic into the application that will provide a control mechanism that disconnects users upon the defined event trigger. The methods for incorporating this requirement will be determined and specified on a case by case basis during the application design and development stages.

Fix Text

Configure the Mainframe Product to automatically terminate a user session after any conditions as defined in site security plan or trigger requiring disconnect.

Check Content

If the Mainframe Product has no data screen capability, this requirement is not applicable. Determine whether the Mainframe Product has capability to terminate user sessions according to conditions as defined in site security plan and triggers. If it cannot, this is a finding. Examine Configuration settings to determine whether the Mainframe Product is configured to automatically terminate sessions. If it is not, this is a finding.

Mainframe Products requiring user access authentication must provide a logoff capability for a user-initiated communication session.

Finding ID
SRG-APP-000296-MFP-000007
Rule ID
SV-82609r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000296-MFP-000007
CCI
CCI-002363
Target Key
(None)
Documentable
No
Discussion

If a user cannot explicitly end an application session, the session may remain open and be exploited by an attacker; this is referred to as a zombie session. Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logoff messages as final messages prior to terminating sessions.

Fix Text

Configure the Mainframe Product settings to provide capability of user-initiated logoff.

Check Content

If the Mainframe Product has no logon capability, this requirement is not applicable. If the Mainframe Product does not provide a logout capability for user initiated communication sessions, this is a finding. Examine the Mainframe Product configuration settings to determine whether a user can logoff. If the configurations are not properly set, this is a finding.

The Mainframe Product must display an explicit logoff message to users indicating the reliable termination of authenticated communications sessions.

Finding ID
SRG-APP-000297-MFP-000008
Rule ID
SV-82611r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000297-MFP-000008
CCI
CCI-002364
Target Key
(None)
Documentable
No
Discussion

If a user cannot explicitly end an application session, the session may remain open and be exploited by an attacker; this is referred to as a zombie session. Users need to be aware of whether or not the session has been terminated. Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logoff messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logoff messages as final messages prior to terminating sessions.

Fix Text

Configure the Mainframe Product to display a specific logoff message.

Check Content

If the Mainframe Product has no logon capability, this requirement is not applicable. Examine the Mainframe Product configuration settings to determine whether the Mainframe Product displays an explicit logoff message. If it does not, this is a finding

The Mainframe Product must associate types of security attributes having security attribute values as defined in site security plan with information in storage.

Finding ID
SRG-APP-000311-MFP-000025
Rule ID
SV-82613r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000311-MFP-000025
CCI
CCI-002262
Target Key
(None)
Documentable
No
Discussion

Without the association of security attributes to information, there is no basis for the application to make security related access-control decisions. Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. One example includes marking data as classified or FOUO. These security attributes may be assigned manually or during data processing but either way, it is imperative these assignments are maintained while the data is in storage. If the security attributes are lost when the data is stored, there is the risk of a data compromise.

Fix Text

Configure the Mainframe Product to associate organization-defined security attributes to managed data sets in storage. Verify the datasets attributes are labeled and/or tagged appropriately.

Check Content

If the Mainframe Product does not perform data management or storage function this is not applicable. Examine installation and configuration settings and / or specific meta-data for security attributes as defined by the organization. If there is no data labeling or tagging, this is a finding.

The Mainframe Product must associate types of security attributes having security attribute values as defined in site security plan with information in process.

Finding ID
SRG-APP-000313-MFP-000026
Rule ID
SV-82615r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000313-MFP-000026
CCI
CCI-002263
Target Key
(None)
Documentable
No
Discussion

Without the association of security attributes to information, there is no basis for the application to make security related access-control decisions. Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. One example includes marking data as classified or FOUO. These security attributes may be assigned manually or during data processing but either way, it is imperative these assignments are maintained while the data is in process. If the security attributes are lost when the data is being processed, there is the risk of a data compromise.

Fix Text

Configure the Mainframe Product to associate organization-defined security attributes to managed data sets in process. Verify the datasets attributes are labeled and/or tagged appropriately.

Check Content

If the Mainframe Product does not perform data management or storage function this is not applicable. Examine installation and configuration settings and / or specific meta-data for individual types of security attributes as defined by the organization. If there is no specific data labeling or tagging, this is a finding.

The Mainframe Product must use an external security manager for all account management functions.

Finding ID
SRG-APP-000023-MFP-000033
Rule ID
SV-82617r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000023-MFP-000033
CCI
CCI-000015
Target Key
(None)
Documentable
No
Discussion

Enterprise environments make application account management challenging and complex. A manual process for account management functions adds the risk of a potential oversight or other error. A comprehensive application account management process that includes automation helps to ensure 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. This requirement applies to all account types, including individual/user, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. The application must be configured to automatically provide account management functions and these functions must immediately enforce the organization's current account policy. The automated mechanisms may reside within the application itself or may be offered by the operating system or other infrastructure providing automated account management capabilities. Automated mechanisms may be comprised of differing technologies that when placed together contain an overall automated mechanism supporting an organization's automated account management requirements. Account management functions 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 automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using automated telephonic notification to report atypical system account usage.

Fix Text

Configure the Mainframe Product to use an external security manager for all account management functions.

Check Content

Examine installation and configuration settings. If the Mainframe Product does not use an external security manager to support all account management functions, this is a finding.

The Mainframe Product must terminate shared/group account credentials when members leave the group.

Finding ID
SRG-APP-000317-MFP-000034
Rule ID
SV-82619r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000317-MFP-000034
CCI
CCI-002142
Target Key
(None)
Documentable
No
Discussion

If shared/group account credentials are not terminated when individuals leave the group, the user that left the group can still gain access even though they are no longer authorized. A shared/group account credential is a shared form of authentication that allows multiple individuals to access the application using a single account. There may also be instances when specific user actions need to be performed on the information system without unique user identification or authentication. Examples of credentials include passwords and group membership certificates.

Fix Text

Configure the Mainframe Product account management settings to terminate shared/group account credentials when members leave the group.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If Shared/group credentials are not terminated when members leave the group, this is a finding.

The Mainframe Product must automatically remove or disable temporary user accounts after 72 hours.

Finding ID
SRG-APP-000024-MFP-000036
Rule ID
SV-82621r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000024-MFP-000036
CCI
CCI-000016
Target Key
(None)
Documentable
No
Discussion

If temporary user accounts remain active when no longer needed or for an excessive period, these accounts may be used to gain unauthorized access. To mitigate this risk, automated termination of all temporary accounts must be set upon account creation. Temporary accounts are established as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. If temporary accounts are used, the application must be configured to automatically terminate these types of accounts after a DoD-defined time period of 72 hours. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access mechanisms meeting or exceeding access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically remove or disable temporary user accounts after 72 hours.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If temporary users are not removed or disabled after 72 hours, this is a finding.

The Mainframe Product must be configured such that emergency accounts are never automatically removed or disabled.

Finding ID
SRG-APP-000234-MFP-000037
Rule ID
SV-82623r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000234-MFP-000037
CCI
CCI-001682
Target Key
(None)
Documentable
No
Discussion

Emergency accounts are administrator accounts which are established in response to crisis situations where the need for rapid account activation is required. Therefore, emergency account activation may bypass normal account authorization processes. If these accounts are automatically disabled, system maintenance during emergencies may not be possible, thus adversely affecting system availability. Emergency accounts are different from infrequently used accounts (i.e., local logon accounts used by system administrators when network or normal logon/access is not available). Infrequently used accounts also remain available and are not subject to automatic termination dates. However, an emergency account is normally a different account which is created for use by vendors or system maintainers. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to never automatically remove or disable emergency accounts. Accounts should be configured to terminate within 72 hours or until crisis has passed.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If emergency accounts are configured to never be automatically removed or disabled, this is not a finding.

The Mainframe Product must automatically disable accounts after 35 days of account inactivity.

Finding ID
SRG-APP-000025-MFP-000038
Rule ID
SV-82625r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000025-MFP-000038
CCI
CCI-000017
Target Key
(None)
Documentable
No
Discussion

Attackers that are able to exploit an inactive account can potentially obtain and maintain undetected access to an application. Owners of inactive accounts will not notice if unauthorized access to their user account has been obtained. Applications need to track periods of user inactivity and disable accounts after 35 days of inactivity. Such a process greatly reduces the risk that accounts will be hijacked, leading to a data compromise. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality. This policy does not apply to either emergency accounts or infrequently used accounts. Infrequently used accounts are security administrator accounts used by system programmers when network or normal logon/access is not available. Emergency accounts are administrator accounts created in response to crisis situations.

Fix Text

Configure the Mainframe Product account management settings to automatically disable accounts after 35 days of account inactivity.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product automatically disables accounts after 35 days of inactivity, this is not a finding.

The Mainframe Product must automatically audit account creation.

Finding ID
SRG-APP-000026-MFP-000039
Rule ID
SV-82627r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000026-MFP-000039
CCI
CCI-000018
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply create a new account. Auditing of account creation is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail documents the creation of application user accounts and, as required, notifies administrators and/or application owners. Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms meeting or exceeding access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically audit account creation.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not automatically audit account creation, this is a finding.

The Mainframe Product must automatically audit account modification.

Finding ID
SRG-APP-000027-MFP-000040
Rule ID
SV-82629r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000027-MFP-000040
CCI
CCI-001403
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply modify an existing account. Auditing of account modification is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail documents the modification of application user accounts and, as required, notifies administrators and/or application owners. Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms meeting or exceeding access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically audit account modification.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not automatically audit account modification, this is a finding.

The Mainframe Product must automatically audit account disabling actions.

Finding ID
SRG-APP-000028-MFP-000041
Rule ID
SV-82631r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000028-MFP-000041
CCI
CCI-001404
Target Key
(None)
Documentable
No
Discussion

When application accounts are disabled, user accessibility is affected. Accounts are used for identifying individual application users or for identifying the application processes themselves. In order to detect and respond to events affecting user accessibility and application processing, applications must audit account disabling actions and, as required, notify the appropriate individuals, so they can investigate the event. Such a capability greatly reduces the risk that application accessibility will be negatively affected for extended periods of time and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/audit mechanisms meeting or exceeding access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically audit account disabling actions.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not automatically audit account disabling actions, this is a finding.

The Mainframe Product must automatically audit account removal actions.

Finding ID
SRG-APP-000029-MFP-000042
Rule ID
SV-82633r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000029-MFP-000042
CCI
CCI-001405
Target Key
(None)
Documentable
No
Discussion

When application accounts are removed, user accessibility is affected. Accounts are used for identifying individual application users or for identifying the application processes themselves. In order to detect and respond to events affecting user accessibility and application processing, applications must audit account removal actions and, as required, notify the appropriate individuals, so they can investigate the event. Such a capability greatly reduces the risk that application accessibility will be negatively affected for extended periods of time and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/audit mechanisms meeting or exceeding access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically audit account removal actions.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not automatically audit account removal actions, this is a finding.

The Mainframe Product must notify system programmers and security administrators when accounts are created.

Finding ID
SRG-APP-000291-MFP-000043
Rule ID
SV-82635r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000291-MFP-000043
CCI
CCI-001683
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply create a new account. Notification of account creation is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies SAs and ISSOs. Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to notify system programmers and security administrators when accounts are created.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not notify system programmers and security administrators when accounts are created, this is a finding.

The Mainframe Product must notify system programmers and security administrators when accounts are modified.

Finding ID
SRG-APP-000292-MFP-000044
Rule ID
SV-82637r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000292-MFP-000044
CCI
CCI-001684
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply modify an existing account. Notification of account modification is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies SAs and ISSOs. Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to notify system programmers and security administrators when accounts are modified.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not notify system programmers and security administrators when accounts are modified, this is a finding.

The Mainframe Product must notify system programmers and security administrators for account disabling actions.

Finding ID
SRG-APP-000293-MFP-000045
Rule ID
SV-82639r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000293-MFP-000045
CCI
CCI-001685
Target Key
(None)
Documentable
No
Discussion

When application accounts are disabled, user accessibility is affected. Accounts are used for identifying individual application users or for identifying the application processes themselves. In order to detect and respond to events that affect user accessibility and application processing, applications must audit account disabling actions and, as required, notify the appropriate individuals so they can investigate the event. Such a capability greatly reduces the risk that application accessibility will be negatively affected for extended periods of time and also provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to notify system programmers and security administrators when there are account disabling actions performed.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not notify System programmers and security administrators of account disabling actions, this is a finding.

The Mainframe Product must notify system programmers and security administrators for account removal actions.

Finding ID
SRG-APP-000294-MFP-000046
Rule ID
SV-82641r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000294-MFP-000046
CCI
CCI-001686
Target Key
(None)
Documentable
No
Discussion

When application accounts are removed, user accessibility is affected. Accounts are used for identifying individual application users or for identifying the application processes themselves. In order to detect and respond to events that affect user accessibility and application processing, applications must audit account removal actions and, as required, notify the appropriate individuals so they can investigate the event. Such a capability greatly reduces the risk that application accessibility will be negatively affected for extended periods of time and also provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to notify system programmers and security administrators when there are account removal actions performed.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not notify system programmers and security administrators of account removal actions, this is a finding.

The Mainframe Product must automatically audit account enabling actions.

Finding ID
SRG-APP-000319-MFP-000047
Rule ID
SV-82643r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000319-MFP-000047
CCI
CCI-002130
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply enable a new or disabled account. Notification of account enabling is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies SAs and ISSOs. Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to automatically audit account enabling actions.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not automatically audit account creation, this is a finding.

The Mainframe Product must notify system programmers and security administrators of account enabling actions.

Finding ID
SRG-APP-000320-MFP-000048
Rule ID
SV-82647r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000320-MFP-000048
CCI
CCI-002132
Target Key
(None)
Documentable
No
Discussion

Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of re-establishing access. One way to accomplish this is for the attacker to simply enable a new or disabled account. Notification of account enabling is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail which documents the creation of application user accounts and notifies SAs and ISSOs. Such a process greatly reduces the risk that accounts will be surreptitiously enabled and provides logging that can be used for forensic purposes. In order to detect and respond to events that affect user accessibility and application processing, applications must audit account enabling actions and, as required, notify the appropriate individuals so they can investigate the event. To address access requirements, many application developers choose to integrate their applications with enterprise-level authentication/access/auditing mechanisms that meet or exceed access control policy requirements. Such integration allows the application developer to off-load those access control functions and focus on core application features and functionality.

Fix Text

Configure the Mainframe Product account management settings to notify system programmers and security administrators of account enabling actions.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine account management settings. If the Mainframe Product does not notify system programmers and security administrators of account enabling actions, this is a finding.

The Mainframe Product must enforce approved authorizations for logical access to sensitive information and system resources in accordance with applicable access control policies.

Finding ID
SRG-APP-000033-MFP-000056
Rule ID
SV-82649r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000033-MFP-000056
CCI
CCI-000213
Target Key
(None)
Documentable
No
Discussion

To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems (e.g., networks, web servers, and web portals) must be properly configured to incorporate access control methods that do not rely solely on the possession of a certificate for access. Successful authentication must not automatically give an entity access to an asset or security boundary. Authorization procedures and controls must be implemented to ensure each authenticated entity also has a validated and current authorization. Authorization is the process of determining whether an entity, once authenticated, is permitted to access a specific asset. 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 (e.g., authentication servers) and other applications that perform information and system access control functions.

Fix Text

Configure the Mainframe Product to enforce role and/or resource access in accordance with applicable access control policies. This can be accomplished using an external security manager. Configure the external security manager to restrict user access according to applicable access control policies.

Check Content

If an external security manager is used, check the external security manager rules and configuration. If there are no rules for these resources or the rules do not restrict user access in accordance with applicable access control policies, this is a finding. Examine mainframe product installation and configuration settings. Verify that the Mainframe Product enforces role and/or resource access in accordance with applicable access control policies. If it does not, this is a finding.

The Mainframe Product must enforce approved authorizations for security administrator access to sensitive information and system resources in accordance with applicable access control policies.

Finding ID
SRG-APP-000033-MFP-000057
Rule ID
SV-82651r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000033-MFP-000057
CCI
CCI-000213
Target Key
(None)
Documentable
No
Discussion

To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems (e.g., networks, web servers, and web portals) must be properly configured to incorporate access control methods that do not rely solely on the possession of a certificate for access. Successful authentication must not automatically give an entity access to an asset or security boundary. Authorization procedures and controls must be implemented to ensure each authenticated entity also has a validated and current authorization. Authorization is the process of determining whether an entity, once authenticated, is permitted to access a specific asset. 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 (e.g., authentication servers) and other applications that perform information and system access control functions.

Fix Text

Configure the Mainframe Product to enforce role and/or resource access in accordance with applicable access control policies. This can be accomplished using an external security manager. Configure the external security manager to restrict security administrator access according to applicable access control policies.

Check Content

If an external security manager is used, check the external security manager rules and configuration. If there are no rules for these resources or the rules do not restrict security administrator access in accordance with applicable access control policies, this is a finding. Examine installation and configuration settings. Verify that the Mainframe Product enforces security administrator access to information and system resources in accordance with applicable access control policies. If it does not, this is a finding.

The Mainframe Product must enforce organization-defined discretionary access control policies over defined subjects and objects.

Finding ID
SRG-APP-000328-MFP-000061
Rule ID
SV-82653r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000328-MFP-000061
CCI
CCI-002165
Target Key
(None)
Documentable
No
Discussion

Discretionary Access Control (DAC) is based on the notion that individual users are "owners" of objects and therefore have discretion over who should be authorized to access the object and in which mode (e.g., read or write). Ownership is usually acquired as a consequence of creating the object or via specified ownership assignment. DAC allows the owner to determine who will have access to objects they control. An example of DAC includes user-controlled file permissions. When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. A subject that is constrained in its operation by Mandatory Access Control policies is still able to operate under the less rigorous constraints of this requirement. Thus, while Mandatory Access Control imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, this requirement permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.

Fix Text

If necessary, configure the Mainframe Product installation and configuration settings to enforce organization-defined discretionary access control policies over defined subjects and objects.

