Risk, Incident, Investigation & Case Governance

FOR GLOBAL FUND / CCM / AUTHORIZED PARTNER REVIEW ONLY

Risk · Incident · Investigation · Corrective action · Escalation · Case governance · Immutable audit · Demonstration only

Cross-module risk, incident, investigation, and case governance with human approval.

A synthetic governance demonstration — not a law-enforcement system, whistleblower intake platform, legal case-management system, autonomous investigation service, fraud adjudication engine, regulatory reporting system, or replacement for authorized investigative authorities. A signal is not a finding, an anomaly is not proof, an allegation is not a determination, and a risk score is not a legal conclusion. Opening a case does not establish guilt, diversion, fraud, misconduct, negligence, or liability. Source-module records remain authoritative; cases reference but never silently modify them. No live integration, real database mutation, autonomous investigation, real evidence upload, real file delivery, or punitive automation is implemented. AI is assistive only and never substantiates allegations, approves findings, closes or reopens cases, notifies external parties, or bypasses controls.

You are viewing the Risk, Incident & Case Governance Dashboard — Synthetic non-identifiable demonstration data

Case-governance posture: A signal is not a finding, an anomaly is not proof, an allegation is not a determination, and a risk score is not a legal conclusion. Opening a case does not establish guilt, diversion, fraud, misconduct, negligence, or liability. Source-module records remain authoritative; cases may reference source records but never silently modify them. Every case identifies its category, source module, owner, assigned roles, status, severity, confidentiality, evidence, timeline, review status, and audit reference. Every material decision identifies the decision-maker, role, reason, evidence, timestamp, and audit reference.

Investigation posture: Investigations are structured, attributable, and evidence-bounded. The investigator cannot provide sole final approval where independent review is required. The case creator cannot independently approve closure. The source-record owner cannot independently resolve a disputed case where independent review is required. An AI-generated hypothesis cannot become a finding without human evidence review. Contradictory evidence and investigation limitations remain visible. A finding must identify supporting and conflicting evidence, and no conclusion may exceed the available evidence.

Corrective-action posture: Action completion is not the same as effectiveness verification. Overdue and failed or ineffective actions remain visible. Action owners cannot independently verify high-risk actions where second review is required. Case closure requires the required corrective actions and closure criteria. Ineffective remediation may trigger case reopening. Remediation does not erase the original incident or investigation record.

Immutable audit posture: Audit events are append-only in this demonstration model. Historical states remain visible. Corrections, finding reversals, and reopen events require new linked events. Deletion is not an allowed case-management control. Source-module audit records remain authoritative. This task does not implement a production cryptographic evidence or audit ledger.

Total risks 8

Prioritization only

Open risks 5

Unmitigated

Total incidents 14

Cross-module

Open incidents 10

Not yet contained

Active investigations 14

In progress

Open cases 14

Not closed

High-severity cases 8

Priority

Critical cases 1

Highest priority

Blocked cases 3

Insufficient evidence / SoD

Escalated cases 7

Independent review

Awaiting second review 10

High-risk

Cases missing evidence 3

Remain visible

Cases conflicting evidence 1

Both retained

Overdue investigations 14

Past due date

Overdue corrective actions 12

Remain visible

Reopened cases 2

Auditable

Appeals / reconsiderations 2

Remain visible

Containment in progress 1

Active

Corrective in progress 6

Active

Preventive in progress 5

Active

Remediation completion 29%

Completion ≠ effectiveness

Ineffective actions 1

Remain visible

Cross-module incidents 1

Span modules

SoD rules 18

Enforced

AI signals 13

Human review required

Audit events 15

Append-only

Risks (prioritization only)

Risk scores support prioritization only. Low confidence remains visible; a high score does not establish wrongdoing. Stale assessments require re-review and residual risk remains visible after mitigation.

Risk	Description	Score / severity	Status
RISK-001 fund-accountability · financial	Risk of undocumented expenditure variance across grant disbursements.	score 72 high likelihood medium · impact high · confidence medium	in-progress residual medium · review 2025-09-01 · audit AUD-001
RISK-002 stockpile-logistics · supply-chain	Risk of commodity diversion between dispatch and receipt.	score 78 high likelihood medium · impact high · confidence medium	open residual high · review 2025-08-15 · audit AUD-002
RISK-003 lab-operations · clinical-quality	Risk of laboratory quality-control failure affecting result reliability.	score 58 medium likelihood low · impact high · confidence high	in-progress residual low · review 2025-09-10 · audit AUD-004
RISK-004 restricted-patient-locator · privacy	Risk of unauthorized restricted-locator access.	score 70 high likelihood low · impact high · confidence medium	open residual medium · review 2025-08-20 · audit AUD-007
RISK-005 asset-management · operational	Risk of asset loss or unauthorized transfer.	score 55 medium likelihood medium · impact medium · confidence medium	in-progress residual medium · review 2025-09-05 · audit AUD-008
RISK-006 program-performance · information-integrity	Risk of program-result integrity concerns from implausible reporting.	score 74 high likelihood medium · impact high · confidence medium	open residual high · review 2025-08-25 · audit AUD-009
RISK-007 identity-access-governance · governance	Risk of identity-governance violations from expired-but-active access.	score 76 high likelihood medium · impact high · confidence medium	open residual high · review 2025-09-15 · audit AUD-013
RISK-008 fund-accountability · financial	Legacy risk assessment retained for prioritization history; assessment is stale.	score 50 medium likelihood medium · impact medium · confidence low · stale	requires-re-review residual medium · review 2024-11-01 · audit AUD-018

