Oracle8 Administrator's Guide
Release 8.0

A58397-01

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Auditing Database Use

This chapter describes how to use the Oracle auditing facilities, and includes the following topics:

Guidelines for Auditing

This section describes guidelines for auditing and includes the following topics:

Audit via the Database or Operating System

The data dictionary of every database has a table named SYS.AUD$, commonly referred to as the database audit trail.

Either the database or operating system audit trail can store all audit records generated as the result of statement, privilege, or object auditing.

Your operating system may or may not support database auditing to the operating system audit trail. If this option is available, consider the advantages and disadvantages of using either the database or operating system auditing trail to store database audit records.

Using the database audit trail offers the following advantages:

Alternatively, your operating system audit trail may allow you to consolidate audit records from multiple sources including Oracle and other applications. Therefore, examining system activity might be more efficient because all audit records are in one place.

See Also: Your operating system may also contain an audit trail that stores audit records generated by the operating system auditing facility. However, this facility is operating system-dependent. See your operating system-specific Oracle documentation.

Keep Audited Information Manageable

Although auditing is relatively inexpensive, limit the number of audited events as much as possible. This will minimize the performance impact on the execution of statements that are audited, and minimize the size of the audit trail.

Use the following general guidelines when devising an auditing strategy:

Auditing Suspicious Database Activity

When you audit to monitor suspicious database activity, use the following guidelines:

See Also: For more information about the audit trail, see "Protecting the Audit Trail".

Auditing Normal Database Activity

When your purpose for auditing is to gather historical information about particular database activities, use the following guidelines:

Creating and Deleting the Database Audit Trail Views

This section describes how to create and delete database audit trail views, and includes the following topics:

The database audit trail (SYS.AUD$) is a single table in each Oracle database's data dictionary. To help you view meaningful auditing information in this table, several predefined views are provided. They must be created for you to use auditing; you can later delete them if you decide not to use auditing.

See Also: On most operating systems, the audit trail views are created automatically with the data dictionary. See your operating system-specific Oracle documentation.

Creating the Audit Trail Views

If you decide to use auditing, create the auditing views by connecting as SYS and running the script CATAUDIT.SQL. This script creates the following views:

See Also: For information about these views, see the Oracle8 Reference.

For examples of audit information interpretations, see "Viewing Database Audit Trail Information".

Deleting the Audit Trail Views

If you disable auditing and no longer need the audit trail views, delete them by connecting to the database as SYS and running the script file CATNOAUD.SQL. The name and location of the CATNOAUD.SQL script are operating system-dependent.

Managing Audit Trail Information

This section describes various aspects of managing audit trail information, and includes the following topics:

Depending on the events audited and the auditing options set, the audit trail records can contain different types of information. The following information is always included in each audit trail record, provided that the information is meaningful to the particular audit action:

Audit trail records written to the operating system audit trail contain some encodings that are not readable. These can be decoded as follows:

Action Code

This describes the operation performed or attempted. The AUDIT_ACTIONS data dictionary table contains a list of these codes and their descriptions.

Privileges Used

This describes any system privileges used to perform the operation. The SYSTEM_PRIVILEGE_MAP table lists all of these codes, and their descriptions.

Completion Code

This describes the result of the attempted operation. Successful operations return a value of zero, while unsuccessful operations return the Oracle error code describing why the operation was unsuccessful.

See Also: Error codes are listed in Oracle8 Error Messages.

Events Audited by Default

Regardless of whether database auditing is enabled, the Oracle Server will always audit certain database-related actions into the operating system audit trail. These events include the following:

instance startup

 

An audit record is generated that details the OS user starting the instance, his terminal identifier, the date and time stamp, and whether database auditing was enabled or disabled. This is audited into the OS audit trail because the database audit trail is not available until after startup has successfully completed. Recording the state of database auditing at startup further prevents an administrator from restarting a database with database auditing disabled so that they are able to perform unaudited actions.

 

instance shutdown

 

An audit record is generated that details the OS user shutting down the instance, her terminal identifier, the date and time stamp.

 

connections to the database with administrator
privileges

 

An audit record is generated that details the OS user connecting to Oracle as SYSOPER or SYSDBA, to provide accountability of users with administrator privileges.