Check Content

Examine installation, configuration, and product documentation. If the Mainframe Product does not enforce organization-defined discretionary access control policies over defined subjects and objects, this is a finding.

The Mainframe Product must enforce approved authorizations for system programmer access to sensitive information and system resources in accordance with applicable access control policies.

Finding ID
SRG-APP-000033-MFP-000066
Rule ID
SV-82655r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000033-MFP-000066
CCI
CCI-000213
Target Key
(None)
Documentable
No
Discussion

To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems (e.g., networks, web servers, and web portals) must be properly configured to incorporate access control methods that do not rely solely on the possession of a certificate for access. Successful authentication must not automatically give an entity access to an asset or security boundary. Authorization procedures and controls must be implemented to ensure each authenticated entity also has a validated and current authorization. Authorization is the process of determining whether an entity, once authenticated, is permitted to access a specific asset. 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 (e.g., authentication servers) and other applications that perform information and system access control functions.

Fix Text

Configure the Mainframe Product to enforce role and/or resource access in accordance with applicable access control policies. This can be accomplished using an ESM. Configure the ESM to restrict system programmer access according to applicable access control policies.

Check Content

If an external security manager (ESM) is used, check the ESM rules and configuration. If there are no rules for these resources or the rules do not restrict system programmer access in accordance with applicable access control policies, this is a finding. If an ESM is not in use, examine installation and configuration settings. Verify that the Mainframe Product enforces system programmer access to information and system resources in accordance with applicable access control policies. If it does not, this is a finding.

The Mainframe Product must enforce approved authorizations for controlling the flow of information within the system based on site security plan information flow control policies.

Finding ID
SRG-APP-000038-MFP-000067
Rule ID
SV-82657r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000038-MFP-000067
CCI
CCI-001368
Target Key
(None)
Documentable
No
Discussion

A mechanism to detect and prevent unauthorized communication flow must be configured or provided as part of the system design. If information flow is not enforced based on approved authorizations, the system may become compromised. Information flow control regulates where information is allowed to travel within a system and between interconnected systems. The flow of all system information must be monitored and controlled so it does not introduce any unacceptable risk to the systems or data. Application specific examples of enforcement occurs in systems that employ rule sets or establish configuration settings that restrict information system services, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Applications providing information flow control must be able to enforce approved authorizations for controlling the flow of information within the system in accordance with applicable policy.

Fix Text

Configure the Mainframe Product to enforce approved authorizations for controlling the flow of information within the system with applicable access control policies.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product enforces approved authorizations for controlling the flow of information within the system with applicable access control policies. If it does not, this is a finding.

The Mainframe Product must prevent non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.

Finding ID
SRG-APP-000340-MFP-000088
Rule ID
SV-82659r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000340-MFP-000088
CCI
CCI-002235
Target Key
(None)
Documentable
No
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. Privileged functions 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.

Fix Text

Configure the Mainframe Product to prevent non-privileged users from executing privileged functions. This can be accomplished using the ESM. Configure the ESM to restrict update and higher access to privileged functions to privileged users.

Check Content

Examine installation and configuration settings. Determine the Mainframe Product privileged functions. If the Mainframe Product uses an external security manager (ESM) for access authorizations, verify the ESM prevents access to privileged functions to appropriate privileged users. If it does not, this is a finding. If the Mainframe Product does not use an ESM to verify installation and configuration settings to prevent access to privileged functions to appropriate privileged users, this is a finding.

The Mainframe Product must prevent software as identified in the site security plan from executing at higher privilege levels than users executing the software.

Finding ID
SRG-APP-000342-MFP-000090
Rule ID
SV-82661r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000342-MFP-000090
CCI
CCI-002233
Target Key
(None)
Documentable
No
Discussion

In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.

Fix Text

Using information from the Mainframe Product about privileged function, configure the external security manager to enforce submitting jobs on behalf of another user parameters.

Check Content

Examine installation and configuration settings. Determine that the Mainframe Product identifies functions requiring elevated privileges. If the Mainframe Product uses an external security manager ensure that execution uses authority of the initiating user rather than that of the Mainframe Product. If it does not, this is a finding. The Mainframe Product does not use an external security manager ensure installation and configuration settings use the authority of the initiating user rather than that of the Mainframe Product. If it does not, this is a finding.

The Mainframe Product must audit the execution of privileged functions.

Finding ID
SRG-APP-000343-MFP-000091
Rule ID
SV-82663r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000343-MFP-000091
CCI
CCI-002234
Target Key
(None)
Documentable
No
Discussion

Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and identify the risk from insider threats and the advanced persistent threat.

Fix Text

Configure the Mainframe Product to log the execution of privileged functions using the external security manager, SMF, and/or the SYSLOG.

Check Content

Examine installation and configuration settings. Verify the Mainframe Product provides logging for execution of privileged functions through use of SMF, the SYSLOG, the external security management software log, or to some other reliable log file. If it does not, this is a finding.

The Mainframe Product must enforce the limit of three consecutive invalid logon attempts by a user during a 15 minute time period.

Finding ID
SRG-APP-000065-MFP-000093
Rule ID
SV-82665r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000065-MFP-000093
CCI
CCI-000044
Target Key
(None)
Documentable
No
Discussion

By limiting the number of failed logon attempts, the risk of unauthorized system access via user password guessing, otherwise known as brute forcing, is reduced. Limits are imposed by locking the account.

Fix Text

Configure the Mainframe Product account management settings to enforce a limit of three consecutive invalid logon attempts by a user during a 15 minute time period.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine Mainframe Product configuration settings. Verify that the Mainframe Product account management settings enforce a limit of three consecutive invalid logon attempts by a user during a 15 minute time period. If it does not, this is a finding.

The Mainframe Product must automatically lock the account until the locked account is released by an administrator when three unsuccessful logon attempts in 15 minutes are exceeded.

Finding ID
SRG-APP-000345-MFP-000094
Rule ID
SV-82667r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000345-MFP-000094
CCI
CCI-002238
Target Key
(None)
Documentable
No
Discussion

By limiting the number of failed logon attempts, the risk of unauthorized system access via user password guessing, otherwise known as brute forcing, is reduced. Limits are imposed by locking the account.

Fix Text

Configure the Mainframe Product account management settings to automatically lock the account until the locked account is released by an administrator when three unsuccessful logon attempts in 15 minutes are exceeded.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine Mainframe Product configuration settings. Verify that the Mainframe Product account management setting automatically locks the account until the locked account is released by an administrator when three unsuccessful logon attempts in 15 minutes are exceeded. If it does not, this is a finding.

The Mainframe Product must protect against an individual (or process acting on behalf of an individual) falsely denying having performed actions defined in the site security plan to be covered by non-repudiation.

Finding ID
SRG-APP-000080-MFP-000102
Rule ID
SV-82669r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000080-MFP-000102
CCI
CCI-000166
Target Key
(None)
Documentable
No
Discussion

Without non-repudiation, it is impossible to positively attribute an action to an individual (or process acting on behalf of an individual). Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document. The application will be configured to provide non-repudiation services for an organization-defined set of commands that are used by the user (or processes action on behalf of the user). DoD PKI provides for non-repudiation through the use of digital signatures. Non-repudiation requirements will vary from one application to another and will be defined based on application functionality, data sensitivity and mission requirements.

Fix Text

Configure the Mainframe Product to identify initiating user for authentication for all tasks.

Check Content

If the Mainframe Product does not perform tasks on the behalf of other users, this is not applicable. Examine configuration settings. Determine whether settings identify initiating user for authentication. If it does not, this is a finding.

For Mainframe Products providing audit record aggregation, the Mainframe Product must compile audit records from mainframe components into a system-wide audit trail that is time-correlated with a tolerance for the relationship between time stamps of individual records in the audit trail in accordance with the sites security plan.

Finding ID
SRG-APP-000086-MFP-000110
Rule ID
SV-82671r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000086-MFP-000110
CCI
CCI-000174
Target Key
(None)
Documentable
No
Discussion

Without the ability to collate records based on the time when the events occurred, the ability to perform forensic analysis and investigations across multiple components is significantly degraded. Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within an organization-defined level of tolerance. This requirement applies only to Mainframe Products that provide the capability to compile system-wide audit records for multiple systems or system components.

Fix Text

Configure the Mainframe Product to use the operating system clock for time stamps.

Check Content

If the Mainframe Product does not perform audit record aggregation, this is not applicable. Examine configuration settings. If the Mainframe Product settings do not use the operating system clock for time stamps, this is a finding.

The Mainframe Product must provide the capability for system programmers to change the auditing to be performed on all application components based on all selectable event criteria within time thresholds defined in the site security plan.

Finding ID
SRG-APP-000353-MFP-000112
Rule ID
SV-82673r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000353-MFP-000112
CCI
CCI-001914
Target Key
(None)
Documentable
No
Discussion

If authorized individuals do not have the ability to modify auditing parameters in response to a changing threat environment, the organization may not be able to effectively respond, and important forensic information may be lost. This requirement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.

Fix Text

Configure the Mainframe Product to allow system programmers the capability to change auditing settings. This can be accomplished by using the ESM. Configure the ESM to allow update and above access to system programmers.

Check Content

Examine the installation and configuration settings. If system programmers do not have the capability to change auditing settings in accordance with applicable access control policies, this is a finding. If an external security manager (ESM) is used, check the ESM rules and configuration. If there are no rules for these resources or the rules do not allow update and above access to system programmers in accordance with applicable access control policies, this is a finding.

The Mainframe Product must provide the capability for security administrators to change the auditing to be performed on all application components based on all selectable event criteria within time thresholds defined in site security plan.

Finding ID
SRG-APP-000353-MFP-000113
Rule ID
SV-82675r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000353-MFP-000113
CCI
CCI-001914
Target Key
(None)
Documentable
No
Discussion

If authorized individuals do not have the ability to modify auditing parameters in response to a changing threat environment, the organization may not be able to effectively respond, and important forensic information may be lost. This requirement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.

Fix Text

Configure the Mainframe Product to allow security administrators the capability to change auditing settings. This can be accomplished by using the ESM. Configure the ESM to restrict update and above access to system and ESM audit settings to security administrators in accordance with applicable access control policies.

Check Content

Examine the installation and configuration settings. If security administrators do not have the capability to change auditing settings, this is a finding. If an external security manager (ESM) is used, check the ESM rules and configuration. If there are no rules for these resources or the rules do not allow update and above access to security administrators in accordance with applicable access control policies, this is a finding.

The Mainframe Product must provide audit record generation capability for DoD-defined auditable events within all application components.

Finding ID
SRG-APP-000089-MFP-000114
Rule ID
SV-82677r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000089-MFP-000114
CCI
CCI-000169
Target Key
(None)
Documentable
No
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 the application (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 the application 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.

Fix Text

Configure the Mainframe Product to audit all DoD-defined auditing events within all Mainframe Product components.

Check Content

Examine Mainframe Product documentation. Refer to NIST SP 800-53 AU-2 or the Risk Management Knowledge Service (RMKS) for DoD auditing events. Examine configuration settings. Compare available auditing events. If available auditing events do not include all DoD-defined auditing events, this is a finding. If auditing is not available for all components of the Mainframe Product, this is a finding.

The Mainframe Product must allow only the ISSM (or individuals or roles appointed by the ISSM) to select which auditable events are to be audited.

Finding ID
SRG-APP-000090-MFP-000115
Rule ID
SV-82679r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000090-MFP-000115
CCI
CCI-000171
Target Key
(None)
Documentable
No
Discussion

Without the capability to restrict which roles and individuals can select which events are audited, unauthorized personnel may be able to prevent the auditing of critical events. Misconfigured audits may degrade the system's performance by overwhelming the audit log. Misconfigured audits may also make it more difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. 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.

Fix Text

Configure the Mainframe Product to restrict selection of auditable events to system programmers and security administrators.

Check Content

Examine the configuration settings. Verify the capability to select auditable events is restricted to security administrators or system programmers. If it is not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to access privileges occur.

Finding ID
SRG-APP-000091-MFP-000116
Rule ID
SV-82681r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000091-MFP-000116
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF call for the external security manager when successful/unsuccessful attempts to access privileges occur.

Check Content

Examine the installation and configuration settings. Verify that the Mainframe Product identifies privileged functions and writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to access privileges occur. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to access security objects occur.

Finding ID
SRG-APP-000492-MFP-000117
Rule ID
SV-82683r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000492-MFP-000117
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to access security objects.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security objects, writes to SMF, and/or uses an external security manager (ESM) to generate audit records when successful/unsuccessful attempts to access security objects. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to access security levels occur.

Finding ID
SRG-APP-000493-MFP-000118
Rule ID
SV-82685r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000493-MFP-000118
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to access security levels.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security levels and writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to access security levels. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to access categories of information (e.g., classification levels) occur.

Finding ID
SRG-APP-000494-MFP-000119
Rule ID
SV-82687r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000494-MFP-000119
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to access categories of information occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security categories of information; writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to access categories of information. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to modify privileges occur.

Finding ID
SRG-APP-000495-MFP-000120
Rule ID
SV-82689r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000495-MFP-000120
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to modify privileges occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security privileges, writes to SMF, and/or uses an external security manager (ESM) to generate audit records successful/unsuccessful attempts to modify privileges occur. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to modify security objects occur.

Finding ID
SRG-APP-000496-MFP-000121
Rule ID
SV-82691r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000496-MFP-000121
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to modify security objects occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security object; writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to modify security objects. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to modify security levels occur.

Finding ID
SRG-APP-000497-MFP-000122
Rule ID
SV-82695r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000497-MFP-000122
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to modify security levels occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security levels writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to modify security levels. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to modify categories of information (e.g., classification levels) occur.

Finding ID
SRG-APP-000498-MFP-000123
Rule ID
SV-82697r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000498-MFP-000123
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to modify categories of information (e.g., classification levels) occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security categories of information; writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to modify categories of information. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to delete privileges occur.

Finding ID
SRG-APP-000499-MFP-000124
Rule ID
SV-82699r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000499-MFP-000124
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to delete privileges occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies privileged functions, writes to SMF, and/or uses an external security manager (ESM) to generate audit records when successful/unsuccessful attempts to delete privileges occur. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to delete security levels occur.

Finding ID
SRG-APP-000500-MFP-000125
Rule ID
SV-82701r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000500-MFP-000125
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to delete security levels occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security levels writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to delete security levels. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to delete security objects occur.

Finding ID
SRG-APP-000501-MFP-000126
Rule ID
SV-82703r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000501-MFP-000126
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to delete security objects occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security object writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to delete security objects. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful attempts to delete categories of information (e.g., classification levels) occur.

Finding ID
SRG-APP-000502-MFP-000127
Rule ID
SV-82705r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000502-MFP-000127
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call when successful/unsuccessful attempts to delete categories of information occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all security categories of information; writes to SMF and/or uses an external security manager to generate audit records when successful/unsuccessful attempts to delete categories of information. If it does not, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful logon attempts occur.

Finding ID
SRG-APP-000503-MFP-000128
Rule ID
SV-82707r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000503-MFP-000128
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to provide audit SAF to call when successful/unsuccessful logon attempts occur.

Check Content

If the Mainframe Product does not have the function or capability for user logon, this is not applicable. Examine configuration settings. Determine if successful/unsuccessful logon attempts are audited. If they are not, this is a finding.

The Mainframe Product must generate audit records for privileged activities or other system-level access.

Finding ID
SRG-APP-000504-MFP-000129
Rule ID
SV-82709r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000504-MFP-000129
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF to call for privileged activities or other system-level access.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies privileged functions, writes to SMF, and/or provides an SAF call to an external security manager (ESM) to generate audit records for all privilege activities or other system-level access. If it does not, this is a finding.

The Mainframe Product must generate audit records showing starting and ending time for user access to the system.

Finding ID
SRG-APP-000505-MFP-000130
Rule ID
SV-82711r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000505-MFP-000130
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to provide audit SAF call for starting and ending time for user access to the system.

Check Content

If the Mainframe Product has no function or capability for user access this is not applicable. Examine configuration settings. If the Mainframe Product does not identify and audit start and end times of access to the systems, this is a finding.

The Mainframe Product must generate audit records when concurrent logons from different workstations occur.

Finding ID
SRG-APP-000506-MFP-000131
Rule ID
SV-82713r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000506-MFP-000131
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to provide audit SAF call when concurrent logons from different workstations occur.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. Examine configuration settings. If the Mainframe Product does not generate audit records when concurrent logons from different workstations occur, this is a finding.

The Mainframe Product must generate audit records when successful/unsuccessful accesses to objects occur.

Finding ID
SRG-APP-000507-MFP-000132
Rule ID
SV-82715r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000507-MFP-000132
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF call when successful/unsuccessful accesses to objects occur.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies access to all objects; writes to SMF and/or and uses an external security manager to generate audit records for all access. If it does not, this is a finding

The Mainframe Product must generate audit records for all direct access to the information system.

Finding ID
SRG-APP-000508-MFP-000133
Rule ID
SV-82717r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000508-MFP-000133
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF call for all direct access to the information system.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies direct access to the Mainframe Product, writes to SMF, and/or uses an external security manager (ESM) to generate audit records for all direct access. If it does not, this is a finding.

The Mainframe Product must generate audit records for all account creations, modifications, disabling, and termination events.

Finding ID
SRG-APP-000509-MFP-000134
Rule ID
SV-82719r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000509-MFP-000134
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF call for all account creations, modifications, disabling, and termination events.

Check Content

If the Mainframe Product has no function or capability for account creations, this is not applicable. Examine installation and configuration settings. Verify that the Mainframe Product identifies account functions, writes to SMF, and/or uses an external security manager (ESM) to generate audit records for all account creations, modifications, disabling, and termination events. If it does not, this is a finding.

The Mainframe Product must generate audit records for all kernel module load, unload, and restart events, and for all program initiations.

Finding ID
SRG-APP-000510-MFP-000135
Rule ID
SV-82721r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000510-MFP-000135
CCI
CCI-000172
Target Key
(None)
Documentable
No
Discussion

Without generating audit records that are specific to the security and mission needs of the organization, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit records can be generated from various components within the information system (e.g., module or policy filter).

