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Verification & Testing: Control 2.13 - Documentation and Record Keeping

Last Updated: January 2026

Manual Verification Steps

Test 1: Verify Site Structure

  1. Navigate to AI Governance SharePoint site
  2. Verify all required libraries exist
  3. EXPECTED: Complete library structure

Test 2: Verify Retention Labels

  1. Upload test document to governed library
  2. Verify retention label auto-applies
  3. EXPECTED: Label applied per policy

Test 3: Verify SEC 17a-4 Immutable Storage Compliance (Zone 3)

  1. Attempt to delete immutably-stored document (WORM or audit-trail)
  2. EXPECTED: Deletion blocked or audit-trail entry created per SEC 17a-4

Test 4: Test Examination Procedures

  1. Execute mock examination drill
  2. Search for specific agent records
  3. Export and produce documents
  4. EXPECTED: Complete response within SLA

Test Cases

Test ID Scenario Expected Result Pass/Fail
TC-2.13-01 Site structure exists All libraries present
TC-2.13-02 Retention labels applied Auto-labeling works
TC-2.13-03 Metadata populated Required fields completed
TC-2.13-04 SEC 17a-4 compliant storage prevents deletion Deletion blocked or audit-trail recorded
TC-2.13-05 Examination drill Response within SLA

Evidence Collection Checklist

  • Screenshot: SharePoint site structure
  • Screenshot: Library metadata columns
  • Screenshot: Retention label configuration
  • Screenshot: WORM storage settings
  • Document: Examination response procedure
  • Document: Drill results

Attestation Statement Template

## Control 2.13 Attestation - Documentation and Record Keeping

**Organization:** [Organization Name]
**Control Owner:** [Name/Role]
**Date:** [Date]

I attest that:

1. SharePoint site hierarchy is established for AI governance:
   - Site: [URL]
   - Libraries: [List]
2. Document metadata schema is implemented
3. Retention labels are configured:
   - 6-year retention for agent records
   - 7-year retention (exceeds SEC 17a-4 6-year minimum)
4. WORM storage is configured for Zone 3 (if applicable)
5. Examination response procedures are documented:
   - Custodian: [Name]
   - SLA: [Hours]

**Last Audit:** [Date]
**Documents Under Management:** [Count]

**Signature:** _______________________
**Date:** _______________________

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