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Users wish to find an approval process in JOC Cockpit for situations in which users perfrom interventions such as adding or cancelling orders.

The following roles are involved:

• An Operator intends requests to perform an intervention that requires approval.
• An Approver confirms or denies the interventionOperator's Approval Request.

The basic functionality of the approval process Approval Process includes:

• to implement the 4-eyes principle: an Approver has to must confirm the intervention of an Operator.
• to keep track of pending interventionsApproval Requests.
• to offer fallback for to a number of Approvers.
  
  

The feature is intended for branch

Prerequisites

Profiles

Operator profiles and Approver profiles are required to specify

• supported Notification Channels in their preferred order,
• one or more Notification Endpoints matching supported Notification Channels:
  • An e-mail address for receipt of Notifications,
  • A
• the communication channel being one of SMS messages or WhatsApp messages,
• a
  • phone number for receipt of Notifications for mobile devices.

Internet Connection

JOC Cockpit, Controller and Agents are operated without internet connection.

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Definitions

Notifications

Notification Channels include

• Internal Notifications
  • Notify the recipient of the Notification Notifying recipients in JOC Cockpit provided that an active session exists in JOC Cockpit for the recipientrecipients.
• External Notifications
  • Send Sending e-mail to the Approverrecipients.
  • Send Sending SMS messages to mobile devices by e-mail using an SMS Gateway Provider that accepts e-mail which is converted to SMS messages and is forwarded to the Approverrecipient.
    • SMS Gateways are commercial services offered at low cost from a vast number or providers such as Twilio, Telnyx, Bird etc.
  • Send Sending WhatsApp messages to mobile devices using https://developers.facebook.com/docs/whatsapp/cloud-api/.
    • The Facebook Cloud API requires prior registration.
    • Consider that use of 3rd-party APIs and Services for sending WhatsApp messages is illegal. Use of the Facebook Cloud API only is legitimate.
  • Send Sending Signal messages to mobile devices using https://github.com/signalapp/libsignal

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Notification Channels that require internet access, for example use of WhatsApp messages or Signal messageswhen sending messages to mobile devices, make use of the JS7 Notification Service. The service JOC Cockpit API Server that is operated from a component on a separate machine with internet access.

• JOC Cockpit can access the service API Server to send and to receive Notifications. The JS7 Notification Service API Server does not establish a connection to JOC Cockpit.
  • Connections are established using mutual TLS authentication between JOC Cockpit (client) and the JS7 Notification Service (server)API Server.
• The JS7 Notification Service API Server offers a REST API to send Notifications and to receive Notifications.

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Operators and Approvers are managed by from groups:

• Operators are members in assigned a given JS7 role. A number of JS7 roles can be used to populate an Operator Group: Operators are selected from a given role and are added to the group in specific ordering.
  • This implies that user accounts that are not assigned a given JS7 role cannot create Approval Requests.
  • This implies that user accounts that are not assigned a given JS7 role cannot perform Approval.
  • Any user accounts are individually added to an Operator Group or Approver Group. Role assignment to groups remains in place and is checked at run-time for a given user account.
• Approvers are members in assigned a given JS7 role. A number of JS7 roles can be used to populate an Approver Group: Approvers are selected from a given role and are added to the group in specific ordering.
  • The same applies for role assignment as for Operators.

More than one Operator Group and Approver Group can be

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created. Each group is assigned matching folder permissions. The relation of folder permissions, Operator Group and Approver Group is persisted.

The following applies to the mapping of approval requests Approvers to rolesApproval Requests:

• Any member of an Operator Group can prompt an Approver who is a member of the matching Approver Group for confirmation of an intervention.
  • An For a given Approval Request the Operator can specify the preferred Approver (identified from the Approver's account) for a given approval requestfrom the matching Approver Group.
  • If no preferred Approver is specified then the first Approver of the matching Approver Group will be assigned the Approval Request.
• Any member of an Approver Group matching the requesting Operator Group can handle approval requests initiated by any OperatorApproval Requests.
  • The preferred Approver specified by the Operator for an approval request is contacted Approval Request will be assigned and notified first.
  • If the preferred Approver does will not respond to the request Approval Request within a configurable period, then the next Approver in the Approver Group will be assigned and notified.

Approval Process Flow

The process flow works like this:

digraph structs {
    compound=true;
    # rankdir=LR;

    Operator [label="   Operator   ",style="filled",fillcolor="orange",fontname="Arial",fontsize="12pt"]
    Operator2 [label="   Operator   ",style="filled",fillcolor="orange",fontname="Arial",fontsize="12pt"]
    Approver [label="   Approver   ",style="filled",fillcolor="dodgerblue",fontname="Arial",fontsize="12pt"]
    Approval_Request [label="   Approval Request   ",style="filled",fillcolor="limegreen",fontname="Arial",fontsize="12pt"]
    Approver_Notification [label="   Notification   ",style="filled",fillcolor="limegreen",fontname="Arial",fontsize="12pt"] 
    Operator_Notification [label="   Notification   ",style="filled",fillcolor="limegreen",fontname="Arial",fontsize="12pt"] 
    Intervention [label="   Intervention   ",style="filled",fillcolor="limegreen",fontname="Arial",fontsize="12pt"]
 
    API_Server1 [label="   API Server   ",style="filled",fillcolor="grey",fontname="Arial",fontsize="12pt"]
    API_Server2 [label="   API Server   ",style="filled",fillcolor="grey",fontname="Arial",fontsize="12pt"] 
    Authorization_Server [label="   Authorization Server   ",style="filled",fillcolor="grey",fontname="Arial",fontsize="12pt"]
    Authorization_Code [shape="ellipse",label="   Authorization Code   ",style="filled",fillcolor="green",fontname="Arial",fontsize="12pt"]
    Authorization_Code2 [shape="ellipse",label="   Authorization Code   ",style="filled",fillcolor="green",fontname="Arial",fontsize="12pt"]

