Vendor-neutral operating model: enterprise records and information governance from capture and declaration through classification, retention, preservation, review, disposition, archive transfer and defensible audit evidence.
Governed Records12,486electronic + physical
Active Holds3711 matters
Pending Disposition184awaiting approval
Permanent Records2,108archive class
Exceptions9requires review
Schedule Coverage98.7%classified inventory
Information Governance Lifecycle Operational model
CAPTUREIngest / register
CLASSIFYFile plan + metadata
DECLARERecord lock / status
RETAINSchedule + trigger
HOLDPreserve if required
REVIEWEligibility + exception
DISPOSEDestroy / transfer
EVIDENCEAudit + provenance
Governance Work Queue
| Work Item | Owner | Due | Status |
|---|---|---|---|
| FY2020 Finance disposition batch | Records Officer | Sep 24 | Review |
| MAT-2026-011 custodian acknowledgements | Legal | Sep 22 | Hold |
| HR schedule v4.2 approval | IG Council | Sep 28 | Approval |
| Physical box BX-004882 transfer | Archives | Oct 01 | Transfer |
Control Health
- Vital-record designation monitored
- Security classification enforced at record / container level
- Schedule version and authority retained with each governed record
- Physical location and electronic repository references tracked together
Sample Governed Inventory Demonstration data
| ID | Record Series | Class | Format | Trigger | Retention | Hold | Disposition |
|---|---|---|---|---|---|---|---|
| R-100247 | Contracts & Agreements | LEG-CTR-01 | Electronic | Termination | 7 years | No | 2033-06-30 |
| R-100311 | Personnel Records | HR-PER-02 | Hybrid | Separation | 7 years | Yes | Suspended |
| BX-004882 | Board Minutes | GOV-BRD-01 | Physical | Creation | Permanent | No | Archive Transfer |
| R-101005 | General Ledger | FIN-GL-01 | Electronic | FY Close | 7 years | No | Review |
Record Detail: demonstrate the metadata, classification, controls and evidence expected around a governed record without assuming a specific vendor repository.
R-100311 · Personnel Separation File Declared Record
Record ClassHR-PER-02
Responsible OfficeHuman Resources
CustodianHR Operations
FormatHybrid · electronic + physical
SecurityConfidential / Need-to-Know
Vital RecordYes
Retention ScheduleHR-2026 v4.2
TriggerEmployee separation
Disposition DateSuspended by Hold
DECLAREDLEGAL HOLDCONFIDENTIALCHECKSUM VERIFIEDVITAL RECORD
Record Actions
No action selected.
Recent Record History
Legal hold applied2026-09-12 09:44 · MAT-2026-011 · Legal
Retention schedule reassigned2026-08-30 14:06 · HR-2026 v4.2
Record declared2026-08-29 16:21 · HR Operations
Captured from source system2026-08-29 16:18 · HRIS Connector
File Plan & Classification: organize enterprise information into business functions, record series and governed classes that drive retention, access and disposition.
Enterprise File Plan
01 · Governance & Administration
01.01 · Board & Executive
GOV-BRD-01 · Board Minutes
GOV-EXE-02 · Executive Directives
02 · Human Resources
02.01 · Personnel
HR-PER-02 · Personnel Separation Files
HR-BEN-03 · Benefits Administration
03 · Finance
03.01 · Accounting
FIN-GL-01 · General Ledger
FIN-AP-02 · Accounts Payable
04 · Legal
04.01 · Contracts
LEG-CTR-01 · Contracts & Agreements
Class Definition
Class CodeHR-PER-02
Record SeriesPersonnel Separation Files
Default SecurityConfidential
Default ScheduleHR-2026 v4.2
Classification Controls
- Mandatory metadata and naming rules
- Record declaration / freeze behavior
- Security inheritance and exceptions
- Vital-record designation
- Physical container mapping
- Schedule inheritance / override review
Search / Discovery: locate governed information across metadata, full text, custodians, physical containers, holds and lifecycle state while respecting access controls.
