Introduction to Auditing

Privileged users can create policies that track the changes that all users, including other privileged users, make in the database. Note: Except where noted, this part describes how to use pure unified auditing, in which all audit records are centralized in one place.

• What Is Auditing?
  Auditing is the monitoring and recording of database activity, from both database users and nondatabase users.

• Why Is Auditing Used?
  You typically use auditing to monitor user activity.

• Best Practices for Auditing
  You should follow best practices guidelines for auditing.

• What Is Unified Auditing?
  In unified auditing, the unified audit trail captures audit information from a variety of sources.

• Benefits of the Unified Audit Trail
  The benefits of a unified audit trail are many.

• Checking if Your Database Has Migrated to Pure Unified Auditing
  The V$OPTION dynamic view indicates if your database has been migrated to using pure unified auditing (that is, traditional auditing is turned off).

• Mixed Mode Auditing
  Mixed mode auditing is the default auditing in a newly installed database.

• Who Can Perform Auditing?
  Oracle provides two roles for users who perform auditing: AUDIT_ADMIN and AUDIT_VIEWER.

• Unified Auditing in a Multitenant Environment
  You can apply audit settings to individual PDBs or to the CDB, depending on the type of policy.

• Auditing in a Distributed Database
  Auditing is site autonomous in that a database instance audits only the statements issued by directly connected users.

What Is Auditing?

Auditing is the monitoring and recording of database activity, from both database users and nondatabase users.

“Nondatabase users” refers to application users who are recognized in the database using the CLIENT_IDENTIFIER attribute. To audit this type of user, you can use a unified audit policy condition, a fine-grained audit policy, or Oracle Database Real Application Security.

This guide describes how to use unified auditing to create policies that consolidate audit trails from different Oracle Database components, such as fine-grained auditing or Oracle Database Vault, into one consolidated audit trail. This audit trail is viewable in the UNIFIED_AUDIT_TRAIL data dictionary view. (Other unified audit trail views, such as AUDIT_UNIFIED_POLICIES, are available.) A consolidated audit data trail enables you to run analysis reports on an entire set of audit data in one operation, rather than having to first gather them into one location before performing the analysis. Audit mining tools such as Oracle Audit Vault can look at one location rather than several in order to gather audit records. A unified audit trail ensures that the audit information is consistently formatted and contains consistent fields.

Alternatively, you can use traditional auditing, which is described in the Oracle Database release 11.2 Oracle Database Security Guide.

You can base auditing on individual actions, such as the type of SQL statement executed, or on combinations of session metadata that can include the user name, application, time, and so on.

You can configure auditing for both successful and failed operations, however, parse or syntax errors are not audited. Additionally, you can include or exclude specific users from the audit. In a multitenant environment, you can audit individual actions of the pluggable database (PDB) or individual actions in the entire multitenant container database (CDB). In addition to auditing the standard activities the database provides, auditing can include activities from Oracle Database Real Application Security, Oracle Recovery Manager, Oracle Data Pump, Oracle Data Mining, Oracle Database Vault, Oracle Label Security, and Oracle SQL*Loader direct path events.

Auditing is enabled by default. All audit records are written to the unified audit trail in a uniform format and are made available through the UNIFIED_AUDIT_TRAIL view. These records reside in the AUDSYS schema. The audit records are stored in the SYSAUX tablespace by default. Oracle recommends that you configure a different tablespace for the unified audit trail, which you can do by using the DBMS_AUDIT_MGMT.SET_AUDIT_TRAIL_LOCATION procedure. Be aware that for Oracle Database Standard Edition and Express Edition, but not for Enterprise Edition, you can only associate the tablespace for unified auditing once. You should perform this association before you generate any audit records for the unified audit trail. After you have associated the tablespace, you cannot modify it because partitioning is only supported on Enterprise Edition.

You can configure auditing by using any of the following methods:

• Group audit settings into one unified audit policy. You can create one or more unified audit policies that define all the audit settings that your database needs.Auditing Activities with Unified Audit Policies and the AUDIT Statement describes how to accomplish this.

• Use one of the default unified audit policies. Oracle Database provides predefined unified audit policies that encompass the standard audit settings that most regulatory agencies require. See Auditing Activities with the Predefined Unified Audit Policies.

• Create fine-grained audit policies. You can create fine-grained audit policies that capture data such as the time an action occurred. See Auditing Specific Activities with Fine-Grained Auditing.

Oracle recommends that you audit your databases. Auditing is an effective method of enforcing strong internal controls so that your site can meet its regulatory compliance requirements, as defined in the Sarbanes-Oxley Act. This enables you to monitor business operations, and find any activities that may deviate from company policy. Doing so translates into tightly controlled access to your database and the application software, ensuring that patches are applied on schedule and preventing ad hoc changes. By creating effective audit policies, you can generate an audit record for audit and compliance personnel. Be selective with auditing and ensure that it meets your business compliance needs.

