Appendix A: Code Examples: Management Decision, Delegation and Oversight Artefacts
This appendix collects fuller versions of the artefacts that the chapters introduce: the schema of the Management Decision Record and the first record of each organisation, the delegation registers and a complete delegation profile, the decision-rights files, an oversight record and the oversight-quality metrics, the contestation records, a worker information notice and a transparency register, the mandate manifest, chain record and team charter of Hansa Mutual's agent-boss pilot, a reversibility test, the AI Act control set and an impact assessment extract, a role charter, the anti-pattern checklist and the two 24-month plans. Every example is identified as NN_CODE_XXX, where NN is the chapter that introduces the artefact. The artefacts are decision records, delegation profiles, contestation records, mandate manifests, policies and evidence manifests kept under version control; none of them describes how to monitor a person covertly or how to avoid a representative's rights.
All identifiers, dates, versions and figures refer to the fictional organisations Nordvik Region and Hansa Mutual, are illustrative and agree with the chapters and with the profiles in EXAMPLE_ORGANISATIONS.md. Where a chapter shows only an excerpt, the fuller version keeps every value the chapter gives and adds fields that the chapter's prose describes; additions that the chapters do not state are marked with the comment # illustrative extension. Where a register or profile changed during the year that Chapter 30 follows, the version shown is the one in force in November 2027, and its history names the earlier versions the chapters show. Every YAML listing parses as written, and figures about people are aggregated as the representatives agreed: none of the listings holds a figure about a named worker, and workers appear only by pseudonymous reference.
The artefacts are meant to be read together. A Management Decision Record cites a delegation profile; the profile sits in the delegation register and stays under the ceilings of the decision-rights file; the oversight record tests whether the degree recorded in the profile holds in practice; a contestation record can change the profile, the notice and the register; and a reversibility test can freeze further delegation until the way back is restored. Appendix B lists every template and tool with the chapter in which it appears, and the chapters remain the place where each artefact is explained.
Index of examples
| Identifier | Chapter | Artefact | Format |
|---|---|---|---|
| 25_CODE_SCHEMA | 25 | Management Decision Record schema | YAML |
| 25_CODE_MDRNR | 25 | MDR-NR-0001, approved roster |
YAML |
| 25_CODE_MDRHM | 25 | MDR-HM-0001, allocation override |
YAML |
| 04_CODE_DLGROS | 4 | Delegation profile DLG-NR-ROS-01 version 1.1.0 |
YAML |
| 25_CODE_REGNR | 25 | Delegation register, Nordvik Region | YAML |
| 25_CODE_REGHM | 25 | Delegation register, Hansa Mutual | YAML |
| 20_CODE_DRFNR | 20 | Decision-rights file DRF-NR-01 |
YAML |
| 20_CODE_DRFHM | 20 | Decision-rights file DRF-HM-01 |
YAML |
| 26_CODE_OVR | 26 | Oversight record OVR-NR-ROS-2027-2 |
YAML |
| 26_CODE_OQM | 26 | Oversight-quality metrics OQM-NR-ROS-01 and OQM-HM-CLM-01 |
YAML |
| 27_CODE_CNTNR | 27 | Contestation record CNT-NR-0001 |
YAML |
| 27_CODE_CNTHM | 27 | Contestation record CNT-HM-0001 |
YAML |
| 28_CODE_WIN | 28 | Worker information notice WIN-NR-SW-HC-01 version 1.2 |
YAML |
| 28_CODE_TRG | 28 | Transparency register, Hansa Mutual | YAML |
| 16_CODE_MND | 16 | Mandate manifest MND-HM-CLM-01 version 1.1.0 |
YAML |
| 17_CODE_CHN | 17 | Chain record CHN-HM-CLM-01 |
YAML |
| 18_CODE_TCH | 18 | Team charter TCH-HM-CLM-01 |
YAML |
| 25_CODE_RVT | 25 | Reversibility test RVT-HM-CTA-2027-01 |
YAML |
| 21_CODE_AIA | 21 | AI Act control set | YAML |
| 21_CODE_FRIA | 21 | Impact assessment extract FRIA-2026-007 |
YAML |
| 29_CODE_ROLE | 29 | Role charter ROLE-HM-MGR-01 |
YAML |
| 31_CODE_AP | 31 | Anti-pattern checklist | YAML |
| 32_CODE_PLANNR | 32 | 24-month plan, Nordvik Region | YAML |
| 32_CODE_PLANHM | 32 | 24-month plan, Hansa Mutual | YAML |
25_CODE_SCHEMA: Management Decision Record schema
The schema turns the book's rules for consequences into checks that run on every record before it is stored: a decider who is a person, a contestation route, a retention rule, no M3 Consequence at Level 4 Autonomous and no adverse consequence above Level 1 Assisted. It is written in JSON Schema 2020-12 and kept in YAML, as Chapter 25 describes; the conditional rules at the end are those the chapter shows.
# management/schemas/mdr.schema.yaml (JSON Schema 2020-12, illustrative)
$schema: https://json-schema.org/draft/2020-12/schema
$id: https://example.org/management/schemas/mdr.schema.yaml # illustrative extension
title: Management Decision Record
type: object
required: [id, schema_version, date, decision_class, function, trigger,
affected, system, delegation, decider, reasons, information_given,
contest, retention]
properties:
id: {type: string, pattern: "^MDR-(NR|HM)-[0-9]{4}$"}
schema_version: {const: "1.0.0"}
status: {enum: [decided, superseded, reconstructed]}
supersedes: {type: string, pattern: "^MDR-(NR|HM)-[0-9]{4}$"}
organisation: {enum: [nordvik-region, hansa-mutual]} # illustrative extension
date: {type: string, pattern: "^[0-9]{4}-[0-9]{2}-[0-9]{2}$"} # illustrative extension
decision_class: {type: string, minLength: 3} # a class in DRF-NR-01 or DRF-HM-01
decision: {type: string}
function:
enum: [M1 Direction, M2 Evaluation, M3 Consequence, M4 Development, M5 Care]
related_functions: # illustrative extension
type: array
items: {enum: [M1 Direction, M2 Evaluation, M3 Consequence, M4 Development, M5 Care]}
trigger: {enum: [m3_decision, profile_rule, sample, contestation]}
adverse: {type: boolean}
affected:
type: object
required: [person_refs]
properties:
person_refs:
type: array
minItems: 1
items: {type: string, pattern: "^(NR|HM)-PSN-[0-9A-F]{6}$"}
inputs: # illustrative extension
type: array
items: {type: object, required: [name, source]}
system:
type: object
required: [name, version, proposal, log_ref]
assistant_part: {type: string} # required where Modes 1 to 3 shaped the decision
delegation:
type: object
required: [profile, level]
properties:
profile: {type: string, pattern: "^DLG-(NR|HM)-[A-Z]+-[0-9]{2} v[0-9.]+$"}
level:
enum: [Level 0 Advisory, Level 1 Assisted, Level 2 Supervised,
Level 3 Bounded, Level 4 Autonomous]
decider:
type: object
required: [role, name]
properties:
name: {type: string, minLength: 3, not: {enum: [system, agent]}}
reasons: {type: array, minItems: 1, items: {type: string}}
information_given: {type: object, required: [to, date, channel]}
contest: {type: object, required: [route, request_by, answer_within]}
retention: {type: object, required: [rule, delete_after]}
allOf:
- if: {properties: {function: {const: M3 Consequence}}, required: [function]}
then: {properties: {delegation: {properties: {level: {not: {const: Level 4 Autonomous}}}}}}
- if: {properties: {function: {const: M3 Consequence}, adverse: {const: true}}, required: [function, adverse]}
then: {properties: {delegation: {properties: {level: {enum: [Level 0 Advisory, Level 1 Assisted]}}}}}
- if: {properties: {status: {const: superseded}}, required: [status]} # illustrative extension
then: {required: [supersedes]}
25_CODE_MDRNR: MDR-NR-0001, the first approved roster
The first record of Nordvik Region concerns the first four-week roster for the Strandvik home-care unit, approved by Mikael Strand under DLG-NR-ROS-01. The record is the full form Chapter 25 shows, with the facts that Chapter 9 summarised; staff appear by pseudonymous reference only.
