dbis_core/docs/settlement/as4/OPERATIONAL_RUNBOOKS.md

AS4 Settlement Operational Runbooks

Date: 2026-01-19
Version: 1.0.0

---

1. Daily Operations

1.1 Health Checks

Procedure:

1. Check AS4 Gateway health: GET /api/v1/as4/gateway/health
2. Check Member Directory: GET /api/v1/as4/directory/members?status=active
3. Check certificate expiration: GET /api/v1/as4/directory/certificates/expiration-warnings
4. Review error logs for anomalies

Frequency: Every 4 hours

1.2 Certificate Expiration Monitoring

Procedure:

1. Query expiration warnings (30-day threshold)
2. Notify members of expiring certificates
3. Schedule certificate rotation

Frequency: Daily

---

2. Incident Response

2.1 Service Outage

Procedure:

1. Identify affected services
2. Check system logs
3. Notify affected members
4. Escalate to engineering team
5. Document incident

SLA: 15-minute response time

2.2 Message Processing Failure

Procedure:

1. Identify failed instruction
2. Check error logs
3. Verify member status
4. Retry if appropriate
5. Notify member if manual intervention required

SLA: 1-hour resolution

2.3 Certificate Compromise

Procedure:

1. Immediately revoke compromised certificate
2. Notify affected member
3. Issue new certificate
4. Update Member Directory
5. Audit all transactions using compromised certificate

SLA: Immediate action

---

3. Maintenance Windows

3.1 Scheduled Maintenance

Procedure:

1. Notify members 7 days in advance
2. Schedule during low-traffic period
3. Perform maintenance
4. Verify service health
5. Notify members of completion

Frequency: Monthly

3.2 Emergency Maintenance

Procedure:

1. Notify members immediately
2. Perform maintenance
3. Verify service health
4. Post-incident report

---

4. Monitoring and Alerts

4.1 Key Metrics

• Message processing latency (P99 < 5 seconds)
• System availability (99.9% target)
• Certificate expiration warnings
• Failed instruction rate
• Posting success rate

4.2 Alert Thresholds

• Availability < 99.9%: CRITICAL
• P99 latency > 5 seconds: WARNING
• Failed instruction rate > 1%: WARNING
• Certificate expiring < 7 days: WARNING

---

5. Backup and Recovery

5.1 Database Backups

Frequency: Daily full backup, hourly incremental

Retention: 30 days

5.2 Payload Vault Backups

Frequency: Real-time replication

Retention: 7 years (regulatory requirement)

---

6. Security Procedures

6.1 Access Control

• Multi-factor authentication required
• Role-based access control
• Audit logging for all access

6.2 Key Rotation

• Certificate rotation: 30 days before expiration
• HSM key rotation: Per security policy
• Member notification: 7 days in advance

---

End of Runbooks