Incidents (an incident is not a finding)

Each incident records category, detection, source module, affected scope, severity, containment, evidence, impact, and audit reference across all covered modules.

Incident	Category	Severity / containment	Impact assessment
INC-001 suspected-commodity-diversion	suspected-diversion fund-accountability · grant-disbursement	high in-progress	Potential undocumented disbursement variance under review; not established as diversion. case CASE-001 · audit AUD-001
INC-002 warehouse-dispatch-receipt-discrepancy	dispatch-receipt-discrepancy stockpile-logistics · warehouse-to-facility	high in-progress	Dispatch of 5,000 units with receipt confirmation missing; discrepancy under review. case CASE-002 · audit AUD-002
INC-003 unexplained-stock-loss	stock-loss stockpile-logistics · facility-store	medium contained	Recorded balance exceeds movement-derived balance by 25 units; cause unresolved. case CASE-003 · audit AUD-003
INC-004 lab-qc-failure	lab-qc-failure lab-operations · lab-batch	medium contained	Quality-control run outside control limits; affected batch quarantined pending re-run. case CASE-004 · audit AUD-004
INC-005 delayed-misrouted-lab-result	result-routing lab-operations · restricted-result	high in-progress	Restricted result not routed to clinician; potential care delay under review. case CASE-005 · audit AUD-005
INC-006 patient-continuity-interruption	continuity-interruption patient-continuity · referral-transfer-followup	medium in-progress	Follow-up record missing for a completed transfer; continuity interruption under review. case CASE-005B · audit AUD-006
INC-007 restricted-locator-access-concern	restricted-access-concern restricted-patient-locator · restricted-records	high contained	Access concern raised on a restricted-locator request; no restricted details disclosed. case CASE-006 · audit AUD-007
INC-008 asset-loss-unauthorized-transfer	asset-loss asset-management · facility-asset	medium in-progress	Asset register active but custody unverified; possible unauthorized transfer under review. case CASE-007 · audit AUD-008
INC-009 program-result-integrity-concern	program-result-integrity program-performance · program-reporting	high in-progress	Reported result implausibly exceeds target; integrity concern under review, not a finding. case CASE-008 · audit AUD-009
INC-010 unusual-ai-pattern	ai-pattern ai-intelligence · cross-module	medium monitoring	AI clustered a possible-duplicate-disbursement pattern; an anomaly is not a finding. case CASE-009 · audit AUD-010
INC-011 rollout-control-failure	rollout-control-failure country-rollout · facility-readiness	medium in-progress	Readiness claimed while a dependency remains incomplete; rollout control failure under review. case CASE-010 · audit AUD-011
INC-012 unauthorized-reviewroom-packet-access	unauthorized-access-attempt authorized-review-room · review-package	high contained	Unauthorized review-room / packet access attempt blocked; no restricted content disclosed. case CASE-012 · audit AUD-012
INC-013 identity-governance-violation	identity-violation identity-access-governance · privileged-access	high in-progress	Access decision approved but authorization expired while still represented as active. case CASE-011 · audit AUD-013
INC-014 data-quality-reconciliation-conflict	reconciliation-conflict data-quality-reconciliation · cross-module-claim	high in-progress	Reconciliation conflict between a packet claim and verified capability state; both remain visible. case CASE-013 · audit AUD-014

Cases (allegation is not a determination)

Every case identifies category, source module, owner, assigned roles, status, severity, confidentiality, evidence, timeline, review status, and audit reference. Unresolved cases are never represented as closed. Missing and conflicting evidence remain visible.

