SQL Compliance Manager

General Information

Technologies must be operated and maintained in accordance with Federal and Department security and privacy policies and guidelines. More information on the proper use of the TRM can be found on the TRM Proper Use Tab/Section.

Website:	Go to site
Description:	SQL Compliance Manager is a Structured Query Language (SQL) Server auditing solution that uses policy-based algorithms to track changes to SQL Server objects and data. This technology provides Audit Trails for Sensitive Data and tracks changes to monitor and audit data access, failed logins, schema changes, etc. SQL Compliance Manager also uncovers threats and provides customized alerts to notify of suspect activity by users or hackers. This technology does not store data, rather, it audits or reports changes to the Microsoft Structured Query Language (SQL) Server database. This technology has optional functionality to deploy through cloud services such as Microsoft Azure or Amazon Web Services Elastic Compute Cloud (EC2). The TRM decisions in this entry only apply to technologies and versions owned, operated, managed, patched, and version-controlled by VA. This includes technologies deployed as software installations on VMs within VA-controlled cloud environments (e.g. VA Enterprise Cloud (VAEC)). Cloud services provided by the VAEC, which are listed in the VAEC Service Catalog, and those controlled and managed by an external Cloud Service Provider (i.e. SaaS) are not in the purview of the TRM. For more information on the use of cloud services and cloud-based products within VA, including VA private clouds, please see the Enterprise Cloud Solutions Office (ECSO) Portal at: https://dvagov.sharepoint.com/sites/OITECSO
Technology/Standard Usage Requirements:	Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.
Section 508 Information:	This technology has not been assessed by the Section 508 Office. The Implementer of this technology has the responsibility to ensure the version deployed is 508-compliant. Section 508 compliance may be reviewed by the Section 508 Office and appropriate remedial action required if necessary. For additional information or assistance regarding Section 508, please contact the Section 508 Office at Section508@va.gov.
Decision:	View Decisions

Decision Source:	TRM Mgmt Group
Decision Process:	One-VA TRM v21.3
Decision Date:	03/26/2021 at 10:14:22 UTC
Aliases:	Idera SQL Compliance Manager
Introduced By:	TRM Request
Vendor Name:	Idera

Vendor Release Information

The Vendor Release table provides the known releases for the TRM Technology, obtained from the vendor (or from the release source).

Version	Release Date	Vendor End of Life Date	Vendor Desupport Date
3.1	01/01/2009
3.2	05/17/2010
3.3	03/18/2011
3.5	11/16/2011
4.2	11/01/2012
4.3	03/12/2013
4.5	07/31/2014
5.0	06/03/2016
5.4.x	10/10/2017
5.5.x	06/07/2018
5.6.x	07/11/2019
5.7.x	02/04/2020
5.8.x

Current Decision Matrix (03/23/2021)

Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.

The VA Decision Matrix displays the current and future VA IT position regarding different releases of a TRM entry. These decisions are based upon the best information available as of the most current date. The consumer of this information has the responsibility to consult the organizations responsible for the desktop, testing, and/or production environments to ensure that the target version of the technology will be supported. Any major.minor version that is not listed in the VA Decision Matrix is considered unapproved for use.

Legend:

White	Approved: The technology/standard has been approved for use.
Yellow	Approved w/Constraints: The technology/standard can be used within the specified constraints located below the decision matrix in the footnote[1] and on the General tab.
Gray	Unapproved: This technology or standard can be used only if a POA&M review is conducted and signed by the Authorizing Official Designated Representative (AODR) as designated by the Authorizing Official (AO) or designee and based upon a recommendation from the POA&M Compliance Enforcement, has been granted to the project team or organization that wishes to use the technology.
Orange	Divest: VA has decided to divest itself on the use of the technology/standard. As a result, all projects currently utilizing the technology/standard must plan to eliminate their use of the technology/standard. Additional information on when the entry is projected to become unapproved may be found on the Decision tab for the specific entry.
Black	Prohibited: The technology/standard is not (currently) permitted to be used under any circumstances.
Blue	Planning/Evaluation Constraint:The period of time this technology is currently being evaluated, reviewed, and tested in controlled environments. Use of this technology is strictly controlled and not available for use within the general population. If a customer would like to use this technology, please work with your local or Regional OI&T office and contact the appropriate evaluation office displayed in the notes below the decision matrix. The Local or Regional OI&T office should submit an inquiry to the TRM if they require further assistance or if the evaluating office is not listed in the notes below.