# management/decisions/MDR-NR-0001.yaml (illustrative, full form)
id: MDR-NR-0001
schema_version: "1.0.0"
status: decided
organisation: nordvik-region
date: "2027-01-22"
decision_class: NR-M1-ROSTER-APPROVE
decision: approve four-week roster, Strandvik home care, 2027-02-08 to 2027-03-07
function: M1 Direction
related_functions: [M3 Consequence, M5 Care] # premium shifts and rest rules
trigger: profile_rule
adverse: false
affected:
group: rostered staff of the Strandvik home-care unit
person_refs: [NR-PSN-3A91C0, NR-PSN-7D20F4, NR-PSN-B1E655] # staff whose shifts changed
inputs:
- {name: forecast demand, source: ShiftWise forecast from approved visit plans}
- {name: contract hours and competences, source: PeopleCore}
- {name: stated preferences and availability, source: staff app}
- {name: working-time rules, source: sector collective agreement table}
system:
name: ShiftWise
version: release in deployment log entry SW-DEP-2027-002
proposal: draft roster version 3
flags: [daily rest under 11 hours, evening route to morning route]
log_ref: ShiftWise roster run of 2027-01-21
delegation: {profile: DLG-NR-ROS-01 v1.0.0, agreed: 2027-01-20, record: AIDR-0602, level: Level 2 Supervised}
decider: {role: unit manager, name: Mikael Strand}
changes:
- {person_ref: NR-PSN-3A91C0, shift: 2027-02-09 morning route, change: swapped with a colleague on the same route}
- {person_ref: NR-PSN-7D20F4, shift: Wednesday afternoons, change: fixed afternoon off restored in all four weeks}
- {person_ref: NR-PSN-B1E655, shift: 2027-02-20 weekend evening, change: moved to an hourly colleague who asked for more hours}
reasons:
- resolve flagged rest breach after an evening route ending 22:00
- stated childcare preference had been outweighed in the draft by travel cost
- draft gave four premium-bearing shifts against a unit rotation of three
open_shifts_offered: 6
information_given:
to: all rostered staff
date: "2027-01-22"
channel: staff app, roster published with the reasons for changes
notice_days: 17
contest:
route: unit manager, then HR business partner care
request_by: 30 days after the end of the roster period # window for raising a contest as issued; four months under AIDR-0631 from 2027-03-15
answer_within: 10 working days, never later than 14 calendar days # AIDR-0631 from 2027-03-15
retention:
rule: Nordvik archive rule for roster records, AIDR-0629
delete_after: 2 years after the roster period; unit-level statistics kept
25_CODE_MDRHM: MDR-HM-0001, the first allocation override
Hansa Mutual's first record concerns Jana Petersen's reassignment of claims the claims-triage agent had allocated to a handler returning on an agreed reduced schedule. The record carries no health data, because the reason for the schedule is not the employer's to put into a claims system; the lasting correction, a capacity field, became the first Class 2 change under the change-class annex to KBV-IT-2024.
# management/decisions/MDR-HM-0001.yaml (illustrative, full form)
id: MDR-HM-0001
schema_version: "1.0.0"
status: decided
organisation: hansa-mutual
date: "2027-01-12"
decision_class: HM-M1-CLAIM-ALLOCATE, override
decision: reassign claims allocated by the claims-triage agent
team: motor claims, Hamburg
function: M1 Direction
related_functions: [M5 Care]
trigger: profile_rule
adverse: false
affected:
person_refs: [HM-PSN-41C07E] # handler on an agreed reduced schedule
also_affected: three colleagues who received claims within authority limits
inputs:
- {name: line of business and complexity tier, source: core claims system}
- {name: authority limit and language, source: Hansa People}
- {name: open workload, source: core claims system}
system:
name: claims-triage agent, work-allocation function
version: release 7.0, allocation rules v2026.4
proposal: nine new motor claims allocated to one handler in one morning
log_ref: agent allocation events of 2027-01-12, Hamburg motor queue
delegation: {profile: DLG-HM-CTA-01 v1.0.0, level: Level 3 Bounded}
decider: {role: claims team leader, name: Jana Petersen}
items_reassigned: 5 of 9
reasons:
- handler on an agreed reduced schedule; the agent read open workload only
health_data_recorded: none
correction:
immediate: five claims reassigned to three colleagues within authority limits
lasting: capacity field added to allocation inputs, entered by the team leader without reasons
change_class: allocation-rule change, notified to the works council under KBV-IT-2024
information_given:
to: affected handler
date: "2027-01-12"
channel: in person, then the record in the employee portal
contest:
route: contestation record CNT-HM, reviewer outside the team line
request_by: 3 months after the decision
answer_within: 15 working days
retention:
rule: AIDR-0679, override records
delete_after: 24 months; team-level aggregates kept for the Konzernbetriebsrat
04_CODE_DLGROS: Delegation profile DLG-NR-ROS-01 version 1.1.0
Chapter 4 showed version 1.0.0 of Nordvik Region's profile for ShiftWise, agreed with the unions on 2027-01-20 under AIDR-0602. Chapter 30 recorded its review on 2027-08-01 and version 1.1.0, in force from 2027-09-01 under AIDR-0635, which writes into the profile the travel-time constraint of WRA-NR-HC-01 revision 2, the approval gate of AIDR-0630 and the appeal path of AIDR-0631, keeps the published rotating order for open shifts and lists the supplier's shift-swap feature as excluded.
# management/profiles/DLG-NR-ROS-01.yaml (Nordvik Region, illustrative)
profile: DLG-NR-ROS-01
version: 1.1.0
effective: "2027-09-01"
organisation: Nordvik Region
system:
name: ShiftWise
usage_mode: Mode 4 Built AI applications
role_under_ai_act: deployer
classification: high-risk, AI Act Annex III point 4(b)
tender: NR-2025-089
fria: FRIA-2026-007
scope:
wards: [hospital wards]
home_care: [wave 1 units, wave 2 units once their managers completed the oversight module]
owner: HR director, Ingrid Halvorsen
decision_record: AIDR-0635
decision_rights_file: DRF-NR-01
representatives:
procedure: change protocol under the co-determination act, AIDR-0627
parties: [union for nurses and midwives, union for municipal and care workers]
functions:
M1_Direction:
- action: draft_roster_and_visit_routes
level: Level 2 Supervised
decider: unit manager approves every roster before publication
approval_gate: [each flag resolved on its own, missed seeds removed at publication, two hours per roster planned] # AIDR-0630
- action: offer_open_shift
level: Level 3 Bounded
playbook: offers only to staff who opted in, within working-time
rules and competence, in the published rotating order
excluded_inputs: [acceptance_history, sick_leave_history]
reopen_condition: any ordering that draws on the person reopens the DPIA (AIDR-0626)
local_pause: unit manager, for own unit, within 15 minutes
M2_Evaluation: not_delegated
M3_Consequence: not_delegated
M4_Development: not_delegated
M5_Care:
- action: flag_rest_rule_breach
level: Level 1 Assisted
decider: unit manager resolves every flag before approval
- action: block_roster_breaching_minimum_rest
level: Level 3 Bounded
direction: protective only; never relaxes a rule
- action: block_route_below_minimum_travel_time
level: Level 3 Bounded
rule: routed time plus 5 minutes and never under 10 (WRA-NR-HC-01 rev 2, C2)
test: tests/test_travel_time.py
- action: block_shift_without_break
level: Level 3 Bounded
rule: 30-minute break after 6 hours (WRA-NR-HC-01 rev 2)
excluded_action_classes:
- supplier shift-swap feature without the unit manager's approval
- agent-to-agent negotiation of roster gaps
stop:
unit: unit manager pauses open-shift offers, 15 minutes
system_wide: HR director, 1 hour
technical: supplier contract stop path under NR-2025-089, last tested 2027-03-12
fallback: manual rostering from the last approved roster, with the travel-time rule
restart: HR director and AI governance lead; unions informed before restart
contest: AIDR-0631, review by the HR business partner, never the decider
records:
mdr: every approved roster and every change by a manager
oversight: OVR-NR-ROS-*, metric OQM-NR-ROS-01
history:
- {version: 1.0.0, date: "2027-01-20", record: AIDR-0602}
- {version: 1.1.0, date: "2027-09-01", record: AIDR-0635}
review:
next: "2028-02-01" # before home-care wave 3
triggers: [new model version, new unit, change to offer order, contest pattern, catch below 0.85 for two periods]
25_CODE_REGNR: The delegation register of Nordvik Region
Chapter 25 showed Nordvik's register in version 1.2.0, with DLG-NR-ROS-01 at version 1.0.0 and the reversibility test pending its conditions. The version below is the register in November 2027: the roster profile at version 1.1.0, the dashboards' profile with the restrictions of Chapters 8, 13 and 21, the conditions of RVT-NR-ROS-2027-01 met on 2027-06-30, and the decision that no line manager directs agents.