 

On operating systems that do not make an audit trail accessible to Oracle, these audit trail records are placed in an Oracle audit trail file in the same directory as background process trace files.

Setting Auditing Options

Depending on the auditing options set, audit records can contain different types of information. However, all auditing options generate the following information:

The audit trail does not store information about any data values that might be involved in the audited statement. For example, old and new data values of updated rows are not stored when an UPDATE statement is audited. However, this specialized type of auditing can be performed on DML statements involving tables by using database triggers.

Oracle allows you to set audit options at three levels:

statement

 

audits based on the type of a SQL statement, such as any SQL statement on a table (which records each CREATE, TRUNCATE, and DROP TABLE statement)

 

privilege

 

audits use of a particular system privilege, such as CREATE TABLE

 

object

 

audits specific statements on specific objects, such as ALTER TABLE on the EMP table

 

See Also: For examples of trigger usage for this specialized type of auditing, see "Auditing Through Database Triggers".

Statement Audit Options

Valid statement audit options that can be included in AUDIT and NOAUDIT statements are listed in the Oracle8 SQL Reference.

Shortcuts for Statement Audit Options

Shortcuts are provided so that you can specify several related statement options with one word.

Shortcuts are not statement options themselves; rather, they are ways of specifying sets of related statement options with one word in AUDIT and NOAUDIT statements. Shortcuts for system privileges and statement options are detailed in the Oracle8 SQL Reference.

Auditing Connections and Disconnections

The SESSION statement option (and CONNECT shortcut) is unique because it does not generate an audit record when a particular type of statement is issued; this option generates a single audit record for each session created by connections to an instance. An audit record is inserted into the audit trail at connect time and updated at disconnect time. Cumulative information about a session such as connection time, disconnection time, logical and physical I/Os processed, and more is stored in a single audit record that corresponds to the session.

See Also: The Oracle8 SQL Reference also lists additional audit options not covered by the shortcuts.

Privilege Audit Options

Privilege audit options exactly match the corresponding system privileges. For example, the option to audit use of the DELETE ANY TABLE privilege is DELETE ANY TABLE. To turn this option on, you would use a statement similar to the following example:

AUDIT DELETE ANY TABLE
    BY ACCESS
    WHENEVER NOT SUCCESSFUL;

Oracle's system privileges are listed in "System Privileges".

Object Audit Options

The Oracle8 SQL Reference lists valid object audit options and the schema object types for which each option is available.

Table 22-1 lists the SQL statements audited by each object option.

Table 22-1 SQL Statement Audited by Database Object Audit Option
Object Option   Table  

ALTER

 

ALTER object (table or sequence)

 

AUDIT

 

AUDIT (Form II) object

 

COMMENT

 

COMMENT object (table or view)

 

DELETE

 

DELETE FROM object (table or view)

 

EXECUTE

 

EXECUTE object (procedure 1)

 

GRANT

 

GRANT (Form II) privilege ON object

 

INDEX

 

CREATE INDEX ON object (tables only)

 

INSERT

 

INSERT INTO object (table, view, or procedure)

 

LOCK

 

LOCK object (table or view)

 

RENAME

 

RENAME object (table, view, or procedure 1)

 

SELECT

 

SELECT . . .FROM object (table, view, snapshot)

 

UPDATE

 

UPDATE object (table or view)

 
1 Procedure refers to stand-alone stored procedures and functions, and packages.  

Shortcut for Object Audit Options

The ALL shortcut can be used to specify all available object audit options for a schema object. This shortcut is not an option itself; rather, it is a way of specifying all object audit options with one word in AUDIT and NOAUDIT statements.

Enabling Audit Options

The SQL command AUDIT turns on statement and privilege audit options, and object audit options. Audit statements that set statement and privilege audit options can include the BY USER option to specify a list of users to limit the scope of the statement and privilege audit options. The SQL command AUDIT turns on audit options. To use it to set statement and privilege options, you must have the AUDIT SYSTEM privilege. To use it to set object audit options, you must own the object to be audited or have the AUDIT ANY privilege.

You can set any auditing option, and specify the following conditions for auditing:

A new database session picks up auditing options from the data dictionary when the session is created. These auditing options remain in force for the duration of the database connection. Setting new system or object auditing options causes all subsequent database sessions to use these options; existing sessions will continue using the audit options in place at session creation.