Fix Text

Configure the Mainframe Product to write to SMF and/or provide audit SAF call for all kernel module load, unload, and restart events, and for all program initiations.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies all Kernel module activities, writes to SMF, and/or uses an external security manager (ESM) to generate audit records for all kernel mode load, unload, and restart events, and for all program initiations. If it does not, this is a finding.

The Mainframe Product must provide the capability for authorized users to select a user session to capture/record or view/hear.

Finding ID
SRG-APP-000354-MFP-000136
Rule ID
SV-82723r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000354-MFP-000136
CCI
CCI-001919
Target Key
(None)
Documentable
No
Discussion

Without the capability to select a user session to capture/record or view/hear, investigations into suspicious or harmful events would be hampered by the volume of information captured. The volume of information captured may also adversely impact the operation for the network. Session audits may include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers.

Fix Text

Configure the Mainframe Product to permit authorized users to select a user session to capture/record or view/hear. If there is an ESM in use, configure ESM to restrict the ability to select sessions to capture/record or view/hear in accordance with applicable access control policies to system programmers or security administrators.

Check Content

If the Mainframe Product has no function or capability for session operations, this is not applicable. Examine installation and configuration settings. Verify that the Mainframe Product has the capability to select user sessions for monitoring and allows system programmers and security administrators to select sessions to capture/record or view/hear in accordance with applicable access control policies. If it does not, this is a finding. If there is an external security manager (ESM) in use, verify that the ESM restricts the ability to select sessions to capture/record or view/hear in accordance with applicable access control policies to system programmers or security administrators. If it does not, this is a finding.

The Mainframe Product must initiate session auditing upon startup.

Finding ID
SRG-APP-000092-MFP-000137
Rule ID
SV-82725r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000092-MFP-000137
CCI
CCI-001464
Target Key
(None)
Documentable
No
Discussion

If auditing is enabled late in the start-up process, the actions of some start-up processes may not be audited. Some audit systems also maintain state information only available if auditing is enabled before a given process is created.

Fix Text

Configure the Mainframe Product to initiate session auditing upon startup.

Check Content

If the Mainframe Product has no function or capability for session operations, this is not applicable. Examine installation and configuration settings. Verify that session auditing is initiated at session startup. If it is not, this is a finding.

The Mainframe Product must provide the capability for authorized users to capture, record, and log all content related to a user session.

Finding ID
SRG-APP-000093-MFP-000138
Rule ID
SV-82727r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000093-MFP-000138
CCI
CCI-001462
Target Key
(None)
Documentable
No
Discussion

Without the capability to capture, record, and log all content related to a user session, investigations into suspicious user activity would be hampered. This requirement does not apply to Mainframe Products that do not have a concept of a user session (e.g., calculator).

Fix Text

Configure the Mainframe Product to permit authorized users to capture, record, and log all content related to a user session. If an ESM is in use, configure the rules to restrict the ability to capture, record, and audit user sessions to system programmers and security administrators.

Check Content

If the Mainframe Product has no function or capability for session operations, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not have the capability to capture, record, and audit user sessions, this is a finding. If the Mainframe Product does not restrict the ability to capture, record, and audit user sessions to system programmers or security administrators, this is a finding. If an external security manager (ESM) is in use, examine the configuration and rules to determine if the ability to capture, record, and audit user sessions is restricted to system programmers or security administrators. If it is not, this is a finding.

The Mainframe Product must provide the capability for authorized users to remotely view/hear, in real time, all content related to an established user session from a component separate from the Mainframe Product being monitored.

Finding ID
SRG-APP-000355-MFP-000139
Rule ID
SV-82729r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000355-MFP-000139
CCI
CCI-001920
Target Key
(None)
Documentable
No
Discussion

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

Fix Text

Configure the Mainframe Product to permit authorized users to remotely view/hear, in real time, all content related to an established user session from a component separate from the Mainframe Product being monitored. If an ESM is in use, configure rules to restrict the ability to remotely view/hear, in real time, all content related to an established user session from a component separate from the Mainframe Product being monitored to system programmers and security administrators.

Check Content

If the Mainframe Product has no function or capability for session operations, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not have the capability to remotely view/hear, in real time, all content related to an established user session from a component separate from the Mainframe Product being monitored, this a finding. If the Mainframe Product does not restrict this capability to system programmers and security administrators, this is a finding. If an external security manager (ESM) is in use, verify that the ESM restricts the capability to remotely view/hear, in real time, all content related to an established user session from a component separate from the Mainframe Product being monitored to system programmers or security administrators. If it does not, this is a finding.

The Mainframe Product must produce audit records containing information to establish what type of events occurred.

Finding ID
SRG-APP-000095-MFP-000140
Rule ID
SV-82731r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000095-MFP-000140
CCI
CCI-000130
Target Key
(None)
Documentable
No
Discussion

Without establishing what type of event occurred, it would be difficult to establish, correlate, and investigate the events relating to an incident, or identify those responsible for one. Audit record content that may be necessary to satisfy the requirement of this policy includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Associating event types with detected events in the application and audit logs provides a means of investigating an attack; recognizing resource utilization or capacity thresholds; or identifying an improperly configured application.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information that details what type of events occurred.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details what type of events occurred. If it does not, this is a finding.

The Mainframe Product must produce audit records containing information to establish when (date and time) the events occurred.

Finding ID
SRG-APP-000096-MFP-000141
Rule ID
SV-82733r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000096-MFP-000141
CCI
CCI-000131
Target Key
(None)
Documentable
No
Discussion

Without establishing when events occurred, it is impossible to establish, correlate, and investigate the events relating to an incident. In order to compile an accurate risk assessment, and provide forensic analysis, it is essential for security personnel to know when events occurred (date and time). Associating event types with detected events in the application and audit logs provides a means of investigating an attack; recognizing resource utilization or capacity thresholds; or identifying an improperly configured application.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information that details when (date and time) the events occurred.

Check Content

Examine installation and configuration settings. Ensure data written to external security manager audit files and/or SMF records contain information that details when events occurred. If it does not, this is a finding.

The Mainframe Product must produce audit records containing information to establish where the events occurred.

Finding ID
SRG-APP-000097-MFP-000142
Rule ID
SV-82735r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000097-MFP-000142
CCI
CCI-000132
Target Key
(None)
Documentable
No
Discussion

Without establishing where events occurred, it is impossible to establish, correlate, and investigate the events relating to an incident. In order to compile an accurate risk assessment, and provide forensic analysis, it is essential for security personnel to know where events occurred, such as application components, modules, session identifiers, filenames, host names, and functionality. Associating information about where the event occurred within the application provides a means of investigating an attack; recognizing resource utilization or capacity thresholds; or identifying an improperly configured application.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information that details when (date and time) the events occurred.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details where events occurred. If it does not, this is a finding.

The Mainframe Product must produce audit records containing information to establish the source of the events.

Finding ID
SRG-APP-000098-MFP-000143
Rule ID
SV-82737r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000098-MFP-000143
CCI
CCI-000133
Target Key
(None)
Documentable
No
Discussion

Without establishing the source of the event, it is impossible to establish, correlate, and investigate the events leading up to an outage or attack. In addition to logging where events occur within the application, the application must also produce audit records that identify the application itself as the source of the event. In the case of centralized logging, the source would be the application name accompanied by the host or client name. In order to compile an accurate risk assessment, and provide forensic analysis, it is essential for security personnel to know the source of the event, particularly in the case of centralized logging. Associating information about the source of the event within the application provides a means of investigating an attack; recognizing resource utilization or capacity thresholds; or identifying an improperly configured application.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information to establish the source of the events.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details the source of events. If it does not, this is a finding.

The Mainframe Product must produce audit records containing information to establish the outcome of the events.

Finding ID
SRG-APP-000099-MFP-000144
Rule ID
SV-82739r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000099-MFP-000144
CCI
CCI-000134
Target Key
(None)
Documentable
No
Discussion

Without information about the outcome of events, security personnel cannot make an accurate assessment as to whether an attack was successful or if changes were made to the security state of the system. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred). As such, they also provide a means to measure the impact of an event and help authorized personnel to determine the appropriate response.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information to establish the outcome of the events.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details the outcome of events. If it does not, this is a finding.

The Mainframe Product must generate audit records containing information to establish the identity of any individual or process associated with the event.

Finding ID
SRG-APP-000100-MFP-000145
Rule ID
SV-82741r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000100-MFP-000145
CCI
CCI-001487
Target Key
(None)
Documentable
No
Discussion

Without information that establishes the identity of the subjects (i.e., users or processes acting on behalf of users) associated with the events, security personnel cannot determine responsibility for the potentially harmful event. Event identifiers (if authenticated or otherwise known) include, but are not limited to, user database tables, primary key values, user names, or process identifiers.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain information to establish the identity of any individual or process associated with the event.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details the identity of individuals or processes associated with the event. If it does not, this is a finding.

The Mainframe Product must generate audit records containing the full-text recording of privileged commands or the individual identities of group account users.

Finding ID
SRG-APP-000101-MFP-000146
Rule ID
SV-82743r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000101-MFP-000146
CCI
CCI-000135
Target Key
(None)
Documentable
No
Discussion

Reconstruction of harmful events or forensic analysis is not possible if audit records do not contain enough information. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. The additional information required is dependent on the type of information (i.e., sensitivity of the data and the environment within which it resides). At a minimum, the organization must audit either full-text recording of privileged commands or the individual identities of group users, or both. The organization must maintain audit trails in sufficient detail to reconstruct events to determine the cause and impact of compromise. In addition, the application must have the capability to include organization-defined additional, more detailed information in the audit records for audit events.

Fix Text

Configure the Mainframe Product audit records written to external security manager audit files and/or SMF records to contain full-text recording of privileged commands or the individual identities of group account users.

Check Content

Examine installation and configuration settings. Verify data written to external security manager audit files and/or SMF records contain information that details contain full-text recording of privileged commands or the individual identities of group account users associated with the event. If it does not, this is a finding.

The Mainframe Product must provide centralized management and configuration of the content to be captured in audit records generated by all application components.

Finding ID
SRG-APP-000356-MFP-000147
Rule ID
SV-82745r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000356-MFP-000147
CCI
CCI-001844
Target Key
(None)
Documentable
No
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. This requirement requires that the content captured in audit records 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. Application components requiring centralized audit log management must have the capability to support centralized management. This requirement applies to centralized management applications or similar types of applications designed to manage and configure audit record capture.

Fix Text

Configure the Mainframe Product to provide centralized management and configuration of the content to be captured in audit records generated by all application components.

Check Content

If the Mainframe Product does not perform audit data management or storage function this is not applicable. Examine configuration settings. Determine if the Mainframe Product provides centralized management of the capture content for all components. If it does not, this is a finding.

The mainframe product must allocate audit record storage capacity in accordance with organization-defined audit record storage requirements.

Finding ID
SRG-APP-000357-MFP-000148
Rule ID
SV-82747r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000357-MFP-000148
CCI
CCI-001849
Target Key
(None)
Documentable
No
Discussion

In order to ensure applications have a sufficient storage capacity in which to write the audit logs, applications need to be able to allocate audit record storage capacity. The task of allocating audit record storage capacity is usually performed during initial installation of the application 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.

Fix Text

Configure installation and/or configuration auditing settings to allocate audit record storage capacity in accordance with organization-defined audit record storage requirements.

Check Content

If the Mainframe Product uses MVS System Management Facility (SMF) recording or ESM log files for auditing purposes, this is not applicable. Examine the Mainframe Product installation and configuration auditing settings. If the installation and/or configuration setting for auditing do not allocate audit record storage capacity in accordance with organization-defined audit record storage requirements, this is a finding.

The Mainframe Product must off-load audit records onto a different system or media than the system being audited.

Finding ID
SRG-APP-000358-MFP-000149
Rule ID
SV-82749r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000358-MFP-000149
CCI
CCI-001851
Target Key
(None)
Documentable
No
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.

Fix Text

Configure the Mainframe Product installation and/or configurations settings to off-load audit records onto a different system or media than the system being audited.

Check Content

If the Mainframe Product uses MVS System Management Facility (SMF) recording or external security manager (ESM) log files for auditing purposes, this is not applicable. Examine the Mainframe Product installation and configuration auditing settings. If the installation and/or configuration setting for auditing do not require the off-loading of audit records onto a different system or media than the system being audited, this is a finding.

The Mainframe Product must provide an immediate warning to the system programmer and security administrator (at a minimum) when allocated audit record storage volume reaches 75 percent of repository maximum audit record storage capacity.

Finding ID
SRG-APP-000359-MFP-000151
Rule ID
SV-82751r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000359-MFP-000151
CCI
CCI-001855
Target Key
(None)
Documentable
No
Discussion

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

Fix Text

Configure the Mainframe Product installation and configuration settings for auditing to provide an immediate warning to the system programmer and security administrator (at a minimum) when allocated audit record storage volume reaches 75 percent of repository maximum audit record storage capacity.

Check Content

If the Mainframe Product uses MVS System Management Facility (SMF) recording or external security manager (ESM) log files for auditing purposes, this is not applicable. Examine the Mainframe Product installation and configuration auditing settings. If the installation and/or configuration setting for auditing do not provide an immediate warning to the system programmer and security administrator (at a minimum) when allocated audit record storage volume reaches 75 percent of repository maximum audit record storage capacity, this is a finding.

The Mainframe Product must provide an immediate real-time alert to the operations staff, system programmers, and/or security administrators, at a minimum, of all audit failure events requiring real-time alerts.

Finding ID
SRG-APP-000360-MFP-000152
Rule ID
SV-82753r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000360-MFP-000152
CCI
CCI-001858
Target Key
(None)
Documentable
No
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. 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).

Fix Text

Configure the Mainframe Product to provide for immediate real-time alerts to operations staff, system programmers, and/or security administrators for audit failures requiring real-time alerts.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine configuration settings. If the Mainframe Product does not provide for immediate real-time alerts to operations staff, system programmers, and/or security administrators for audit failures requiring real-time alerts, this is a finding.

The Mainframe Product must alert the SA and ISSO (at a minimum) in the event of an audit processing failure.

Finding ID
SRG-APP-000108-MFP-000154
Rule ID
SV-82755r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000108-MFP-000154
CCI
CCI-000139
Target Key
(None)
Documentable
No
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 this notification, the security personnel may be unaware of an impending failure of the audit capability and system operation may be adversely affected. Audit processing failures include software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. This requirement applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the centralized audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

Fix Text

Configure the Mainframe Product to alert system programmers or security administrators in the event of audit processing failure.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine configuration settings. Determine if Mainframe Product alerts system programmers or security administrators in the event of audit processing failure. If it does not, this is a finding.

The Mainframe Product must shut down by default upon audit failure (unless availability is an overriding concern).

Finding ID
SRG-APP-000109-MFP-000155
Rule ID
SV-82757r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000109-MFP-000155
CCI
CCI-000140
Target Key
(None)
Documentable
No
Discussion

It is critical that when the application 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, other approved actions in response to an audit failure are as follows: (i) If the failure was caused by the lack of audit record storage capacity, the application 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, the application 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.

Fix Text

Configure the Mainframe Product to shut down by default upon audit failure (unless availability is an overriding concern).

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine configuration settings for audit failure parameters. If Mainframe Product does not shut down by default in the event of audit processing failure, this is a finding. Note: This depends on whether availability is an overriding concern.

The Mainframe Product must provide the capability to centrally review and analyze audit records from multiple components within the system.

Finding ID
SRG-APP-000111-MFP-000156
Rule ID
SV-82759r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000111-MFP-000156
CCI
CCI-000154
Target Key
(None)
Documentable
No
Discussion

Successful incident response and auditing relies on timely, accurate system information and analysis in order to allow the organization to identify and respond to potential incidents in a proficient manner. If the application does not provide the ability to centrally review the application logs, forensic analysis is negatively impacted. Segregation of logging data to multiple disparate computer systems is counterproductive and makes log analysis and log event alarming difficult to implement and manage, particularly when the system or application has multiple logging components written to different locations or systems. Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.

Fix Text

Configure the Mainframe Product to centrally review and analyze audit records from multiple components in the system.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product has the capability to centrally review and analyze audit records from multiple components in the system. If it does not, this is a finding.

The Mainframe Products must provide the capability to filter audit records for events of interest as defined in site security plan.

Finding ID
SRG-APP-000115-MFP-000157
Rule ID
SV-82761r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000115-MFP-000157
CCI
CCI-000158
Target Key
(None)
Documentable
No
Discussion

The ability to specify the event criteria that are of interest provides the persons reviewing the logs with the ability to quickly isolate and identify these events without having to review entries that are of little or no consequence to the investigation. Without this capability, forensic investigations are impeded. Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component. This requires applications to provide the capability to customize audit record reports based on organization-defined criteria.

Fix Text

Configure the Mainframe Product to filter audit record events of interest based on Site defined criteria

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Refer to the site's auditing policies. Verify the Mainframe Product filters audit record events of interest based on Site defined criteria. If it does not, this is a finding.

The Mainframe Product must provide an audit reduction capability that supports on-demand audit review and analysis.

Finding ID
SRG-APP-000364-MFP-000160
Rule ID
SV-82763r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000364-MFP-000160
CCI
CCI-001875
Target Key
(None)
Documentable
No
Discussion

The ability to perform on-demand audit review and analysis, including after the audit data has been subjected to audit reduction, greatly facilitates the organization's ability to generate incident reports as needed to better handle larger-scale or more complex security incidents. Audit reduction is a technique used to reduce the volume of audit records in order to facilitate a manual review. Audit reduction does not alter original audit records. The report generation capability provided by the application must support on-demand (i.e., customizable, ad-hoc, and as-needed) reports. This requirement is specific to applications with audit reduction capabilities; however, applications need to support on-demand audit review and analysis.

Fix Text

Configure the Mainframe Product audit reduction capability to support on-demand review and analysis.

Check Content

If the Mainframe Product does not perform audit data management or storage functions, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product audit reduction capability supports on-demand review and analysis. If it does not, this is a finding.