# management/delegation-register.yaml (Nordvik Region, illustrative)
register: delegation-register
organisation: nordvik-region
version: "1.3.0" # illustrative extension; 1.2.0 in Chapter 25
owner: role:hr-director # Ingrid Halvorsen
adopted_by: AIDR-0629
profiles:
- id: DLG-NR-ROS-01
version: 1.1.0
system: ShiftWise
mode: Mode 4
scope: [hospital wards, home care waves 1 and 2]
highest: {M1: Level 3 Bounded, M5: Level 3 Bounded}
note: rosters at Level 2 Supervised; open-shift offers at Level 3 only while no personal aspect enters the order
- id: DLG-NR-HCD-01
version: 1.0.0
system: home-care dashboards, time per visit and route
mode: Mode 4
scope: [home care]
classification: treated as high-risk under Annex III point 4(b) as a precaution; Region is provider and deployer
functions: {M2_Evaluation: Level 0 Advisory}
individual_figures: unit manager only, access logged
excluded_data: [location trace between visits, emotion or stress inference]
excluded_uses: [pay, discipline, dismissal]
open_decision: whether individual figures are kept (plan measure N3)
next_revision: references AIDR-0631 and WRA-NR-HC-01
- {id: DLG-NR-SA-01, version: 1.0.0, system: staff assistant and embedded assistant pilot, mode: [Mode 4, Mode 2]}
paused_or_discovered:
- {system: recruitment screening module, status: paused, record: AIDR-0601, profile: required before resumption}
agents_directed_by_managers: none until supervision capacity exists # AIDR-0610, under the commission AIDR-0600
sum_by_team:
strandvik-home-care:
M1_Direction: {systems: [ShiftWise, staff assistant], highest: Level 3 Bounded, class: offer_open_shift}
M2_Evaluation: {systems: [home-care dashboards], highest: Level 0 Advisory}
M3_Consequence: {systems: [], highest: not_delegated}
M4_Development: {systems: [], highest: not_delegated}
M5_Care: {systems: [ShiftWise], highest: Level 3 Bounded, class: protective blocks for rest and travel time}
reversibility_tests:
- id: RVT-NR-ROS-2027-01
profile: DLG-NR-ROS-01
function: M1_Direction
scenario: ShiftWise unavailable for four weeks in home care
form: live exercise, Strandvik routes planned by hand for two weeks; desk exercise for the wards
run: {from: "2027-04-05", to: "2027-04-16"}
acceptance:
- rosters published with at least 14 days' notice
- no breach of minimum daily rest
- travel time per CNT-NR-0001, routed time plus 5 minutes and never under 10
result: passed_with_conditions
conditions:
- {action: export competence rules to PeopleCore monthly, owner: role:hr-director, due: "2027-06-30", met: "2027-06-30"}
- {action: deputy plans one week a month by hand, owner: role:unit-manager, due: "2027-06-30", met: "2027-06-30"}
freeze: lifted 2027-06-30; shift-swap feature stays off as an excluded action class
next_test: "2028-04"
representatives: {position: agreed, parties: [union for nurses and midwives, union for municipal and care workers]}
reported_to: regional-executive-committee, with the report under AIDR-0600 of 2027-06-30
25_CODE_REGHM: The delegation register of Hansa Mutual
Hansa's register answers a different question: not the depth of delegation in one unit but its spread across seven markets. The version below is the register in November 2027, after the profile changes that Chapter 30's table records: DLG-HM-CTA-01 at version 1.2.0 (AIDR-0685), DLG-HM-REC-01 at version 1.5 (AIDR-0680), DLG-HM-SPS-01 at version 4 (AIDR-0681) and DLG-HM-AB-01 for the pilot agents.
# management/delegation-register.yaml (Hansa Mutual, illustrative)
register: delegation-register
organisation: hansa-mutual
version: "1.2.0" # illustrative extension; 1.1.0 in Chapter 25
owner: role:chief-hr-officer
adopted_by: AIDR-0679
markets: [DE, NL, SE, PL, NO, UK, CH]
profiles:
- id: DLG-HM-CTA-01
version: 1.2.0
record: AIDR-0685
applies_in: [DE]
system: claims-triage agent, work-allocation function
mode: Mode 5
highest: {M1: Level 3 Bounded, M2: Level 1 Assisted}
conditions: [capacity field, PREF-01 capped at 30 per cent, cap on claims per handler-hour, CTA-R-14 with recorded handover]
m3_inputs_permitted: [] # throughput feeds no M3 decision, DRF-HM-01
- id: DLG-HM-REC-01
version: "1.5"
record: AIDR-0680
applies_in: [DE, PL]
system: TalentLens
mode: Mode 4
highest: {M2: Level 1 Assisted, M3: Level 1 Assisted}
conditions: [equality block of version 1.4, every application meeting the mandatory requirements opened before rejection, application shown before the rank, postings closed at readable volume]
- id: DLG-HM-SPS-01
version: "4"
record: AIDR-0681
applies_in: [DE, NL]
system: sales-performance score
mode: Mode 4
highest: {M2: Level 1 Assisted, M3: Level 0 Advisory}
conditions: [manager's assessment recorded before the score is opened, indicator normalised per market, quarterly contest report and triggers]
- id: DLG-HM-AB-01
version: 1.0.0
applies_in: [DE]
system: pilot agents under MND-HM-CLM-01
mode: Mode 5
note: people direct agents; no agent directs a person
paused_or_discovered:
- {feature: FTR-HM-CA-01, mode: Mode 0, status: switched off in all markets, record: AIDR-0670}
sum_by_market: # systems touching each function
DE: {M1: 1, M2: 2, M3: 2, M4: 0, M5: 0, gate: Konzernbetriebsrat or local Betriebsrat}
NL: {M1: 0, M2: 1, M3: 1, M4: 0, M5: 0, gate: ondernemingsraad consent}
PL: {M1: 0, M2: 0, M3: 1, M4: 0, M5: 0, gate: company trade union organisation and employee council}
SE: {M1: 0, M2: 0, M3: 0, M4: 0, M5: 0, gate: unions under MBL}
NO: {M1: 0, M2: 0, M3: 0, M4: 0, M5: 0, gate: union representatives on control measures}
UK: {M1: 0, M2: 0, M3: 0, M4: 0, M5: 0, gate: staff forum; outside the AI Act}
CH: {M1: 0, M2: 0, M3: 0, M4: 0, M5: 0, gate: employee committee; outside the AI Act}
reversibility_tests:
- id: RVT-HM-CTA-2027-01
profile: DLG-HM-CTA-01
result: passed_with_conditions
conditions_met: "2027-06-30"
freeze: new allocation classes released; extension beyond DE held until each entity's gate is passed
next_test: "2028-03"
reporting: {to: [executive board, Konzernbetriebsrat], form: aggregated by team and market, frequency: annual}
20_CODE_DRFNR: The decision-rights file of Nordvik Region
The decision-rights file places the ceilings per management function, the decision classes with their named deciders, the four stop rights and the representatives' fixed rights in one file that the management body adopts. Nordvik's ceiling for M3 Consequence is stricter than the book's default. The version is the one in force from 2027-04-01; the review section records the change that AIDR-0636 asked for after the second oversight record.