WARNING:

The AUDIT command only turns auditing options on; it does not enable auditing as a whole. To turn auditing on and control whether Oracle generates audit records based on the audit options currently set, set the parameter AUDIT_TRAIL in the database's parameter file.

 

See Also: For a complete description of the AUDIT command, see the Oracle8 SQL Reference.

For more information about enabling and disabling auditing, see "Enabling and Disabling Database Auditing".

Enabling Statement Privilege Auditing

To audit all successful and unsuccessful connections to and disconnections from the database, regardless of user, BY SESSION (the default and only value for this option), enter the following statement:

AUDIT SESSION;

You can set this option selectively for individual users also, as in the next example:

AUDIT SESSION
BY scott, lori;

To audit all successful and unsuccessful uses of the DELETE ANY TABLE system privilege, enter the following statement:

AUDIT DELETE ANY TABLE;

To audit all unsuccessful SELECT, INSERT, and DELETE statements on all tables and unsuccessful uses of the EXECUTE PROCEDURE system privilege, by all database users, BY ACCESS, enter the following statement:

AUDIT SELECT TABLE, INSERT TABLE, DELETE TABLE,
   EXECUTE PROCEDURE
      BY ACCESS
      WHENEVER NOT SUCCESSFUL;

The AUDIT SYSTEM system privilege is required to set any statement or privilege audit option. Normally, the security administrator is the only user granted this system privilege.

Enabling Object Auditing

To audit all successful and unsuccessful DELETE statements on the SCOTT.EMP table, BY SESSION (the default value), enter the following statement:

AUDIT DELETE ON scott.emp;

To audit all successful SELECT, INSERT, and DELETE statements on the DEPT table owned by user JWARD, BY ACCESS, enter the following statement:

AUDIT SELECT, INSERT, DELETE
     ON jward.dept
     BY ACCESS
     WHENEVER SUCCESSFUL;

To set the default object auditing options to audit all unsuccessful SELECT statements, BY SESSION (the default), enter the following statement:

AUDIT SELECT
     ON DEFAULT
     WHENEVER NOT SUCCESSFUL;

A user can set any object audit option for the objects contained in the user's schema. The AUDIT ANY system privilege is required to set an object audit option for an object contained in another user's schema or to set the default object auditing options; normally, the security administrator is the only user granted this system privilege.

Disabling Audit Options

The NOAUDIT command turns off the various audit options of Oracle. Use it to reset statement and privilege audit options, and object audit options. A NOAUDIT statement that sets statement and privilege audit options can include the BY USER option to specify a list of users to limit the scope of the statement and privilege audit options.

You can use a NOAUDIT statement to disable an audit option selectively using the WHENEVER clause. If the clause is not specified, the auditing option is disabled entirely, for both successful and non-successful cases.

The BY SESSION/BY ACCESS option pair is not supported by the NOAUDIT command; audit options, no matter how they were turned on, are turned off by an appropriate NOAUDIT statement.


WARNING:

The NOAUDIT command only turns auditing options off; it does not disable auditing as a whole. To turn auditing off and stop Oracle from generating audit records, even though you have audit options currently set, set the parameter AUDIT_TRAIL in the database's parameter file.

 

See Also: For a complete syntax listing of the NOAUDIT command, see the Oracle8 SQL Reference.

Also see "Enabling and Disabling Database Auditing".

Disabling Statement and Privilege Auditing

The following statements turn off the corresponding audit options:

NOAUDIT session;
NOAUDIT session BY scott, lori;
NOAUDIT DELETE ANY TABLE;
NOAUDIT SELECT TABLE, INSERT TABLE, DELETE TABLE,
    EXECUTE PROCEDURE;

The following statements turn off all statement (system) and privilege audit options:

NOAUDIT ALL;
NOAUDIT ALL PRIVILEGES;

To disable statement or privilege auditing options, you must have the AUDIT SYSTEM system privilege.