The Mainframe Product must provide an audit reduction capability that supports on-demand reporting requirements.

Finding ID
SRG-APP-000181-MFP-000161
Rule ID
SV-82765r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000181-MFP-000161
CCI
CCI-001876
Target Key
(None)
Documentable
No
Discussion

The ability to generate on-demand reports, including after the audit data has been subjected to audit reduction, greatly facilitates the organization's ability to generate incident reports as needed to better handle larger-scale or more complex security incidents. Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. The report generation capability provided by the application must support on-demand (i.e., customizable, ad-hoc, and as-needed) reports. This requirement is specific to applications with audit reduction capabilities; however, applications need to support on-demand audit review and analysis.

Fix Text

Configure the Mainframe Product audit reduction capability to support on-demand reporting.

Check Content

If the Mainframe Product does not perform audit data management or storage functions, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product audit reduction capability supports on-demand reporting. If it does not, this is a finding.

The Mainframe Product must provide an audit reduction capability that supports after-the-fact investigations of security incidents.

Finding ID
SRG-APP-000365-MFP-000162
Rule ID
SV-82767r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000365-MFP-000162
CCI
CCI-001877
Target Key
(None)
Documentable
No
Discussion

If the audit reduction capability does not support after-the-fact investigations, it is difficult to establish, correlate, and investigate the events leading up to an outage or attack, or identify those responses for one. This capability is also required to comply with applicable Federal laws and DoD policies. Audit reduction capability must support after-the-fact investigations of security incidents either natively or through the use of third-party tools. This requirement is specific to applications with audit reduction capabilities.

Fix Text

Configure the Mainframe Product audit reduction capability to support after-the-fact investigations of security incidents.

Check Content

If the Mainframe Product does not perform audit data management or storage function this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product audit reduction capability supports after-the-fact investigations of security incidents. If it does not, this is a finding.

The Mainframe Product must provide a report generation capability that supports on-demand audit review and analysis.

Finding ID
SRG-APP-000366-MFP-000163
Rule ID
SV-82769r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000366-MFP-000163
CCI
CCI-001878
Target Key
(None)
Documentable
No
Discussion

The report generation capability must support on-demand review and analysis in order to facilitate the organization's ability to generate incident reports as needed to better handle larger-scale or more complex security incidents. Report generation must be capable of generating on-demand (i.e., customizable, ad-hoc, and as-needed) reports. On-demand reporting allows personnel to report issues more rapidly to more effectively meet reporting requirements. Collecting log data and aggregating it to present the data in a single, consolidated report achieves this objective. Audit reduction and report generation capabilities do not always reside on the same information system or within the same organizational entities conducting auditing activities. The audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient. This requirement is specific to applications with report generation capabilities; however, applications need to support on-demand audit review and analysis.

Fix Text

Configure the Mainframe Product audit report generations to support on-demand review and analysis.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product audit report generations support on-demand review and analysis. If it does not, this is a finding.

The Mainframe Product must provide a report generation capability that supports on-demand reporting requirements.

Finding ID
SRG-APP-000367-MFP-000164
Rule ID
SV-82771r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000367-MFP-000164
CCI
CCI-001879
Target Key
(None)
Documentable
No
Discussion

The report generation capability must support on-demand reporting in order to facilitate the organization's ability to generate incident reports as needed to better handle larger-scale or more complex security incidents The report generation capability provided by the application must be capable of generating on-demand (i.e., customizable, ad-hoc, and as-needed) reports. On-demand reporting allows personnel to report issues more rapidly to more effectively meet reporting requirements. Collecting log data and aggregating it to present the data in a single, consolidated report achieves this objective. This requirement is specific to applications with report generation capabilities; however, applications need to support on-demand reporting requirements.

Fix Text

Configure the Mainframe Product report generation capability to support on-demand reporting.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product report generation capability supports on-demand reporting. If it does not, this is a finding.

The Mainframe Product must provide a report generation capability that supports after-the-fact investigations of security incidents.

Finding ID
SRG-APP-000368-MFP-000165
Rule ID
SV-82773r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000368-MFP-000165
CCI
CCI-001880
Target Key
(None)
Documentable
No
Discussion

If the report generation capability does not support after-the-fact investigations, it is difficult to establish, correlate, and investigate the events leading up to an outage or attack, or identify those responses for one. This capability is also required to comply with applicable Federal laws and DoD policies. The report generation capability must support after-the-fact investigations of security incidents either natively or through the use of third-party tools. This requirement is specific to applications with report generation capabilities; however, applications need to support on-demand reporting requirements.

Fix Text

Configure the Mainframe Product report generation capability to support after-the-fact investigations of security incidents.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product report generation capability supports after-the-fact investigations of security incidents. If it does not, this is a finding.

The Mainframe Product must provide an audit reduction capability that does not alter original content or time ordering of audit records.

Finding ID
SRG-APP-000369-MFP-000166
Rule ID
SV-82775r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000369-MFP-000166
CCI
CCI-001881
Target Key
(None)
Documentable
No
Discussion

If the audit reduction capability alters the content or time ordering of audit records, the integrity of the audit records is compromised, and the records are no longer usable for forensic analysis. Time ordering refers to the chronological organization of records based on time stamps. The degree of time stamp precision can affect this. Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. This requirement is specific to applications with audit reduction capabilities; however, applications need to support on-demand audit review and analysis.

Fix Text

Configure the Mainframe Product audit reduction capability to not alter original content or time ordering of audit records.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product audit reduction capability does not alter original content or time ordering of audit records. If it does, this is a finding.

The Mainframe Product must provide a report generation capability that does not alter original content or time ordering of audit records.

Finding ID
SRG-APP-000370-MFP-000167
Rule ID
SV-82777r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000370-MFP-000167
CCI
CCI-001882
Target Key
(None)
Documentable
No
Discussion

If the audit report generation capability alters the original content or time ordering of audit records, the integrity of the audit records is compromised, and the records are no longer usable for forensic analysis. Time ordering refers to the chronological organization of records based on time stamps. The degree of time stamp precision can affect this. The report generation capability provided by the application can generate customizable reports. This requirement is specific to applications with audit reduction capabilities; however, applications need to support on-demand audit review and analysis.

Fix Text

Configure the Mainframe Product report generation to not alter original content or time ordering of audit records.

Check Content

If the Mainframe Product does not perform audit data management or storage function, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product report generation does not alter original content or time ordering of audit records. If it does, this is a finding.

The Mainframe Products must use internal system clocks to generate time stamps for audit records.

Finding ID
SRG-APP-000116-MFP-000171
Rule ID
SV-82779r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000116-MFP-000171
CCI
CCI-000159
Target Key
(None)
Documentable
No
Discussion

Without an internal clock used as the reference for the time stored on each event to provide a trusted common reference for the time, forensic analysis would be impeded. Determining the correct time a particular event occurred on a system is critical when conducting forensic analysis and investigating system events. If the internal clock is not used, the system may not be able to provide time stamps for log messages. Additionally, externally generated time stamps may not be accurate. Applications can use the capability of an operating system or purpose-built module for this purpose.

Fix Text

Configure the Mainframe Product to use the z/OS system clock for audit time stamps.

Check Content

Examine installation and configuration settings. If the Mainframe Product does not use the z/OS system clock for audit time stamps, this is a finding.

The Mainframe Product must protect audit information from any type of unauthorized read access.

Finding ID
SRG-APP-000118-MFP-000174
Rule ID
SV-82781r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000118-MFP-000174
CCI
CCI-000162
Target Key
(None)
Documentable
No
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, and copy access. This requirement can be achieved through multiple methods which will depend upon system architecture and design. Commonly employed methods for protecting audit information include least privilege permissions as well as restricting the location and number of log file repositories. Additionally, 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 audit information is protected from unauthorized access. Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity.

Fix Text

Verify the Mainframe Product restricts read access to system programmers, security administrators, and audit personnel. This can be accomplished using an ESM. Configure the Mainframe Product to provide a SAF call for audit information access. Verify ESM rules restrict read access to system programmers, security administrators, and audit personnel.

Check Content

Examine installation and configuration settings. Verify the Mainframe Product restricts audit information read access to system programmers, security administrators, and audit personnel. If access is not restricted, this is a finding. If an external security manager (ESM) is being used, examine external security configuration and rules. If the rules do not restrict read access to system programmers, security managers, and audit personnel, this is a finding.

The Mainframe Product must protect audit information from unauthorized modification.

Finding ID
SRG-APP-000119-MFP-000175
Rule ID
SV-82783r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000119-MFP-000175
CCI
CCI-000163
Target Key
(None)
Documentable
No
Discussion

If audit data were to become compromised, then 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, which will depend upon system architecture and design. Some commonly employed methods include ensuring log files receive 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. Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity.

Fix Text

Verify the Mainframe Product restricts update or greater access to system programmers, security administrators, and audit personnel. This can be accomplished using an ESM. Configure the Mainframe Product to provide an SAF call for audit information access. Verify ESM rules restrict update or greater access to system programmers, security administrators, and audit personnel.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product restricts audit information update access to system programmers, security administrators, and audit personnel. If access is not restricted, this is a finding. If an external security manager (ESM) is being used, examine the external security configuration and rules. If the rules do not restrict update access to system programmers, security managers, and audit personnel, this is a finding.

The Mainframe Product must protect audit information from unauthorized deletion.

Finding ID
SRG-APP-000120-MFP-000176
Rule ID
SV-82785r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000120-MFP-000176
CCI
CCI-000164
Target Key
(None)
Documentable
No
Discussion

If audit data were to become compromised, then 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 receive the proper file system permissions using 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. Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. Audit information may include data from other applications or be included with the audit application itself.

Fix Text

Verify the Mainframe Product restricts update or greater access to the system's programmers, security administrators, and audit personnel. This can be accomplished using an ESM. Configure the Mainframe Product to provide SAF call for audit information access. Ensure external security manager restricts update or greater access to the system's programmers, security administrators, and audit personnel.

Check Content

Examine installation and configuration settings. Verify the Mainframe Product restricts audit information delete access to system programmers, security administrators, and audit personnel. If access is not restricted, this is a finding. If an external security manager (ESM) is being used, examine external security configuration and rules. If the rules do not restrict update or greater access to system programmers, security managers, and audit personnel, this is a finding.

The Mainframe Product must protect audit tools from unauthorized access.

Finding ID
SRG-APP-000121-MFP-000177
Rule ID
SV-82787r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000121-MFP-000177
CCI
CCI-001493
Target Key
(None)
Documentable
No
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 access to audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.

Fix Text

Configure the Mainframe Product to restrict audit tool access to system programmers, security administrators, and audit personnel.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product restricts audit tool access to system programmers, security administrator, and audit personnel. If access is not restricted, this is a finding.

The Mainframe Product must protect audit tools from unauthorized modification.

Finding ID
SRG-APP-000122-MFP-000178
Rule ID
SV-82789r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000122-MFP-000178
CCI
CCI-001494
Target Key
(None)
Documentable
No
Discussion

Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on audit data. Applications providing tools to interface with audit data will leverage user permissions and roles identifying the user accessing the tools and the corresponding rights the user enjoys in order make access decisions regarding the modification of audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.

Fix Text

Configure the Mainframe Product to restrict audit tool modification to system programmers, security administrators, and audit personnel.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product restricts audit tool modification to system programmers, security administrator, and audit personnel. If access is not restricted, this is a finding.

The Mainframe Product must protect audit tools from unauthorized deletion.

Finding ID
SRG-APP-000123-MFP-000179
Rule ID
SV-82791r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000123-MFP-000179
CCI
CCI-001495
Target Key
(None)
Documentable
No
Discussion

Protecting audit data also includes identifying and protecting the tools used to view and manipulate log data. Therefore, protecting audit tools is necessary to prevent unauthorized operation on audit data. Applications providing tools to interface with audit data will leverage user permissions and roles identifying the user accessing the tools and the corresponding rights the user enjoys in order make access decisions regarding the deletion of audit tools. Audit tools include, but are not limited to, vendor-provided and open source audit tools needed to successfully view and manipulate audit information system activity and records. Audit tools include custom queries and report generators.

Fix Text

Configure the Mainframe Product to restrict audit tool deletion to system programmers, security administrators, and audit personnel.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine installation and configuration settings. Verify the Mainframe Product restricts the ability to delete audit tool to system programmers, security administrators, and audit personnel. If access is not restricted, this is a finding.

The Mainframe Product must use cryptographic mechanisms to protect the integrity of audit tools.

Finding ID
SRG-APP-000290-MFP-000182
Rule ID
SV-82793r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000290-MFP-000182
CCI
CCI-001496
Target Key
(None)
Documentable
No
Discussion

Protecting the integrity of the tools used for auditing purposes is a critical step to ensuring the integrity of audit data. Audit data includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. 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. It is not uncommon for attackers to replace the audit tools or inject code into the existing tools with the purpose of providing the capability to hide or erase system activity from the audit logs. To address this risk, audit tools must be cryptographically signed in order to provide the capability to identify when the audit tools have been modified, manipulated, or replaced. An example is a checksum hash of the file or files.

Fix Text

Configure the Mainframe Product to use cryptographic mechanisms to protect the integrity of audit tools.

Check Content

If the Mainframe Product does not perform audit data management or storage functions, this is not applicable. Examine the Mainframe Product Installation settings. If the Mainframe Product does not use cryptographic mechanisms to protect the integrity of audit tools, this is a finding.

The Mainframe product must prohibit user installation of software without explicit privileged status.

Finding ID
SRG-APP-000378-MFP-000185
Rule ID
SV-82795r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000378-MFP-000185
CCI
CCI-001812
Target Key
(None)
Documentable
No
Discussion

Allowing regular users to install software, without explicit privileges, creates the risk that untested or potentially malicious software will be installed on the system. Explicit privileges (escalated or administrative privileges) provide the regular user with explicit capabilities and control that exceeds the rights of a regular user. Application functionality will vary, and while users are not permitted to install unapproved applications, there may be instances where the organization allows the user to install approved software packages, such as from an approved software repository. The application must enforce software installation by users based on what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect) by the organization. This requirement applies, for example, to applications that provide the ability to extend application functionality (e.g., plug-ins, add-ons) and software management applications.

Fix Text

Configure the Mainframe Product to prohibit user installation of software without explicit privileged status. If the Mainframe Product uses an ESM, configure the ESM to include rules for installation of software-privileged roles. Configure the roles to restrict access for software installation to the user with privilege status.

Check Content

Examine installation and configuration settings for change management. If the Mainframe Product does not identify installation privilege roles and prohibit user installation of software without explicit privileged status, this is a finding. If the Mainframe Product uses an external security manager (ESM) and there are no rules for the identified roles and access is not restricted to appropriate privileged users according to site security plan, this is a finding.

The Mainframe Product must implement organization-defined automated security responses if baseline configurations are changed in an unauthorized manner.

Finding ID
SRG-APP-000379-MFP-000186
Rule ID
SV-82797r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000379-MFP-000186
CCI
CCI-001744
Target Key
(None)
Documentable
No
Discussion

Unauthorized changes to the baseline configuration could make the system vulnerable to various attacks or allow unauthorized access to the system. Changes to information system configurations can have unintended side effects, some of which may be relevant to security. Detecting such changes and providing an automated response can help avoid unintended, negative consequences that could ultimately affect the security state of the application. Examples of security responses include, but are not limited to, the following: halting application processing; halting selected application functions; or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.

Fix Text

Configure installation and/or configuration auditing settings to implement organization-defined automated security responses if baseline configurations are changed in an unauthorized manner.

Check Content

Examine Installation configuration settings. If the Mainframe Product does not implement organization-defined automated security responses if baseline configurations are changed in an unauthorized manner, this is a finding.

The Mainframe Product must enforce access restrictions associated with changes to application configuration.

Finding ID
SRG-APP-000380-MFP-000187
Rule ID
SV-82799r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000380-MFP-000187
CCI
CCI-001813
Target Key
(None)
Documentable
No
Discussion

Failure to provide logical access restrictions associated with changes to application 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 and/or application 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 application components for the purposes of initiating changes, including upgrades and modifications. Logical access restrictions include, for example, controls that restrict access to workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).

Fix Text

Configure Mainframe Product change management settings to enforce access restrictions associated with changes to application configuration to appropriate users according to organizational change policies. If the Mainframe Product uses an ESM, configure rules to restrict access associated with application configuration change to appropriate users according to organizational change policies.

Check Content

Examine Configuration settings. Examine organization change management policies. If the Mainframe Product does not enforce access restriction associated with changes to the application in accordance with change management policies, this is a finding. If the Mainframe Product uses an external security manager (ESM), examine rules for change management access. If there are no rules for this access or access is not restricted to users in accordance with change management policies, this is a finding.

The Mainframe Product must audit the enforcement actions used to restrict access associated with changes to the application.

Finding ID
SRG-APP-000381-MFP-000188
Rule ID
SV-82801r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000381-MFP-000188
CCI
CCI-001814
Target Key
(None)
Documentable
No
Discussion

Without auditing the enforcement of access restrictions against changes to the application configuration, it will be difficult to identify attempted attacks and an audit trail will not be available for forensic investigation for after-the-fact actions. Enforcement actions are the methods or mechanisms used to prevent unauthorized changes to configuration settings. Enforcement action methods may be as simple as denying access to a file based on the application of file permissions (access restriction). Audit items may consist of lists of actions blocked by access restrictions or changes identified after the fact.

Fix Text

Configure Mainframe Product change management settings to audit the enforcement actions used to restrict access associated with changes to application configuration to appropriate users according to organizational change policies.

Check Content

Examine Configuration settings. Examine organization change management policies. If the Mainframe Product does not audit the enforcement actions used to access restriction associated with changes to the application in accordance with change management policies using System Management Facility (SMF) or an external security manager audit, this is a finding.

The Mainframe Product must prevent the installation of patches, service packs, or application components without verification that the software component has been digitally signed using a certificate that is recognized and approved by the organization.