Release/Version Information:

VA decisions for specific versions may include a ‘.x’ wildcard, which denotes a decision that pertains to a range of multiple versions.

For example, a technology approved with a decision for 7.x would cover any version of 7.(Anything) - 7.(Anything). However, a 7.4.x decision would cover any version of 7.4.(Anything), but would not cover any version of 7.5.x or 7.6.x on the TRM.

VA decisions for specific versions may include ‘+’ symbols; which denotes that the decision for the version specified also includes versions greater than what is specified but is not to exceed or affect previous decimal places.

For example, a technology approved with a decision for 12.6.4+ would cover any version that is greater than 12.6.4, but would not exceed the .6 decimal ie: 12.6.401 is ok, 12.6.5 is ok, 12.6.9 is ok, however 12.7.0 or 13.0 is not.

<Past

CY2017

CY2018

CY2019

Future>

Release

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

3.1

Unapproved

3.2

Unapproved

4.2

Unapproved

4.3

Unapproved

4.5

Approved w/Constraints
[2, 3, 4]

Divest
[2, 3, 4]

Divest
[3, 5, 6, 7]

Divest
[3, 5, 6, 7, 8]

5.0

Approved w/Constraints
[2, 3, 4]

Approved w/Constraints
[3, 5, 6, 7]

Approved w/Constraints
[3, 5, 6, 7, 8]

Divest
[3, 5, 6, 7, 8]

5.4.x

Unapproved

Approved w/Constraints
[3, 5, 6, 7]

Approved w/Constraints
[3, 5, 6, 7, 8]

5.5.x

Unapproved

Approved w/Constraints
[3, 5, 6, 7, 8]

5.6.x

Unapproved

Decision Constraints


[1]	Projects using this technology must meet Veterans Affairs (VA) Directive 6500 and implement Federal Information Processing Standards (FIPS 199) for all laptop devices and National Institute of Standards and Technology Special Publication 800-53 for all desktop devices when VA sensitive information is involved, or additional mitigating controls must be documented in an approved System Security Plan (SSP) to prevent potential disclosure of PII/PHI data. Additionally, projects which interface with external VA partner must have a Memorandum of Understanding and Interconnection Security Agreements (MOU/ISA) which detail the security requirements for users and systems that share information and resources outside of the VA production network.

[2]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[3]	If free trialware is utilized, the software must be purchased or removed at the end of the trial period.

[4]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information Security Officer (ISO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[5]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[6]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information Security Officer (ISO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[7]	Technology must remain patched and operated in accordance with Federal and Department security policies and guidelines in order to mitigate known and future security vulnerabilities.

[8]	Due to potential information security risks, cloud based technologies may not be used without the approval of the Enterprise Cloud Solution Office (ECSO). This body is in part responsible for ensuring organizational information, Personally Identifiable Information (PII), Protected Health Information (PHI), and VA sensitive data are not compromised. (Ref: VA Directive 6004, VA Directive 6517, VA Directive 6513 and VA Directive 6102).

Note:

At the time of writing, 5.8.1 is the most current version released.

References

The following reference(s) are associated with this entry:
Type	Name	Source	Description
Vendor Provided*	SQL Compliance Manager	IDERA Product Support	IDERA Product Support Documentation and Versioning
*NOTE: Vendor provided information is subject to the accuracy of the manufacturer.

