6 Auditing

Oracle Identity Manager provides a powerful audit engine to collect extensive data for audit and compliance purposes. You can use the audit functionality together to capture, archive, and view entity and transactional data for compliance monitoring and IT-centric processes and forensic auditing. Therefore, with the audit and compliance modules, Oracle Identity Manager provides profile auditing, reporting, and attestation features. You can capture, transport, store, retrieve, and remove historical data over its life cycle. Security is maintained at every stage of the data life cycle. For information about attestation processes, see "Managing Attestation Processes".

This chapter consists of the following topics:

Overview
Audit Engine
User Profile Auditing
Role Profile Auditing

6.1 Overview

This section provides an overview of auditing in the following sections:

Auditing Design Components
Profile Auditing
Standard and Customized Reports

6.1.1 Auditing Design Components

Figure 6-1 shows the design components for Oracle Identity Manager auditing process.

Figure 6-1 Design Components of the Auditing Process

Description of "Figure 6-1 Design Components of the Auditing Process"

Any action that a user performs in Oracle Identity Manager translates into an Application Programming Interface (API) call or into a Message Driven Bean (MDB) picking up a message to process an action.One action can cause multiple changes. All changes are combined into an audit transaction. Each API method that can modify data objects calls the startTransaction method in the audit engine at the beginning of the API call and the endTransaction method at the end of the API call. This defines boundaries for the audit transaction. The audit engine generates a transaction ID to identify the changes made in the transaction.

6.1.2 Profile Auditing

Oracle Identity Manager provides auditing and historical archiving of profile information. It takes a snapshot of a profile, stores the snapshot in an audit table in the database, and updates the snapshot each time the profile data changes. In the context of profile auditing, the term snapshot means a copy taken of the entire profile data at any instant when the data is modified.

6.1.3 Standard and Customized Reports

The BI Publisher provides standard reports for viewing archived data. You can also create customized reports.

For information about reporting, refer to the following:

""Using Reporting Features""
"Reporting" in Oracle Fusion Middleware Developer's Guide for Oracle Identity Manager for information about reporting

6.2 Audit Engine

User profile audits cover changes to user profile attributes, user membership, resource provisioning, access policies, and resource forms.

The audit engine collects auditing information in Oracle Identity Manager. Whenever a profile is modified, the audit engine captures the changes (the delta) and updates (or generates, if missing) the snapshots of the user and role profiles and stores these snapshots and deltas in XML format. The audit engine also contains post-processors, which, based on the generated XML, populate the reporting tables with relevant data. To maintain high performance, by default the audit engine performs these tasks in an asynchronous and offline manner by using the underlying Java Messaging Service (JMS) provided by the application server.

This section discusses the following topics:

Audit Levels
Tables Used for Storing Information About Auditors
Issuing Audit Messages

6.2.1 Audit Levels

As mentioned earlier in this chapter, When you install Oracle Identity Manager user profile auditing is enabled by default and the auditing level is set to Resource Form. If you change the auditing level, then you must run the GenerateSnapshot.sh script (on UNIX) or the GenerateSnapshot.bat script (on Microsoft Windows). This script is in the IDM_HOME/server/bin directory. The script examines all users in Oracle Identity Manager database and generates new snapshots based on the new auditing level.

Note:

If you change the auditing level, then you must run the GenerateSnapshot script before allowing users to access the system.

You can configure the "level of detail for auditing" aspect of the auditing engine and specify the audit level as the value of the XL.UserProfileAuditDataCollection system property in the Advanced Administration.

6.2.2 Tables Used for Storing Information About Auditors

Information about auditors is stored in the following tables of the database:

AUD: This table stores metadata about all the auditors defined in Oracle Identity Manager.
aud_jms: This table stores data to be consumed by the audit engine and eventually by the auditors. It is an operational and intermediate staging table.