Case	Category / scope	Status	Evidence / posture
CASE-001 fund-accountability · FUND-DISB-1187	financial-integrity CN-A · FAC-A1 · PRG-HIV · owner ACT-03	high open SoD compliant 2nd review	allegation ≠ finding audit AUD-001
CASE-002 stockpile-logistics · DISP-7781	commodity-integrity CN-A · FAC-B1 · PRG-MAL · owner ACT-03	critical blocked SoD violation 2nd review	missing evidence allegation ≠ finding rule SOD-008 · audit AUD-002
CASE-003 stockpile-logistics · STOCK-BAL-A1-0925	commodity-integrity CN-A · FAC-A1 · PRG-TB · owner ACT-08	medium open SoD compliant	allegation ≠ finding audit AUD-003
CASE-004 lab-operations · LAB-BATCH-3390	laboratory-quality CN-A · FAC-A1 · PRG-HIV · owner ACT-03	medium closed SoD compliant	allegation ≠ finding audit AUD-004
CASE-005 lab-operations · RES-55121	laboratory-quality CN-A · FAC-A1 · PRG-HIV · owner ACT-03	high blocked SoD violation 2nd review	allegation ≠ finding rule SOD-009 · audit AUD-005
CASE-005B patient-continuity · REF-2201	patient-safety-continuity CN-A · FAC-A2 · PRG-TB · owner ACT-03	medium open SoD compliant	missing evidence allegation ≠ finding audit AUD-006
CASE-006 restricted-patient-locator · LOC-REQ-770	privacy-access CN-A · FAC-A1 · PRG-HIV · owner ACT-03	high open SoD violation 2nd review	allegation ≠ finding rule SOD-010 · audit AUD-007
CASE-007 asset-management · ASSET-9032	asset-accountability CN-A · FAC-A1 · PRG-MAL · owner ACT-08	medium reopened SoD violation	allegation ≠ finding rule SOD-011 · audit AUD-008
CASE-008 program-performance · PRG-RES-6612	program-integrity CN-A · FAC-A2 · PRG-TB · owner ACT-03	high escalated SoD violation 2nd review	allegation ≠ finding rule SOD-012 · audit AUD-009
CASE-009 ai-intelligence · AIC-2050	ai-signal-review CN-A · FAC-A1 · PRG-HIV · owner ACT-04	medium open SoD violation 2nd review	allegation ≠ finding rule SOD-013 · audit AUD-010
CASE-010 country-rollout · RDY-CLAIM-330	rollout-control CN-B · FAC-B1 · PRG-MAL · owner ACT-02	medium open SoD violation	missing evidence allegation ≠ finding rule SOD-014 · audit AUD-011
CASE-011 identity-access-governance · IAG-DEC-508	identity-governance CN-A · FAC-A1 · PRG-HIV · owner ACT-10	high escalated SoD violation 2nd review	allegation ≠ finding rule SOD-016 · audit AUD-013
CASE-012 executive-review-packet · PKT-ACCESS-14	review-access-control CN-A · FAC-A1 · PRG-HIV · owner ACT-07	high open SoD violation 2nd review	allegation ≠ finding rule SOD-015 · audit AUD-012
CASE-013 data-quality-reconciliation · DQC-014	data-quality-integrity CN-A · FAC-A1 · PRG-HIV · owner ACT-01	high blocked SoD violation 2nd review	conflicting evidence allegation ≠ finding rule SOD-017 · audit AUD-014
CASE-014 authorized-review-room · RVR-PKG-22	review-access-control CN-A · FAC-A1 · PRG-HIV · owner ACT-07	high open SoD violation 2nd review	allegation ≠ finding rule SOD-015 · audit AUD-012

Investigations

The investigator cannot provide sole final approval where independent review is required; contradictory evidence and limitations remain visible; no conclusion may exceed available evidence.

Investigation	Scope	Status / roles	Limitations
INV-001 case CASE-001	Assess whether the disbursement-expenditure variance reflects timing or unrecorded expenditure.	in-progress 2nd review SoD compliant investigator investigator · independent independent-reviewer · due 2025-04-08	Expenditure evidence partially unverified.
INV-002 case CASE-002	Determine cause of the dispatch/receipt discrepancy with missing receipt confirmation.	overdue 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-06-20	Receipt confirmation missing; conclusion cannot exceed evidence.
INV-003 case CASE-003	Investigate the 25-unit stock balance/movement divergence.	in-progress SoD compliant investigator investigator · independent independent-reviewer · due 2025-08-03	Physical recount pending.
INV-004 case CASE-004	Investigate the laboratory quality-control failure and confirm remediation.	completed SoD compliant investigator investigator · independent independent-reviewer · due 2025-05-27	None material.
INV-005 case CASE-005	Investigate the unrouted restricted laboratory result.	overdue 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-06-15	Restricted case; minimum-necessary access.
INV-006 case CASE-005B	Investigate the missing follow-up record for a completed transfer.	in-progress SoD compliant investigator investigator · independent independent-reviewer · due 2025-06-21	Follow-up evidence missing.
INV-007 case CASE-006	Investigate the restricted-locator access concern.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-06-03	Restricted case; denied access does not confirm details.
INV-008 case CASE-007	Investigate the asset custody discrepancy and prior ineffective remediation.	in-progress SoD violation investigator investigator · independent independent-reviewer · due 2025-09-02	Custody unverified.
INV-009 case CASE-008	Investigate the implausible program result.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-07-22	Source document unverified.
INV-010 case CASE-009	Review the AI-clustered duplicate-disbursement pattern against source evidence.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-07-02	AI hypothesis cannot become a finding without human evidence review.
INV-011 case CASE-010	Investigate the rollout control failure (readiness vs dependency).	in-progress SoD violation investigator investigator · independent independent-reviewer · due 2025-10-02	Dependency evidence missing.
INV-012 case CASE-011	Investigate the expired-but-active privileged access.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-09-16	Approver cannot resolve their own discrepancy.
INV-013 case CASE-012	Investigate the unauthorized packet-access attempt.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-08-11	Restricted case.
INV-014 case CASE-013	Investigate the reconciliation conflict between a packet claim and verified capability state.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-08-05	Conflicting verified evidence; conclusion cannot exceed evidence.
INV-015 case CASE-014	Investigate an authorized review-room access-attribution concern for a shared evidence package.	in-progress 2nd review SoD violation investigator investigator · independent independent-reviewer · due 2025-08-13	Restricted case; minimum-necessary access.

