IP Library Granted Patent US 9,773,122
Granted Patent B2
US 9,773,122 · App. 14/953,260 · Granted Sep 26, 2017

Automated compliance exception approval

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Quick Facts
Patent No.
US 9,773,122
App. No.
14/953,260
Granted
Sep 26, 2017
Kind
B2
Abstract

The invention relates to a computer-implemented method for automated approval of a non-compliance of a modified configuration of a computer system with one or more compliance rules, the method comprising: receiving by a package management system a pre-approved modification pattern in form of a software package, deploying a modification pattern of the software package and providing compliance exception pre-approvals of the software package to a compliance management system, performing a compliance check of the resulting modified configuration of the computer system, in response to detecting a non-compliance with a compliance rule, comparing the detected non-compliance with the one or more pre-approved non-compliances, in response to a matching of the detected non-compliance with one or more of the respective pre-approved non-compliances, automatically approving the detected non-compliance by the compliance management system.

Claims (62)

1. A computer-implemented method for automated approval of a non-compliance of a modified configuration of a first computer system with one or more compliance rules,

the method comprising:

receiving by a first package management system a pre-approved modification pattern in form of a software package comprising a modification pattern specifying one or more modifications to be applied to a first configuration of the first computer system and one or more compliance exception pre-approvals assigned to the respective modification pattern, each of the respective pre-approvals specifying a pre-approved non-compliance of one or more of the respective modifications with the one or more compliance rules,

deploying the respective pre-approved modification pattern by modifying the first configuration according to the modification pattern and providing the one or more compliance exception pre-approvals to a first compliance management system,

performing a compliance check of the resulting modified configuration of the first computer system by the respective first compliance management system,

in response to detecting a non-compliance with the one or more compliance rules, comparing the detected non-compliance with the one or more pre-approved non-compliances by the compliance management system,

in response to a matching of the detected non-compliance with one or more of the respective pre-approved non-compliances, automatically approving the detected non-compliance by the first compliance management system.

2. The computer-implemented method of claim 1 , the method further comprising:

recording the automatic approval of the detected non-compliance to a logfile.

3. The computer-implemented method of claim 1 , the method further comprising:

in response to determining that the detected non-compliance is not matching with any of the pre-approved non-compliances, requesting by the compliance management system a compliance exception approval for the detected non-compliance,

approving the detected non-compliance by the compliance management system upon receiving a compliance exception approval for the detected non-compliance.

4. The computer-implemented method of claim 3 , the method further comprising:

cancelling non-compliant modifications of the first configuration of the first computer system for which no compliance exception approvals are received.

5. The computer-implemented method of claim 1 , each non-compliance comprised by the first configuration of the first computer system being approved by a compliance exception approval.

6. The computer-implemented method of claim 1 , the first computer system being a virtual machine and modifying the first configuration of the first computer system comprises modifying software installed on the respective virtual machine.

7. The computer-implemented method of claim 1 , the method further comprising for generating the pre-approved modification pattern:

receiving by a second package management system the modification pattern,

deploying the modification pattern by modifying a second configuration of a second computer system according to the modification pattern,

performing a compliance check of the modified second configuration by a second compliance management system,

in response to detecting one or more non-compliances with the one or more compliance rules, requesting one or more compliance exception approvals for the detected non-compliances,

receiving one or more compliance exception pre-approvals assigned to the detected non-compliances,

generating by the second package management system the software package comprising the modification pattern and the one or more compliance exception pre-approvals.

8. The computer-implemented method of claim 7 , the method comprising:

in response to generating the software package, storing the software package in a software package repository,

receiving the software package of the pre-approved modification pattern from the software package repository in response to sending a request to the respective repository.

9. The computer-implemented method of claim 7 , the first and second compliance management system being the same compliance management system.

10. The computer-implemented method of claim 1 , the compliance exception pre-approval being assigned with a first digital signature and an ID identifying an approving authority, the method further comprising:

upon receipt of the compliance exception pre-approval, verifying by the first compliance management system the first signature and the authorization of the approving authority identified by the ID.

11. The computer-implemented method of claim 1 , the pre-approved modification pattern being assigned with a second digital signature, the method further comprising:

upon receipt of the pre-approved modification pattern, verifying the second signature.

12. The computer-implemented method of claim 1 , the modification pattern further comprising machine-readable installation instructions specifying an installation procedure to be applied and machine-readable configuration instructions specifying post-installation configuration adjustments to be applied, the modifying of the first configuration of the first computer system comprising:

executing the respective installation instructions,

executing the respective configuration instructions.

13. The computer-implemented method of claim 12 , the pre-approved modification pattern further comprising installable payload, the method further comprising:

upon execution of the installation instructions installing the installable payload.

14. The computer-implemented method of claim 12 , the pre-approved modification pattern further comprising one or more references to one or more installable files, the method further comprising:

upon execution of the installation instructions requesting, receiving and installing the respective installable files.

15. The computer-implemented method of claim 1 , the pre-approved modification pattern further comprising machine-readable mitigation instructions specifying adjustments to be applied to the modifications of the first configuration specified by the modification pattern for mitigating non-compliances of the respective modifications, the method further comprising:

executing the respective mitigation instructions.

16. The computer-implemented method of claim 1 , the pre-approved modification pattern further comprising control instructions specifying requirements to be met when controlling the first computer system for deploying the respective pre-approved modification pattern, the method further comprising:

controlling the first computer system according to the control requirements when deploying the respective pre-approved modification pattern.