Finding ID
SRG-APP-000131-MFP-000189
Rule ID
SV-82803r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000131-MFP-000189
CCI
CCI-001749
Target Key
(None)
Documentable
No
Discussion

Changes to any software components can have significant effects on the overall security of the application. Verifying software components have been digitally signed using a certificate that is recognized and approved by the organization ensures the software has not been tampered with and that it has been provided by a trusted vendor. Accordingly, patches, service packs, or application components must be signed with a certificate recognized and approved by the organization. Verifying the authenticity of the software prior to installation validates the integrity of the patch or upgrade received from a vendor. This ensures the software has not been tampered with and that it has been provided by a trusted vendor. Self-signed certificates are disallowed by this requirement. The application should not have to verify the software again. This requirement does not mandate DoD certificates for this purpose; however, the certificate used to verify the software must be from an approved CA.

Fix Text

Configure installation and configuration settings for change management to prevent the installation of patches, service packs, or application components without verification that the software component has been digitally signed using a certificate that is recognized and approved by the organization.

Check Content

Examine installation and configuration settings for change management. If the Mainframe Product does not prevent the installation of patches, service packs, or application components without verification that the software component has been digitally signed using a certificate that is recognized and approved by the organization, this is a finding.

The Mainframe Product must limit privileges to change the Mainframe Product installation datasets to system programmers and authorized users in accordance with applicable access control policies.

Finding ID
SRG-APP-000133-MFP-000192
Rule ID
SV-82805r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000133-MFP-000192
CCI
CCI-001499
Target Key
(None)
Documentable
No
Discussion

If the application were to allow any user to make changes to software libraries, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process. This requirement applies to applications with software libraries that are accessible and configurable, as in the case of interpreted languages. Software libraries also include privileged programs that execute with escalated privileges. Only qualified and authorized individuals must be allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications.

Fix Text

Configure the Mainframe Product to limit privileges to changing Mainframe Product installation datasets to system programmers or security managers or other authorized users as directed by applicable access control policies. This can be accomplished with an ESM. Configure the ESM to restrict update and greater access to Mainframe Product installation datasets to system programmers or security managers or other authorized users in accordance with applicable access control policies.

Check Content

If an external security manager (ESM) is in use, examine the ESM configurations and rules. If the ESM does not restrict update or greater access to installation datasets to system programmers or security managers or other authorized users as directed by applicable access control policies, this is a finding. If an ESM is NOT in use, examine the Mainframe Product installation and configuration settings. If the Mainframe Product does not restrict update or greater access to Installation datasets to system programmers or security managers or other authorized users as directed by applicable access control policies, this is a finding.

The Mainframe Product must limit privileges to change Mainframe Product started task and job datasets to system programmers and authorized users in accordance with applicable access control policies.

Finding ID
SRG-APP-000133-MFP-000193
Rule ID
SV-82807r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000133-MFP-000193
CCI
CCI-001499
Target Key
(None)
Documentable
No
Discussion

If the application were to allow any user to make changes to software libraries, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process. This requirement applies to applications with software libraries that are accessible and configurable, as in the case of interpreted languages. Software libraries also include privileged programs that execute with escalated privileges. Only qualified and authorized individuals must be allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications.

Fix Text

Configure the Mainframe Product to limit privileges to Mainframe Products started tasks and sob datasets to system programmers or other authorized users in accordance with applicable access control policies. This can be accomplished with an ESM. Configure the ESM to restrict update and greater access to Mainframe Product started tasks and job datasets to system programmers or other authorized users in accordance with applicable access control policies.

Check Content

If an external security manager (ESM) is in use, examine the ESM configurations and rules. If the ESM does not restrict update or greater access to started task and job datasets to system programmers or security managers or other authorized users as directed by applicable access control policies, this is a finding. If an ESM is NOT in use, examine the Mainframe Product installation and configuration settings. If the Mainframe Product does not restrict update or greater access to installation and job datasets to system programmers or security managers or other authorized users as directed by applicable access control policies, this is a finding.

The Mainframe Product must limit privileges to change Mainframe Product user datasets to authorized individuals.

Finding ID
SRG-APP-000133-MFP-000194
Rule ID
SV-82809r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000133-MFP-000194
CCI
CCI-001499
Target Key
(None)
Documentable
No
Discussion

If the application were to allow any user to make changes to software libraries, then those changes might be implemented without undergoing the appropriate testing and approvals that are part of a robust change management process. This requirement applies to applications with software libraries that are accessible and configurable, as in the case of interpreted languages. Software libraries also include privileged programs that execute with escalated privileges. Only qualified and authorized individuals must be allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications.

Fix Text

Configure the Mainframe Product to limit privileges to changing the software resident within software libraries. This can be accomplished with an ESM. Configure the ESM to restrict update and greater access to Mainframe Product started tasks and job datasets to security administrators in accordance with applicable access control policies.

Check Content

If an external security manager (ESM) is in use, check the ESM rules and configuration. If there are no rules for Mainframe Product user datasets or the rules do not restrict access to Mainframe Product user datasets to authorized users as directed by applicable access control policies, this is a finding. If an ESM is NOT in use, examine installation and configuration settings. If the Mainframe Product does not restrict access to Mainframe Product user datasets to authorized users as directed by applicable access control policies, this is a finding.

The Mainframe Product must be configured in accordance with the security configuration settings based on DoD security configuration or implementation guidance, including STIGs, NSA configuration guides, CTOs, and DTMs.

Finding ID
SRG-APP-000516-MFP-000195
Rule ID
SV-82811r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000516-MFP-000195
CCI
CCI-000366
Target Key
(None)
Documentable
No
Discussion

Configuring the application to implement organization-wide security implementation guides and security checklists ensures compliance with federal standards and establishes a common security baseline across DoD that reflects the most restrictive security posture consistent with operational requirements. Configuration settings are the set of parameters that can be changed that affect the security posture and/or functionality of the system. Security-related parameters are those parameters impacting the security state of the application, including the parameters required to satisfy other security control requirements.

Fix Text

Configure the Mainframe Product to adhere to site policies.

Check Content

Refer to site security configuration policies. Refer to Mainframe Product security documentation. Examine configuration settings. If configuration settings do not adhere to site policies, this is a finding.

The Mainframe Product must be configured to disable non-essential capabilities.

Finding ID
SRG-APP-000141-MFP-000200
Rule ID
SV-82815r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000141-MFP-000200
CCI
CCI-000381
Target Key
(None)
Documentable
No
Discussion

It is detrimental for applications to provide, or install by default, functionality exceeding requirements or mission objectives. These unnecessary capabilities or services are often overlooked and therefore may remain unsecured. They increase the risk to the platform by providing additional attack vectors. 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 (e.g., key missions, functions). Examples of non-essential capabilities include, but are not limited to, advertising software or browser plug-ins not related to requirements or providing a wide array of functionality not required for every mission, but cannot be disabled.

Fix Text

Configure the Mainframe Product installation and/or configurations to remove sample and demonstrative components.

Check Content

Refer to Mainframe Product installation documentation to determine sample and default demonstrative components. Examine installation settings. If there are any sample or default demonstrative components in the installation, this is a finding.

The Mainframe Product must require users to reauthenticate when circumstances or situations require reauthentication as defined in site security plan.

Finding ID
SRG-APP-000389-MFP-000204
Rule ID
SV-82817r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000389-MFP-000204
CCI
CCI-002038
Target Key
(None)
Documentable
No
Discussion

Without reauthentication, users may access resources or perform tasks for which they do not have authorization. When applications provide the capability to change security roles or escalate the functional capability of the application, it is critical the user reauthenticate. In addition to the reauthentication requirements associated with session locks, organizations may require reauthentication of individuals and/or devices in other situations, including (but not limited to) the following circumstances. (i) When authenticators change; (ii) When roles change; (iii) When security categories of information systems change; (iv) When the execution of privileged functions occurs; (v) After a fixed period of time; or (vi) Periodically. Within the DoD, the minimum circumstances requiring reauthentication are privilege escalation and role changes.

Fix Text

Configure the Mainframe Product to require user reauthentication when circumstances or situations require reauthentication as defined in site security plan.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require user reauthentication when circumstances or situations require reauthentication as defined in site security plan, this is not a finding.

The Mainframe Product must require devices to reauthenticate when circumstances or situations require reauthentication as defined in site security plan.

Finding ID
SRG-APP-000390-MFP-000205
Rule ID
SV-82819r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000390-MFP-000205
CCI
CCI-002039
Target Key
(None)
Documentable
No
Discussion

Without reauthenticating devices, unidentified or unknown devices may be introduced, thereby facilitating malicious activity. In addition to the reauthentication requirements associated with session locks, organizations may require reauthentication of devices, including (but not limited to), the following other situations. (i) When authenticators change; (ii) When roles change; (iii) When security categories of information systems change; (iv) After a fixed period of time; or (v) Periodically. For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification decisions (as opposed to the actual identifiers) to the services that need to act on those decisions. Gateways and SOA applications are examples of where this requirement would apply.

Fix Text

Configure the Mainframe Product to require devices to reauthenticate when circumstances or situations require reauthentication as defined in site security plan.

Check Content

If the Mainframe Product has no function or capability for device logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require devices to reauthenticate when circumstances or situations require reauthentication as defined in site security plan, this is not a finding.

The Mainframe Product must uniquely identify and authenticate organizational users (or processes acting on behalf of organizational users).

Finding ID
SRG-APP-000148-MFP-000206
Rule ID
SV-82821r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000148-MFP-000206
CCI
CCI-000764
Target Key
(None)
Documentable
No
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 in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity.

Fix Text

Configure the Mainframe Product account management settings to uniquely identify and authenticate organizational users (or processes acting on behalf of organizational users).

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product does not uniquely identify and authenticate organizational users (or processes acting on behalf of organizational users), this is a finding.

The Mainframe Product must use multifactor authentication for network access to privileged accounts.

Finding ID
SRG-APP-000149-MFP-000207
Rule ID
SV-82823r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000149-MFP-000207
CCI
CCI-000765
Target Key
(None)
Documentable
No
Discussion

Without the use of multifactor authentication, the ease of access to privileged functions is greatly increased. Multifactor authentication requires using two or more factors to achieve authentication. Factors include: (i) something a user knows (e.g., password/PIN); (ii) something a user has (e.g., cryptographic identification device, token); or (iii) something a user is (e.g., biometric). A privileged account is defined as an information system account with authorizations of a privileged user. Network access is defined as access to an information system by a user (or a process acting on behalf of a user) communicating through a network (e.g., local area network, wide area network, or the Internet).

Fix Text

Configure the Mainframe Product account management settings to require multifactor authentication for network access to privileged accounts.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require multifactor authentication for network access to privileged accounts, this is not a finding

The Mainframe Product must accept Personal Identity Verification (PIV) credentials.

Finding ID
SRG-APP-000391-MFP-000208
Rule ID
SV-82825r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000391-MFP-000208
CCI
CCI-001953
Target Key
(None)
Documentable
No
Discussion

The use of PIV credentials facilitates standardization and reduces the risk of unauthorized access. DoD has mandated the use of the CAC to support identity management and personal authentication for systems covered under HSPD 12, as well as a primary component of layered protection for national security systems.

Fix Text

Configure the Mainframe Product account management settings to accept PIV credentials.

Check Content

If the Mainframe Product uses an external security manager for all account management, this is not applicable. Examine user account management configurations. If the Mainframe Product account management is not configured to accept PIV credentials, this is a finding.

The Mainframe Product must electronically verify Personal Identity Verification (PIV) credentials.

Finding ID
SRG-APP-000392-MFP-000209
Rule ID
SV-82827r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000392-MFP-000209
CCI
CCI-001954
Target Key
(None)
Documentable
No
Discussion

The use of PIV credentials facilitates standardization and reduces the risk of unauthorized access. DoD has mandated the use of the CAC to support identity management and personal authentication for systems covered under HSPD 12, as well as a primary component of layered protection for national security systems.

Fix Text

Configure the Mainframe Product account management settings to electronically verify PIV credentials.

Check Content

If the Mainframe Product uses an external security manager (ESM) for all account management, this is not applicable. Examine user account management configurations. If the Mainframe Product account management settings are not configured to electronically verify PIV credentials, this is a finding.

The Mainframe Product must use multifactor authentication for network access to non-privileged accounts.

Finding ID
SRG-APP-000150-MFP-000211
Rule ID
SV-82829r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000150-MFP-000211
CCI
CCI-000766
Target Key
(None)
Documentable
No
Discussion

To assure accountability and prevent unauthenticated access, non-privileged users must use multifactor authentication to prevent potential misuse and compromise of the system. Multifactor authentication uses two or more factors to achieve authentication. Factors include: (i) Something you know (e.g., password/PIN); (ii) Something you have (e.g., cryptographic identification device, token); or (iii) Something you are (e.g., biometric). A non-privileged account is any information system account with authorizations of a non-privileged user. Network access is any access to an application by a user (or process acting on behalf of a user) where said access is obtained through a network connection. Applications integrating with the DoD Active Directory and using the DoD CAC are examples of compliant multifactor authentication solutions.

Fix Text

Configure the Mainframe Product account management settings to require multifactor authentication for network access to non-privileged accounts.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require multifactor authentication for network access to non-privileged accounts, this is not a finding

The Mainframe Product must verify users are authenticated with an individual authenticator prior to using a group authenticator.

Finding ID
SRG-APP-000153-MFP-000214
Rule ID
SV-82859r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000153-MFP-000214
CCI
CCI-000770
Target Key
(None)
Documentable
No
Discussion

To assure individual accountability and prevent unauthorized access, application users must be individually identified and authenticated. Individual accountability mandates that each user is uniquely identified. A group authenticator is a shared account or some other form of authentication that allows multiple unique individuals to access the application using a single account. If an application allows or provides for group authenticators, it must first individually authenticate users prior to implementing group authenticator functionality. Some applications may not have the need to provide a group authenticator; this is considered a matter of application design. In those instances where the application design includes the use of a group authenticator, this requirement will apply. There may also be instances when specific user actions need to be performed on the information system without unique user identification or authentication. An example of this type of access is a web server which contains publicly releasable information.

Fix Text

Configure the Mainframe Product account management settings to require users to authenticate with an individual authenticator prior to using a group authenticator.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require users to authenticate with an individual authenticator prior to using a group authenticator, this is not a finding

The Mainframe Product must enforce a minimum 15-character password length.

Finding ID
SRG-APP-000164-MFP-000227
Rule ID
SV-82861r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000164-MFP-000227
CCI
CCI-000205
Target Key
(None)
Documentable
No
Discussion

The shorter the password, the lower the number of possible combinations that need to be tested before the password is compromised. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password length is one factor of several that helps to determine strength and how long it takes to crack a password. The shorter the password, the lower the number of possible combinations that need to be tested before the password is compromised. Use of more characters in a password helps to exponentially increase the time and/or resources required to compromise the password.

Fix Text

Configure the Mainframe Product account management to enforce a minimum 15-character password length.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not enforce a minimum 15-character password length, this is a finding.

The Mainframe Product must enforce password complexity by requiring that at least one uppercase character be used.

Finding ID
SRG-APP-000166-MFP-000228
Rule ID
SV-82863r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000166-MFP-000228
CCI
CCI-000192
Target Key
(None)
Documentable
No
Discussion

Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password is, the greater the number of possible combinations that need to be tested before the password is compromised.

Fix Text

Configure the Mainframe Product account management settings to require the use of at least one uppercase character in passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product does not require at least one uppercase character be used in passwords, this is a finding.

The Mainframe Product must enforce password complexity by requiring that at least one lowercase character be used.

Finding ID
SRG-APP-000167-MFP-000229
Rule ID
SV-82865r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000167-MFP-000229
CCI
CCI-000193
Target Key
(None)
Documentable
No
Discussion

Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised.

Fix Text

Configure the Mainframe Product account management settings to require the use of at least one lowercase character in passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configurations do not require at least one lowercase character be used in passwords, this is a finding.

The Mainframe Product must enforce password complexity by requiring that at least one numeric character be used.

Finding ID
SRG-APP-000168-MFP-000230
Rule ID
SV-82867r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000168-MFP-000230
CCI
CCI-000194
Target Key
(None)
Documentable
No
Discussion

Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor of several that determine how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised.

Fix Text

Configure the Mainframe Product account management settings to require the use of at least one numeric character in passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configurations do not require at least one numeric character be used in passwords, this is a finding.

The Mainframe Product must enforce password complexity by requiring that at least one special character be used.

Finding ID
SRG-APP-000169-MFP-000231
Rule ID
SV-82871r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000169-MFP-000231
CCI
CCI-001619
Target Key
(None)
Documentable
No
Discussion

Use of a complex password helps to increase the time and resources required to compromise the password. Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. Password complexity is one factor in determining how long it takes to crack a password. The more complex the password, the greater the number of possible combinations that need to be tested before the password is compromised. Special characters are characters that are not alphanumeric. Examples include: ~ ! @ # $ % ^ *.

Fix Text

Configure the Mainframe Product to enforce password complexity by requiring the use of at least one special character in passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product does not enforce password complexity by requiring at least one special character be used, this is a finding.

The Mainframe Product must require the change of at least 8 of the total number of characters when passwords are changed.

Finding ID
SRG-APP-000170-MFP-000232
Rule ID
SV-82873r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000170-MFP-000232
CCI
CCI-000195
Target Key
(None)
Documentable
No
Discussion

If the application allows the user to consecutively reuse extensive portions of passwords, this increases the chances of password compromise by increasing the window of opportunity for attempts at guessing and brute-force attacks. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. In other words, characters may be the same within the two passwords; however, the positions of the like characters must be different.

Fix Text

Configure the Mainframe Product account management settings to require the change of at least 8 of the total characters when passwords are changed.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management settings do not require the change of at least 8 of the total characters when passwords are changed, this is a finding.

The Mainframe Product must store only cryptographically protected passwords.

Finding ID
SRG-APP-000171-MFP-000233
Rule ID
SV-82875r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000171-MFP-000233
CCI
CCI-000196
Target Key
(None)
Documentable
No
Discussion

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

Fix Text

Configure the Mainframe Product account management to store only cryptographically protected passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not require that only cryptographically protected passwords are stored, this is a finding.

The Mainframe Product must transmit only cryptographically protected passwords.

