Annex N — Records, Publication & Dual‑Logging SOP

Owner: Company Secretary
Co‑Owners: General Counsel (GC), Protocol Custodian, CISO, DPO, CFO/Controller
Review cadence: Quarterly (and after any material governance/tech change)

Purpose. Define one conservative, auditable records and publication system with dual logging: (1) the GRF Council Register (legal effect) and (2) the Nexus Ledger (technical effect). Only dual‑logged Class A/B records have force and effect within the Nexus Ecosystem. This SOP applies equally to all regional operators (SNC), National Companies (NatCos), and Program SPVs.

1) Scope & Equal‑Treatment Baseline

• Applies to SNC, NatCos, Program SPVs, Boards/Committees, and designated officers.
• Where host‑law filing or publication rules differ, apply the strictest requirement.
• Integrates with: Annex A (Competition), B (Regulatory Perimeter), C (Privacy), D (SDZ/Transfers), E/F (Security/IR), G/H (IP/Marks), I (PVAS), J (Sanctions/Export), L (Transfer Pricing), M (RPT/COI).

2) Record Classes & Triggers (What must be dual‑logged?)

Class A — Constitutional / Rights & Entitlements (dual‑log within 48h of decision unless otherwise stated)

• Charter/Bylaw adoptions or amendments; Board composition changes; committee charters.
• Licenses/Entitlements: issuance, suspension, or revocation of Marks & Conformance Licenses (MCL), Operator Brand Licenses (OBL), smart‑licenses.
• Conformance results (CL/EQL) and registry entries; validator appointments/removals.
• Partner‑of‑Record (PoR) appointments/terminations for regulated activities.
• Material incidents (P0 security/privacy per Annex F) and corresponding remediation status.
• Sanctions/Export decisions: holds, licenses obtained, re‑entry approvals (Annex J).
• RPT approvals > USD 1,000,000 or strategic/non‑ordinary transactions (Annex M).
• Public KPIs adoption/changes.

Class B — Operational / Policy & Programs (dual‑log within 5 business days of decision)

• Policy adoptions/revisions (Annexes A–M), SOPs, runbooks.
• Appointments of officers (non‑Board), DPO/CISO/Protocol Custodian changes.
• Program SPV formations/closures; significant SOWs where public interest is engaged.
• Exceptions Registers (security, sanctions/export, PVAS, ABAC, TP): creation/update/closure.
• Quarterly Public Pack approval and publication.

Not dual‑logged: Routine ops (timesheets, ordinary invoices, minor purchase orders), unless escalated by risk owner.

3) Registers (Company‑Maintained)

• Class A Register — authoritative list of all Class A decisions with cross‑refs to minutes, evidence packs, and ledger tx IDs.
• Class B Register — as above for Class B.
• Minutes & Resolutions Register — signed minutes, written resolutions, attendance, abstentions (Annex M).
• Licenses & Conformance Register — MCL/OBL, CL/EQL results, registry URLs.
• PoR Register — licensed partners (Annex B) with license numbers and scope.
• Exception Registers — Security, Sanctions/Export, PVAS, ABAC, TP, OSS/IP.
• Publication Register — links/checksums for Quarterly Public Packs.

Retention: 7 years minimum (or stricter by law). Store in SDZ with immutable logs (Annex D/E).

4) Evidence Packs (AEP) — Minimum Contents

• Decision paper & options analysis; risk/impact; legal review (GC); privacy/security notes (DPO/CISO); procurement/competition check (Annex A/I).
• Attachments: final texts (Charter/Bylaw/Policy), approvals, conflict/abstention records, benchmarks/fairness opinions (where needed), DPIA/TIA (if PD/transfer), SBOM/provenance (if software), PoR licenses.
• Hash manifest (SHA‑256) for all artifacts; content‑addressed IDs; location pointers inside SDZ.

5) Dual‑Logging Workflow (Step‑by‑Step)

A. Prepare

1. Create/approve decision in Board/Committee or authorised officer scope.
2. Compile AEP; generate hash manifest; assign Record ID (see §6).

B. Legal Register Entry (GRF Council Register)
3) Company Secretary files a signed summary to the GRF Council Register with: Record ID, Class, Title, Summary, Effective Date/Time, Parties, Jurisdictions, and AEP hash manifest; attach redacted artifacts if public.
4) Receive Register Entry ID and URL.

C. Technical Ledger Entry (Nexus Ledger)
5) Protocol Custodian submits a ledger transaction containing: Record ID, Register Entry ID/URL, Class (A/B), hash manifest, pointers to SDZ repository (no PII), and signer set (NVM 3‑of‑6 if applicable).
6) Capture Tx ID and block height; verify inclusion and immutability.

D. Close
7) Update Class A/B Register with Register Entry ID and Tx ID.
8) Publish per §9 (if public).
9) Store all artifacts and logs in SDZ; export digest to independent archive.

Timelines: Class A → ≤48h from decision; Class B → ≤5 business days. Emergency entries (incidents, suspensions): as‑soon‑as‑practicable, target ≤24h.

