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XCCDF
NetApp ONTAP DSC 9.x Security Technical Implementation Guide
Profiles
III - Administrative Public
III - Administrative Public
An XCCDF Profile
Details
Items
Prose
29 rules organized in 29 groups
SRG-APP-000003-NDM-000202
1 Rule
ONTAP must be configured to create a session lock after 15 minutes.
Medium Severity
A session lock is a temporary network device or administrator-initiated action taken when the administrator stops work but does not log out of the network device. Rather than relying on the user to manually lock their management session prior to vacating the vicinity, network devices need to be able to identify when a management session has idled and take action to initiate the session lock. Once invoked, the session lock must remain in place until the administrator re-authenticates. No other system activity aside from re-authentication must unlock the management session. Note that CCI-001133 requires that administrative network sessions be disconnected after 10 minutes of idle time. This requirement may only apply to local administrative sessions.
SRG-APP-000319-NDM-000283
1 Rule
ONTAP must automatically audit account-enabling actions.
Medium Severity
Once an attacker establishes initial access to a system, the attacker often attempts to create a persistent method of reestablishing access. One way to accomplish this is for the attacker to simply enable a new or disabled account. Notification of account enabling is one method for mitigating this risk. A comprehensive account management process will ensure an audit trail, which documents the creation of application user accounts and notifies administrators and Information System Security Officer (ISSO). Such a process greatly reduces the risk that accounts will be surreptitiously created and provides logging that can be used for forensic purposes.
SRG-APP-000148-NDM-000346
1 Rule
ONTAP must be configured with only one local account to be used as the account of last resort in the event the authentication server is unavailable.
Medium Severity
Authentication for administrative (privileged-level) access to the device is required at all times. An account can be created on the device's local database for use when the authentication server is down or connectivity between the device and the authentication server is not operable. This account is referred to as the account of last resort since it is intended to be used as a last resort and when immediate administrative access is absolutely necessary. The account of last resort logon credentials must be stored in a sealed envelope and kept in a safe. The safe must be periodically audited to verify the envelope remains sealed. The signature of the auditor and the date of the audit should be added to the envelope as a record. Administrators should secure the credentials and disable the root account (if possible) when not needed for system administration functions.
SRG-APP-000033-NDM-000212
1 Rule
ONTAP must enforce administrator privileges based on their defined roles.
High Severity
To mitigate the risk of unauthorized access to sensitive information by entities that have been issued certificates by DoD-approved PKIs, all DoD systems must be properly configured to incorporate access control methods that do not rely solely on the possession of a certificate for access. Successful authentication must not automatically give an entity access to an asset or security boundary. Authorization procedures and controls must be implemented to ensure each authenticated entity also has a validated and current authorization. Authorization is the process of determining whether an entity, once authenticated, is permitted to access a specific asset. Network devices use access control policies and enforcement mechanisms to implement this requirement. Access control policies include identity-based policies, role-based policies, and attribute-based policies. Access enforcement mechanisms include access control lists, access control matrices, and cryptography. These policies and mechanisms must be employed by the network device to control access between administrators (or processes acting on behalf of administrators) and objects (e.g., device commands, files, records, processes) in the network device. The access policies must include protecting the data in all three states, i.e. Data at rest , data in use and data in motion. An example of each state can be seen through the use of a configuration setting or file for ONTAP. When stored, the data is at rest. When the data is being updated either through CLI or some web frontend, the data is in use and when the configuration is being transmitted to the devices being managed, the data is in transit.
SRG-APP-000340-NDM-000288
1 Rule
ONTAP must prevent non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
High Severity
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.
SRG-APP-000065-NDM-000214
1 Rule
ONTAP must be configured to enforce the limit of three consecutive failed logon attempts.
Medium Severity
By limiting the number of failed login attempts, the risk of unauthorized system access via user password guessing, otherwise known as brute-forcing, is reduced.
SRG-APP-000068-NDM-000215
1 Rule
ONTAP must be configured to display the Standard Mandatory DoD Notice and Consent Banner before granting access to the device.
Medium Severity
Display of the DoD-approved use notification before granting access to the network device ensures privacy and security notification verbiage used is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. System use notifications are required only for access via logon interfaces with human users.
SRG-APP-000357-NDM-000293
1 Rule
ONTAP must allocate audit record storage capacity in accordance with organization-defined audit record storage requirements.
Medium Severity
Audit records are stored on staging volumes when auditing is enabled. If the staging volumes do not exist when auditing is enabled, the auditing subsystem creates the staging volumes. These volumes hold the audit logs until they can be consolidated. Enabling auditing will also enable guaranteed auditing by default. This feature will guarantee audit records are not lost even when a node goes offline or the disk becomes filled. Audit records are stored on staging volumes prior to consolidation and conversion. Staging volumes can only be created by ONTAP and are given volume names that begin with MDV_aud_ followed by the UUID of the aggregate containing the staging volume.
SRG-APP-000360-NDM-000295
1 Rule
ONTAP must have audit guarantee enabled.
