Compliance

Overview

The Compliance area pulls together everything with a regulatory edge: open serious incidents, client documents and worker credentials that need attention, policy reviews, upcoming audits, monthly clinical indicators and the audit log. The page heading reads Compliance Dashboard. Compliance is advisory. A missing or expired document never stops you scheduling, invoicing or claiming.

Common tasks

Read the dashboard

1. Click Compliance in the sidebar.
2. The tiles at the top are your headline numbers:
   • SIRS Open: open serious incidents, and how many are reportable.
   • Worker Docs Needing Attention: worker documents that are missing, expiring or expired.
   • Client Docs Needing Attention: the same for client documents.
   • Policy Reviews: policies whose review date has passed, with the number of active policies.
   • Clinical Indicators: how many aged care clients have no figures for the latest month. Click it to open the worklist. (See below.)
3. Below the tiles, lists show the detail, each with a link to where you fix it:
   • SIRS Incidents and Upcoming Audits link to Quality.
   • Worker Compliance and Client Documents link to Document Compliance. Worker Compliance lists the newest items first. Client Documents lists clients, most urgent first, with a line such as “Showing 5 of 12”.
4. If quality metrics are set up, a Quality Metrics grid shows each one against its target.
5. The Document Compliance and Audit Log cards at the bottom open those pages.

The main Dashboard also has a Compliance card. Its ring shows a fraction such as “41/77” (verified items out of all tracked items, clients and workers together) and a label such as “6 need attention”. Click the ring to see which clients are missing documents. With no clients or workers yet, it reads “Add clients or workers to see compliance”.

Check document compliance

1. Click Compliance, then Document Compliance.
2. The tiles show Clients compliant (for example 9/12, where every mandatory item is verified), Awaiting verification (uploaded but not yet checked), Needs attention (missing, expiring and expired) and Verified slots.
3. By funding type breaks the same figures down by funding type.
4. Clients needing attention lists one row per client with something not up to date. Each row shows the worst problem, such as “2 missing” or “1 expired”, and the funding type. A line underneath says how many clients are fully compliant. Click a row to open that client’s Plans & documents tab.
5. Worker credentials are summarised on the same page under Worker compliance, with lists for Awaiting verification, Needs attention and Per worker.

The status words mean:

• Missing: the requirement has never been supplied.
• Awaiting verification: a file or form is in, but nobody has checked it yet.
• Verified: checked and current. Only verified items count as compliant.
• Expiring soon: it expires inside your alert window (30 days unless your organisation has changed it).
• Expired: it has passed its expiry date. It stays Expired, not Missing, until it is replaced.

Fix a client’s missing or expired document

1. Open the client from Clients needing attention, on the Plans & documents tab.
2. Click Upload on the Missing or Expired row and choose the file. Enter the Expiry date if asked.
3. Click Verify. If the requirement needs an expiry date and none was entered, you are asked for one first: “This document needs an expiry date before it can be verified.”
4. The dashboard figures update straight away.

For workers, the fix is on the worker’s profile. See the Workers guide.

Decide which documents are required

1. Click Settings, then Onboarding, then Required Documents.
2. For each funding type, set which documents are mandatory for compliance. The same list drives the onboarding checklist and this compliance view.

Record monthly clinical indicators

Clinical indicators are monthly figures for each aged care (Support at Home) client, such as falls and hospitalisations. Clients on NDIS, DVA or Private funding only never appear here.

1. Click Compliance, then the Clinical Indicators tile. The heading reads Clinical indicators.
2. Each aged care client has a card with their name and a summary such as “September not yet recorded” or “September recorded”.
3. Click Record month. The Record clinical indicators panel opens with last month selected.
4. Enter a number for every indicator. Care hours delivered is filled in from the client’s completed shifts, with a note saying how many. Edit it only to correct it.
5. If nothing happened, click Mark all zero. A blank is not the same as a zero, so every field needs a number.
6. Click Save month. You will see Clinical indicators recorded. Recording the same month again shows Clinical indicators updated.
7. Click View 12-month history to see the last twelve months, newest first. A recorded zero shows as 0. A month nobody recorded shows Not recorded. Click it again to collapse.
8. Click Export CSV to download the twelve months as a spreadsheet.

Choose which clinical indicators you track

1. Click Settings, then Clinical Indicators.
2. The standard indicators are Falls, Hospitalisations, Malnutrition risk, Pressure injuries, Medication errors and Care hours delivered. Use the Active switch to include or retire one. Retiring keeps its history.
3. Click Add indicator, enter a name and choose a type (Count or Hours), and save. You will see Indicator added.
4. Click the pencil on an indicator you added to rename it or change its type (Indicator updated). The standard ones cannot be renamed.

Use the audit log

1. From the Compliance dashboard, click Audit Log. The heading reads Audit Log.
2. The cards show Total Events and Today’s Events.
3. Two tabs split the trail:
   • Data Access: each entry shows the Timestamp, Access Type, Data Category, Privacy Level and the Client it belonged to. Search with Search data access logs….
   • Document Access: each entry shows the Timestamp, Access Type, the Document and the Entity Type (such as a client or a worker). Search with Search document access logs….
4. To answer “who opened this client’s restricted documents last week?”, search for the client or document name and read down the timestamps.

Tips

• The dashboard counts come straight from the other modules. Fixing the source record clears the item here.
• The dashboard tiles count only items needing attention. Reports count everything tracked, so the two totals differ on purpose.
• Chase Expiring soon items before they tip over to Expired.
• Audit log entries are written automatically. Nobody can edit or delete them.
• Clinical indicator figures belong to the month they describe, so you can catch up on a missed month later.

Troubleshooting

• A number on the dashboard looks wrong - Click through to the source and check the record. The dashboard only mirrors what is recorded there.
• A client is missing from Clinical Indicators - Only clients with an aged care or Support at Home funding record appear.
• “Enter a number for every indicator…” - Fill every field, or click Mark all zero if nothing occurred.
• “No months recorded yet…” - Nothing has been saved for that client. Use Record month.
• “All clients compliant” - Every mandatory document is verified. Nothing to do.
• “No clients carry mandatory documents yet” - Set up your required documents first (see above).
• “No data access events recorded yet.” or “No document access events recorded yet.” - Nothing is logged yet for that tab, or your search filtered everything out. Clear the search box.
• I can’t find who changed a record - The audit log tracks data and document access. For more detail, note the record and time and ask your administrator.