Enterprise Record Search
Ready to search governed inventory.
Results Security-trimmed
| ID | Title | Class | Location | Status |
|---|---|---|---|---|
| R-100311 | Personnel Separation File | HR-PER-02 | Repository A | Hold |
| BX-003721 | Personnel Archive Box | HR-PER-02 | Records Center / A-17-04 | Inactive |
Discovery Filters
- Date created / closed / event date
- Custodian / business owner / responsible office
- Matter or legal hold identifier
- Retention schedule / disposition eligibility
- Security classification / access group
- Physical site, room, shelf, box or folder
- Checksum / source repository / provenance ID
Retention: schedule-driven lifecycle control using record series, authority, triggers, cutoff logic, duration, versioning, approval and next-review dates.
Retention Schedule Builder
Schedule Version History
| Version | Effective | Status | Approver |
|---|---|---|---|
| 4.2 | 2026-08-01 | Current | IG Council |
| 4.1 | 2025-01-01 | Superseded | Records Officer |
| 4.0 | 2023-01-01 | Superseded | Legal + HR |
Lifecycle State
| State | Meaning | Disposition Behavior |
|---|---|---|
| Active | Business use | Not eligible |
| Inactive | Retention clock running | Calculate eligibility |
| On Hold | Preservation override | Suspended |
| Eligible | Retention met | Route to review |
| Permanent / Transfer | Archival value | Preserve / transfer |
Legal Hold: preserve potentially responsive information by suspending ordinary disposition, defining scope, tracking custodians and documenting acknowledgements, collection and release.
Open Matters1137 active holds
Custodians6859 acknowledged
Collections424 pending
Exceptions3requires legal review
Repositories8in scope
Released14this year
MAT-2026-011 · Contract Dispute
Issued2026-09-12
OwnerLegal
ScopeContracts / Finance / Email
Custodians14
Acknowledged12 / 14
StatusActive Preservation
Custodian Notice Tracking
| Custodian | Notice | Ack | Collection |
|---|---|---|---|
| Legal Operations | Sent | Yes | Complete |
| Finance Controller | Sent | Yes | Complete |
| Contract Manager | Sent | No | Pending |
| Procurement Lead | Sent | Yes | In Progress |
Preservation Controls
Demo actions update this session only.
Disposition: controlled end-of-lifecycle processing with eligibility calculation, legal-hold checks, multi-step review, approval, transfer/destruction and surviving evidence.
Disposition Review Queue 184 pending
| Batch | Series | Qty | Rule | Hold Check | Action | Decision |
|---|---|---|---|---|---|---|
| DIS-26091 | FIN-GL-01 | 86 | FY Close + 7y | Clear | Destroy | |
| DIS-26092 | GOV-BRD-01 | 12 | Permanent | Clear | Archive Transfer | |
| DIS-26093 | HR-PER-02 | 41 | Separation + 7y | Blocked | Destroy |
Select a decision to simulate controlled review.
Approval Chain
- Eligibility calculated from approved schedule
- Hold / investigation / exception check
- Business owner review when required
- Records officer authorization
- Legal / compliance approval for controlled classes
- Execution and evidence capture
Disposition Evidence
- Batch manifest and record identifiers
- Rule, trigger, eligible date and schedule version
- Reviewer / approver identity and timestamps
- Destruction certificate or archive transfer receipt
- Exception / defer reason
- Surviving metadata and audit event
Audit: reconstruct who did what, when, to which record or policy, from which source, under which authority, and with what result.