# management/decision-rights.yaml (Nordvik Region, illustrative)
id: DRF-NR-01
version: 1.0.0
adopted_by: AIDR-0607 # HR director, after negotiation; endorsed by the regional director
effective: 2027-04-01
review_by: 2028-03-31
owner: role:hr-director # Ingrid Halvorsen
accountable_body: regional-executive-committee
ceilings: # maximum degree of delegation per function
M1_Direction: L3_Bounded
M2_Evaluation: {team: L2_Supervised, individual: L1_Assisted}
M3_Consequence: {any: L1_Assisted, adverse: L1_Assisted} # stricter than the book default
M4_Development: L1_Assisted
M5_Care: {flag: L1_Assisted, protective_block: L3_Bounded}
raising: # illustrative extension, from Chapters 4 and 20
degree_within_ceiling: tier 2 decision, function owner, unions negotiated
ceiling: tier 4 decision, regional executive committee
classes:
- id: NR-M1-ROSTER-APPROVE
function: M1_Direction
decider: role:unit-manager
system: ShiftWise
profile: DLG-NR-ROS-01
degree: L2_Supervised
record: MDR-NR
- id: NR-M1-OPEN-SHIFT-OFFER
function: M1_Direction
decider: role:unit-manager # owns the rules; offers go to staff who opted in
system: ShiftWise
profile: DLG-NR-ROS-01
degree: L3_Bounded
condition: offers to all opted-in staff; any ranking of staff is a new decision
- id: NR-M2-VISIT-DASHBOARD # illustrative extension
function: M2_Evaluation
decider: role:unit-manager
system: home-care dashboards
profile: DLG-NR-HCD-01
degree: L0_Advisory
may_feed: [] # no pay, discipline or dismissal
- id: NR-M3-HIRE
function: M3_Consequence
decider: role:recruiting-manager
system: none # screening paused, AIDR-0601
degree: L0_Advisory
conditions: {authority: true, information: full-application, record: MDR-NR}
- id: NR-M3-PAY-REVIEW
function: M3_Consequence
decider: role:line-manager
system: none
fixed_by: collective-agreement
stop_rights:
- {right: pause-in-unit, holder: role:unit-manager, system: ShiftWise, scope: open-shift-offers, time_to_effect: PT15M, fallback: manual-offers}
- {right: stop-system-wide, holder: role:hr-director, system: ShiftWise, time_to_effect: PT1H, fallback: last-approved-rosters}
- {right: technical-stop, holder: role:platform-on-call, path: supplier-contract-stop-path, tender: NR-2025-089, time_to_effect: PT1H, last_test: 2027-03-12}
- {right: require-investigation, holder: role:safety-representative, basis: work-environment-act ch6 s6a, answer_within: P10D}
restart: [role:hr-director, role:ai-governance-lead, inform: unions-before-restart]
fixed_rights:
- {body: public-sector-unions, right: negotiate-before-decision, basis: co-determination-act s11 pattern, gate_for: [ceilings, profiles]}
- {body: workers-and-representatives, right: be-informed, basis: AI Act Art 26(7), gate_for: [ShiftWise]}
- {body: safety-representatives, right: suspend-work-immediate-danger, basis: work-environment-act ch6 s7}
contest: AIDR-0631 # illustrative extension; appeal path for every class
review:
pending_changes:
- {record: AIDR-0636, change: stand-in approvers named per unit before each holiday period}
20_CODE_DRFHM: The decision-rights file of Hansa Mutual
Hansa's file has more classes, because AI already reaches M3 Consequence there, and an accountability section that names the executive board. The throughput class lists the consequence decisions it may feed, and the list is empty; Chapter 30 records that Thomas Brandt's empty list was confirmed at the review of 2027-04-30 so that no future profile can quietly fill it.
# management/decision-rights.yaml (Hansa Mutual, illustrative)
id: DRF-HM-01
version: 1.0.0
adopted_by: AIDR-0655 # chief HR officer; ceilings and accountability by the executive board
effective: 2027-04-15
review_by: 2028-04-14
owner: role:chief-hr-officer
accountability:
management_body: executive-board
answers_for: allocation of management decision rights and their ceilings
board_member: role:chief-hr-officer
reported: annually, with the delegation register, to the executive board and the Konzernbetriebsrat
applies_in: [DE, NL, SE, PL, NO, UK, CH] # local gates below decide rollout per entity
ceilings: # illustrative extension; the book's defaults
M1_Direction: L3_Bounded
M2_Evaluation: {team: L2_Supervised, individual: L1_Assisted}
M3_Consequence: {any: L2_Supervised, adverse: L1_Assisted, never: L4_Autonomous}
M4_Development: L1_Assisted
M5_Care: {flag: L1_Assisted, protective_block: L3_Bounded}
classes:
- id: HM-M1-CLAIM-ALLOCATE
function: M1_Direction
system: claims-triage-agent
profile: DLG-HM-CTA-01
degree: L3_Bounded
override: {holder: role:claims-team-leader, scope: any-allocated-claim, record: MDR-HM}
- id: HM-M2-THROUGHPUT
function: M2_Evaluation
degree: L1_Assisted
visible_to: role:claims-team-leader
may_feed: [] # feeds no M3 decision without a new agreed decision
- id: HM-M3-HIRE-SCREEN
function: M3_Consequence
system: TalentLens
profile: DLG-HM-REC-01
degree: L1_Assisted
decider: role:recruiter
conditions: {authority: true, information: ranking-reasons-and-full-application, max_reviews_per_hour: 12, record: MDR-HM}
- id: HM-M3-VARIABLE-PAY
function: M3_Consequence
system: sales-performance-score
profile: DLG-HM-SPS-01
degree: L0_Advisory
decider: role:sales-manager
conditions: {assessment_before_score: true, record: MDR-HM} # illustrative extension
- id: HM-AGENTS-PILOT # illustrative extension
function: none over people; agents directed by the team leader
mandate: MND-HM-CLM-01
profile: DLG-HM-AB-01
degree: L2_Supervised
stop_rights:
- {right: reassign, holder: role:claims-team-leader, time_to_effect: immediate}
- {right: stop-system-wide, holder: role:chief-hr-officer, systems: all-management-systems, time_to_effect: PT30M}
- {right: technical-stop, holder: role:agent-operator-on-call, system: claims-triage-agent, scope: allocation-to-people, time_to_effect: PT15M, fallback: team-leader-queue}
restart: [role:chief-hr-officer, role:chief-risk-officer, inform: competent-works-council-before-restart]
fixed_rights:
- {body: Konzernbetriebsrat, right: co-determine, basis: BetrVG s87(1) no. 6, scope: group-wide systems, agreement: KBV-IT-2024}
- {body: local-Betriebsrat, right: co-determine, basis: BetrVG s87(1) no. 6, scope: establishment-only systems}
- {body: competent-works-council, right: consent-to-hiring, basis: BetrVG s99, applies_in: [DE]}
- {body: competent-works-council, right: hearing-before-dismissal, basis: BetrVG s102, applies_in: [DE]}
- {body: ondernemingsraad, right: consent, basis: WOR, applies_in: [NL]}
- {body: unions, right: negotiate-before-decision, basis: MBL s11, applies_in: [SE]}
26_CODE_OVR: Oversight record OVR-NR-ROS-2027-2
The second oversight record for roster approval covers June to September 2027, the first period after AIDR-0630 and the first with holiday stand-ins. It is the record Chapter 30 shows, with the design block of the first record carried forward so that the record can be read alone. Its figures are reported for all approvers and for stand-ins as a group, each of at least five people, and never per person.
# oversight/OVR-NR-ROS-2027-2.yaml (illustrative)
id: OVR-NR-ROS-2027-2
previous_record: OVR-NR-ROS-2027-1
profile: DLG-NR-ROS-01 # v1.0.0 to 2027-08-31, v1.1.0 from 2027-09-01
class: NR-M1-ROSTER-APPROVE # DRF-NR-01
recorded_degree: Level 2 Supervised
period: {from: 2027-06-01, to: 2027-09-30}
scope: home-care wave 1, seven units
owner: role:hr-director # Ingrid Halvorsen
design: # carried forward from OVR-NR-ROS-2027-1
overseer: role:unit-manager
authority: change any assignment or route without approval; reason recorded in the MDR
independent_information: [staff requests in PeopleCore, unit sickness list, client care plans]
planned_time_per_roster: PT2H
approval_gate: each flag resolved on its own; missed seeds removed at publication # AIDR-0630
metric: OQM-NR-ROS-01
reported_to: [central work-environment committee, union for municipal and care workers, union for nurses and midwives]
aggregation: {groups: [all approvers, stand-in approvers], minimum: 5, per_person: none}
figures:
approvers: {unit_managers: 7, stand_ins: 6}
rosters_approved: 28
median_minutes_open_to_approve: 47
approvals_under_2_minutes: 0
rosters_changed_before_approval: 19
rest_rule_flags_raised: 24
flags_closed_by_bulk_acknowledgement: 0 # blocked by design since AIDR-0630
seeded_faults: {placed: 14, found: 12, rate: 0.86}
seeded_faults_stand_ins: {placed: 4, found: 2, rate: 0.5}
contestations: {received: 2, decision_changed: 1, records: [CNT-NR-0004, CNT-NR-0005]}
thresholds: {seeded_catch_min: 0.85, median_minutes_min: 10, approvals_under_2_minutes_max: 0, bulk_flag_closure_max: 0}
classification: Level 2 Supervised; observed degree matches recorded degree # illustrative extension
trigger_status: catch above 0.85 overall; return to Level 1 Assisted not triggered
findings:
- Approval gate held; no flag closed in bulk
- Stand-ins found half the seeds; three of six had not taken the oversight module
- AIDR-0630 tied training to units going live, not to the approver role
actions:
decision_record: AIDR-0636
measures:
- Oversight module required before anyone approves a roster, stand-ins included
- Stand-in approvers named per unit in DRF-NR-01 before each holiday period
- Deputies who plan a week by hand each month are first choice as stand-ins
next_record: OVR-NR-ROS-2027-3
26_CODE_OQM: Oversight-quality metrics OQM-NR-ROS-01 and OQM-HM-CLM-01
An oversight-quality metric is agreed with the representatives before any figure is collected. It defines each figure, its floor or ceiling, the aggregation that protects the overseers, the uses it is barred from and the trigger that changes the degree of delegation. Nordvik's metric tests a decision in the case, the approval of each roster; Hansa's tests oversight of a system, first handlers' review of agent output and, since AIDR-0680, team leaders' oversight of allocation.