The key in this table is sent to the JMS. Oracle Identity Manager uses this table to control the order of the changes when multiple changes are made to the same user. You can use the Issue Audit Messages Task scheduled task to automate the reissue of messages that are not processed. This scheduled task is discussed in the "Issuing Audit Messages".

6.2.3 Issuing Audit Messages

Oracle Identity Manager provides a scheduled task named Issue Audit Messages Task. This scheduled task retrieves audit message details from the aud_jms table and sends a single JMS message for a particular identifier and auditor entry in the aud_jms table. An MDB processes the corresponding audit message.

The following is the attribute of this task:

Max Records

Use the Max Records attribute to specify the maximum number of audit messages to be processed for a specified scheduled task run. The default value of this attribute is 400.

If there is a backlog of audit messages in the aud_jms table, then you can increase the value of the Max Records attribute. The value that you set depends on how many messages the JMS engine can process during the default scheduled task execution interval. This, in turn, depends on the performance of the application server and database. Before increasing the Max Records value, you must determine how much time is taken to process the number of audit messages in the JMS destination (oimAuditQueue) by, for example, using the administrative console of the application server. If the time taken is less than the scheduled task interval, then you can make a corresponding increase in the value of the Max Records attribute.

6.3 User Profile Auditing

User profile audits cover changes to user profile attributes, user membership, resource provisioning, access policies, and resource forms.

This section discusses the following topics:

Data Collected for Audits
Post-Processor Used for User Profile Auditing
Tables Used for User Profile Auditing

6.3.1 Data Collected for Audits

By default, user profile auditing is enabled and the auditing level is set to Resource Form when you install Oracle Identity Manager. This auditing level specifies the minimum level required for attestation of form data.

You configure the audit level in the System Configuration part of the Advanced Administration by using the XL.UserProfileAuditDataCollection system property.

6.3.1.1 Capture and Archiving of User Profile Audit Data

Each time a user profile changes, Oracle Identity Manager takes a snapshot of the user profile and stores the snapshot in an audit table in the database.

A snapshot is also generated when there is a change in a user profile that must be audited, even if an initial snapshot is missing. The current snapshot is treated as the initial snapshot.

The following are the components of a user profile and the tables that store these components:

Note:

For more information about the User Profile tables, such as the column names and how to use them, refer to the Schema Javadoc provided with Oracle Identity Manager.

User Record: Contains the USR table, including all User Defined Fields (UDFs).

The USR table stores user attributes. When you create a user, Oracle Identity Manager adds an entry to this table.

User Role Membership: Contains the RUL, UGP, and USG tables, as listed in Table 6-1.

Table 6-1 User Group Membership Tables

Table Name	Description
RUL	Stores rule definitions.
UGP	Defines groups and roles in the system.
USG	Defines which users are in which groups and lists priorities for the users in a specific group. Oracle Identity Manager might use these priorities when making task assignments for a group. For example, a process task might be assigned to the user having highest priority. In addition, if a role/group is granted through a rule, then it lists the specific rule.

User Policy Profile: Contains the following tables:
- UPD: Stores User Policy Profile data. This is a policy-centric view of the resources that are provisioned to a user.
- UPP: Stores User Policy Profile-related details. This is a user-centric view of all the applicable policies for a user, and the resources they allow/deny.
Note:
When you change a role name by using the Administrative and User Console, the User Profile Audit (UPA) tables in the database are not updated with the change until the next snapshot of the user.

User Resource Profile: This component can be divided into the following subcomponents:

User Resource Instance: Contains the OBI, OBJ, and OIU tables, as listed in Table 6-2.

Table 6-2 User Resource Instance Tables

Table Name	Description
OBI	Stores resource (object) instance information. Oracle Identity Manager creates a resource instance every time a resource is provisioned. This instance stores all generic information related to that provisioned instance, including a request key (if the resource has been provisioned through a request), the corresponding process instance, and the instance status.
OBJ	Represents the resource object data, including details about the resource, such as resource name, whether or not auto-save and auto-prepopulate are set, and whether or not the resource object allows multiple instances.
OIU	Associates applicable user information to the resource object instance when provisioning takes place. In addition, it stores policy-related information for the specific resource instance.