Medium Severity
It is critical for the appropriate personnel to be aware if a system is at risk of failing to process audit logs as required. With audit guarantee enabled, all SMB operations must generate an audit event before an ACK is returned to the client and the operation completed. If the audit event cannot be written, then the client operation is delayed or denied.
SRG-APP-000373-NDM-000298
1 Rule
ONTAP must be configured to synchronize internal information system clocks using redundant authoritative time sources.
Medium Severity
The loss of connectivity to a particular authoritative time source will result in the loss of time synchronization (free-run mode) and increasingly inaccurate time stamps on audit events and other functions. Multiple time sources provide redundancy by including a secondary source. Time synchronization is usually a hierarchy; clients synchronize time to a local source while that source synchronizes its time to a more accurate source. The network device must utilize an authoritative time server and/or be configured to use redundant authoritative time sources. This requirement is related to the comparison done in CCI-001891. DOD-approved solutions consist of a combination of a primary and secondary time source using a combination or multiple instances of the following: a time server designated for the appropriate DOD network (NIPRNet/SIPRNet); United States Naval Observatory (USNO) time servers; and/or the Global Positioning System (GPS). The secondary time source must be located in a different geographic region than the primary time source.
SRG-APP-000374-NDM-000299
1 Rule
ONTAP must record time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT).
Medium Severity
If time stamps are not consistently applied and there is no common time reference, it is difficult to perform forensic analysis. Time stamps generated by the application include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC.
SRG-APP-000380-NDM-000304
1 Rule
ONTAP must enforce access restrictions associated with changes to the device configuration.
Medium Severity
Failure to provide logical access restrictions associated with changes to device configuration may have significant effects on the overall security of the system. When dealing with access restrictions pertaining to change control, it should be noted that any changes to the hardware, software, and/or firmware components of the device could potentially have significant effects on the overall security of the device. Accordingly, only qualified and authorized individuals should be allowed to obtain access to device components for the purposes of initiating changes, including upgrades and modifications. Logical access restrictions include, for example, controls that restrict access to workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
SRG-APP-000516-NDM-000336
1 Rule
ONTAP must be configured to use an authentication server to provide multifactor authentication.
High Severity
Centralized management of authentication settings increases the security of remote and nonlocal access methods. This control is particularly important protection against the insider threat. With robust centralized management, audit records for administrator account access to the organization's network devices can be more readily analyzed for trends and anomalies. The alternative method of defining administrator accounts on each device exposes the device configuration to remote access authentication attacks and system administrators with multiple authenticators for each network device. Satisfies: SRG-APP-000516-NDM-000336, SRG-APP-000149-NDM-000247, SRG-APP-000175-NDM-000262, SRG-APP-000177-NDM-000263
SRG-APP-000516-NDM-000340
1 Rule
ONTAP must be configured to conduct backups of system level information.
Medium Severity
System-level information includes default and customized settings and security attributes, including ACLs that relate to the network device configuration, as well as software required for the execution and operation of the device. Information system backup is a critical step in ensuring system integrity and availability. If the system fails and there is no backup of the system-level information, a denial of service condition is possible for all who utilize this critical network component. This control requires the network device to support the organizational central backup process for system-level information associated with the network device. This function may be provided by the network device itself; however, the preferred best practice is a centralized backup rather than each network device performing discrete backups.
SRG-APP-000516-NDM-000344
1 Rule
ONTAP must use DoD-approved PKI rather than proprietary or self-signed device certificates.
Medium Severity
Each organization obtains user certificates from an approved, shared service provider as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority (CA) at medium assurance or higher, this CA will suffice.
SRG-APP-000142-NDM-000245
1 Rule
ONTAP must be configured to prohibit the use of all unnecessary and/or nonsecure functions, ports, protocols, and/or services.
High Severity
In order to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling (i.e., embedding of data types within data types), organizations must disable unused or unnecessary physical and logical ports/protocols on information systems. Network devices are capable of providing a wide variety of functions and services. Some of the functions and services provided by default may not be necessary to support essential organizational operations. Additionally, it is sometimes convenient to provide multiple services from a single component (e.g., email and web services); however, doing so increases risk over limiting the services provided by any one component. To support the requirements and principles of least functionality, the network device must support the organizational requirements providing only essential capabilities and limiting the use of ports, protocols, and/or services to only those required, authorized, and approved. Some network devices have capabilities enabled by default; if these capabilities are not necessary, they must be disabled. If a particular capability is used, then it must be documented and approved.
SRG-APP-000153-NDM-000249
1 Rule
ONTAP must be configured to authenticate each administrator prior to authorizing privileges based on assignment of group or role.
Medium Severity
To assure individual accountability and prevent unauthorized access, administrators must be individually identified and authenticated. Individual accountability mandates that each administrator is uniquely identified. A group authenticator is a shared account or some other form of authentication that allows multiple unique individuals to access the network device using a single account. If a device allows or provides for group authenticators, it must first individually authenticate administrators prior to implementing group authenticator functionality. Some devices may not have the need to provide a group authenticator; this is considered a matter of device design. In those instances where the device design includes the use of a group authenticator, this requirement will apply. This requirement applies to accounts created and managed on or by the network device.