# oversight/metrics/OQM-NR-ROS-01.yaml (Nordvik Region, illustrative)
id: OQM-NR-ROS-01
title: Oversight quality of roster approval
profile: DLG-NR-ROS-01
class: NR-M1-ROSTER-APPROVE
owner: role:hr-director
agreed_with: [union for municipal and care workers, union for nurses and midwives]
reported_to: central work-environment committee
period: four months; one oversight record per period # illustrative extension
figures:
- {id: median_minutes_open_to_approve, question: could the roster have been read, floor: 10}
- {id: approvals_under_2_minutes, question: was any roster approved unread, ceiling: 0}
- {id: rosters_changed_before_approval, question: does the approver influence outcomes, reported: count}
- {id: flags_closed_by_bulk_acknowledgement, question: was each rest flag resolved, ceiling: 0}
- {id: seeded_fault_catch, question: are known faults found, floor: 0.85}
- {id: reversals_on_contest, question: did oversight let through what the worker could see, reported: count}
seeds:
placed: two per unit per period, designed with unit managers
examples: [newly employed care assistant alone at a two-person visit, three late-early changes in one week]
safeguard: publication gate removes any missed seed; no real person affected
aggregation:
groups: [all approvers in the wave, stand-in approvers]
minimum: 5
per_person: none; each approver sees own figures only
data_sources: # illustrative extension
- ShiftWise approval log (opened, flags resolved, approved)
- publication gate log of seeded faults
- contestation records CNT-NR-*
retention: {raw_logs: 60 days, aggregates: 24 months} # illustrative extension
practice_classification: # illustrative extension, Chapter 8 practice test
matches_recorded: every floor and ceiling met
nearer_level_3: approvals under 2 minutes or flags closed in bulk
excluded_uses: [M2 Evaluation of the approver, M3 Consequence for the approver]
trigger:
when: seeded_fault_catch below 0.85 for two consecutive periods
action: roster class returns to Level 1 Assisted for the units concerned # AIDR-0630
review: yearly, in negotiation with the unions
# oversight/metrics/OQM-HM-CLM-01.yaml (Hansa Mutual, illustrative)
id: OQM-HM-CLM-01
title: Oversight quality in the Hamburg claims pilot and of claims allocation
owner: role:head-of-group-claims-operations
agreed_with: Konzernbetriebsrat, under KBV-IT-2024
version: "1.1" # illustrative extension; 1.0 for handlers' review only
history:
- {version: "1.0", scope: handlers' review of agent output, record: AIDR-0652}
- {version: "1.1", scope: adds team leaders' oversight of allocation, record: AIDR-0680}
parts:
agent_output_review:
reviewers: claims handlers approving pilot-agent drafts under MND-HM-CLM-01
cadence: weekly routine of the team leader
figures:
- {id: seeded_case_catch, floor: 0.85}
- {id: rejection_rate, floor: 0.02, window: four consecutive weeks}
- {id: median_seconds_to_approve_letter, floor: 30}
- {id: disagreements_in_unassisted_samples, reported: count}
aggregation: team level; never per handler
trigger_action: lower volume budget, narrow scope or move an action down a level; recorded in the manifest's history
allocation_oversight:
reviewers: team leaders overseeing the claims-triage agent under DLG-HM-CTA-01
figures:
- {id: reassignments_with_recorded_reasons, source: MDR-HM records from MDR-HM-0001, reported: count}
- {id: seeded_allocations_caught_within_one_working_day, floor: 0.85} # illustrative extension
seed_example: complex claim allocated to a handler in her first month
aggregation: across the Hamburg claims department, because each team has one team leader
data_sources: # illustrative extension
- approval log of pilot-agent drafts (approving handler, time, decision)
- seeded cases placed by the agent operator
- MDR-HM override records and seeded allocations
retention: {raw_logs: 12 months, aggregates: 24 months} # illustrative extension
practice_test: observed degree compared with DLG-HM-AB-01 and DLG-HM-CTA-01 each quarter # illustrative extension
excluded_uses: [M2 Evaluation of any handler or team leader, M3 Consequence for any handler or team leader, joining with allocation figures per person]
visible_to: each overseer sees own figures; no individual figure shown to anyone else
reported_to: [Konzernbetriebsrat, pilot owner]
27_CODE_CNTNR: Contestation record CNT-NR-0001
The year's most instructive record began on the second day of ShiftWise routes in Strandvik. It is the full record of Chapter 27, with the links to the appeal path and the notice version that the contest produced added at the end. It stayed open until the rule fix passed its test in production on 2027-03-25.
# contestations/CNT-NR-0001.yaml (illustrative, full record)
id: CNT-NR-0001
opened: 2027-01-26
channel: oral, to the unit manager; written down and read back
contested_record: ShiftWise daily route, Strandvik unit, 2027-01-26, approved by the unit manager
system: ShiftWise (tender NR-2025-089)
delegation_profile: DLG-NR-ROS-01
function_and_level: {M1 Direction: Level 2 Supervised}
contested_by: assistant nurse, Strandvik home-care unit
supported_by: safety representative
grounds: Route planned 0 minutes between two visits about 1 km apart; second visit shortened
explanation_given:
date: 2027-01-27
role_and_logic: ShiftWise orders assigned visits by time window and travel time; the unit manager approves
inputs_about_person: [shift times, competences, assigned visits] # no performance data
counterfactual: With travel time computed between the two addresses, 12 minutes would have been planned
human_decider: Mikael Strand, unit manager
first_look: granted in full; route for 2027-01-27 corrected by the unit manager
reviewer: HR business partner for home care # independent of the route and of ShiftWise
deadlines: {acknowledged: 2027-01-26, answer_due: 2027-02-09, answered: 2027-02-05}
findings:
- Both addresses geocoded to the same postcode centroid, so routed travel time was 0 minutes
- No transition time for parking, entering and leaving was planned on any route
- The rest-rule flag did not fire because no working-time rule was breached
outcome:
decision: route corrected 2027-01-27; shortened visit recorded as caused by the route, not the worker
data: address-level coordinates for all Strandvik residents, supplier ticket closed 2027-02-12
rule: travel time at least routed time plus 5 minutes, minimum 10 minutes (WRA-NR-HC-01 rev 2, C2)
model: none; the visit-duration forecast was examined and not implicated
register: DLG-NR-ROS-01 references constraint C2 and AIDR-0631
system_correction:
owner: Ingrid Halvorsen, HR director
reviewed_by: central work-environment committee
risk_assessment: {id: WRA-NR-HC-01, revision: 2, approved: 2027-03-11}
test: tests/test_travel_time.py
verified: 2027-03-25
person_informed: 2027-02-05, in writing and at a meeting with the unit manager
escalation: union negotiation or safety representative request; open until 2027-05-26
no_use_in_evaluation: the contest is never an input to any M2 Evaluation of the worker
follow_up: # illustrative extension
- {record: AIDR-0631, date: 2027-03-15, effect: review never by the decider; 10 working days and never later than 14 calendar days}
- {record: WIN-NR-SW-HC-01 v1.2, date: 2027-03-15, effect: travel-time rule told to every member of the unit}
- {record: WRA-NR-HC-01 rev 1, date: 2027-02-24, effect: planned visit times assessed as a work-environment risk}
closed: 2027-03-25
27_CODE_CNTHM: Contestation record CNT-HM-0001
The contest of a Dutch field-sales employee against her score for the third quarter of 2026 preceded Hansa's Management Decision Records, so the contested pay proposal is referenced by its pay-cycle entry. The record is the full form of Chapter 27, with the follow-up decision that turned contest patterns into a report and a review trigger.