Finding ID
SRG-APP-000172-MFP-000234
Rule ID
SV-82877r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000172-MFP-000234
CCI
CCI-000197
Target Key
(None)
Documentable
No
Discussion

Passwords need to be protected at all times and encryption is the standard method for protecting passwords. If passwords are not encrypted, they can be plainly read (i.e., clear text) and easily compromised. Applications can accomplish this by making direct function calls to encryption modules or by leveraging operating system encryption capabilities.

Fix Text

Configure the Mainframe Product account management to transmit only cryptographically protected passwords.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not require transmittal of only cryptographically protected passwords, this is a finding.

The Mainframe Product must enforce 24 hours/1 day as the minimum password lifetime.

Finding ID
SRG-APP-000173-MFP-000235
Rule ID
SV-82879r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000173-MFP-000235
CCI
CCI-000198
Target Key
(None)
Documentable
No
Discussion

Enforcing a minimum password lifetime helps prevent repeated password changes to defeat the password reuse or history enforcement requirement. Restricting this setting limits the user's ability to change their password. Passwords need to be changed at specific policy-based intervals; however, if the application allows the user to immediately and continually change their password, then the password could be repeatedly changed in a short period of time to defeat the organization's policy regarding password reuse.

Fix Text

Configure the Mainframe Product account management to enforce 24 hours/1 day as the minimum password lifetime.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not enforce 24 hours/1 day as the minimum password lifetime, this is a finding.

The Mainframe Product must enforce a 60-day maximum password lifetime restriction.

Finding ID
SRG-APP-000174-MFP-000236
Rule ID
SV-82881r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000174-MFP-000236
CCI
CCI-000199
Target Key
(None)
Documentable
No
Discussion

Any password, no matter how complex, can eventually be cracked. Therefore, passwords need to be changed at specific intervals. One method of minimizing this risk is to use complex passwords and periodically change them. If the application does not limit the lifetime of passwords and force users to change their passwords, there is the risk that the system and/or application passwords could be compromised. This requirement does not include emergency administration accounts that are meant for access to the application in case of failure. These accounts are not required to have maximum password lifetime restrictions.

Fix Text

Configure the Mainframe Product account management settings to enforce a 60-day maximum password lifetime restriction.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not enforce a 60-day maximum password lifetime restriction, this is a finding.

The Mainframe Product must prohibit password reuse for a minimum of five generations.

Finding ID
SRG-APP-000165-MFP-000237
Rule ID
SV-82883r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000165-MFP-000237
CCI
CCI-000200
Target Key
(None)
Documentable
No
Discussion

Password complexity, or strength, is a measure of the effectiveness of a password in resisting attempts at guessing and brute-force attacks. To meet password policy requirements, passwords need to be changed at specific policy-based intervals. If the information system or application allows the user to consecutively reuse their password when that password has exceeded its defined lifetime, the end result is a password that is not changed per policy requirements.

Fix Text

Configure the Mainframe Product account management to prohibit password reuse for a minimum of five generations.

Check Content

If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configuration does not prohibit password reuse for a minimum of five generations, this is a finding.

The Mainframe Product must allow the use of a temporary password for system logons with an immediate change to a permanent password.

Finding ID
SRG-APP-000397-MFP-000238
Rule ID
SV-82885r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000397-MFP-000238
CCI
CCI-002041
Target Key
(None)
Documentable
No
Discussion

Without providing this capability, an account may be created without a password. Non-repudiation cannot be guaranteed once an account is created if a user is not forced to change the temporary password upon initial logon. Temporary passwords are typically used to allow access to applications when new accounts are created or passwords are changed. It is common practice for administrators to create temporary passwords for user accounts that allow the users to log on, yet force them to change the password once they have successfully authenticated.

Fix Text

Configure the Mainframe Product account management settings to allow the use of a temporary password for system logons with an immediate change to a permanent password.

Check Content

If the mainframe product uses an external security manager for all account management functions, this is not applicable. Examine Mainframe Product account management settings. If the Mainframe Product account management settings do not allow for the use of a temporary password for system logons with an immediate change to a permanent password, this is a finding.

The Mainframe Product must prohibit the use of cached authenticators after one hour.

Finding ID
SRG-APP-000400-MFP-000241
Rule ID
SV-82887r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000400-MFP-000241
CCI
CCI-002007
Target Key
(None)
Documentable
No
Discussion

If cached authentication information is out of date, the validity of the authentication information may be questionable.

Fix Text

Configure the Mainframe Product account management settings to prohibit the use of cached authenticators after one hour.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to prohibit the use of cached authenticators after one hour, this is not a finding.

The Mainframe Product, when using PKI-based authentication, must validate certificates by constructing a certification path (which includes status information) to an accepted trust anchor.

Finding ID
SRG-APP-000175-MFP-000242
Rule ID
SV-82889r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000175-MFP-000242
CCI
CCI-000185
Target Key
(None)
Documentable
No
Discussion

Without path validation, an informed trust decision by the relying party cannot be made when presented with any certificate not already explicitly trusted. A trust anchor is an authoritative entity represented via a public key and associated data. It is used in the context of public key infrastructures, X.509 digital certificates, and DNSSEC. When there is a chain of trust, usually the top entity to be trusted becomes the trust anchor; it can be, for example, a Certification Authority (CA). A certification path starts with the subject certificate and proceeds through a number of intermediate certificates up to a trusted root certificate, typically issued by a trusted CA. This requirement verifies that a certification path to an accepted trust anchor is used for certificate validation and that the path includes status information. Path validation is necessary for a relying party to make an informed trust decision when presented with any certificate not already explicitly trusted. Status information for certification paths includes certificate revocation lists or online certificate status protocol responses. Validation of the certificate status information is out of scope for this requirement.

Fix Text

Configure the Mainframe Product account management settings to validate certificates by constructing a certification path (which includes status information) to an accepted trust anchor when using PKI-based authentication.

Check Content

If the Mainframe Product uses an external security manager (ESM) for all account management, this is not applicable. Examine user account management configurations. If the Mainframe Product account management is not configured to validate certificates by constructing a certification path (which includes status information) to an accepted trust anchor when using PKI-based authentication, this is a finding.

The Mainframe Product, when using PKI-based authentication, must enforce authorized access to the corresponding private key.

Finding ID
SRG-APP-000176-MFP-000243
Rule ID
SV-82891r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000176-MFP-000243
CCI
CCI-000186
Target Key
(None)
Documentable
No
Discussion

If the private key is discovered, an attacker can use the key to authenticate as an authorized user and gain access to the network infrastructure. The cornerstone of the PKI is the private key used to encrypt or digitally sign information. If the private key is stolen, this will lead to the compromise of the authentication and non-repudiation gained through PKI because the attacker can use the private key to digitally sign documents and pretend to be the authorized user. Both the holders of a digital certificate and the issuing authority must protect the computers, storage devices, or whatever they use to keep the private keys.

Fix Text

Configure the Mainframe Product account management settings to enforce authorized access to the corresponding private key when using PKI-based authentication.

Check Content

If the Mainframe Product employs an external security manager (ESM) for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product account management configurations do not enforce authorized access to the corresponding private key when using PKI-based authentication, this is a finding.

The Mainframe Product must map the authenticated identity to the individual user or group account for PKI-based authentication.

Finding ID
SRG-APP-000177-MFP-000244
Rule ID
SV-82893r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000177-MFP-000244
CCI
CCI-000187
Target Key
(None)
Documentable
No
Discussion

Without mapping the certificate used to authenticate to the user account, the ability to determine the identity of the individual user or group will not be available for forensic analysis.

Fix Text

Configure the Mainframe Product account management settings to map the authenticated identity to the individual user or group account for PKI-based authentication.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is not configured to map the authenticated identity to the individual user or group account for PKI-based authentication, this is a finding.

The Mainframe Product must obscure feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

Finding ID
SRG-APP-000178-MFP-000246
Rule ID
SV-82895r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000178-MFP-000246
CCI
CCI-000206
Target Key
(None)
Documentable
No
Discussion

To prevent the compromise of authentication information such as passwords 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. Displaying asterisks when a user types in a password is an example of obscuring feedback of authentication information.

Fix Text

Configure the Mainframe Product account management settings to obscure feedback of authentication information during the authentication process.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine Mainframe Product installation settings; examine user account configurations. If the Mainframe Product is not configured to obscure feedback of authentication information during the authentication process, this is a finding.

The Mainframe Product must use mechanisms meeting the requirements of applicable federal laws, Executive orders, directives, policies, regulations, standards, and guidance for authentication to a cryptographic module.

Finding ID
SRG-APP-000179-MFP-000247
Rule ID
SV-82897r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000179-MFP-000247
CCI
CCI-000803
Target Key
(None)
Documentable
No
Discussion

Unapproved mechanisms that are used for authentication to the cryptographic module are not verified and therefore cannot be relied on to provide confidentiality or integrity, and DoD data may be compromised. Applications using encryption are required to use FIPS-compliant mechanisms for authenticating to cryptographic modules. FIPS 140-2 is the current standard for validating that mechanisms used to access cryptographic modules use authentication that meets DoD requirements.

Fix Text

Configure the Mainframe Product account management settings to be FIPS 140 compliant.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is configured to be FIPS 140 compliant, this is not a finding.

The Mainframe Product must uniquely identify and authenticate non-organizational users (or processes acting on behalf of non-organizational users).

Finding ID
SRG-APP-000180-MFP-000248
Rule ID
SV-82899r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000180-MFP-000248
CCI
CCI-000804
Target Key
(None)
Documentable
No
Discussion

Lack of authentication and identification enables non-organizational users to gain access to the application or possibly other information systems and provides an opportunity for intruders to compromise resources within the application or information system. 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 and guest researchers). 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.

Fix Text

Configure the Mainframe Product account management settings to uniquely identify and authenticate non-organizational users

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine installation and configuration settings. Examine user account configurations. If the Mainframe Product does not uniquely identify and authenticate non-organizational users, this is a finding.

The Mainframe Product must accept Personal Identity Verification (PIV) credentials from other federal agencies.

Finding ID
SRG-APP-000402-MFP-000249
Rule ID
SV-82901r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000402-MFP-000249
CCI
CCI-002009
Target Key
(None)
Documentable
No
Discussion

Access may be denied to authorized users if federal agency PIV credentials are not accepted. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

Fix Text

Configure the Mainframe Product account management settings to accept PIV credentials from other federal agencies.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is not configured to accept PIV credentials from other federal agencies, this is a finding.

The Mainframe Product must electronically verify Personal Identity Verification (PIV) credentials from other federal agencies.

Finding ID
SRG-APP-000403-MFP-000250
Rule ID
SV-82903r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000403-MFP-000250
CCI
CCI-002010
Target Key
(None)
Documentable
No
Discussion

Inappropriate access may be granted to unauthorized users if federal agency PIV credentials are not electronically verified. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

Fix Text

Configure the Mainframe Product account management settings to electronically verify PIV credentials from other federal agencies.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is not configured to electronically verify PIV credentials from other federal agencies, this is a finding.

The Mainframe Product must accept FICAM-approved third-party credentials.

Finding ID
SRG-APP-000404-MFP-000251
Rule ID
SV-82905r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000404-MFP-000251
CCI
CCI-002011
Target Key
(None)
Documentable
No
Discussion

Access may be denied to legitimate users if FICAM-approved third-party credentials are not accepted. This requirement typically applies to organizational information systems that are accessible to non-federal government agencies and other partners. This allows federal government relying parties to trust such credentials at their approved assurance levels. Third-party credentials are those credentials issued by non-federal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative.

Fix Text

Configure the Mainframe Product account management settings to accept FICAM-approved third-party credentials.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is not configured to accept FICAM-approved third-party credentials, this is a finding.

The Mainframe Product must conform to FICAM-issued profiles.

Finding ID
SRG-APP-000405-MFP-000252
Rule ID
SV-82907r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000405-MFP-000252
CCI
CCI-002014
Target Key
(None)
Documentable
No
Discussion

Without conforming to FICAM-issued profiles, the information system may not be interoperable with FICAM-authentication protocols, such as SAML 2.0 and OpenID 2.0. This requirement addresses open identity management standards.

Fix Text

Configure the Mainframe Product account management settings to conform to FICAM-issued profiles.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account configurations. If the Mainframe Product is not configured to conform to FICAM-issued profiles, this is a finding.

Mainframe Products scanning for malicious code must scan all media used for system maintenance prior to use.

Finding ID
SRG-APP-000073-MFP-000255
Rule ID
SV-82909r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000073-MFP-000255
CCI
CCI-000870
Target Key
(None)
Documentable
No
Discussion

There are security-related issues arising from software brought into the information system specifically for diagnostic and repair actions (e.g., a software packet sniffer installed on a system in order to troubleshoot system traffic, or a vendor installing or running a diagnostic application in order to troubleshoot an issue with a vendor-supported system). If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures. This requirement addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This requirement does not cover hardware/software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch).

Fix Text

Configure the Mainframe Product to scan all media used in maintenance prior to use.

Check Content

If the Mainframe Product has no function or capability for scanning activity, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to scan all media brought into the organization for diagnostic and testing purposes for intentional or unintentionally included malicious code prior to use, this is a finding.

Mainframe Products must audit nonlocal maintenance and diagnostic sessions audit events as defined in site security plan.

Finding ID
SRG-APP-000409-MFP-000257
Rule ID
SV-82911r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000409-MFP-000257
CCI
CCI-002884
Target Key
(None)
Documentable
No
Discussion

If events associated with nonlocal administrative access or diagnostic sessions are not logged and audited, a major tool for assessing and investigating attacks would not be available. This requirement addresses auditing-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. This requirement applies to hardware/software diagnostic test equipment or tools. This requirement does not cover hardware/software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch).

Fix Text

Configure the Mainframe Product to audit the nonlocal maintenance and diagnostic sessions audit events defined in site security plan using external security manager files and/or SMF records.

Check Content

If the Mainframe Product has no function or capability for nonlocal maintenance this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not audit the nonlocal maintenance and diagnostic sessions audit events defined in site security plan using external security manager files and/or SMF records, this is a finding.

Mainframe Products must implement cryptographic mechanisms to protect the integrity of nonlocal maintenance and diagnostic communications.

Finding ID
SRG-APP-000411-MFP-000260
Rule ID
SV-82913r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000411-MFP-000260
CCI
CCI-002890
Target Key
(None)
Documentable
No
Discussion

Privileged access contains control and configuration information which is particularly sensitive, so additional protections are necessary. This is maintained by using cryptographic mechanisms to protect integrity. Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. This requirement applies to hardware/software diagnostic test equipment or tools. This requirement does not cover hardware/software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch). The application can meet this requirement through leveraging a cryptographic module.

Fix Text

Configure the Mainframe Product to use FIPS 140 compliant modules to protect the integrity of nonlocal maintenance and diagnostic communications.

Check Content

If the Mainframe Product has no function or capability for nonlocal maintenance, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not use FIPS 140 compliant modules to protect the integrity of nonlocal maintenance and diagnostic communications, this is a finding.

Mainframe Products must implement cryptographic mechanisms to protect the confidentiality of nonlocal maintenance and diagnostic communications.

Finding ID
SRG-APP-000412-MFP-000261
Rule ID
SV-82915r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000412-MFP-000261
CCI
CCI-003123
Target Key
(None)
Documentable
No
Discussion

Privileged access contains control and configuration information which is particularly sensitive, so additional protections are necessary. This is maintained by using cryptographic mechanisms to protect confidentiality. Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. The application can meet this requirement through leveraging a cryptographic module.

Fix Text

Configure the Mainframe Product to use FIPS 140 compliant modules to protect the confidentiality of nonlocal maintenance and diagnostic communications.

Check Content

If the Mainframe Product has no function or capability for nonlocal maintenance, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not use FIPS 140 compliant modules to protect the confidentiality of nonlocal maintenance and diagnostic communications, this is a finding.

Mainframe Products must verify remote disconnection at the termination of nonlocal maintenance and diagnostic sessions.

Finding ID
SRG-APP-000413-MFP-000262
Rule ID
SV-82917r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000413-MFP-000262
CCI
CCI-002891
Target Key
(None)
Documentable
No
Discussion

If the remote connection is not closed and verified as closed, the session may remain open and be exploited by an attacker; this is referred to as a zombie session. Remote connections must be disconnected and verified as disconnected when nonlocal maintenance sessions have been terminated and are no longer available for use.

Fix Text

Configure the Mainframe Product to verify remote disconnection at the termination of nonlocal maintenance and diagnostic sessions.

Check Content

If the Mainframe Product has no function or capability for nonlocal maintenance, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not verify remote disconnection at the termination of nonlocal maintenance and diagnostic sessions, this is a finding.

The Mainframe Product must terminate all sessions and network connections when nonlocal maintenance is completed.

Finding ID
SRG-APP-000186-MFP-000264
Rule ID
SV-82919r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000186-MFP-000264
CCI
CCI-000879
Target Key
(None)
Documentable
No
Discussion

If a maintenance session or connection remains open after maintenance is completed, it may be hijacked by an attacker and used to compromise or damage the system. Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. This requirement applies to hardware/software diagnostic test equipment or tools. This requirement does not cover hardware/software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch).

Fix Text

Configure the Mainframe Product to terminate all sessions and network connections when nonlocal maintenance is completed.

Check Content

If the Mainframe Product has no function or capability for nonlocal maintenance this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not terminate all sessions and network connections when nonlocal maintenance is completed, this is a finding.

The Mainframe Product must implement privileged access authorization to all information systems and infrastructure components for selected vulnerability scanning activities as defined in the site security plan.

Finding ID
SRG-APP-000414-MFP-000265
Rule ID
SV-82921r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000414-MFP-000265
CCI
CCI-001067
Target Key
(None)
Documentable
No
Discussion

In certain situations, the nature of the vulnerability scanning may be more intrusive, or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning. The vulnerability scanning application must use privileged access authorization for the scanning account.

Fix Text

Configure the Mainframe Product account management settings to restrict privilege access to all information system infrastructure components to appropriate personnel.