6) Record ID, Versioning & Hashing

Record ID format: REG-[EntityCode]-[YYYY]-[Class]-[Seq] (e.g., REG-SG-2025-A-017).
Versioning: vMajor.Minor.Patch (e.g., v1.2.0). Amendments create a new Record ID referencing prior IDs.
Hashing: SHA‑256 for each file; manifest.json includes filename, byte length, hash, and file class; manifest.hash (Merkle root) is written to the ledger.

7) Redaction, Privacy & Classified Materials

• No PII on chain. Ledger stores hashes and pointers only.
• Redact sensitive commercial or personal data before publication; retain full version in SDZ restricted folder.
• Classified or export‑controlled materials follow Annex C/J; publish summary only with redactions and legal basis noted.

8) Signers & Quorums (Transparency)

• NVM 3‑of‑6 signer disclosure for sovereign actions: (Gov/Reg; Finance/Standards; Industry/CI; Academia; Civil Society/Media; Community/Indigenous). Publish the roster and validity windows; rotate keys per Annex E.
• For corporate actions, disclose Board/Committee quorum and votes; log abstentions (Annex M).
• All signatures are time‑stamped; key custody in SDZ per Annex D/E.

9) Publication & Quarterly Public Pack (QPP)

What is public by default:

• Class A summaries (titles, effective dates, scope, entity) and CL/EQL results with registry links.
• PoR appointments/terminations (entity, scope, license number).
• Exception Register statistics (counts/severity, not contents).
• Incident statistics and SLA performance (Annex F).
• KPIs agreed by Board (ecosystem speed, coverage/equity, reliability/compliance, capacity, treasury transparency).

Quarterly Public Pack — Template Outline

1. Cover & Statement (Chair/Company Secretary).
2. This Quarter at a Glance (key metrics; green/amber/red).
3. Class A Index (table with Record ID, Title, Effective Date, Entity, Register URL, Ledger Tx ID).
4. Class B Highlights (policy changes, program starts/stops).
5. Conformance & Badges (new CL/EQL awards/suspensions; registry links).
6. PoR Changes (appointments/terminations; regulators).
7. Security & Privacy (incident stats; SLA adherence; drills).
8. Sanctions/Export (hold/licensing stats; no details of ongoing cases).
9. Procurement & Vendors (Tier‑1 concentration index; SBOM/SOC coverage).
10. Finance Snapshot (treasury transparency, MSO attestations where applicable).
11. Exceptions Snapshot (by type; opened/closed/overdue).
12. Forward Calendar (planned audits, renewals, filings).
13. Appendices (method notes; glossary; change log).

Publication mechanics:

• Publish QPP within 30 days after quarter‑end; post to website/portal; include checksums and ledger Tx ID for the pack PDF/ZIP.
• Maintain an accessible Public Index Page listing all QPPs and Class A summaries.

10) Controls & Assurance

• Four‑eyes principle for all Register/Ledger postings (Company Secretary + Protocol Custodian).
• Pre‑publication checks: GC (legal), DPO (privacy/redaction), CISO (security metadata), Controller (financial tie‑outs), Competition hygiene (Annex A).
• Reconciliation: Quarterly cross‑check of Class A/B Registers with minutes, Exception Registers, and ledger state; investigate gaps.
• Attestations: Annual internal audit; optional third‑party assurance of ledger/register integrity.

11) Exceptions & Out‑of‑Band Logging

• Emergency offline mode: If ledger unavailable, issue Register entry and sign an Emergency Record with offline hash; post to ledger within 72h of restoration.
• Back‑dating prohibition: No retroactive changes; use amendment records with full diff.
• Null entries: If a posted Class A decision is rescinded, file a Nullification Record linking both IDs.

12) Training, Access & Tooling

• Training: Onboarding + annual refresh for Secretarial, Legal, Protocol, Security, and Regional Ops.
• Access: Role‑based; least privilege; audit every 6 months.
• Tooling: Register portal with API; ledger client with hardware‑backed keys; automated hash/manifest generator; PDF signer; checksum publisher.

13) Effective Date & Governance

Adopted by the Board(s) of all regional operators on [●] and incorporated by reference into Charters/Bylaws, Board rules, and publication SOPs. Class B to amend/strengthen; Class A required to relax timelines, reduce publication scope, or remove dual‑logging.

Appendices (Templates)

N‑1 — Class A/B Register — Field Dictionary
RecordID, Class, Title, Entity, Jurisdiction, Decision Body, EffectiveDateTime, Summary, Links(RegisterURL, LedgerTxID), AEPManifestRoot, ConfidentialityLevel, PublicationStatus, AmendsRecordID, CreatedBy, CreatedAt, VerifiedBy, VerifiedAt

N‑2 — Evidence Pack (AEP) — Checklist
Decision memo; risk/legal/privacy/security reviews; DPIA/TIA (if any); minutes/resolution; approvals; artifacts; manifests; PoR licenses; CL/EQL reports; redaction plan; publication note.

N‑3 — Quarterly Public Pack — Table Templates
(1) Class A Index; (2) Conformance & Badges; (3) PoR Changes; (4) Exceptions Snapshot; (5) KPI Dashboard.

N‑4 — Emergency Record Form
Reason; systems affected; decision summary; offline hash; signers; date/time; follow‑up ledger Tx ID once posted.