¶ Chapter 13 — Manager — governance, compliance, document control, and audits
Extended help: For field-by-field use of the risk register, incidents list and workspaces, and the staff record hub (/manager/personnel/record/{StaffNetId}), see Chapter 17 — Risks, incidents, and staff record.
This chapter covers Management → Governance: cases and reviews, workforce compliance, document control (manager-side), and audits. It is for Manager and Admin users responsible for quality, safety, and regulatory readiness.
¶ 13.1 Cases and reviews
Menu paths and routes
| Page |
Route |
| Risks |
/risks |
| Incidents |
/incidents |
| Incident categories |
/incidents/categories |
| Clinical records |
/manager/clinical-records |
| Safeguarding queue |
/manager/safeguarding |
- Risks — risk register: identification, scoring, mitigations, owners.
- Incidents — adverse events, near misses, complaints with investigation workflow.
- Incident categories — taxonomy maintenance for consistent reporting.
- Clinical records — manager hub for clinical record queues or oversight as configured.
- Safeguarding queue — vulnerable person concerns requiring timely multi-agency style handling per policy.
- Triage new incidents within SLA (hours for harm, days for near miss — follow local table).
- Never use incident records for performance punishment without HR — keep safety culture.
- Safeguarding items: no informal chat in corridors — use named leads and secure notes only.
Menu paths and routes
| Page |
Route |
| Certificate validation |
/manager/clinical-document-validation |
| Medic compliance |
/manager/medic-compliance |
| Shift compliance |
/manager/shift-compliance |
| Compliance rules |
/manager/personal-compliance-rules |
| New compliance rule |
/manager/personal-compliance-rules/new |
- Certificate validation — Queue of staff uploads to approve or reject with audit trail.
- Medic compliance — Overview of medics (or clinical faculty) with certificate lists and expiry pressure.
- Shift compliance — Shift-level checks (skills, rest, vehicle pairing) as rules are configured.
- Compliance rules — Define what the platform should track for people or shifts; New compliance rule starts a wizard or form.
- Validate certificates within agreed turnaround so staff are not blocked from shifts unfairly.
- When rejecting, give specific reasons staff can fix (wrong document, unreadable scan, wrong expiry).
- Before adding new rules, pilot on a small cohort — rules can generate noise if too strict.
Menu paths and routes
| Page |
Route |
| Document suites |
/document-control/suites |
| Audience cohorts |
/manager/document-audience-cohorts |
| Acknowledgement dashboard |
/manager/document-acknowledgements |
Managers (or document control leads) publish document suites, define who must read them (cohorts), and monitor acknowledgement completion rates.
- Version documents in your QMS before uploading new PDFs — do not silently overwrite without change record.
- Cohorts should be minimum necessary — avoid “all staff worldwide” if only one base changed a drug protocol.
Menu paths and routes
| Page |
Route |
| Cohorts |
/governance/audits/cohorts |
| Templates |
/governance/audits/templates |
| Domain matrix |
/governance/domain-audit-matrix |
| Oversight |
/manager/audit-oversight |
| Activity log |
/manager/activity-log |
Structured governance audits: define cohorts, templates, a domain × month matrix, oversight views for leads, and an activity log for traceability of who changed what in sensitive areas as enabled.
- Plan audit cycles in Q1 for the whole year — map to HIQA, ISO, or contract clauses.
- Use activity log only for investigations with HR / IT approval — avoid fishing.