17. The computer-implemented method of claim 1 , the pre-approved modification pattern further comprising pre-conditions specifying requirements to be satisfied by the first configuration of the first computer system for deploying the respective pre-approved modification pattern, the method further comprising:

checking whether the first configuration meets the requirements specified by the pre-conditions,

in response to detecting a requirement specified by the pre-conditions which is not met by the first configuration, initiating an initial modification of the first configuration such that the first configuration meets the respective requirement.

18. A computer-implemented method for automated approval of a non-compliance of a modified configuration of a computer system with one or more compliance rules by a compliance management system,

the method comprising:

performing a compliance check of the modified configuration of the computer system by the compliance management system, the modified configuration of the computer system resulting from deploying a pre-approved modification pattern by a package management system modifying an initial configuration of the computer system according to a modification pattern, the modification pattern being provided by a pre-approved modification pattern in form of a software package comprising the modification pattern specifying one or more modifications to be applied to the initial configuration of the computer system and one or more compliance exception pre-approvals assigned to the respective modification pattern, each of the respective pre-approvals specifying a pre-approved non-compliance of one or more of the respective modifications with the one or more compliance rules,

in response to detecting a non-compliance with the one or more compliance rules, comparing the detected non-compliance with the one or more pre-approved non-compliances from the software package provided to the compliance management system by the package management system,

in response to a matching of the detected non-compliance with one or more of the respective pre-approved non-compliances, automatically approving the detected non-compliance by the compliance management system.

19. A computer program product for automated approval of a non-compliance of a modified configuration of a first computer system with one or more compliance rules, the computer program product comprising a computer readable storage medium having program instructions embodied therewith, the program instructions executable by a processor being configured to cause the processor to control a computer system to execute a method comprising:

receiving by a package management system a pre-approved modification pattern in form of a software package comprising a modification pattern specifying one or more modifications to be applied to a configuration of the computer system and one or more compliance exception pre-approvals assigned to the respective modification pattern, each of the respective pre-approvals specifying a pre-approved non-compliance of one or more of the respective modifications with the one or more compliance rules,

deploying the respective pre-approved modification pattern by modifying the configuration according to the modification pattern and providing the one or more compliance exception pre-approvals to a compliance management system,

performing a compliance check of the resulting modified configuration of the computer system by the respective compliance management system,

in response to detecting a non-compliance with the one or more compliance rules, comparing the detected non-compliance with the one or more pre-approved non-compliances by the compliance management system,

in response to a matching of the detected non-compliance with one or more of the respective pre-approved non-compliances, automatically approving the detected non-compliance by the compliance management system.

20. A computer system for automated approval of a non-compliance of a modified configuration of a first computer system with one or more compliance rules, the computer system comprising a memory for storing machine executable instructions and a processor for executing the machine executable instructions, execution of the machine executable instructions by the processor causing the processor to control the computer system to execute a method comprising:

receiving by a package management system a pre-approved modification pattern in form of a software package comprising a modification pattern specifying one or more modifications to be applied to a configuration of the computer system and one or more compliance exception pre-approvals assigned to the respective modification pattern, each of the respective pre-approvals specifying a pre-approved non-compliance of one or more of the respective modifications with the one or more compliance rules,

deploying the respective pre-approved modification pattern by modifying the configuration according to the modification pattern and providing the one or more compliance exception pre-approvals to a compliance management system,

performing a compliance check of the resulting modified configuration of the computer system by the respective compliance management system,

in response to detecting a non-compliance with the one or more compliance rules, comparing the detected non-compliance with the one or more pre-approved non-compliances by the compliance management system,

in response to a matching of the detected non-compliance with one or more of the respective pre-approved non-compliances, automatically approving the detected non-compliance by the compliance management system.

Assignments (6)
RELEASE OF SECURITY INTEREST Recorded Mar 28, 2025
From: BLUE OWL CREDIT INCOME CORP (F/K/A OWL ROCK CORE INCOME CORP.), AS COLLATERAL AGENT
To: AVALARA, INC.; EDISON VAULT, LLC
Reel/Frame 070671/0486 →
SECURITY INTEREST Recorded Mar 28, 2025
From: AVALARA, INC.; EDISON VAULT, LLC
To: MORGAN STANLEY SENIOR FUNDING, INC., AS COLLATERAL AGENT
Reel/Frame 070671/0097 →
SECURITY INTEREST Recorded Oct 20, 2022
From: AVALARA, INC.; EDISON VAULT, LLC
To: OWL ROCK CORE INCOME CORP., AS COLLATERAL AGENT
Reel/Frame 061728/0201 →
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded Dec 18, 2020
From: INTERNATIONAL BUSINESS MACHINES CORPORATION
To: EDISON VAULT, LLC
Reel/Frame 054693/0269 →
CORRECTIVE ASSIGNMENT TO CORRECT THE EXECUTION DATE OF NO. FOURTH INVENTOR PREVIOUSLY RECORDED AT REEL: 037161 FRAME: 0660. ASSIGNOR(S) HEREBY CONFIRMS THE ASSIGNMENT . Recorded Aug 10, 2017
From: BETZLER, BOAS; KUEHMICHEL, ANDREAS; NACHTWEY, VOLKER; SCHLEICHER, KLAUS-THOMAS
To: INTERNATIONAL BUSINESS MACHINES CORPORATION
Reel/Frame 043520/0141 →
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded Nov 27, 2015
From: BETZLER, BOAS; KUEHMICHEL, ANDREAS; NACHTWEY, VOLKER; SCHLEICHER, KLAUS-THOMAS
To: INTERNATIONAL BUSINESS MACHINES CORPORATION
Reel/Frame 037161/0660 →