Resource Lifecycle (Provisioning) Process: Contains the MIL, ORC, OSI, PKG, SCH, and TOS tables, as listed in Table 6-3.

Table 6-3 Resource Lifecycle Process Tables

Table Name	Description
MIL	Defines the process task definitions. Each entry corresponds to a process task. A process definition (PKG table) comprises of multiple tasks, which are a part of the various workflows in the definition.
ORC	Stores process instance information when provisioning takes place. When provisioning starts, Oracle Identity Manager generates an associated process (or workflow) instance that stores process-related information specific to the provisioning instance.
OSI	Stores information about tasks created for process instance.
PKG	Defines processes or workflows in Oracle Identity Manager, including process details such as process name, process type, descriptive field mapping, and associated resources and process forms.
SCH	Stores information related to running of a specific task instance such as the task status, status bucket, and timing of when the adapter run started or ended.
TOS	Stores atomic process information.

Resource State (Process) Form: This information is stored in the UD parent and child tables. The UD_* tables are user-defined field tables that store the account state.

6.3.1.2 Storage of Snapshots

When Oracle Identity Manager takes a snapshot of a user profile, it stores the snapshot in the UPA table. The structure of the UPA table is described in Table 6-4.

Table 6-4 Definition of the UPA Table

Column	Data Type	Description
UPA_KEY	NUMBER (19,0)	Key for the audit record
USR_KEY	NUMBER (19,0)	Key for the user whose snapshot is recorded in this entry
EFF_FROM_DATE	TIMESTAMP (6)	Date and time at which the snapshot entry became effective
EFF_TO_DATE	TIMESTAMP (6)	Date and time at which the snapshot entry was no longer effective In other words, this is the date and time at which the next snapshot entry was created. For the entry representing the latest user profile, the To Date column value is set to NULL.
SRC	VARCHAR2 (4000)	User ID of the user responsible for the change, and the API used to carry out the change
SNAPSHOT	CLOB	XML representation of the snapshot
DELTAS	CLOB	XML representation of old and new values corresponding to a change made to the snapshot
SIGNATURE	CLOB	Can be used to store a digital signature for the snapshot (for nonrepudiation purposes)

Note:

The initial audit snapshots for default users in Oracle Identity Manager is not UTF-8 encoded. However, auditing of subsequent modifications to these users have UTF-8 encoded snapshots.

6.3.1.3 Trigger for Taking Snapshots

When any data element in a user profile changes, Oracle Identity Manager creates a snapshot.

The following events trigger the creation of a user profile snapshot:

Modification of any kind to the user record (for example, through reconciliation and direct provisioning)
Role membership change for the user
Changes in the policies that apply to the user
Provisioning a resource to the user
Deprovisioning of a resource for the user
Any provisioning-related event for a provisioned resource:
- Resource status change
- Addition of provisioning tasks to the provisioning process
- Updates to provisioning tasks in the provisioning process, for example, status changes, escalations, and so on
- Creation of or updates to Process Form data

6.3.2 Post-Processor Used for User Profile Auditing

The user profile auditor has an internal post-processor that normalizes the snapshot XML into the reporting tables: UPA_USR, UPA_FIELDS, UPA_GRP_MEMBERSHIP, UPA_RESOURCE, UPA_UD_FORMS, and UPA_UD_FORMFIELDS. These tables are used by the reporting module to generate the appropriate reports.

6.3.3 Tables Used for User Profile Auditing

Table 6-5 lists the tables in the database that User profile audits use:

Note:

For more information about the User Profile Audits tables, such as column names and how to use them, refer to the Schema Javadoc provided with Oracle Identity Manager.