Finding states (distinct & evidence-bounded)

Unreviewed — No human evidence review has occurred.
Unsubstantiated — Reviewed; evidence does not support the allegation.
Inconclusive — Evidence neither supports nor refutes the allegation.
Partially substantiated — Some, not all, elements are supported by evidence.
Substantiated — Evidence supports the allegation within platform scope; not a legal determination.
Disproven — Evidence refutes the allegation.
Blocked (insufficient evidence) — A finding is blocked because required evidence is missing or conflicting.

Dispositions (distinct from findings & remediation)

DISP-001 — case CASE-001 monitoring
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-001
DISP-002 — case CASE-002 referral-blocked
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-002
DISP-003 — case CASE-003 control-remediation
decided by independent-reviewer · distinct from finding & remediation · audit AUD-003
DISP-004 — case CASE-004 closed-after-approval
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-004
DISP-005 — case CASE-005 management-review
decided by independent-reviewer · distinct from finding & remediation · audit AUD-005
DISP-006 — case CASE-005B no-further-action
decided by case-owner · distinct from finding & remediation · audit AUD-006
DISP-007 — case CASE-006 compliance-review
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-007
DISP-008 — case CASE-007 case-reopened
decided by independent-reviewer · distinct from finding & remediation · audit AUD-008
DISP-009 — case CASE-008 referral-eligible
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-009
DISP-010 — case CASE-009 monitoring
decided by independent-reviewer · distinct from finding & remediation · audit AUD-010
DISP-011 — case CASE-010 control-remediation
decided by independent-reviewer · distinct from finding & remediation · audit AUD-011
DISP-012 — case CASE-011 management-review
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-013
DISP-013 — case CASE-012 closure-pending
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-012
DISP-014 — case CASE-013 compliance-review
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-014
DISP-015 — case CASE-014 management-review
decided by compliance-reviewer · distinct from finding & remediation · audit AUD-012

Findings

Each finding identifies the allegation or question reviewed, its evidence-bounded state, confidence, and supporting, conflicting, and missing evidence. This platform does not represent criminal guilt, civil liability, disciplinary guilt, regulatory violation, or a formal fraud determination; such authority is outside the platform.

Finding	Allegation / question	State	Evidence
FND-001 case CASE-001	Does the disbursement variance reflect unrecorded expenditure?	inconclusive confidence medium · approval pending	support: EVD-001 · conflict: — · missing: verified-expenditure-report
FND-002 case CASE-002	Was the dispatch/receipt gap caused by diversion?	blocked-insufficient-evidence confidence low · approval blocked	support: — · conflict: — · missing: receipt-confirmation
FND-003 case CASE-003	Is the stock divergence a counting error?	partially-substantiated confidence medium · approval pending	support: EVD-003 · conflict: — · missing: physical-recount
FND-004 case CASE-004	Was the QC failure caused by a reagent lot issue and remediated?	substantiated confidence high · approval approved	support: EVD-004 · conflict: — · missing: —
FND-005 case CASE-005	Why was the restricted result not routed?	blocked-insufficient-evidence confidence low · approval blocked	support: EVD-005 · conflict: EVD-017 · missing: verified-routing-record
FND-006 case CASE-005B	Was follow-up performed but unrecorded?	unreviewed confidence low · approval pending	support: — · conflict: — · missing: follow-up-record
FND-007 case CASE-006	Was the restricted-locator access appropriately authorized?	inconclusive confidence medium · approval pending	support: EVD-007 · conflict: — · missing: —
FND-008 case CASE-007	Was the asset transferred without authorization?	unsubstantiated confidence medium · approval reopened	support: EVD-008, EVD-016 · conflict: — · missing: —
FND-009 case CASE-008	Does the implausible result reflect fabrication?	blocked-insufficient-evidence confidence low · approval blocked	support: EVD-009 · conflict: — · missing: verified-source-document
FND-010 case CASE-009	Is the AI-clustered pattern a true duplicate?	inconclusive confidence low · approval pending	support: EVD-010 · conflict: — · missing: verified-signal-source
FND-011 case CASE-010	Was rollout readiness claimed prematurely?	partially-substantiated confidence medium · approval pending	support: — · conflict: — · missing: dependency-status-record
FND-012 case CASE-011	Why did expired access remain active?	partially-substantiated confidence medium · approval pending	support: EVD-013 · conflict: — · missing: —
FND-013 case CASE-012	Was the packet-access attempt deliberate?	disproven confidence medium · approval pending	support: EVD-012 · conflict: — · missing: —
FND-014 case CASE-013	Did the packet claim overstate the capability?	blocked-insufficient-evidence confidence low · approval blocked	support: EVD-014 · conflict: EVD-015 · missing: —
FND-015 case CASE-014	Was the authorized review-room access correctly attributed?	inconclusive confidence low · approval pending	support: EVD-012 · conflict: — · missing: EVD-MISSING-ATTRIB