Why Is Auditing Used?

You typically use auditing to monitor user activity.

Auditing can be used to accomplish the following:

• Enable accountability for actions. These include actions taken in a particular schema, table, or row, or affecting specific content.

• Deter users (or others, such as intruders) from inappropriate actions based on their accountability.

• Investigate suspicious activity. For example, if a user is deleting data from tables, then a security administrator can audit all connections to the database and all successful and unsuccessful deletions of rows from all tables in the database.

• Notify an auditor of the actions of an unauthorized user. For example, an unauthorized user could be changing or deleting data, or the user has more privileges than expected, which can lead to reassessing user authorizations.

• Support post-incident investigations.

• Monitor and gather data about specific database activities. For example, the database administrator can gather statistics about which tables are being updated, how many logical I/Os are performed, or how many concurrent users connect at peak times.

• Detect problems with an authorization or access control implementation. For example, you can create audit policies that you expect will never generate an audit record because the data is protected in other ways. However, if these policies generate audit records, then you will know the other security controls are not properly implemented.

• Address auditing requirements for compliance. Regulations such as the following have common auditing-related requirements:

  • Sarbanes-Oxley Act

  • Health Insurance Portability and Accountability Act (HIPAA)

  • International Convergence of Capital Measurement and Capital Standards: a Revised Framework (Basel II)

  • Japan Privacy Law

  • European Union Directive on Privacy and Electronic Communications

Best Practices for Auditing

You should follow best practices guidelines for auditing.

• As a general rule, design your auditing strategy to collect the amount of information that you need to meet compliance requirements, but focus on activities that cause the greatest security concerns. For example, auditing every table in the database is not practical, but auditing tables with columns that contain sensitive data, such as salaries, is. With both unified and fine-grained auditing, there are mechanisms you can use to design audit policies that focus on specific activities to audit.

• Periodically archive and purge the audit trail data. You can use the DBMS_AUDIT_MGMT package to purge audit records in several different ways. You should regularly review the collected audit records and establish a system for collecting and retaining audit records based on your site’s retention policies. In addition to DBMS_AUDIT_MGMT, Oracle Data Safe and Oracle Audit Vault and Database Firewall provide features that enable you manage the archiving and purging of audit trail data.

What Is Unified Auditing?

In unified auditing, the unified audit trail captures audit information from a variety of sources.

Unified auditing enables you to capture audit records from the following sources:

• Audit records (including SYS audit records) from unified audit policies and AUDIT settings

• Fine-grained audit records from the DBMS_FGA PL/SQL package

• Oracle Database Real Application Security audit records

• Oracle Recovery Manager audit records

• Oracle Database Vault audit records

• Oracle Label Security audit records

• Oracle Data Mining records

• Oracle Data Pump

• Oracle SQL*Loader Direct Load

The unified audit trail table AUD$UNIFIED is a specialized table in the AUDSYS schema in the SYSAUX tablespace which allows only INSERT activity. Any attempt to directly truncate, delete or update contents of the AUD$UNIFIED table fail, and generate audit records. Audit data is managed using the built-in audit data management DBMS_AUDIT_MGMT package. The audit data is made available in a uniform format in the UNIFIED_AUDIT_TRAIL data dictionary view for the end user. In addition to the user SYS, users who have been granted the AUDIT_ADMIN and AUDIT_VIEWER roles can query these views. If your users only need to query the views but not create audit policies, then grant them the AUDIT_VIEWER role.

When the database is writeable, audit records are written to the unified audit trail. If the database is not writable, then audit records are written to new format operating system files in the $ORACLE_BASE/audit/$ORACLE_SID directory.

Benefits of the Unified Audit Trail

The benefits of a unified audit trail are many.

For example:

• After unified auditing is enabled, it does not depend on the initialization parameters that were used in previous releases. See How Unified Auditing Migration Affects Individual Audit Features for a list of these initialization parameters.

• The audit records, including records from the SYS audit trail, for all the audited components of your Oracle Database installation are placed in one location and in one format, rather than your having to look in different places to find audit trails in varying formats. This consolidated view enables auditors to co-relate audit information from different components. For example, if an error occurred during an INSERT statement, standard auditing can indicate the error number and the SQL that was executed. Oracle Database Vault-specific information can indicate whether this error happened because of a command rule violation or realm violation. Note that there will be two audit records with a distinct AUDIT_TYPE. With this unification in place, SYS audit records appear with AUDIT_TYPE set to Standard Audit.