Technology Components

Note: This list may not be complete. No component, listed or unlisted, may be used outside of the technology in which it is released. The usage decision for a component is found in the Decision and Decision Constraints.
Name	Description
Collection Server	The Collection Server processes trace files received from the SQL compliance Agent, stores audit data in the events and archive databases, and sends audit setting updates to the SQL compliance Agent. The Collection Server runs under the Collection Service account. By default, the Collection Server communicates with the Repository every 5 minutes (heartbeat) to write processed audit data to the event databases associated with the registered SQL Server instances.
Command Line Interface	The Command Line Interface (CLI) provides an interface for third-party solutions so users can automate and schedule regular tasks, such as audit data archival and grooming, and perform diagnostic tasks.
Management Console	The Management Console is a centralized user interface that allows users to easily and quickly modify audit settings, monitor events, and report on audit data.
Repository databases	The SQL compliance manager Repository is the central repository that tracks SQL compliance configurations, such as audit settings, server registrations, and console security, Audited SQL Server events, Alert messages, and the SQL compliance Agent activity.
SQL Compliance Agent	The SQL Compliance Agent gathers SQL Server events written to the SQL trace, caching these audited events in trace files. By default, the SQL Compliance Agent calls the Collection Server every 5 minutes (heartbeat) to receive audit setting updates, and sends trace files for processing every 2 minutes.
Trace files and the trace directory	Trace files contain audited SQL Server events collected by the SQL Compliance Agent. The SQL Compliance Agent stores these temporary files in a secure directory on the audited SQL Server instance. When the set directory size threshold is reached, the SQL Compliance Agent stops the SQL trace until the trace files are sent to the Collection Server for processing. When the set file size threshold is met, the trace file is cycled.

VA Categories View the VA Categorization Framework

Domain Area	Category	Customer Guidance	Category Locked By ELT Date
Security Data Security	Data Loss Prevention

Operating Systems Supported by the Technology

Windows Client - Approved w/Constraints
Windows Server - Approved w/Constraints

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

Structured Query Language (SQL)

General Analysis

Adoption Benefits

This is a mature technology.
This is a well-documented technology.
At the time of writing, no National Institute of Standards and Technology (NIST) vulnerabilities had been reported and no VA Cyber Security Operations Center (CSOC) bulletins had been issued for the latest versions of this technology.
This technology may improve productivity for specific staff whose responsibilities include data security responsibilities.
This technology provides automated suspicious activity alerts. SQL Compliance Manager provides 200 server events, as well as user-defined events, which may be set to trigger automatic alerts to security and operations staff.
This technology uses agents to capture real-time trace data. Agent collected data can be stored in the audit (compliance) repository in real-time or scheduled as batch updates.
This technology provides the ability to do before and after comparisons of data values modified by inserts, updates, and deletions.
This technology supports self-audit and integrity reporting by restricting users with auditor privilege to only read access.

Adoption Risks

This software has a free trial, which carries the potential or the disruption of service delivery and inaccurate financial planning.
This technology has a free trial period, which carries the potential for the disruption of service delivery and inaccurate financial planning.
The potential exists to store Personally Identifiable Information (PII), Protected Health Information (PHI) and/or VA Sensitive data and proper security standards must be followed in these cases.
This technology is not portable as it runs only on Windows platforms.
System scans indicate that this technology is no longer in use within the VA network.
This technology has a free trial period, which carries the potential for the disruption of service delivery and inaccurate financial planning.

Architectural Risks

This technology is not portable as it runs only on Windows platforms.

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General Information

Vendor Release Information

Current Decision Matrix (03/23/2021)

Decision Constraints

References

Technology Components

VA Categories View the VA Categorization Framework

Operating Systems Supported by the Technology

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

Adoption Risks

Architectural Risks

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General Information

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Current Decision Matrix (03/23/2021)

Decision Constraints

References

Technology Components

VA Categories View the VA Categorization Framework

Operating Systems Supported by the Technology

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

Adoption Risks

Architectural Risks

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