Containment, corrective, preventive, recovery & effectiveness actions

Action completion is not effectiveness verification. Overdue and ineffective actions remain visible. Action owners cannot independently verify high-risk effectiveness where second review is required; ineffective remediation can trigger reopening; remediation does not erase incident or investigation history.

Action	Type	Status / verification	Effectiveness
ACT-CN-001 case CASE-002	containment Hold further dispatches on the affected route pending reconciliation.	in-progress verify not-verified · 2nd review	pending review 2025-07-01 · reopen: recurrence of discrepancy
ACT-CN-002 case CASE-005	containment Quarantine the unrouted restricted result pending independent release review.	completed verify verified · 2nd review	effective review 2025-06-01 · reopen: further routing failure
ACT-CN-003 case CASE-012	access-restriction Restrict packet access pending investigation.	completed verify verified	effective review 2025-08-01 · reopen: further unauthorized attempt
ACT-CA-001 case CASE-001	corrective Obtain and verify the outstanding expenditure report.	in-progress verify not-verified · 2nd review	pending review 2025-05-01 · reopen: unresolved variance
ACT-CA-002 case CASE-003	inventory-recount Perform an independent physical stock recount.	overdue overdue verify not-verified	pending review 2025-08-01 · reopen: divergence persists
ACT-CA-003 case CASE-007	corrective Re-verify asset custody with independent confirmation.	completed verify not-verified · 2nd review	ineffective review 2025-08-18 · reopen: custody still unverified
ACT-CA-004 case CASE-008	reconciliation-rerun Re-run numerator/denominator reconciliation with independent review.	in-progress verify not-verified · 2nd review	pending review 2025-08-15 · reopen: implausibility persists
ACT-CA-005 case CASE-011	access-restriction Deactivate expired-but-active access pending review.	completed verify verified · 2nd review	effective review 2025-09-10 · reopen: reactivation without approval
ACT-CA-006 case CASE-013	evidence-re-verification Independently re-verify conflicting capability evidence.	in-progress verify not-verified · 2nd review	pending review 2025-08-20 · reopen: conflict unresolved
ACT-CA-007 case CASE-004	independent-review Independent review of QC remediation effectiveness.	completed verify verified	effective review 2025-05-20 · reopen: QC failure recurs
ACT-CA-008 case CASE-002	control-redesign Redesign dispatch/receipt confirmation control.	in-progress verify not-verified · 2nd review	pending review 2025-08-30 · reopen: recurrence
ACT-PA-001 case CASE-001	preventive Introduce a periodic disbursement-expenditure reconciliation check.	in-progress verify not-verified	pending review 2025-09-30 · reopen: variance recurs
ACT-PA-002 case CASE-005	training Deliver restricted-result routing training (synthetic).	in-progress verify not-verified	pending review 2025-08-15 · reopen: routing failure recurs
ACT-PA-003 case CASE-010	policy-update Update rollout-readiness policy to require dependency evidence.	in-progress verify not-verified	pending review 2025-11-15 · reopen: premature readiness recurs
ACT-RC-001 case CASE-003	recovery Recover and reconcile any misplaced stock after recount.	in-progress verify not-verified	pending review 2025-08-20 · reopen: stock not recovered
ACT-MN-001 case CASE-009	monitoring Monitor the AI-flagged pattern for recurrence pending human review.	in-progress verify not-verified	pending review 2025-08-02 · reopen: pattern recurs
ACT-COR-001 case CASE-014	correction Request a documented correction of the review-room access-attribution record (source record remains authoritative; no silent modification).	in-progress verify not-verified · 2nd review	pending review 2025-09-01 · reopen: attribution remains unresolved

Separation-of-duties rules

Violations remain blocked or pending, identify the violated rule, require reassignment, independent review, or second review, remain auditable, and are never silently overridden.