Check Content

If the Mainframe Product has no function or capability to perform vulnerability scanning function this is not applicable. Examine installation and configuration settings. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. If the Mainframe Product does not restrict privilege access to all information system infrastructure components to appropriate personnel, this is a finding.

The Mainframe Product must implement NSA-approved cryptography to protect classified information in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Finding ID
SRG-APP-000416-MFP-000269
Rule ID
SV-82923r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000416-MFP-000269
CCI
CCI-002450
Target Key
(None)
Documentable
No
Discussion

Use of weak or untested encryption algorithms undermines the purposes of using 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.

Fix Text

Configure the Mainframe Product to implement NSA-approved cryptography to protect classified information using an external security manager.

Check Content

If the Mainframe Product is deployed in an unclassified environment, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not implement NSA-approved cryptography to protect classified information using an external security manager (ESM), this is a finding.

The Mainframe Product must implement NIST FIPS-validated cryptography to provision digital signatures in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Finding ID
SRG-APP-000514-MFP-000270
Rule ID
SV-82925r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000514-MFP-000270
CCI
CCI-002450
Target Key
(None)
Documentable
No
Discussion

Use of weak or untested encryption algorithms undermines the purposes of using 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.

Fix Text

Configure the Mainframe Product settings to implement FIPS 140 cryptography to provision digital signatures in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Check Content

Examine installation and configuration settings. If the Mainframe Product does not implement FIPS 140 cryptography to provision digital signatures in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards, this is a finding.

The Mainframe Product must implement NIST FIPS-validated cryptography to generate and validate cryptographic hashes in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Finding ID
SRG-APP-000514-MFP-000272
Rule ID
SV-82927r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000514-MFP-000272
CCI
CCI-002450
Target Key
(None)
Documentable
No
Discussion

Use of weak or untested encryption algorithms undermines the purposes of using 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.

Fix Text

Configure the Mainframe Product settings to implement FIPS 140 cryptography to generate and validate cryptographic hashes in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Check Content

Examine installation and configuration settings. If the Mainframe Product does not implement FIPS 140 cryptography to generate and validate cryptographic hashes in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards, this is a finding.

The Mainframe Product must implement NIST FIPS-validated cryptography to protect unclassified information requiring confidentiality and cryptographic protection in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Finding ID
SRG-APP-000514-MFP-000274
Rule ID
SV-82929r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000514-MFP-000274
CCI
CCI-002450
Target Key
(None)
Documentable
No
Discussion

Use of weak or untested encryption algorithms undermines the purposes of using 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.

Fix Text

Configure the Mainframe Product settings to implement FIPS 140 cryptography to protect unclassified information requiring confidentiality and cryptographic protection in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards.

Check Content

Examine installation and configuration settings. If the Mainframe Product does not implement FIPS 140 cryptography to protect unclassified information requiring confidentiality and cryptographic protection in accordance with applicable federal laws, Executive orders, directives, policies, regulations, and standards, this is a finding.

The Mainframe Product must identify prohibited mobile code.

Finding ID
SRG-APP-000206-MFP-000277
Rule ID
SV-82935r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000206-MFP-000277
CCI
CCI-001166
Target Key
(None)
Documentable
No
Discussion

Decisions regarding the employment of mobile code within applications are based on the potential for the code to cause damage to the system if used maliciously. Mobile code is defined as software modules obtained from remote systems, transferred across a network, and then downloaded and executed on a local system without explicit installation or execution by the recipient. DoD has identified prohibited mobile code in DoDI 8552.01 as: all Category 1X mobile code, unsigned Category 1A mobile code, Category 2 mobile code that violates usage requirements, all Emerging Technologies mobile code (all mobile code technologies, systems, platforms, or languages whose capabilities and threat level have not yet undergone a risk assessment and been assigned to a risk category), and all mobile code that downloads via an email body or email attachment that executes automatically when the user opens the email body or attachment. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed, downloaded, or executed on all endpoints (e.g., servers, workstations, and smart phones). This requirement applies to applications that execute, evaluate, or otherwise process mobile code (e.g., web applications, browsers, and anti-virus applications).

Fix Text

Configure the Mainframe Product to identify mobile code in the installation.

Check Content

If the Mainframe Product has no function for the use of mobile code, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not identify mobile code in the installation, this is a finding.

The Mainframe Product must block, quarantine, and/or alert system administrators when prohibited mobile code is identified.

Finding ID
SRG-APP-000207-MFP-000278
Rule ID
SV-82937r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000207-MFP-000278
CCI
CCI-001662
Target Key
(None)
Documentable
No
Discussion

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code is defined as software modules obtained from remote systems, transferred across a network, and then downloaded and executed on a local system without explicit installation or execution by the recipient. DoD has defined the corrective actions to be taken, when prohibited mobile code is identified, in DoDI 8552.01, "Use of Mobile Code Technologies in DoD Information Systems". DoD has identified prohibited mobile code in DoDI 8552.01 as: all Category 1X mobile code, unsigned Category 1A mobile code, Category 2 mobile code that violates usage requirements, all Emerging Technologies mobile code (all mobile code technologies, systems, platforms, or languages whose capabilities and threat level have not yet undergone a risk assessment and been assigned to a risk category), and all mobile code that downloads via an email body or email attachment that executes automatically when the user opens the email body or attachment. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed, downloaded, or executed on all endpoints (e.g., servers, workstations, and smart phones). This requirement applies to applications that execute, evaluate, or otherwise process mobile code (e.g., web applications, browsers, and anti-virus applications). Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.

Fix Text

Configure the Mainframe Product to block and/or alert system programmers and security administrators when prohibited mobile code is identified.

Check Content

If the Mainframe Product has no function for the use of mobile code, this is not applicable. Examine installation and configuration settings. If the Mainframe Product does not block and/or alert system programmers and security administrators when prohibited mobile code is identified, this is a finding.

The Mainframe Product must prevent the download of prohibited mobile code.

Finding ID
SRG-APP-000209-MFP-000279
Rule ID
SV-82939r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000209-MFP-000279
CCI
CCI-001169
Target Key
(None)
Documentable
No
Discussion

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code is defined as software modules obtained from remote systems, transferred across a network, and then downloaded and executed on a local system without explicit installation or execution by the recipient. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed, downloaded, or executed on all endpoints (e.g., servers, workstations, and smart phones). This requirement applies to applications that execute, evaluate, or otherwise process mobile code (e.g., web applications, browsers, and anti-virus applications).

Fix Text

Configure the Mainframe Product to prevent the download of prohibited mobile code.

Check Content

If the Mainframe Product has no function or capability for mobile code use, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to prevent the download of prohibited mobile code, this is a finding.

The Mainframe Product must prevent the execution of prohibited mobile code.

Finding ID
SRG-APP-000112-MFP-000280
Rule ID
SV-82941r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000112-MFP-000280
CCI
CCI-001695
Target Key
(None)
Documentable
No
Discussion

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code is defined as software modules obtained from remote systems, transferred across a network, and then downloaded and executed on a local system without explicit installation or execution by the recipient. Actions enforced before executing mobile code include, for example, prompting users prior to opening email attachments and disabling automatic execution. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed, downloaded, or executed on all endpoints (e.g., servers, workstations, and smart phones). This requirement applies to applications that execute, evaluate, or otherwise process mobile code (e.g., web applications, browsers, and anti-virus applications).

Fix Text

Configure the Mainframe Product to prevent the execution of prohibited mobile code.

Check Content

If the Mainframe Product has no function or capability for mobile code use, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to prevent the execution of prohibited mobile code, this is a finding.

The Mainframe Product must prevent the automatic execution of mobile code in, at a minimum, office applications, browsers, email clients, mobile code run-time environments, and mobile agent systems.

Finding ID
SRG-APP-000210-MFP-000281
Rule ID
SV-82943r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000210-MFP-000281
CCI
CCI-001170
Target Key
(None)
Documentable
No
Discussion

Mobile code can cause damage to the system. It can execute without explicit action from, or notification to, a user. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components. This requirement applies to mobile code-enabled software, which is capable of executing one or more types of mobile code.

Fix Text

Configure the Mainframe Product to prevent the automatic execution of mobile code in all applications.

Check Content

If the Mainframe Product has no function or capability for mobile code use, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to prevent the automatic execution of mobile code in all applications, this is a finding.

The Mainframe Product must prompt the user for action prior to executing mobile code.

Finding ID
SRG-APP-000488-MFP-000282
Rule ID
SV-82945r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000488-MFP-000282
CCI
CCI-002460
Target Key
(None)
Documentable
No
Discussion

Mobile code can cause damage to the system. It can execute without explicit action from, or notification to, a user. Actions enforced before executing mobile code include, for example, prompting users prior to opening email attachments and disabling automatic execution. This requirement applies to mobile code-enabled software, which is capable of executing one or more types of mobile code.

Fix Text

Configure the Mainframe Product to prompt the user for action before executing mobile code.

Check Content

If the Mainframe Product has no function or capability for mobile code use, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to prompt user for action before executing mobile code, this is a finding.

The Mainframe Product must separate user functionality (including user interface services) from information system management functionality.

Finding ID
SRG-APP-000211-MFP-000283
Rule ID
SV-82947r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000211-MFP-000283
CCI
CCI-001082
Target Key
(None)
Documentable
No
Discussion

Application management functionality includes functions necessary for administration and requires privileged user access. Allowing non-privileged users to access application management functionality capabilities increases the risk that non-privileged users may obtain elevated privileges. The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, different TCP/UDP ports, virtualization techniques, combinations of these methods, or other methods, as appropriate. An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources. This may include isolating the administrative interface on a different security domain and with additional access controls.

Fix Text

Configure the Mainframe Product to load user modules into a separate dataset than system management modules.

Check Content

Examine installation and configuration settings. User module should be loaded into a separate dataset than system management modules. If the Mainframe Product does not differentiate user functionality from product management functionality, this is a finding.

The Mainframe Product must fail to a secure state if system initialization fails, shutdown fails, or aborts fail.

Finding ID
SRG-APP-000225-MFP-000300
Rule ID
SV-82949r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000225-MFP-000300
CCI
CCI-001190
Target Key
(None)
Documentable
No
Discussion

Failure to a known safe state helps prevent systems from failing to a state that may cause loss of data or unauthorized access to system resources. Applications or systems that fail suddenly and with no incorporated failure state planning may leave the hosting system available but with a reduced security protection capability. Preserving information system state information also facilitates system restart and return to the operational mode of the organization with less disruption of mission-essential processes. In general, application security mechanisms should be designed so that a failure will follow the same execution path as disallowing the operation. For example, security methods, such as is Authorized(), is Authenticated(), and validate(), should all return false if there is an exception during processing. If security controls can throw exceptions, they must be very clear about exactly what that condition means. Abort refers to stopping a program or function before it has finished naturally. The term abort refers to both requested and unexpected terminations.

Fix Text

Configure the Mainframe Product to secure all processes to a secure state (i.e., not allowing access to protected privileges and procedures in the event of failure).

Check Content

Examine installation and configuration settings. If the Mainframe Product is not configured to secure all processes to a secure state (i.e., not allowing access to protected privileges and procedures in the event of failure), this is a finding.

In the event of application failure, Mainframe Products must preserve any information necessary to determine the cause of failure and any information necessary to return to operations with the least disruption to mission processes.

Finding ID
SRG-APP-000226-MFP-000301
Rule ID
SV-82951r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000226-MFP-000301
CCI
CCI-001665
Target Key
(None)
Documentable
No
Discussion

Failure to a known state can address safety or security in accordance with the mission/business needs of the organization. Failure to a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. Preserving application state information helps to facilitate application restart and return to the operational mode of the organization with less disruption to mission-essential processes.

Fix Text

Configure the Mainframe Product to preserve information necessary to determine cause of failure and to assist in the return to normal operation.

Check Content

Examine installation and configuration settings. If the Mainframe Product is not configured to preserve information necessary to determine cause of failure and to assist in the return to normal operation, this is a finding.

The Mainframe Product must protect the confidentiality and integrity of all information at rest.

Finding ID
SRG-APP-000231-MFP-000302
Rule ID
SV-82953r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000231-MFP-000302
CCI
CCI-001199
Target Key
(None)
Documentable
No
Discussion

Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive and tape drive) within an organizational information system. Mobile devices, laptops, desktops, and storage devices can be either lost or stolen, and the contents of their data storage (e.g., hard drives and non-volatile memory) can be read, copied, or altered. Applications and application users generate information throughout the course of their application use. This requirement addresses protection of user-generated data, as well as, operating system-specific configuration data. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate, in accordance with the security category and/or classification of the information.

Fix Text

Configure the Mainframe Product to protect the product system and user files for dataset/resources from unauthorized access in accordance with applicable access control policies. This can be accomplished using an ESM. Configure the ESM to restrict access to authorized users only in accordance with applicable access control policies.

Check Content

Examine installation and configuration settings. Verify that the Mainframe Product identifies product system-related files and user files for dataset/resource protection. If the Mainframe Product is not configured to protect product system and user files for dataset/resources from unauthorized access, this is a finding. If an external security manager (ESM) is in use, examine ESM configuration and rules. If the configuration and rules do not protect product system-related files and user files for dataset resources from unauthorized access, this is a finding.

The Mainframe Product must implement cryptographic mechanisms to prevent unauthorized modification of all information not cleared for public release at rest on system components outside of organization facilities.

Finding ID
SRG-APP-000428-MFP-000303
Rule ID
SV-82955r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000428-MFP-000303
CCI
CCI-002475
Target Key
(None)
Documentable
No
Discussion

Applications handling data requiring "data at rest" protections must employ cryptographic mechanisms to prevent unauthorized disclosure and modification of the information at rest. Selection of a cryptographic mechanism is based on the need to protect the integrity of organizational information. The strength of the mechanism is commensurate with the security category and/or classification of the information. Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields).

Fix Text

Configure the Mainframe Product to implement cryptographic mechanisms to prevent unauthorized modification of all information not cleared for public release at rest on system components outside of organization facilities.

Check Content

Examine installation and configuration settings. Review requirements for relevant organizational or site-defined information. If the Mainframe Product does not have cryptographic mechanisms implemented to prevent unauthorized modification of all information not cleared for public release at rest on system components outside of organization facilities, this is a finding.

The Mainframe Product must implement cryptographic mechanisms to prevent unauthorized disclosure of all information not cleared for public release at rest on system components outside of organization facilities.

Finding ID
SRG-APP-000429-MFP-000304
Rule ID
SV-82957r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000429-MFP-000304
CCI
CCI-002476
Target Key
(None)
Documentable
No
Discussion

Applications handling data requiring "data at rest" protections must employ cryptographic mechanisms to prevent unauthorized disclosure and modification of the information at rest. Selection of a cryptographic mechanism is based on the need to protect the confidentiality of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields).

Fix Text

Configure the Mainframe Product to implement cryptographic mechanisms to prevent unauthorized disclosure of all information not cleared for public release at rest on system components outside of organization facilities.

Check Content

Examine installation and configuration settings. Review requirements for relevant organization or site-defined information. If the Mainframe Product does not have cryptographic mechanisms implemented to prevent unauthorized disclosure of all information not cleared for public release at rest on system components outside of organization facilities, this is a finding.

The Mainframe Product must isolate security functions from nonsecurity functions.

Finding ID
SRG-APP-000233-MFP-000305
Rule ID
SV-82959r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000233-MFP-000305
CCI
CCI-001084
Target Key
(None)
Documentable
No
Discussion

An isolation boundary provides access control and protects the integrity of the hardware, software, and firmware that perform security functions. Security functions are the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based. Developers and implementers can increase the assurance in security functions by employing well-defined security policy models; structured, disciplined, and rigorous hardware and software development techniques; and sound system/security engineering principles. Implementation may include isolation of memory space and libraries. Applications restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities.

Fix Text

Configure the Mainframe Product to load security modules into a separate dataset than nonsecurity modules.

Check Content

Examine installation and configuration settings. Security modules should be loaded into different datasets than nonsecurity modules. If the Mainframe Product does not differentiate between security and nonsecurity functions and provide procedure to isolate the functions, this is a finding.

The Mainframe Product must maintain a separate execution domain for each executing process.

Finding ID
SRG-APP-000431-MFP-000312
Rule ID
SV-82961r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000431-MFP-000312
CCI
CCI-002530
Target Key
(None)
Documentable
No
Discussion

Applications 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 performed in a manner 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. An example is a web browser with process isolation that provides tabs that are separate processes using separate address spaces to prevent one tab crashing the entire browser.

Fix Text

Configure the Mainframe Product to uniquely define and engineer each session to execute independently of any other session.

Check Content

If the Mainframe Product has no function or capability for multi-session operation, this is not applicable. If the Mainframe Product is not configured to uniquely define and engineer each session to execute independently of any other session, this is a finding.

The Mainframe Product must check the validity of all data inputs except those specifically identified by the organization.

Finding ID
SRG-APP-000251-MFP-000328
Rule ID
SV-82963r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000251-MFP-000328
CCI
CCI-001310
Target Key
(None)
Documentable
No
Discussion

Invalid user input occurs when a user inserts data or characters into an application's data entry fields and the application is unprepared to process that data. This results in unanticipated application behavior, potentially leading to an application or information system compromise. Invalid input is one of the primary methods employed when attempting to compromise an application. Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.

Fix Text

Configure the Mainframe Product to validate input.

Check Content

If the Mainframe Product has no function or capability for user/data input, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to validate input, this is a finding.

The Mainframe Product must behave in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

Finding ID
SRG-APP-000447-MFP-000332
Rule ID
SV-82965r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000447-MFP-000332
CCI
CCI-002754
Target Key
(None)
Documentable
No
Discussion

A common vulnerability of applications is unpredictable behavior when invalid inputs are received. This requirement guards against adverse or unintended system behavior caused by invalid inputs, where information system responses to the invalid input may be disruptive or cause the system to fail into an unsafe state. The behavior will be derived from the organizational and system requirements and includes, but is not limited to, notification of the appropriate personnel, creating an audit record, and rejecting invalid input.

Fix Text

Configure the Mainframe Product to behave in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

Check Content

If the Mainframe Product has no function or capability for user/data input, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to behave in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received, this is a finding.