# contestations/CNT-HM-0001.yaml (illustrative, full record)
id: CNT-HM-0001
opened: 2026-10-19
channel: written, through the HR portal
contested_record: sales-performance-score Q3 2026 and the pay proposal based on it (pay cycle Q3 2026)
system: sales-performance-score, Mode 4 Built AI applications
delegation_profile: DLG-HM-SPS-01 version 2
function_and_level: {M2 Evaluation: Level 1 Assisted, M3 Consequence: Level 0 Advisory}
contested_by: field-sales employee, Dutch entity
supported_by: ondernemingsraad member
grounds:
- Complaint indicator compared with the group median, not the Dutch market
- Market-wide rise in complaints after a motor-policy product change
explanation_given:
date: 2026-10-23
role_and_logic: Score weights conversion, retention and complaints against a comparison base; manager proposes pay
inputs_about_person: [conversion, retention and complaint figures, Q3 2026; portfolio assignments]
counterfactual: Against the Dutch market rate, complaint band 3 instead of 1 and composite band B instead of C
human_decider: the employee's sales manager
first_look: not granted by the sales manager; referred to review
reviewer: HR business partner sales, outside the employee's line
deadlines: {acknowledged: 2026-10-20, answer_due: 2026-11-09, answered: 2026-11-02}
evidence_examined:
- Indicator definitions in DLG-HM-SPS-01 version 2
- Complaint rates by market, Q2 and Q3 2026
- Complaint attribution after the portfolio transfer of 2026-07-01
- The pay proposal and the manager's recorded reasons
findings:
- Complaint indicator penalised staff in markets with higher complaint rates
- Two complaints about advice given before the portfolio transfer were attributed to her
- Pay proposal matched the score band without a written assessment
- In the Dutch sales unit 97 per cent of proposals matched the band; median 48 seconds to decide
outcome:
decision: band corrected; pay proposal re-made by the manager with own assessment first
data: complaints about events before a portfolio transfer excluded from the new holder's indicator
rule: complaint indicator normalised per market from Q4 2026
model: none; composite weights unchanged
register: DLG-HM-SPS-01 version 3; Dutch sales unit classified decisive in practice
person_informed: 2026-11-03, in writing, with reasons
escalation: second review by an HR lead of another entity; open until 2026-12-03
system_correction:
owner: group head of sales HR
test: Q4 2026 scores recomputed against market baselines and attribution rule
verified: 2027-01-15
no_use_in_evaluation: the contest is never an input to any M2 Evaluation of the employee
follow_up:
- {record: AIDR-0681, date: 2027-01-25, effect: quarterly contest report and triggers in DLG-HM-SPS-01 version 4}
closed: 2027-01-15
28_CODE_WIN: Worker information notice WIN-NR-SW-HC-01 version 1.2
The notice is generated from the delegation profile and tested with the people it informs; Mikael Strand rewrote the first draft around the questions six of his staff asked. Version 1.2, of 2027-03-15, carried the travel-time rule to every member of the unit, a Class 2 change. Because the appeal path of AIDR-0631 was adopted the same day, the contest fields below follow that rule: review by the HR business partner, never by the person who decided, and an answer within ten working days and never later than fourteen calendar days.
# management/notices/WIN-NR-SW-HC-01.yaml (illustrative)
id: WIN-NR-SW-HC-01
version: "1.2"
system: ShiftWise
applies_to: home-care staff, Strandvik unit; further units by rollout wave
delegation_profile: DLG-NR-ROS-01
register_entry: TRG-NR-SW-HC
decision_record: AIDR-0634
appeal_path: AIDR-0631
languages: [national language, English, Arabic, Tigrinya]
summary_plain_language: >
ShiftWise is a computer program. It suggests your four-week roster and
your daily visit route. Your unit manager checks and approves every roster
and can change any shift. ShiftWise also sends offers of extra shifts to
everyone who has opted in, in a published rotating order. You can say no,
and saying no is never held against you. Every route leaves at least the
travel time plus five minutes between two visits, and never less than ten
minutes. If a route does not leave enough time, tell your unit manager or
contest it. You get an answer within 10 working days, and never later
than 14 calendar days.
functions:
M1_Direction:
rosters_and_routes: the system suggests, your unit manager approves every roster
open_shift_offers: sent automatically to all who opted in, rotating order, decline without effect
M2_Evaluation: none; dashboard figures do not enter ShiftWise
M3_Consequence: none; rosters set hours, so pay effects are checked monthly
M5_Care:
flags: the system flags breaches of rest rules; your unit manager resolves them
blocks: no route with less than the minimum travel time; a 30-minute break after 6 hours
inputs_used: [care plan visit times, travel time by road, your competences,
your contract hours, your stated preferences, working-time and rest rules]
inputs_never_used: [whether you accepted or declined earlier offers,
sickness absence, time-per-visit dashboard figures, union membership]
acceptance_of_open_shifts: recorded for pay and the roster only
counterfactual_example: >
If you mark Tuesdays as unavailable before the roster deadline, ShiftWise
will not suggest Tuesday shifts for you unless no one else with your
competences is available, and then your manager must ask you first.
named_deciders:
rosters_and_routes: Mikael Strand, unit manager
contest:
where: [your unit manager, the HR business partner for home care, the form in the staff app, your union or safety representative]
window: four months from the day you learnt of the decision
acknowledgement: within 2 working days, naming who reviews and when you will hear
reviewer: HR business partner for home care, never the person who decided
answer: within 10 working days and never later than 14 calendar days
no_detriment: contesting is never held against you
your_rights: [see the data ShiftWise holds about you, explanation of a roster or route,
contest a roster or route, help from your union]
outputs_seen_by: [you, your unit manager, central rostering support]
change_classes_agreed_with: [union for municipal and care workers, union for nurses and midwives]
history:
- {version: "1.0", date: "2027-01-11", change: first issue before go-live}
- {version: "1.1", date: "2027-01-21", change: open-shift rotating order added, DLG-NR-ROS-01 v1.0.0}
- {version: "1.2", date: "2027-03-15", change: minimum travel time between visits after CNT-NR-0001; appeal path AIDR-0631}
28_CODE_TRG: The transparency register of Hansa Mutual
The transparency register lists every system that performs a management function, per entity, with its degree per function, profile, notice, contact, agreement and whether the AI Act applies as law or as group policy. It is generated from the delegation register and the feature register under AIDR-0682, so that a feature switched off in one is not shown as enabled in the other. The German entries are those Chapter 28 shows; the Dutch and Polish entries are added from Chapters 7, 8 and 27.
# management/transparency-register.yaml (Hansa Mutual, illustrative)
register: transparency-register
organisation: hansa-mutual
version: "2027.1"
decision_record: AIDR-0682
generated_from: [management/delegation-register.yaml, management/office-feature-register.yaml]
published_to: all employees of each entity; absence of a system is itself information
entries:
- id: TRG-HM-CTA-DE
system: claims-triage agent, allocation of claims to handlers
usage_mode: Mode 5 Autonomous production agents
functions: {M1_Direction: Level 3 Bounded, M2_Evaluation: Level 1 Assisted}
M3_Consequence: not delegated; figures no input to pay, discipline or dismissal
delegation_profile: DLG-HM-CTA-01
notice: WIN-HM-CTA-DE v1.1
contact: claims team leader of each team; group head of claims operations
agreement: {body: Konzernbetriebsrat, instrument: KBV-IT-2024, date: "2026-12-14"}
ai_act: law
- id: TRG-HM-TL-DE
system: TalentLens screening and structured interview scoring
usage_mode: Mode 4 Built AI applications
functions: {M2_Evaluation: Level 1 Assisted, M3_Consequence: Level 1 Assisted}
delegation_profile: DLG-HM-REC-01
notice: WIN-HM-TL v1.0 and candidate notice in the application form
contact: named recruiter per vacancy; group HR recruitment
agreement: {body: Konzernbetriebsrat, instrument: KBV-IT-2024 annex, date: "2026-05-20",
pending: selection criteria HR-REC-CRIT-2026-01 under BetrVG section 95}
ai_act: law
- id: TRG-HM-SPS-DE
system: sales-performance score
usage_mode: Mode 4 Built AI applications
functions: {M2_Evaluation: Level 1 Assisted, M3_Consequence: Level 0 Advisory}
delegation_profile: DLG-HM-SPS-01
contact: sales manager of each team; entity HR lead
agreement: {body: Konzernbetriebsrat, status: under review}
ai_act: law
- id: TRG-HM-OSA-DE
system: wellbeing and collaboration analytics, office suite
usage_mode: Mode 0 Ambient AI
status: switched off, feature register entry FTR-HM-CA-01
agreement: {body: Konzernbetriebsrat, status: pending}
- id: TRG-HM-SPS-NL # illustrative extension
system: sales-performance score
usage_mode: Mode 4 Built AI applications
functions: {M2_Evaluation: Level 1 Assisted, M3_Consequence: Level 0 Advisory}
delegation_profile: DLG-HM-SPS-01
contact: sales manager of each team; entity HR lead
agreement: {body: ondernemingsraad, status: consent, date: "2026-05-12"}
contest: CNT-HM records, answer within 15 working days
ai_act: law
- id: TRG-HM-TL-PL # illustrative extension
system: TalentLens screening for service-centre roles
usage_mode: Mode 4 Built AI applications
functions: {M2_Evaluation: Level 1 Assisted, M3_Consequence: Level 1 Assisted}
delegation_profile: DLG-HM-REC-01
notice: WIN-HM-TL v1.0 and candidate notice in the application form
contact: named recruiter per vacancy; service-centre HR
agreement: {body: company trade union organisation and employee council, status: consulted}
ai_act: law
change_classes: {class_1: 15 working days, class_2: 5 working days, class_3: change log}
change_log:
- {month: "2027-01", entry: TRG-HM-CTA-DE, change: notice reissued as v1.1 after the capacity field and MDR-HM-0001, class: 2} # illustrative extension
16_CODE_MND: Mandate manifest MND-HM-CLM-01 version 1.1.0
Chapter 16 showed version 1.0.0 of the manifest under which Jana Petersen directs two Mode 5 agents in the agent-boss pilot HM-AB-PILOT-01. In July 2027, when median approval time for letters fell below 30 seconds for three weeks, she lowered the recovery agent's budget and moved the unassisted samples to the mornings, and recorded both as version 1.1.0. In November AIDR-0686 extended the mandate without other change to 2028-06-30, so that the evaluation can reach its twelve-month point.