Disabling Object Auditing

The following statements turn off the corresponding auditing options:

NOAUDIT DELETE
   ON emp;
NOAUDIT SELECT, INSERT, DELETE
   ON jward.dept;

Furthermore, to turn off all object audit options on the EMP table, enter the following statement:

NOAUDIT ALL
   ON emp;

Disabling Default Object Audit Options

To turn off all default object audit options, enter the following statement:

NOAUDIT ALL
   ON DEFAULT;

Note that all schema objects created before this NOAUDIT statement is issued continue to use the default object audit options in effect at the time of their creation, unless overridden by an explicit NOAUDIT statement after their creation.

To disable object audit options for a specific object, you must be the owner of the schema object. To disable the object audit options of an object in another user's schema or to disable default object audit options, you must have the AUDIT ANY system privilege. A user with privileges to disable object audit options of an object can override the options set by any user.

Enabling and Disabling Database Auditing

Any authorized database user can set statement, privilege, and object auditing options at any time, but Oracle does not generate and store audit records in the audit trail unless database auditing is enabled. The security administrator is normally responsible for this operation.

Database auditing is enabled and disabled by the AUDIT_TRAIL initialization parameter in the database's parameter file. The parameter can be set to the following values:

DB

 

enables database auditing and directs all audit records to the database audit trail

 

OS

 

enables database auditing and directs all audit records to the operating system audit trail

 

NONE

 

disables auditing (This value is the default.)

 

After you have edited the parameter file, restart the database instance to enable or disable database auditing as intended.

See Also: For more information about editing parameter files, see the Oracle8 Reference.

Controlling the Growth and Size of the Audit Trail

If the audit trail becomes completely full and no more audit records can be inserted, audited statements cannot be successfully executed until the audit trail is purged. Warnings are returned to all users that issue audited statements. Therefore, the security administrator must control the growth and size of the audit trail.

When auditing is enabled and audit records are being generated, the audit trail grows according to two factors:

To control the growth of the audit trail, you can use the following methods:

The maximum size of the database audit trail (SYS.AUD$ table) is predetermined during database creation. By default, up to 99 extents, each 10K in size, can be allocated for this table.

You cannot move SYS.AUD$ to another tablespace as a means of controlling the growth and size of the audit trail. However, you can modify the default storage parameters (except INITIAL) in SYS.AUD$.

See Also: If you are directing audit records to the operating system audit trail, see your operating system-specific Oracle documentation for more information about managing the operating system audit trail.

For more details on the SYS.AUD$ storage parameters, see the Oracle8 Reference.

Purging Audit Records from the Audit Trail

After auditing is enabled for some time, the security administrator may want to delete records from the database audit trail both to free audit trail space and to facilitate audit trail management.

For example, to delete all audit records from the audit trail, enter the following statement:

DELETE FROM sys.aud$;

Alternatively, to delete all audit records from the audit trail generated as a result of auditing the table EMP, enter the following statement:

DELETE FROM sys.aud$
     WHERE obj$name='EMP';

If audit trail information must be archived for historical purposes, the security administrator can copy the relevant records to a normal database table (for example, using "INSERT INTO table SELECT ... FROM sys.aud$ ...") or export the audit trail table to an operating system file.

Only the user SYS, a user who has the DELETE ANY TABLE privilege, or a user to whom SYS has granted DELETE privilege on SYS.AUD$ can delete records from the database audit trail.


Note:

If the audit trail is completely full and connections are being audited (that is, if the SESSION option is set), typical users cannot connect to the database because the associated audit record for the connection cannot be inserted into the audit trail. In this case, the security administrator must connect as SYS (operations by SYS are not audited) and make space available in the audit trail.

 

See Also: For information about exporting tables, see Oracle8 Utilities.

Reducing the Size of the Audit Trail

As with any database table, after records are deleted from the database audit trail, the extents allocated for this table still exist.

If the database audit trail has many extents allocated for it, but many of them are not being used, the space allocated to the database audit trail can be reduced using the following steps:

  1. If you want to save information currently in the audit trail, copy it to another database table or export it using the EXPORT utility.
  2. Connect as with administrator privileges.
  3. Truncate SYS.AUD$ using the TRUNCATE command.
  4. Reload archived audit trail records generated from Step 1.

The new version of SYS.AUD$ is allocated only as many extents that are necessary to contain current audit trail records.


Note:

SYS.AUD$ is the only SYS object that should ever be directly modified.