• The management and security of the audit trail is also improved by having it in single audit trail.

• Overall auditing performance is greatly improved. By default, the audit records are automatically written to an internal relational table in the AUDSYS schema.

• You can create named audit policies that enable you to audit the supported components listed at the beginning of this section, as well as SYS administrative users. Furthermore, you can build conditions and exclusions into your policies.

• If you are using an Oracle Audit Vault and Database Firewall environment, then the unified audit trail greatly facilitates the collection of audit data, because all of this data will come from one location. Note: In previous releases, users were allowed to add and remove audit configuration to objects in their own schemas without any additional privileges. This ability is no longer allowed.

Checking if Your Database Has Migrated to Pure Unified Auditing

The V$OPTION dynamic view indicates if your database has been migrated to using pure unified auditing (that is, traditional auditing is turned off).

• Query the VALUE column of the V$OPTION dynamic view as follows, entering Unified Auditing in the case shown:

SELECT VALUE FROM V$OPTION WHERE PARAMETER = 'Unified Auditing';

PARAMETER         VALUE

----------------  ----------
Unified Auditing  TRUE

This output shows that unified auditing is enabled and traditional auditing is disabled. If pure unified auditing has not been enabled, then the output is FALSE, which implies that your database is using mixed mode auditing. Mixed mode auditing means that both traditional auditing and unified auditing are present.

Mixed Mode Auditing

Mixed mode auditing is the default auditing in a newly installed database.

• About Mixed Mode Auditing
  Mixed mode auditing enables both traditional (that is, the audit facility from releases earlier than release 12c) and the new audit facilities (unified auditing).

• Enablement of Unified Auditing
  By default and depending on the edition of Oracle Database, Oracle Database uses mixed mode auditing, supporting both unified audit and traditional audit.

• How Database Creation Determines the Type of Auditing You Have Enabled
  Unified auditing uses the $ORACLE_BASE/audit directory as the location for the operating system files.

• Capabilities of Mixed Mode Auditing
  Mixed mode auditing provides several capabilities.

About Mixed Mode Auditing

Mixed mode auditing enables both traditional (that is, the audit facility from releases earlier than release 12c) and the new audit facilities (unified auditing).

When you create a new database, by default the database uses mixed mode auditing.

You can enable the database in either of these two modes: the mixed mode auditing or pure unified auditing mode. Even though the features of unified auditing are enabled in both these modes, there are differences between them. In mixed mode, you can use the new unified audit facility alongside the traditional auditing facility. In pure unified auditing, you only use the unified audit facility. The following table summarizes the features of these two modes and how you enable them.

Mode	Features	How to Enable
Mixed mode auditing	Has both traditional and unified auditing	Ensure that at least one unified audit policy is enabled in your database. Typically you will see the ORA_SECURECONFIG and ORA_LOGON_FAILURES policies enabled by default.
Pure unified auditing	Has only unified auditing; traditional auditing is turned off	Link the oracle binary with uniaud_on, and then restart the database. Relinking the binary turns off traditional audit. After you have decided to use pure unified auditing, you can relink the oracle binary with the unified audit option turned on. This turns off traditional auditing. Oracle Database Upgrade Guide describes how to enable pure unified auditing.

Mixed mode is intended to introduce unified auditing, so that you can have a feel of how it works and what its nuances and benefits are. Mixed mode enables you to migrate your existing applications and scripts to use unified auditing. Once you have decided to use pure unified auditing, you can relink the oracle binary with the unified audit option turned on and thereby enable it as the one and only audit facility the Oracle database runs. If you decide to revert back to mixed mode, you can.

As in previous releases, the traditional audit facility is driven by the AUDIT_TRAIL initialization parameter. Only for mixed mode auditing, you should set this parameter to the appropriate traditional audit trail. This traditional audit trail will then be populated with audit records, along with the unified audit trail.

When you upgrade your database to the current release, traditional auditing is preserved, and the new audit records are written to the traditional audit trail. After you complete the migration, the audit records from the previous release are still available in those audit trails. You then can archive and purge these older audit trails by using the DBMS_AUDIT_MGMT PL/SQL procedures, based on your enterprise retention policies.

Enablement of Unified Auditing

By default and depending on the edition of Oracle Database, Oracle Database uses mixed mode auditing, supporting both unified audit and traditional audit.

When you are ready to migrate to pure unified audit mode (which turns off traditional audit and improves audit performance), link the oracle binary with uniaud_on, and then restart the database, as described in Oracle Database Upgrade Guide.

How Database Creation Determines the Type of Auditing You Have Enabled

Unified auditing uses the $ORACLE_BASE/audit directory as the location for the operating system files.