Rule	Enforcement	Override / audit
Signal creator cannot independently approve a final finding. SOD-001 · signal-creator-cannot-approve-finding	blocked	never silently overridden auditable · e.g. CASE-001
Incident reporter cannot independently close the case. SOD-002 · incident-reporter-cannot-close-case	blocked	never silently overridden auditable · e.g. CASE-002
Case creator cannot independently approve closure. SOD-003 · case-creator-cannot-approve-closure	blocked	never silently overridden auditable · e.g. CASE-012
Investigator cannot independently provide final approval where independent review is required. SOD-004 · investigator-cannot-final-approve	blocked	never silently overridden auditable · e.g. CASE-001
Evidence capturer cannot independently verify high-risk evidence. SOD-005 · capturer-cannot-verify-high-risk-evidence	pending	never silently overridden auditable · e.g. EVD-008
Source-data owner cannot independently resolve a disputed finding. SOD-006 · owner-cannot-resolve-disputed-finding	blocked	never silently overridden auditable · e.g. CASE-013
Fund investigator cannot independently authorize financial disposition. SOD-007 · fund-investigator-cannot-authorize-financial-disposition	blocked	never silently overridden auditable · e.g. CASE-001
Warehouse dispatcher cannot independently resolve their own discrepancy case. SOD-008 · dispatcher-cannot-resolve-own-discrepancy	blocked	never silently overridden auditable · e.g. CASE-002
Laboratory result preparer cannot independently close a result-integrity investigation. SOD-009 · lab-preparer-cannot-close-result-integrity	blocked	never silently overridden auditable · e.g. CASE-005
Restricted-locator requestor cannot independently close an access concern. SOD-010 · locator-requestor-cannot-close-access-concern	blocked	never silently overridden auditable · e.g. CASE-006
Asset custodian cannot independently close an asset-loss case. SOD-011 · asset-custodian-cannot-close-asset-loss	blocked	never silently overridden auditable · e.g. CASE-007
Program-result submitter cannot independently close a result-integrity case. SOD-012 · program-submitter-cannot-close-result-integrity	blocked	never silently overridden auditable · e.g. CASE-008
AI case generator cannot independently substantiate or close a case. SOD-013 · ai-generator-cannot-substantiate-or-close	blocked	never silently overridden auditable · e.g. CASE-009
Rollout assessor cannot independently authorize closure of a rollout-control failure. SOD-014 · rollout-assessor-cannot-authorize-closure	blocked	never silently overridden auditable · e.g. CASE-010
Packet author cannot independently resolve an unsupported-claim case. SOD-015 · packet-author-cannot-resolve-unsupported-claim	blocked	never silently overridden auditable · e.g. CASE-012
Identity approver cannot independently close an access case involving their own decision. SOD-016 · identity-approver-cannot-close-own-access-case	blocked	never silently overridden auditable · e.g. CASE-011
Correction requestor cannot independently close a linked reconciliation incident. SOD-017 · correction-requestor-cannot-close-reconciliation-incident	blocked	never silently overridden auditable · e.g. CASE-013
Corrective-action owner cannot independently verify high-risk remediation effectiveness. SOD-018 · corrective-action-owner-cannot-verify-high-risk-remediation	pending	never silently overridden auditable · e.g. ACT-CA-003

Escalations

ESC-001 — case CASE-002 open
Missing receipt with dispatcher self-reconciliation attempt. · to independent-reviewer
ESC-002 — case CASE-005 open
Restricted result unrouted; preparer self-closure attempt. · to independent-reviewer
ESC-003 — case CASE-008 open
Implausible program result with submitter self-closure attempt. · to compliance-reviewer
ESC-004 — case CASE-010 open
Unsupported readiness claim. · to independent-reviewer
ESC-005 — case CASE-011 open
Expired access represented as active; approver conflict of interest. · to independent-reviewer
ESC-006 — case CASE-013 open
Reconciliation conflict with conflicting verified evidence. · to compliance-reviewer

Closure reviews (criteria + human approval)

CLR-001 — case CASE-004 criteria met closed-after-approval
approval approved · criteria: required corrective actions completed; effectiveness verified independently; no unresolved questions
CLR-002 — case CASE-012 criteria not met closure-pending
approval pending · criteria: access restriction confirmed; no restricted content disclosed; second review complete
CLR-003 — case CASE-002 criteria not met closure-pending
approval blocked · criteria: receipt evidence obtained; discrepancy reconciled; independent review complete

Reopen events (auditable)

REO-001 — case CASE-007
Corrective action completed but effectiveness verification failed; remediation ineffective. · CASE-007-S1 → CASE-007-S2 · linked event required

Appeals / reconsiderations (remain visible)