Audit Trail Viewer
| Timestamp | Actor / Role | Object | Action | Source | Result |
|---|---|---|---|---|---|
| 2026-09-21 12:41:08 | Records Officer | DIS-26091 | Disposition review opened | Governance Console | Success |
| 2026-09-21 11:18:32 | Legal | MAT-2026-011 | Hold scope amended | Legal Hold | Success |
| 2026-09-21 09:06:14 | HR Operations | R-100311 | Metadata corrected | Records UI | Approved |
| 2026-09-20 17:55:02 | System | FIN-GL-01 | Eligibility recalculated | Retention Engine | 184 candidates |
Captured Audit Fields
Actor · role · timestamp · object ID · action · before / after value · source system · reason · policy / authority · result · correlation ID · client / connector context.
Audit Controls
- Administrative actions separated from business actions
- Export and report activity logged
- Schedule / policy changes versioned
- Hold and disposition actions treated as high-value events
- Integrity controls preserve evidentiary value
Provenance & Chain of Custody: preserve origin, identity, movement, transformation and custody context so governed information remains explainable throughout its lifecycle.
R-100311 Provenance Timeline
Source record createdHRIS · source ID HR-778281
Captured into governed repositoryConnector ING-HR-02 · checksum SHA-256 verified
Classified HR-PER-02Rule CL-HR-17 · confidence 100%
Declared as recordHR Operations · immutable record status
Retention HR-2026 v4.2 assignedTrigger: employee separation
Legal hold appliedMAT-2026-011 · disposition suspended
Evidence Attributes
- Original source and source-system identifier
- Capture / ingest connector and timestamp
- Checksum / integrity reference
- Creator, custodian, responsible office
- Classification and schedule history
- Migration / transformation events
- Physical transfer / container history
- Hold, export, disposition and archive events
Compliance & Exceptions: connect obligations and policies to executable controls, then surface missing classification, conflicting retention, incomplete metadata and overdue governance actions.
Control Tests126this cycle
Passed11792.9%
Exceptions9open
Overdue Reviews4policy / schedule
Unclassified21inventory records
Conflicts3schedule mismatch
Policy & Authority Register
| Authority | Scope | Control | Owner |
|---|---|---|---|
| Enterprise Records Policy | All business records | Classification + retention | IG Council |
| Legal Hold Standard | Potentially responsive information | Preservation | Legal |
| Privacy Classification Standard | Restricted information | Access + handling | Privacy |
| Archive Transfer Standard | Permanent records | Transfer + receipt | Archives |
Exception Queue
| Exception | Count | Owner |
|---|---|---|
| Missing classification | 21 | Business Unit |
| Conflicting retention rule | 3 | Records Officer |
| Overdue hold acknowledgement | 2 | Legal |
| Expired schedule pending review | 4 | IG Council |
Governance: define accountability across Records, Legal, Compliance, Security, Privacy, Business Owners and Archives with review cadence, policy attestations and documented decision rights.
Governance Roles / RACI
| Control | Records | Legal | Compliance | Business | Security | Archives |
|---|---|---|---|---|---|---|
| Retention Schedule | A | C | C | R | I | C |
| Legal Hold | C | A/R | C | R | C | I |
| Disposition Approval | A/R | C | C | R | I | C |
| Security Classification | C | I | C | R | A | I |
| Permanent Transfer | R | I | I | C | I | A/R |
Governance Cadence
- Quarterly retention schedule review
- Monthly legal-hold status review
- Disposition approval cycles
- Annual policy attestation
- Exception remediation and risk acceptance
- Vital-record and continuity review
Current Attestations
| Policy | Owner | Next Review | Status |
|---|---|---|---|
| Records Policy | IG Council | 2027-01-15 | Current |
| Legal Hold Standard | Legal | 2026-11-30 | Current |
| Physical Records Standard | Records | 2026-10-15 | Review |
Support & Information: Samuels Enterprises resources for Enterprise Engineering information, portfolio access and direct support.
Enterprise Portfolio
Enterprise Support
Lab Scope
Vendor-neutral enterprise records and information governance demonstration covering record declaration, file plan / classification, physical and electronic records, retention schedules, legal hold, discovery, disposition, archive transfer, audit, provenance, compliance exceptions, security classification, vital records and governance accountability.