# mandates/MND-HM-CLM-01.yaml (Hansa Mutual, illustrative)
id: MND-HM-CLM-01
version: 1.1.0
pilot: HM-AB-PILOT-01
decision_record: AIDR-0652
team: Claims, motor and property, Hamburg
accountable_for_output: Claims team leader, Hamburg (Jana Petersen)
operators: [group AI platform agent operator rota]
principle: People manage agents; agents do not manage people
delegation_profile: DLG-HM-AB-01
team_charter: TCH-HM-CLM-01
chain_record: CHN-HM-CLM-01
model_routing: confidential and above to self-hosted models in hansa-dc-frankfurt
agents:
- role: document-intake
identity: wl-hm-clm-intake
usage_mode: Mode 5 Autonomous production agents
reads: [incoming_claim_documents, claim_file_of_allocated_claim]
actions:
classify_document: Level 2 Supervised
attach_document_to_claim_file: Level 2 Supervised
draft_missing_documents_list: Level 1 Assisted
- role: recovery
identity: wl-hm-clm-recovery
usage_mode: Mode 5 Autonomous production agents
reads: [claim_file_of_allocated_claim, policy_wording, recovery_playbook]
actions:
draft_subrogation_letter: Level 1 Assisted
queue_letter_for_handler_approval: Level 2 Supervised
never:
- send_external_correspondence_without_handler_approval
- change_reserve_or_release_payment
- allocate_or_reassign_claims_to_people
- produce_figures_per_handler
- change_own_mandate_or_containment
- act_at_level_3_or_4
budgets:
documents_per_day: 600
draft_letters_per_day: 40
temporary_limit: {draft_letters_per_day: 25, from: "2027-07", until: "2027-09-01"}
max_minutes_per_task: 10
monthly_cost_eur: 2500
escalate_to_handler:
- conflicting_documents_on_liability
- injury_claim_or_vulnerable_customer
- limitation_deadline_within_30_days
- confidence_below_threshold_in_recovery_playbook
verification:
routine: weekly, team leader, about 2 hours
seeded_cases: two per agent per week, placed by the operator
unassisted_samples: two handlers, five cases each, worked in the mornings # changed in 1.1.0
metric: OQM-HM-CLM-01
triggers: [seeded-case catch below 0.85, rejection rate below 0.02 for four weeks, median letter approval under 30 seconds]
employee_data:
recorded: [approving_handler_id, approval_timestamp, decision]
visible_to: [team leader for case reconstruction only]
reported: team level only, under KBV-IT-2024
prohibited_uses: [per_person_metrics, performance_evaluation, pay_input]
containment_profile: claims-pilot-agents
stop_path: {holder: Claims team leader, deputy: agent operator on call, mechanism: revoke workload identities at the identity provider, target_minutes: 5}
evaluation_plan: EVP-HM-AB-2027-01 # stop rule returns the agents to Level 1 Assisted
review: quarterly, on any model or tool change and after any incident
expires: "2028-06-30"
history:
- {version: 1.0.0, date: "2027-01", record: AIDR-0652, change: first issue; expiry 2027-12-31}
- {version: 1.1.0, date: "2027-07", change: recovery budget 25 letters a day until September; unassisted samples moved to mornings}
- {version: 1.1.0, date: "2027-11", record: AIDR-0686, change: expiry extended to 2028-06-30 without other change}
17_CODE_CHN: Chain record CHN-HM-CLM-01
The chain record describes the three agents through which a claim passes in the pilot team, from allocation to an approved recovery letter, with the owner and degree of each link, the stop path that sits outside the chain and the rule that no figures are joined across links at the level of a person. The fuller version adds what the first months showed: in practice the recovery checkpoint ran at Level 3 Bounded until the May release put the routing reason into the handler's view.
# chains/CHN-HM-CLM-01.yaml (Hansa Mutual, illustrative)
id: CHN-HM-CLM-01
title: Claims workflow chain in the agent-boss pilot team, Hamburg
decision_record: AIDR-0671
chain_owner: head-of-group-claims-operations # named in the role register
links:
- id: claims-triage-agent
mode: Mode 5 Autonomous production agents
mandate: [AIDR-0063, DLG-HM-CTA-01]
owner: head-of-group-claims-operations
functions_over_people: {M1: Level 3 Bounded, M2: Level 1 Assisted, M3: none}
consumes: [claims-intake-events]
- id: document-intake-agent
mode: Mode 5 Autonomous production agents
mandate: [MND-HM-CLM-01, DLG-HM-AB-01]
owner: claims-team-leader-hamburg-pilot # Jana Petersen
functions_over_people: {M1: none, M2: none, M3: none}
consumes: [claims-triage-agent]
- id: recovery-agent
mode: Mode 5 Autonomous production agents
mandate: [MND-HM-CLM-01, DLG-HM-AB-01]
owner: claims-team-leader-hamburg-pilot
functions_over_people: {M1: none, M2: none, M3: none}
consumes: [document-intake-agent]
checkpoint: handler approves every letter before sending
checkpoint_information: routing reason of the triage agent shown in the handler's view # added May 2027
sub_delegation:
max_depth: 0 # no agent in this chain may create another agent
scope_rule: attenuate-only
approval_by_agent: forbidden
stop_path:
mechanism: revoke chain root grant at the group AI gateway policy point
outside_chain: true
holders: [head-of-group-claims-operations, on-call-incident-commander,
claims-team-leader-hamburg-pilot] # team leader: pilot links only
target_time_minutes: 10
fallback: claims return to the manual queue; team leader allocates
drill: SPT-HM-CHN-01, quarterly
figures:
- name: claims allocated and closed per handler
source: claims-triage-agent
visible_to: team leader, individual level, under KBV-IT-2024
- name: handler approval time and rejection rate for agent drafts
source: recovery-agent
visible_to: team level only (OQM-HM-CLM-01)
- name: agent throughput and error rate
source: [document-intake-agent, recovery-agent]
visible_to: team leader; never compared with handler figures
join_rule: no join of figures across links at the level of a person
consequence_boundary: no link holds M3 Consequence at any degree
reconstruction:
trace: one trace id per claim across all links, actor chain in every token
test: 20 sampled letters traced to links, mandates and approvals in 4 hours
observed: # illustrative extension
- {link: recovery-agent, finding: checkpoint ran at Level 3 Bounded; handlers could not see why a claim entered recovery, answered_by: May 2027 release, now: Level 2 Supervised}
- {drill: SPT-HM-CHN-01, result: first quarterly drill stopped the chain within the 10-minute target}
review: on change of any link, and every 6 months
18_CODE_TCH: Team charter TCH-HM-CLM-01
The team charter sets out how people, the agent that directs them and the agents they direct work together in Jana Petersen's team: who does which work, which work is reserved for learning, which figures may be shown and which comparisons are forbidden. Thomas Brandt asked for it to be attached to the pilot's terms in AIDR-0652, so that its separation of figures binds the pilot. The fuller version adds the stop paths and the links to the other records of the team.