Table 6-5 User Profile Audit Tables

Table Name	Description
AUD	Stores detailed information about all of the Auditors (for example, the User Profile Auditor) supported by Oracle Identity Manager. Currently, only the UserProfileAudit entry is available.
AUD_JMS	Staging table that stores information about changes made as a part of any business transaction. This is an intermediate table to temporarily store data changelog data before the audit engine consumes it. When Audit messages are successfully processed, corresponding records are deleted from the table. Note: This table is not intended for end users and must not be used directly.
UPA	Main auditing table for storing all snapshots and changes made to the user profiles.
UPA_FIELDS	Stores user profile audit history changes in denormalized (vertical) format.
UPA_GRP_MEMBERSHIP	Stores groups membership history in denormalized format.
UPA_RESOURCE	Stores user profile resource history in denormalized format.
UPA_USR	Stores user profile history in denormalized format.
UPA_UD_FORMS	Stores the resource profile form data.
UPA_UD_FORMFIELDS	Stores the resource profile audit history changes in denormalized format.

Note:

The UPA_UD_FORMS and UPA_UD_FORMFIELDS tables will be populated only if the XL.EnableExceptionReports system property is set to TRUE. For more information about this property, see "System Properties in Oracle Identity Manager" in the Oracle Fusion Middleware Administrator's Guide for Oracle Identity Manager.

6.4 Role Profile Auditing

Role profile audits cover changes to role profile attributes, role administrators, and direct subroles.

This section discusses the following topic:

Data Collected for Audits

6.4.1 Data Collected for Audits

Unlike user auditing, an independent audit level is not defined for role profile auditing. Instead, the audit levels defined for user profile auditing are used for role profile auditing. Role profile auditing takes place only if the audit level defined for user profile audit level is Membership or a level higher than that. By default, user profile auditing is enabled and the audit level is set to Resource Form when you install Oracle Identity Manager. As a result, role profile auditing is also enabled by default because the default audit level for user profile audit is Resource Form, which is higher than Membership.

This section discusses the following topics:

Capture and Archiving of Role Profile Audit Data
Storage of Snapshots
Trigger for Taking Snapshots

6.4.1.1 Capture and Archiving of Role Profile Audit Data

Each time a role profile changes, Oracle Identity Manager takes a snapshot of the role profile and stores the snapshot in an audit table in the database.

Oracle Identity Manager generates a snapshot when an audit is created for a role, even if an initial snapshot is missing. The current snapshot is treated as the initial snapshot.

The following are the components of a role profile and the tables that constitute these components:

User role record: UGP table, including all UDFs for roles
Subrole information: GPG table

6.4.1.2 Storage of Snapshots

When Oracle Identity Manager takes a snapshot of a role profile, it stores the snapshot in a GPA table. The structure of this table is as described in Table 6-6.

Table 6-6 Definition of the GPA Table

Column	Data Type	Description
GPA_KEY	NUMBER (19,0)	Key for the audit record
UGP_KEY	NUMBER (19,0)	Key for the role whose role snapshot is recorded
EFF_FROM_DATE	TIMESTAMP (6)	Date and time at which the snapshot entry became effective
EFF_TO_DATE	TIMESTAMP (6)	Date and time at which the snapshot entry was no longer effective In other words, this is the date and time at which the next snapshot entry was created. For the entry representing the latest user profile, the To Date column value is set to NULL
SRC	VARCHAR2 (4000)	Source of the entry, User ID of the user responsible for the change, and the API used to carry out the change
SNAPSHOT	CLOB	XML representation of the snapshot
DELTAS	CLOB	XML representation of old and new values corresponding to a change made to the snapshot
SIGNATURE	CLOB	Can be used to store a digital signature for the snapshot (for nonrepudiation purposes)

6.4.1.3 Trigger for Taking Snapshots

When any data element in the role profile snapshot changes, Oracle Identity Manager creates a snapshot.

The creation of role profile snapshots is triggered by events that result in changes in any of the following:

Role profile data
Subrole information