# AS4 Settlement Operational Runbooks

**Date**: 2026-01-19  
**Version**: 1.0.0

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## 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

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## 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

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## 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

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## 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

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## 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)

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## 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

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**End of Runbooks**