The Mainframe Product must generate error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries.

Finding ID
SRG-APP-000266-MFP-000334
Rule ID
SV-82967r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000266-MFP-000334
CCI
CCI-001312
Target Key
(None)
Documentable
No
Discussion

Any application providing too much information in error messages risks compromising the data and security of the application and system. The structure and content of error messages needs to be carefully considered by the organization and development team. Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information, such as account numbers, social security numbers, and credit card numbers.

Fix Text

Configure the Mainframe Product to limit information provided to only that which is necessary for corrective actions.

Check Content

Examine product documentation and code. If error messages do not limit information provided to only that which is necessary for corrective actions, this is a finding.

The Mainframe Product must reveal full-text detail error messages only to system programmers and/or security administrators.

Finding ID
SRG-APP-000267-MFP-000335
Rule ID
SV-82969r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000267-MFP-000335
CCI
CCI-001314
Target Key
(None)
Documentable
No
Discussion

Only authorized personnel should be aware of errors and the details of the errors. Error messages are an indicator of an organization's operational state or can identify the application. Additionally, Personally Identifiable Information (PII) and operational information must not be revealed through error messages to unauthorized personnel or their designated representatives. The structure and content of error messages must 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.

Fix Text

Configure the Mainframe Product to restrict full text detailed error message to system programmers and/or security administrators only.

Check Content

Examine product documentation and code. If full text detailed error message are not restricted to system programmers and/or security administrators, this is a finding.

The Mainframe Product must implement security safeguards to protect its memory from unauthorized code execution.

Finding ID
SRG-APP-000450-MFP-000338
Rule ID
SV-82971r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000450-MFP-000338
CCI
CCI-002824
Target Key
(None)
Documentable
No
Discussion

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism. Examples of attacks are buffer overflow attacks.

Fix Text

Configure the Mainframe Product to identify critical core programs to the operating system for protection in accordance with applicable access control policies. This can be accomplished by an external security manager (ESM). Configure the ESM to restrict access to these critical core programs to appropriate users in accordance with applicable access control policies.

Check Content

Examine installation and configuration settings. Determine if critical core programs to the operating system are identified. If the Mainframe Product does not protect critical core programs, this is a finding. If an external security manager (ESM) is in use verify that the ESM is configured and/or has rules to protect critical core programs. If it does not, this is a finding.

The Mainframe Product must remove all upgraded/replaced software components that are no longer required for operation after updated versions have been installed.

Finding ID
SRG-APP-000454-MFP-000343
Rule ID
SV-82973r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000454-MFP-000343
CCI
CCI-002617
Target Key
(None)
Documentable
No
Discussion

Previous versions of software components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software automatically from the information system.

Fix Text

Configure the Mainframe Product to remove all upgraded/replaced software components that are no longer required for operation.

Check Content

Examine inventory of installed software components for the Mainframe Product. If the Mainframe Product does not remove all upgraded/replaced software components that are no longer required for operation, this is a finding.

The Mainframe Product must install security-relevant software updates within the time period directed by an authoritative source (e.g., IAVMs, CTOs, DTMs, and STIGs).

Finding ID
SRG-APP-000456-MFP-000345
Rule ID
SV-82975r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000456-MFP-000345
CCI
CCI-002605
Target Key
(None)
Documentable
No
Discussion

Security flaws with software applications are discovered daily. Vendors are constantly updating and patching their products to address newly discovered security vulnerabilities. Organizations (including any contractor to the organization) are required to promptly install security-relevant software updates (e.g., patches, service packs, and hot fixes). 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 used must be a configurable parameter. Time frames for application of security-relevant software updates may be dependent upon the Information Assurance Vulnerability Management (IAVM) process. The application will be configured to check for and install security-relevant software updates within an identified time period from the availability of the update. The specific time period will be defined by an authoritative source (e.g., IAVM, CTOs, DTMs, and STIGs).

Fix Text

Install security relevant updates as required.

Check Content

Review Mainframe Product published Version release information. Review authoritative sources. If security relevant updates are not installed as required, this is a finding.

The Mainframe Product must automatically update malicious code protection mechanisms.

Finding ID
SRG-APP-000272-MFP-000347
Rule ID
SV-82977r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000272-MFP-000347
CCI
CCI-001247
Target Key
(None)
Documentable
No
Discussion

Malicious software detection applications need to be constantly updated in order to identify new threats as they are discovered. All malicious software detection software must come with an update mechanism that automatically updates the application and any associated signature definitions. The organization (including any contractor to the organization) is required to promptly install security-relevant malicious code protection software updates. Examples of relevant updates include anti-virus signatures, detection heuristic rule sets, and/or file reputation data employed to identify and/or block malicious software from executing. Malicious code includes viruses, worms, Trojan horses, and Spyware. This requirement applies to applications providing malicious code protection.

Fix Text

Configure the Mainframe Product to receive automatic updates using organizational-defined procedures.

Check Content

If the Mainframe Product has no function or capability for providing malicious code scanning or protection, this is not applicable. Refer to organizational-defined update procedures. Examine installation and configuration settings. If the Mainframe Product is not configured to receive automatic updates using organizational-defined procedures, this is a finding.

The Mainframe Product must update malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures.

Finding ID
SRG-APP-000276-MFP-000353
Rule ID
SV-82979r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000276-MFP-000353
CCI
CCI-001240
Target Key
(None)
Documentable
No
Discussion

Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code specific to mainframes may be any code that corrupts system files. The code provides the ability for a malicious user to read from and write to files and folders on a computer's hard drive. Malicious code may also be able to run and attach programs, which may allow the unauthorized distribution of malicious mobile code. Once this code is installed on endpoints within the network, unauthorized users may be able to breach firewalls and gain access to sensitive data. This requirement applies to applications providing malicious code protection. Malicious code protection mechanisms include, but are not limited to, anti-virus and malware detection software. Malicious code protection mechanisms specific to Mainframe Products are designed to periodically scan system files to validate their integrity. Malicious code protection mechanisms (including signature definitions and rule sets) must be updated when new releases are available.

Fix Text

Configure the Mainframe Product to install new releases using organizational configuration management policy and procedures.

Check Content

If the Mainframe Product has no function or capability for providing malicious code scanning or protection, this is not applicable. Refer to organizational configuration management policy and procedures. Examine installation and configuration settings. If the Mainframe Product is not configured to install new releases using organizational configuration management policy and procedure, this is a finding.

The Mainframe Product must configure malicious code protection mechanisms to perform periodic scans of the information system every seven days.

Finding ID
SRG-APP-000277-MFP-000354
Rule ID
SV-82981r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000277-MFP-000354
CCI
CCI-001241
Target Key
(None)
Documentable
No
Discussion

Malicious code protection mechanisms include, but are not limited to, anti-virus and malware detection software. Malicious code protection mechanisms specific to Mainframe Products are designed to periodically scan system files to validate their integrity. In order to minimize potential negative impact to the organization that can be caused by malicious code, it is imperative that malicious code is identified and eradicated. Malicious code includes viruses, worms, Trojan horses, and spyware. It is not enough to simply have the software installed; this software must periodically scan the system to search for malware on an organization-defined frequency. This requirement applies to applications providing malicious code protection.

Fix Text

Configure the Mainframe Product to perform periodic scans of information system every seven days.

Check Content

If the Mainframe Product has no function or capability for providing malicious code scanning or protection, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to perform periodic scans of information system every seven days, this is a finding.

The Mainframe Product performing organization-defined security functions must verify correct operation of security functions.

Finding ID
SRG-APP-000472-MFP-000370
Rule ID
SV-82983r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000472-MFP-000370
CCI
CCI-002696
Target Key
(None)
Documentable
No
Discussion

Without verification, security functions may not operate correctly and this failure may go unnoticed. Security function is defined as the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based. Security functionality includes, but is not limited to, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. This requirement applies to applications performing security functions and the applications performing security function verification/testing.

Fix Text

If necessary, configure the Mainframe Product configuration and installation settings to perform verification of the correct operation of security functions.

Check Content

Examine the installation, configuration, and product documentation. If the Mainframe Product verification of the correct operation of security functions, which may include the valid connection to an external security manager (ESM), is not performed, this is a finding.

The Mainframe Product must perform verification of the correct operation of security functions upon system startup and/or restart; upon command by a user with privileged access; and/or every 30 days.

Finding ID
SRG-APP-000473-MFP-000371
Rule ID
SV-82985r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000473-MFP-000371
CCI
CCI-002699
Target Key
(None)
Documentable
No
Discussion

Without verification, security functions may not operate correctly and this failure may go unnoticed. Security function is defined as the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based. Security functionality includes, but is not limited to, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications, such as lights. This requirement applies to applications performing security functions and the applications performing security function verification/testing.

Fix Text

If necessary, configure the Mainframe Product configuration and installation settings to perform verification of the correct operation of security functions, which may include the valid connection to an ESM, upon product startup/restart, or by a user with privileged access, and/or every 30 days.

Check Content

Examine the installation, configuration, and product documentation. If the Mainframe Product verification of the correct operation of security functions, which may include the valid connection to an external security manager (ESM), is not performed upon product startup/restart, or by a user with privileged access, and/or every 30 days, this is a finding.

The Mainframe product must notify the system programmer and security administrator of failed security verification tests.

Finding ID
SRG-APP-000275-MFP-000372
Rule ID
SV-82987r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000275-MFP-000372
CCI
CCI-001294
Target Key
(None)
Documentable
No
Discussion

If personnel are not notified of failed security verification tests, they will not be able to take corrective action and the unsecure condition(s) will remain. Security function is defined as the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based. Security functionality includes, but is not limited to, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Notifications provided by information systems include messages to local computer consoles, and/or hardware indications, such as lights. This requirement applies to applications performing security functions and the applications performing security function verification/testing.

Fix Text

Configure the Mainframe Product to notify the system programmer and security administrator of failed security verification tests.

Check Content

Review Mainframe Product Installation instructions and settings. If the Mainframe Product does not provide a message to the system programmer and security administrator to notify of failed security verification tests, this is a finding.

The Mainframe Product must either shut down, restart, and/or notify the appropriate personnel when anomalies in the operation of the security functions as defined in site security plan are discovered.

Finding ID
SRG-APP-000474-MFP-000373
Rule ID
SV-82989r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000474-MFP-000373
CCI
CCI-002702
Target Key
(None)
Documentable
No
Discussion

If anomalies are not acted on, security functions may fail to secure the system. Security function is defined as the hardware, software, and/or firmware of the information system responsible for enforcing the system security policy and supporting the isolation of code and data on which the protection is based. Security functionality includes, but is not limited to, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Notifications provided by information systems include messages to local computer consoles, and/or hardware indications, such as lights. This requirement applies to applications performing security functions and the applications performing security function verification/testing.

Fix Text

Configure the Mainframe Product to shut down; and/or restart and notify system programmer and operation staff when anomalies in the operation of the security functions as defined in site security plan are discovered.

Check Content

Examine installation and configuration setting If the Mainframe Product is not configured to shut down; and/or restart and notify system programmer and operation staff when anomalies in the operation of security functions as defined by site security plan are discovered, this is a finding.

The Mainframe product must perform an integrity check of all software from vendors/sources that provide cryptographic mechanisms to enable the validation of code authenticity and integrity at startup, at transitional states as defined in site security plan or security-relevant events, or annually.

Finding ID
SRG-APP-000475-MFP-000374
Rule ID
SV-82991r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000475-MFP-000374
CCI
CCI-002710
Target Key
(None)
Documentable
No
Discussion

Unauthorized changes to software can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications. Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort. This requirement applies to integrity verification tools that are used to detect unauthorized changes to organization-defined software.

Fix Text

Configure the Mainframe Product to perform an integrity check of all software from vendors/sources that provide cryptographic mechanisms to enable the validation of code authenticity and integrity at startup, at transitional states as defined in site security plan or security-relevant events, or annually.

Check Content

If the Mainframe Product has no function or capability for integrity verification, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to perform an integrity check of all software from vendors/sources that provide cryptographic mechanisms to enable the validation of code authenticity and integrity at startup, at transitional states as defined in site security plan or security-relevant events, or annually, this is a finding.

The Mainframe Product must perform an integrity check of information as defined in site security plan at startup, at transitional states as defined in site security plan or security-relevant events, or annually.

Finding ID
SRG-APP-000477-MFP-000376
Rule ID
SV-82993r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000477-MFP-000376
CCI
CCI-002712
Target Key
(None)
Documentable
No
Discussion

Unauthorized changes to information can occur due to errors or malicious activity (e.g., tampering). Information includes metadata, such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications. Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort. This requirement applies to integrity verification tools that are used to detect unauthorized changes to organization-defined information.

Fix Text

Configure the Mainframe Product to perform integrity check of inform as defined in site security plan at startup, at transitional states as defined in site security plan or security-relevant events, or annually.

Check Content

If the Mainframe Product has no function or capability for integrity verification, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to perform an integrity check of information as defined in site security plan at startup, at transitional states as defined in site security plan or security-relevant events, or annually, this is a finding.

The Mainframe Product must automatically shut down the information system, restart the information system, and/or implement security safeguards as conditions as defined in site security plan when integrity violations are discovered.

Finding ID
SRG-APP-000480-MFP-000379
Rule ID
SV-82995r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000480-MFP-000379
CCI
CCI-002715
Target Key
(None)
Documentable
No
Discussion

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Information includes metadata, such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications. Organizations may define different integrity checking and anomaly responses by type of information (e.g., firmware, software, user data); by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, restarting the information system, notification to the appropriate personnel or roles, or triggering audit alerts when unauthorized modifications to critical security files occur. This capability must take into account operational requirements for availability for selecting an appropriate response.

Fix Text

Configure the Mainframe Product to automatically shut down the information system, restart the information system, and/or implement security safeguards as conditions as defined in site security plan when integrity violations are discovered.

Check Content

If the Mainframe Product has no function or capability for integrity verification, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to automatically shut down the information system, restart the information system, and/or implement security safeguards as conditions as defined in site security plan when integrity violations are discovered, this is a finding.

The Mainframe Product must audit detected potential integrity violations.

Finding ID
SRG-APP-000484-MFP-000383
Rule ID
SV-82997r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000484-MFP-000383
CCI
CCI-002723
Target Key
(None)
Documentable
No
Discussion

Without an audit capability, an integrity violation may not be detected. Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations. The integrity verification application must have the capability to audit and it must be enabled.

Fix Text

Configure the Mainframe Product to audit detected potential integrity violations.

Check Content

If the Mainframe Product has no function or capability for integrity verification, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to audit detected potential integrity violations, this is a finding.

The Mainframe Product, upon detection of a potential integrity violation, must initiate one or more of the following actions: generate an audit record, alert the current user, alert personnel or roles as defined in the site security plan, and/or perform other actions as defined in site security plan.

Finding ID
SRG-APP-000485-MFP-000384
Rule ID
SV-82999r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000485-MFP-000384
CCI
CCI-002724
Target Key
(None)
Documentable
No
Discussion

Without an audit capability, an integrity violation may not be detected. Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations. The integrity verification application must be configured to perform one or more of following actions: generates an audit record; alerts current user; alerts organization-defined personnel or roles. The organization may define additional actions to be taken.

Fix Text

Configure the Mainframe Product to alert the current user, alert personnel or roles as defined in site security plan, and/or perform other actions as defined in site security plan.

Check Content

If the Mainframe Product has no function or capability for integrity verification, this is not applicable. Examine installation and configuration settings. If the Mainframe Product is not configured to generate an audit record, alert the current user, alert personnel or roles as defined in site security plan, and/or perform other actions as defined in site security plan, this is a finding.

The Mainframe Product must use multifactor authentication for local access to privileged accounts.

Finding ID
SRG-APP-000151-MFP-000212
Rule ID
SV-83001r1_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000151-MFP-000212
CCI
CCI-000767
Target Key
(None)
Documentable
No
Discussion

To assure accountability and prevent unauthenticated access, privileged users must use multifactor authentication to prevent potential misuse and compromise of the system. Multifactor authentication is defined as: using two or more factors to achieve authentication. Factors include: (i) Something a user knows (e.g., password/PIN); (ii) Something a user has (e.g., cryptographic identification device, token); or (iii) Something a user is (e.g., biometric). A privileged account is defined as an information system account with authorizations of a privileged user. Local access is defined as access to an organizational information system by a user (or process acting on behalf of a user) communicating through a direct connection without the use of a network. Applications integrating with the DoD Active Directory and using the DoD CAC are examples of compliant multifactor authentication solutions.

Fix Text

Configure the Mainframe Product account management settings to require multifactor authentication for local access to privileged accounts.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require multifactor authentication for local access to privileged accounts, this is not a finding

The Mainframe Product must use multifactor authentication for local access to non-privileged accounts.

Finding ID
SRG-APP-000152-MFP-000213
Rule ID
SV-83003r2_rule
Severity
Cat II
CCE
(None)
Group Title
SRG-APP-000152-MFP-000213
CCI
CCI-000768
Target Key
(None)
Documentable
No
Discussion

To assure accountability, prevent unauthenticated access, and prevent misuse of the system, non-privileged users must use multifactor authentication for local access. Multifactor authentication is defined as: using two or more factors to achieve authentication. Factors include: (i) Something a user knows (e.g., password/PIN); (ii) Something a user has (e.g., cryptographic identification device, token); or (iii) Something a user is (e.g., biometric). A non-privileged account is defined as an information system account with authorizations of a regular or non-privileged user. Local access is defined as access to an organizational information system by a user (or process acting on behalf of a user) communicating through a direct connection without the use of a network. Applications integrating with the DoD Active Directory and using the DoD CAC are examples of compliant multifactor authentication solutions.

Fix Text

Configure the Mainframe Product account management settings to require multifactor authentication for local access to non-privileged accounts.

Check Content

If the Mainframe Product has no function or capability for user logon, this is not applicable. If the Mainframe Product employs an external security manager for all account management functions, this is not applicable. Examine user account management configurations. If the Mainframe Product is configured to require multifactor authentication for local access to non-privileged accounts, this is not a finding