 

Protecting the Audit Trail

When auditing for suspicious database activity, protect the integrity of the audit trail's records to guarantee the accuracy and completeness of the auditing information.

To protect the database audit trail from unauthorized deletions, grant the DELETE ANY TABLE system privilege to security administrators only.

To audit changes made to the database audit trail, use the following statement:

AUDIT INSERT, UPDATE, DELETE
    ON sys.aud$
    BY ACCESS;

Audit records generated as a result of object audit options set for the SYS.AUD$ table can only be deleted from the audit trail by someone connected with administrator privileges, which itself has protection against unauthorized use. As a final measure of protecting the audit trail, any operation performed while connected with administrator privileges is audited in the operating system audit trail, if available.

See Also: For more information about the availability of an operating system audit trail and possible uses, see your operating system-specific Oracle documentation.

Viewing Database Audit Trail Information

This section offers examples that demonstrate how to examine and interpret the information in the audit trail, and includes the following topics:

You may have to audit a database for the following suspicious activities:

As an example, say that you suspect the users JWARD and SWILLIAMS of several of these detrimental actions. The database administrator may then issue the following statements (in order):

AUDIT ALTER, INDEX, RENAME ON DEFAULT
    BY SESSION;
CREATE TABLE scott.emp . . . ;
CREATE VIEW scott.employee AS SELECT * FROM scott.emp;
AUDIT SESSION BY jward, swilliams;
AUDIT ALTER USER;
AUDIT LOCK TABLE
    BY ACCESS
    WHENEVER SUCCESSFUL;
AUDIT DELETE ON scott.emp
    BY ACCESS
    WHENEVER SUCCESSFUL;

The following statements are subsequently issued by the user JWARD:

ALTER USER tsmith QUOTA 0 ON users;
DROP USER djones;

The following statements are subsequently issued by the user SWILLIAMS:

LOCK TABLE scott.emp IN EXCLUSIVE MODE;
DELETE FROM scott.emp WHERE mgr = 7698;
ALTER TABLE scott.emp ALLOCATE EXTENT (SIZE 100K);
CREATE INDEX scott.ename_index ON scott.emp (ename);
CREATE PROCEDURE scott.fire_employee (empid NUMBER) AS
  BEGIN
    DELETE FROM scott.emp WHERE empno = empid;
  END;
/

EXECUTE scott.fire_employee(7902);

The following sections show the information that can be listed using the audit trail views in the data dictionary.

Listing Active Statement Audit Options

The following query returns all the statement audit options that are set:

SELECT * FROM sys.dba_stmt_audit_opts;

USER_NAME               AUDIT_OPTION         SUCCESS         FAILURE
--------------------    -------------------  ----------      ---------
JWARD                   SESSION              BY SESSION      BY SESSION
SWILLIAMS               SESSION              BY SESSION      BY SESSION
                        LOCK TABLE           BY ACCESS       NOT SET

Notice that the view reveals the statement audit options set, whether they are set for success or failure (or both), and whether they are set for BY SESSION or BY ACCESS.

Listing Active Privilege Audit Options

The following query returns all the privilege audit options that are set:

SELECT * FROM sys.dba_priv_audit_opts;

USER_NAME           AUDIT_OPTION        SUCCESS      FAILURE
------------------- -------------------- ---------   ----------
ALTER USER          BY SESSION          BY SESSION

Listing Active Object Audit Options for Specific Objects

The following query returns all audit options set for any objects contained in SCOTT's schema:

SELECT * FROM sys.dba_obj_audit_opts
    WHERE owner = 'SCOTT' AND object_name LIKE 'EMP%';

OWNER OBJECT_NAME OBJECT_TY ALT AUD COM DEL GRA IND INS LOC ...
----- ----------- --------- --- --- --- --- --- --- --- --- ...
SCOTT EMP         TABLE      S/S -/- -/- A/- -/- S/S -/- -/- ...
SCOTT EMPLOYEE     VIEW      -/- -/- -/- A/- -/- S/S -/- -/- ...