APL-001 — case CASE-004 under-review
Reconsideration requested on the QC remediation scope. · remains visible
APL-002 — case CASE-008 open
Reconsideration of the blocked finding requested. · remains visible

Evidence (presence ≠ verification; conflicts remain visible)

EVD-001 — disbursement-voucher present verified current
fund-accountability · case CASE-001
EVD-002 — receipt-confirmation missing missing current
stockpile-logistics · case CASE-002 · Missing evidence blocks a final finding; remains visible.
EVD-003 — movement-log present verified current
stockpile-logistics · case CASE-003
EVD-004 — qc-record present verified current
lab-operations · case CASE-004
EVD-005 — routing-record present unverified current
lab-operations · case CASE-005
EVD-006 — follow-up-record missing missing current
patient-continuity · case CASE-005B · Missing follow-up evidence remains visible.
EVD-007 — disclosure-decision-record present verified current
restricted-patient-locator · case CASE-006
EVD-008 — custody-verification present unverified current
asset-management · case CASE-007
EVD-009 — result-source-document present unverified current
program-performance · case CASE-008
EVD-010 — ai-signal-source-link present unverified current
ai-intelligence · case CASE-009
EVD-011 — dependency-status-record missing missing current
country-rollout · case CASE-010 · Dependency evidence missing; blocks final finding.
EVD-012 — access-attempt-record present verified current
executive-review-packet · case CASE-012
EVD-013 — access-decision-record present unverified current
identity-access-governance · case CASE-011
EVD-014 — claim-source present verified current
data-quality-reconciliation · case CASE-013 · Verified evidence that conflicts with EVD-015; both remain visible.
EVD-015 — capability-state-record present verified current
data-quality-reconciliation · case CASE-013 · Verified evidence conflicting with EVD-014; capability state is 'planned'. Conflicting evidence remains visible.
EVD-016 — prior-custody-verification present verified superseded
asset-management · case CASE-007 · Superseded by later verification; remains historically visible.
EVD-017 — exculpatory-context-record present verified current
lab-operations · case CASE-005 · Exculpatory / conflicting context evidence retained and never suppressed.
EVD-018 — legacy-assessment present verified superseded
fund-accountability · case · Stale legacy risk assessment; requires re-review.

AI risk signals (human review required)

value-variance — Fund disbursement/expenditure variance flagged for review. medium
human review: yes · autonomous action: no · case CASE-001
missing-record — Warehouse receipt confirmation missing. high
human review: yes · autonomous action: no · case CASE-002
balance-divergence — Recorded stock balance diverges from movement history. medium
human review: yes · autonomous action: no · case CASE-003
restricted-result-unrouted — Restricted lab result not routed to clinician. high
human review: yes · autonomous action: no · case CASE-005
missing-followup — Follow-up record missing for a completed transfer. medium
human review: yes · autonomous action: no · case CASE-005B
restricted-access-concern — Restricted-locator access concern raised. high
human review: yes · autonomous action: no · case CASE-006
asset-custody-unverified — Asset active but custody unverified. medium
human review: yes · autonomous action: no · case CASE-007
outlier — Program result far above target; an outlier is not a finding. high
human review: yes · autonomous action: no · case CASE-008
duplicate-pattern — AI-clustered possible-duplicate disbursement pattern; an anomaly is not proof. medium
human review: yes · autonomous action: no · case CASE-009
unsupported-claim — Rollout readiness claim contradicts an incomplete dependency. high
human review: yes · autonomous action: no · case CASE-010
expired-access-active — Approved access with expired authorization still active. high
human review: yes · autonomous action: no · case CASE-011
unauthorized-access-attempt — Unauthorized packet-access attempt blocked. high
human review: yes · autonomous action: no · case CASE-012
conflicting-evidence — Reconciliation conflict with conflicting verified evidence; both remain visible. high
human review: yes · autonomous action: no · case CASE-013

Immutable audit events (append-only)

Audit events are append-only in this demonstration model; corrections, finding reversals, and reopen events require new linked events; deletion is not an allowed case-management control; source-module audit records remain authoritative. This is not a production cryptographic audit ledger.