For newly created databases, mixed mode auditing is enabled by default through the predefined policies ORA_SECURECONFIG and ORA_LOGON_FAILURES.

Ensure that at least one unified audit policy is enabled in your database. Enable the ORA_SECURECONFIG and ORA_LOGON_FAILURES policies if they are not yet enabled. Note that Oracle Database has mandatory audits that cannot be turned off, so auditing of the most common security relevant events will continue to happen even if none of the unified audit policies are enabled.

Capabilities of Mixed Mode Auditing

Mixed mode auditing provides several capabilities.

These capabilities are as follows:

• It enables the use of all existing auditing initialization parameters: AUDIT_TRAIL, AUDIT_FILE_DEST, AUDIT_SYS_OPERATIONS, and AUDIT_SYSLOG_LEVEL.

• It writes mandatory audit records only to the traditional audit trails.

• It bases standard audit records on the standard audit configuration, and writes these records to the audit trail designated by the AUDIT_TRAIL initialization parameter.

  However, be aware that standard audit trail records are also generated based on unified audit policies and only these audit records are written to the unified audit trail. The standard audit records generated as a result of unified audit policies follow the semantics of unified audit policy enablement.

• Administrative user sessions generate SYS audit records. These records are written if the AUDIT_SYS_OPERATIONS initialization parameter is set to TRUE. This process writes the records only to the traditional audit trails. However, when unified audit policies are enabled for administrative users, these unified audit records are also written to unified audit trail.

• The format of the audit records that are written to traditional audit trails remains the same as in Oracle Database 11g Release 2.

• Oracle Database immediately writes unified audit records to an internal relational table in the AUDSYS schema.

• The performance cost of writing an audit record is equivalent to the sum of the times required for generating and writing an audit record to the traditional audit trail and the unified audit trail.

• Mixed mode auditing provides a glance of the unified audit mode features. Oracle recommends that you migrate to unified audit mode once you are comfortable with the new style of audit policies and audit trail.

Who Can Perform Auditing?

Oracle provides two roles for users who perform auditing: AUDIT_ADMIN and AUDIT_VIEWER.

The privileges that these roles provide are as follows:

• AUDIT_ADMIN role. This role enables you to create unified and fine-grained audit policies, use the AUDIT and NOAUDIT SQL statements, view audit data, and manage the audit trail administration. Grant this role only to trusted users.

• AUDIT_VIEWER role. This role enables users to view and analyze audit data. It provides the EXECUTE privilege on the DBMS_AUDIT_UTIL PL/SQL package. The kind of user who needs this role is typically an external auditor.

To change audit policies or modify the audit trail (including purging old audit data), you must be granted the AUDIT_ADMIN role. An auditor can view audit data after being granted the AUDIT_VIEWER role.

Unified Auditing in a Multitenant Environment

You can apply audit settings to individual PDBs or to the CDB, depending on the type of policy.

Each PDB, including the root, has its own unified audit trail.

• Unified audit policies created with the CREATE AUDIT POLICY and AUDIT statements: You can create policies for both the root and individual PDBs.

• Audit records written to the syslog: On UNIX platforms, you can set the UNIFIED_AUDIT_COMMON_SYSTEMLOG initialization parameter in the CDB root to enable certain unified audit trail columns to be written to SYSLOG. On both Windows and UNIX, you can set the UNIFIED_AUDIT_SYSTEMLOG parameter in both the root and PDB level.

• Fine-grained audit policies: You can create policies for individual PDBs only, not the root.

• Purging the audit trail: You can perform purge operations for both the root and individual PDBs.

Auditing in a Distributed Database

Auditing is site autonomous in that a database instance audits only the statements issued by directly connected users.

A local Oracle Database node cannot audit actions that take place in a remote database.

Related Topics

• Guidelines for Auditing
• Purging Audit Trail Records
• Oracle Database Reference for detailed information about the UNIFIED_AUDIT_TRAIL data dictionary view
• Oracle Database Upgrade Guide
• How the Unified Auditing Migration Affects Individual Audit Features, for a comparison of the features available in the pre-migrated and post-migrated auditing environments
• Checking if Your Database Has Migrated to Pure Unified Auditing
• Oracle Database Upgrade Guide for information about migrating your databases to unified auditing, and for references to the documentation you should use if you choose not to migrate
• Checking if Your Database Has Migrated to Pure Unified Auditing
• Secure Options Predefined Unified Audit Policy
• Writing the Unified Audit Trail Records to the AUDSYS Schema
• Oracle Database Upgrade Guide
• Unified Audit Policies or AUDIT Settings in a Multitenant Environment
• Creating a Fine-Grained Audit Policy