Notice that the view returns information about all the audit options for the specified object. The information in the view is interpreted as follows:

Listing Default Object Audit Options

The following query returns all default object audit options:

SELECT * FROM all_def_audit_opts;

ALT AUD COM DEL GRA IND INS LOC REN SEL UPD REF EXE
--- --- --- --- --- --- --- --- --- --- --- --- ---
S/S -/- -/- -/- -/- S/S -/- -/- S/S -/- -/- -/- -/-

Notice that the view returns information similar to the USER_OBJ_AUDIT_OPTS and DBA_OBJ_AUDIT_OPTS views (see previous example).

Listing Audit Records

The following query lists audit records generated by statement and object audit options:

    SELECT * FROM sys.dba_audit_object;

Listing Audit Records for the AUDIT SESSION Option

The following query lists audit information corresponding to the AUDIT SESSION statement audit option:

SELECT username, logoff_time, logoff_lread, logoff_pread,
    logoff_lwrite, logoff_dlock
    FROM sys.dba_audit_session;

USERNAME   LOGOFF_TI LOGOFF_LRE LOGOFF_PRE LOGOFF_LWR LOGOFF_DLO
---------- --------- ---------- ---------- ---------- ----------
JWARD      02-AUG-91       53          2         24   0
SWILLIAMS  02-AUG-91     3337         256       630    0

Auditing Through Database Triggers

You can use triggers to supplement the built-in auditing features of Oracle. Although you can write triggers to record information similar to that recorded by the AUDIT command, do so only when you need more detailed audit information. For example, you can use triggers to provide value-based auditing on a per-row basis for tables.


Note:

In some fields, the Oracle AUDIT command is considered a security audit facility, while triggers can provide a financial audit facility.

 

When deciding whether to create a trigger to audit database activity, consider the advantages that the standard Oracle database auditing features provide compared to auditing by triggers:

When using triggers to provide sophisticated auditing, normally use AFTER triggers. By using AFTER triggers, you record auditing information after the triggering statement is subjected to any applicable integrity constraints, preventing cases where audit processing is carried out unnecessarily for statements that generate exceptions to integrity constraints.

When you should use AFTER row vs. AFTER statement triggers depends on the information being audited. For example, row triggers provide value-based auditing on a per-row basis for tables. Triggers can also allow the user to supply a "reason code" for issuing the audited SQL statement, which can be useful in both row and statement-level auditing situations.

The following trigger audits modifications to the EMP table on a per-row basis. It requires that a "reason code" be stored in a global package variable before the update. The trigger demonstrates the following:

Comments within the code explain the functionality of the trigger.

CREATE TRIGGER audit_employee
AFTER INSERT OR DELETE OR UPDATE ON emp
FOR EACH ROW
BEGIN
/* AUDITPACKAGE is a package with a public package
   variable REASON. REASON could be set by the
   application by a command such as EXECUTE
   AUDITPACKAGE.SET_REASON(reason_string). Note that a
   package variable has state for the duration of a
   session and that each session has a separate copy of
   all package variables. */
IF auditpackage.reason IS NULL THEN
   raise_application_error(-20201,'Must specify reason with ',
   'AUDITPACKAGE.SET_REASON(reason_string)');
END IF;

/* If the above conditional evaluates to TRUE, the
    user-specified error number and message is raised,
    the trigger stops execution, and the effects of the
    triggering statement are rolled back. Otherwise, a
    new row is inserted into the pre-defined auditing
    table named AUDIT_EMPLOYEE containing the existing
    and new values of the EMP table and the reason code
    defined by the REASON variable of AUDITPACKAGE. Note
    that the "old" values are NULL if triggering
    statement is an INSERT and the "new" values are NULL
    if the triggering statement is a DELETE. */
INSERT INTO audit_employee VALUES
    (:old.ssn, :old.name, :old.job_classification, :old.sal,
    :new.ssn, :new.name, :new.job_classification, :new.sal,
    auditpackage.reason, user, sysdate );
END;

Optionally, you can also set the reason code back to NULL if you want to force the reason code to be set for every update. The following AFTER statement trigger sets the reason code back to NULL after the triggering statement is executed:

CREATE TRIGGER audit_employee_reset
   AFTER INSERT OR DELETE OR UPDATE ON emp
BEGIN
    auditpackage.set_reason(NULL);
END;

The previous two triggers are both fired by the same type of SQL statement. However, the AFTER row trigger is fired once for each row of the table affected by the triggering statement, while the AFTER statement trigger is fired only once after the triggering statement execution is completed.




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