AUD-001 — case-opened open
case-owner · fund-accountability · 2025-03-06T09:05:00Z · immutable: yes
AUD-002 — case-escalated blocked
independent-reviewer · stockpile-logistics · 2025-06-03T09:05:00Z · immutable: yes
AUD-003 — case-opened open
case-owner · stockpile-logistics · 2025-07-03T09:05:00Z · immutable: yes
AUD-004 — case-closed closed-after-approval
compliance-reviewer · lab-operations · 2025-05-20T09:05:00Z · immutable: yes
AUD-005 — case-blocked blocked
independent-reviewer · lab-operations · 2025-05-15T09:05:00Z · immutable: yes
AUD-006 — case-opened open
case-owner · patient-continuity · 2025-05-21T09:05:00Z · immutable: yes
AUD-007 — case-opened open
independent-reviewer · restricted-patient-locator · 2025-05-03T09:05:00Z · immutable: yes
AUD-008 — case-reopened CASE-007-S2 reopen of AUD-008-prior
independent-reviewer · asset-management · 2025-08-20T09:05:00Z · immutable: yes
AUD-009 — case-escalated escalated
independent-reviewer · program-performance · 2025-06-22T09:05:00Z · immutable: yes
AUD-010 — case-opened open
investigator · ai-intelligence · 2025-06-02T09:05:00Z · immutable: yes
AUD-011 — case-escalated escalated
independent-reviewer · country-rollout · 2025-09-02T09:05:00Z · immutable: yes
AUD-012 — case-opened open
compliance-reviewer · executive-review-packet · 2025-07-11T09:05:00Z · immutable: yes
AUD-013 — case-escalated escalated
independent-reviewer · identity-access-governance · 2025-08-16T09:05:00Z · immutable: yes
AUD-014 — case-blocked blocked
independent-reviewer · data-quality-reconciliation · 2025-07-05T09:05:00Z · immutable: yes
AUD-015 — finding-reversed reopened finding reversal of FND-008
second-reviewer · asset-management · 2025-08-21T09:05:00Z · immutable: yes

Cases by module

fund-accountability 1
stockpile-logistics 2
lab-operations 2
patient-continuity 1
restricted-patient-locator 1
asset-management 1
program-performance 1
ai-intelligence 1
country-rollout 1
identity-access-governance 1
executive-review-packet 1
data-quality-reconciliation 1
authorized-review-room 1

Cases by country

CN-A 14
CN-B 1

Cases by severity / status

high 8
critical 1
medium 6
open 8
blocked 3
closed 1
reopened 1
escalated 2

AI posture — assistive only, non-autonomous

AI assists with

detect risk signals and anomalies
cluster related incidents
compare cases across authorized modules
detect missing or conflicting evidence
identify stale cases and overdue actions
suggest investigation hypotheses
suggest competing explanations
map findings to supporting evidence
identify unsupported conclusions
prioritize cases for review
recommend escalation or second review
summarize chronology for authorized reviewers
detect separation-of-duties conflicts
identify potentially ineffective remediation
support root-cause analysis

AI must never

autonomously open a punitive case
autonomously determine fraud, diversion, misconduct, negligence, guilt, or liability
autonomously substantiate allegations
autonomously approve findings
autonomously close or reopen cases
autonomously notify law enforcement, regulators, funders, employers, or affected individuals
autonomously assign disciplinary action
autonomously suppress exculpatory or conflicting evidence
autonomously fabricate evidence
autonomously alter source records
autonomously approve corrective-action effectiveness
autonomously authorize case export
bypass human review, second review, separation of duties, confidentiality, evidence, expiration, revocation, or audit controls

AI is assistive only. It surfaces risk signals, clusters incidents, compares cases, maps findings to evidence, and prioritizes review for authorized humans, and never opens punitive cases, determines fraud or liability, substantiates allegations, approves findings, closes or reopens cases, notifies external parties, assigns discipline, suppresses evidence, fabricates evidence, alters source records, approves remediation effectiveness, authorizes export, or bypasses controls.

Runtime boundary & module coverage

fund-accountability stockpile-logistics lab-operations patient-continuity restricted-patient-locator asset-management program-performance ai-intelligence country-rollout authorized-review-room executive-review-packet identity-access-governance data-quality-reconciliation

Impact runtime: impact.maxarchealth.com on 127.0.0.1:3201.
References risks, incidents, and cases from fund accountability, stockpile & logistics, lab operations, patient continuity, restricted locator, asset management, program performance, AI intelligence, country rollout, the authorized review room, the executive review packet & controlled download center, identity & access governance, and data quality & reconciliation — without coupling to MaxTrax EHR.
Medical Library boundary remains separate at library.maxarchealth.com (port 3101) and is not used here.
MaxTrax EHR remains separate; this is not a full EHR and implements no live integration or real database mutation.

MaxArc Global Health Impact Platform

Cross-module risk, incident, investigation, and case governance with human approval.

Risks (prioritization only)

Incidents (an incident is not a finding)

Cases (allegation is not a determination)

Investigations

Finding states (distinct & evidence-bounded)

Dispositions (distinct from findings & remediation)

Findings

Containment, corrective, preventive, recovery & effectiveness actions

Separation-of-duties rules

Escalations

Closure reviews (criteria + human approval)

Reopen events (auditable)

Appeals / reconsiderations (remain visible)

Evidence (presence ≠ verification; conflicts remain visible)

AI risk signals (human review required)

Immutable audit events (append-only)

Cases by module

Cases by country

Cases by category

Cases by severity / status

AI posture — assistive only, non-autonomous

AI assists with

AI must never

Runtime boundary & module coverage