    Create_ApprovalRequest [shape="rectangle",label="Create/Sign",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Send_APIServer [shape="rectangle",label="Send",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Create_ApproverNotification [shape="rectangle",label="Create",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Notify_Approver [shape="rectangle",label="Notify",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]

    Connect_AuthorizationServer [shape="rectangle",label="Connect",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Create_OperatorNotification [shape="rectangle",label="Create",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Notify_Operator [shape="rectangle",label="Notify",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
 
    Authenticate_AuthorizationServer [shape="rectangle",label="Authenticate",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Create_AuthorizationCode [shape="rectangle",label="Create",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]
    Apply_AuthorizationCode [shape="rectangle",label="Apply",fontname="Arial",fontsize="10pt",style="filled",fillcolor="white"]

    subgraph encrypt {
        fontname="Arial";
        fontsize="12pt";

        Operator -> Create_ApprovalRequest -> Approval_Request [label="",fontname="Arial",fontsize="10pt"];
        Approval_Request -> Send_APIServer -> API_Server1 -> Create_ApproverNotification [label="",fontname="Arial",fontsize="10pt"];
        Create_ApproverNotification -> Approver_Notification -> Notify_Approver -> Approver;

        Approver -> Connect_AuthorizationServer -> Authorization_Server ->  Authenticate_AuthorizationServer -> Create_AuthorizationCode -> Authorization_Code -> API_Server2;
        API_Server2 -> Create_OperatorNotification -> Operator_Notification -> Notify_Operator -> Operator2 -> Apply_AuthorizationCode -> Authorization_Code2 -> Intervention;
    }
}

Use Cases

Operator prompts Approver to confirm Intervention

• The Operator is prevented from directly performing an intervention. Instead, a Notification is created for the requested intervention that is sent to an Approver.

• Fail-over and switch-over of JOC Cockpit must be supported.

• Prompts for approval Approval Requests are persisted, and the list of pending prompts requests is available in JOC Cockpit, allowing Operators to cancel and to confirm prompts for approvalpending Approval Requests.

Anchor
approver_connected_joc_cockpit approver_connected_joc_cockpit

Approver connected to JOC Cockpit

• An Approver who is connected to JOC Cockpit from an active session receives an Internal Notification within JOC Cockpit for pending approvalsApproval Requests. The Notification explains affected objects and the type of intervention.

  • The Approver confirms/denies the intervention in JOC Cockpit.
• If an Approver connected to JOC Cockpit from an active session does not respond to the Internal Notification within a configurable period, for example 5 minutes, then the process applies as explained from chapter Approver external not connected to JOC Cockpit.

Anchor
approver_not_connected_joc_cockpit approver_not_connected_joc_cockpit

Approver not connected to JOC Cockpit

If an Operator prompts for confirmation of an intervention and the Approver is not connected to JOC Cockpit from an active session or does not respond to a JOC Cockpit Internal Notification, then the Approver will be notified externally.

The approval process Approval Process is supported by an external OIDC Identity Provider allowing to connect to JOC Cockpit and to approve the intervention. Any approval is performed inside JOC Cockpit.

• The Operator creates and digitally signs the Approval Request. The request includes the object, for a example an order, on which the intervention is performed and the type of intervention (delete, update, execute).
• The basic proceeding authorization flow corresponds to https://www.ory.sh/docs/oauth2-oidc/authorization-code-flow
  • The Approver clicks a link in the Notification message for the Approval Request.
  • The Approver is redirected to the Authorization Server, where they authenticate themselves and grant permission to the requested intervention.
  • The Authorization Server generates an authorization code and redirects the user back to the JS7 API Server with the authorization code.
  • The Approver is logged in to the JS7 API Server that stores the authorization code related to the Approval Request and logs out the Approver.
    • The JOC Cockpit that originated the Approval Request pulls the authorization code from the API Server and notifies the Operator. The Operator can enter the authorization code for the matching Approval Request to perform the intervention.

Capabilities

Prompt Notification

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When an Operator prompts an Approver to confirm an intervention, then the Approver receives an Internal and/or External Notification. If an Approver confirms or denies an intervention requestApproval Request, then the Operator receives an Internal and/or External Notification.

• Notifications include details about the internvention and about the Approver's response (confirmed/denied).

• Users can customize notification preferences. In case that the Approver is not available, another Approver should receive a notification in JOC Cockpit and via e-mail.

Approver Fallback

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When an Approver is unavailabledoes not pick up an Approval Request, then another Approver should be the next Approver in the Approver Group is notified to take over confirmation/denial of the suggested internvention to ensure that the approval process Approval Process is not interrupted. 

• The list of accounts for fallback to confirm an operation has to be predefined.

• JOC Cockpit should automatically check the availability of User 2. If unavailable, User 3 is notified and prompted to confirm.

Pending Prompts Summary

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• If a number of Approvers receives Notifications for the same Approval Request, then only one Approver can confirm/deny the Approval Request.
• If an Approval Request is confirmed/denied then remaining Approvers who previously have been notified receive a Notification about completion of the Approval Request.

Pending Approval Requests

Along with real-time Notification of Approval Requests, Approvers receive a summary of pending

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Approval Requests.

Bulk Approval 

No bulk approval is supported. Approvers must confirm/deny Approval Requests individually.

Audit Log Entries

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The Audit Log contains all operations and approval

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information to allow users to identify

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inconsistencies. The Audit Log records all operations, confirmations

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and denials. The Audit Log includes

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the User IDs of both Operator

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& Approver

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and intervention details.