SRG-APP-000156-NDM-000250
1 Rule
ONTAP must implement replay-resistant authentication mechanisms for network access to privileges accounts.
Medium Severity
A replay attack may enable an unauthorized user to gain access to the application. Authentication sessions between the authenticator and the application validating the user credentials must not be vulnerable to a replay attack. An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols using nonces (e.g., numbers generated for a specific one-time use) or challenges (e.g., TLS, WS_Security). Additional techniques include time-synchronous or challenge-response one-time authenticators.
SRG-APP-000395-NDM-000310
1 Rule
ONTAP must be configured to authenticate SNMP messages using FIPS-validated Keyed-HMAC.
Medium Severity
Without authenticating devices, unidentified or unknown devices may be introduced, thereby facilitating malicious activity. Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk. A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, internet). A remote connection is any connection with a device communicating through an external network (e.g., the internet). Because of the challenges of applying this requirement on a large scale, organizations are encouraged to only apply the requirement to those limited number (and type) of devices that truly need to support this capability.
SRG-APP-000395-NDM-000347
1 Rule
ONTAP must authenticate NTP sources using authentication that is cryptographically based.
Medium Severity
If Network Time Protocol (NTP) is not authenticated, an attacker can introduce a rogue NTP server. This rogue server can then be used to send incorrect time information to network devices, which will make log timestamps inaccurate and affect scheduled actions. NTP authentication is used to prevent this tampering by authenticating the time source.
SRG-APP-000164-NDM-000252
1 Rule
ONTAP must enforce a minimum 15-character password length.
Medium Severity
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.
SRG-APP-000166-NDM-000254
1 Rule
ONTAP must enforce password complexity by requiring that at least one uppercase character be used.
Medium Severity
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. Multifactor authentication (MFA) is required for all administrative and user accounts on network devices, except for an account of last resort and (where applicable) a root account. Passwords should only be used when MFA using PKI is not available, and for the account of last resort and root account.
SRG-APP-000167-NDM-000255
1 Rule
ONTAP must enforce password complexity by requiring that at least one lowercase character be used.
Medium Severity
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. Multifactor authentication (MFA) is required for all administrative and user accounts on network devices, except for an account of last resort and (where applicable) a root account. Passwords should only be used when MFA using PKI is not available, and for the account of last resort and root account.
SRG-APP-000168-NDM-000256
1 Rule
ONTAP must enforce password complexity by requiring that at least one numeric character be used.
Medium Severity
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. Multifactor authentication (MFA) is required for all administrative and user accounts on network devices, except for an account of last resort and (where applicable) a root account. Passwords should only be used when MFA using PKI is not available, and for the account of last resort and root account.
SRG-APP-000169-NDM-000257
1 Rule
ONTAP must enforce password complexity by requiring that at least one special character be used.
Medium Severity
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. Multifactor authentication (MFA) is required for all administrative and user accounts on network devices, except for an account of last resort and (where applicable) a root account. Passwords should only be used when MFA using PKI is not available, and for the account of last resort and root account.
SRG-APP-000412-NDM-000331
1 Rule
ONTAP must be configured to implement cryptographic mechanisms using FIPS 140-2.
High Severity
Unapproved mechanisms that are used for authentication to the cryptographic module are not verified and therefore cannot be relied upon to provide confidentiality or integrity, and DoD data may be compromised. Satisfies: SRG-APP-000412-NDM-000331, SRG-APP-000411-NDM-000330, SRG-APP-000179-NDM-000265
SRG-APP-000190-NDM-000267
1 Rule
ONTAP must terminate all network connections associated with a device management session at the end of the session, or the session must be terminated after 10 minutes of inactivity except to fulfill documented and validated mission requirements.
High Severity
Terminating an idle session within a short time period reduces the window of opportunity for unauthorized personnel to take control of a management session enabled on the console or console port that has been left unattended. In addition, quickly terminating an idle session will also free up resources committed by the managed network element. Terminating network connections associated with communications sessions includes, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. This does not mean that the device terminates all sessions or network access; it only ends the inactive session and releases the resources associated with that session.
SRG-APP-000516-NDM-000350
1 Rule
ONTAP must be configured to send audit log data to a central log server.
High Severity
The aggregation of log data kept on a syslog server can be used to detect attacks and trigger an alert to the appropriate security personnel. The stored log data can used to detect weaknesses in security that enable the network IA team to find and address these weaknesses before breaches can occur. Reviewing these logs, whether before or after a security breach, are important in showing whether someone is an internal employee or an outside threat.
SRG-APP-000001-NDM-000200
1 Rule
ONTAP must be configured to limit the number of concurrent sessions.
Medium Severity
Device management includes the ability to control the number of administrators and management sessions that manage a device. Limiting the number of allowed administrators and sessions per administrator based on account type, role, or access type is helpful in limiting risks related to DoS attacks.