# management/teams/TCH-HM-CLM-01.yaml (illustrative)
id: TCH-HM-CLM-01
version: 1.0.0
team: Claims Hamburg, motor and property
team_leader: Jana Petersen
attached_to: AIDR-0652 # terms of HM-AB-PILOT-01
agreements: [KBV-IT-2024]
agreed_with: [Betriebsrat Hamburg headquarters, Konzernbetriebsrat]
effective: 2027-01-01
review_by: 2027-06-30
members:
people: {claims_handlers: 20}
systems:
- {name: claims-triage agent, mode: 5, profile: DLG-HM-CTA-01, function: M1 Direction, level: Level 3 Bounded}
- {name: document-intake agent, mode: 5, mandate: MND-HM-CLM-01, profile: DLG-HM-AB-01, level: Level 2 Supervised}
- {name: recovery agent, mode: 5, mandate: MND-HM-CLM-01, profile: DLG-HM-AB-01, level: Level 2 Supervised}
division_of_work:
people_only:
- claims above EUR 25000 or with personal injury
- disputed liability and customer complaints
- claims flagged as vulnerable customer
agents_supervised: [document intake, subrogation letter drafts]
reserved_learning:
routine_share_unassisted: 0.15 # routine claims handled without agent drafts
complete_cases_per_handler_per_month: 4
rotation_into_complex_claims: quarterly
figures:
agent_operations_report:
audience: [team leader, pilot owner, agent operator]
measures: [acceptance rate, return rate by reason, mandate breaches, cost]
people:
published: team level only
individual: team leader only, under KBV-IT-2024
forbidden:
- comparison of handler output with agent output in any report
- agent throughput as target, norm or reference for handlers
- human-agent ratio as staffing target without works council agreement
handovers:
transfer: handler acceptance recorded as AgentOutputAccepted in the claim file
record_fields: [handler, time, agent output version, changes]
review_allowance_minutes: {intake_file: 4, subrogation_letter: 6}
return: allowed with reason; counted against agent quality only
care:
allocation_cap: planned capacity including review allowances
capacity_field: entered by the team leader without reasons # after MDR-HM-0001
workload_review: monthly at team level; in each development conversation
reassignment_request: any handler may ask; team leader decides within 1 working day
voice:
team_review: monthly, agent errors and catches in aggregate, no individual scores
concern_channel: works council or pilot owner, outside the line
stop_paths: # illustrative extension, from MND-HM-CLM-01 and DRF-HM-01
pilot_agents: {holder: team leader, mechanism: revoke workload identities, target_minutes: 5}
allocation_to_people: {holder: agent operator on call, target_minutes: 15, fallback: team-leader queue}
team_manual_allocation: team leader switches the team to manual allocation
management_decisions:
allocation_override: recorded as a Management Decision Record
first_record: MDR-HM-0001
related_records: [CHN-HM-CLM-01, OQM-HM-CLM-01, EVP-HM-AB-2027-01, ROLE-HM-MGR-01]
25_CODE_RVT: Reversibility test RVT-HM-CTA-2027-01
A reversibility test checks that a delegation can still be undone, and freezes further delegation where it cannot. Hansa's first test put one Hamburg team on the team-leader queue for a week. Jana Petersen allocated within the service level; her deputy, two years into the job, needed three times as long, and complex claims gathered on the four most experienced handlers. The record below is the full form of the entry in Chapter 25's register, with the closure that Chapter 30 reports.
# management/reversibility-tests/RVT-HM-CTA-2027-01.yaml (Hansa Mutual, illustrative)
id: RVT-HM-CTA-2027-01
profile: DLG-HM-CTA-01 # version 1.1.0 at the time of the test
function: M1_Direction
owner: role:head-of-group-claims-operations
co_owner: role:chief-hr-officer
scenario: allocation by the agent stopped for one week in one team
form: live exercise, Hamburg motor team on the team-leader queue
run: {from: "2027-03-15", to: "2027-03-19"}
stop_used: technical stop of allocation to people, agent operator on call; claims routing unaffected
participants:
allocators: [claims team leader, deputy team leader]
handlers: one Hamburg team of about 20
representatives: Konzernbetriebsrat informed before the test under KBV-IT-2024 # illustrative extension
acceptance:
- no claim above an authority limit
- first contact within service level
- workload within agreed band
measurements: # aggregated; no figure per handler
claims_above_authority_limit: 0
first_contact_within_service_level: met by the team leader's allocation
allocation_time_deputy_vs_team_leader: 3.0 # ratio
complex_claims_distribution: concentrated on the four most experienced handlers
result: passed_with_conditions
findings:
- the team leader allocated within service level; the deputy needed three times as long
- complex claims concentrated on the four most experienced handlers
- the deputy had spent almost all of two years being allocated work by the agent
conditions:
- {action: deputy allocates 10 per cent of new claims without the agent's proposal, owner: claims team leader, due: "2027-06-30", started: "2027-04"}
freeze:
scope: no new allocation action class and no extension beyond DE until conditions are met
record: delegation register, Hansa Mutual
closure:
conditions_met: "2027-06-30"
new_action_classes: freeze lifted
extension_beyond_DE: still held; each entity needs its own gate and the European Works Council where transnational
records: # illustrative extension
decisions: overrides during the test recorded as MDR-HM records
report_to: [Konzernbetriebsrat, executive board with the delegation register]
anti_pattern: AP-09 junior work vanished, signal amber after remedy # illustrative extension
next_test: "2028-03"
21_CODE_AIA: The AI Act control set
The articles of the AI Act become useful when each is a control with an owner, a trigger and evidence. Hansa Mutual applies one baseline of these seven controls to management systems in all seven markets, and records in a market overlay whether a control applies there as law or as group policy. The dates follow the Act as amended by the Digital Omnibus, as Chapter 21 sets them out; the overlay and the dates are added to the chapter's excerpt.
# management/ai-act-controls.yaml (Hansa Mutual group baseline, illustrative)
version: 3
applies_to: high-risk management systems under AI Act Annex III point 4
dates: # illustrative extension
article_5_prohibitions: "2025-02-02"
article_86_explanation: "2026-08-02"
annex_iii_high_risk_obligations: "2027-12-02" # Articles 6, 26, 27 as deferred by Regulation (EU) 2026/1744
controls:
- id: AIA-CLS-01
article: "Article 6(2), Annex III point 4; Article 6(3)"
functions: [M1, M2, M3]
owner: AI governance lead
trigger: [new system, new intended purpose, model or rule change, regulatory change]
evidence: classification AIDR per system and per function
- id: AIA-PRH-01
article: "Article 5(1)(f), Article 5(1)(g)"
functions: [M2, M5]
owner: system owner
trigger: [procurement, every vendor release]
evidence: contract clause, configuration export, negative test of exports and APIs
- id: AIA-OVS-01
article: "Article 26(2), Article 14(4)"
functions: [M1, M2, M3]
owner: line manager of each overseer
evidence: named overseers, training record, written authority to override
- id: AIA-INF-01
article: "Article 26(7), Article 26(11)"
functions: [M5]
owner: HR director or entity HR lead
trigger: before first use in each unit or entity
evidence: representatives' acknowledgement, worker information notice version
- id: AIA-FRA-01
article: "Article 27"
functions: [M1, M2, M3, M5]
owner: system owner
trigger: before first use; on change of any Article 27(1) element
evidence: FRIA record and notification to the market surveillance authority
applies_to_deployers: bodies governed by public law and providers of public services # illustrative extension
- id: AIA-EXP-01
article: "Article 86"
functions: [M3]
owner: named human decider
evidence: Management Decision Record per decision
- id: AIA-MON-01
article: "Article 26(5), Article 26(6)"
functions: [M1, M2, M5]
owner: system owner
evidence: monitoring plan, suspension criteria, log retention justified in the DPIA
market_overlay: # illustrative extension
DE: {status: law, information_body: Konzernbetriebsrat or local Betriebsrat}
NL: {status: law, information_body: ondernemingsraad}
SE: {status: law, information_body: unions under MBL}
PL: {status: law, information_body: company trade union organisation and employee council}
NO: {status: group policy until incorporated into the EEA Agreement, information_body: union representatives}
UK: {status: group policy, information_body: staff forum}
CH: {status: group policy, information_body: employee committee}
not_required_of_hansa: AIA-FRA-01 for its own systems; assessed within the DPIAs
21_CODE_FRIA: Impact assessment extract FRIA-2026-007
Nordvik Region is a body governed by public law, so it completes a fundamental rights impact assessment under Article 27 of the AI Act before ShiftWise goes live in home care. The extract is the home-care section Chapter 21 shows, with the deployer's registration, the links to the risk assessments and the reconciliation of the answer time that AIDR-0631 made, which the assessment takes up at its next revision.
# assessments/FRIA-2026-007.yaml (illustrative excerpt, home-care section)
id: FRIA-2026-007
system: ShiftWise
provider: supplier under tender NR-2025-089
deployer: Nordvik Region
classification: high-risk, Annex III point 4(b); see AIDR-0602
owner: Ingrid Halvorsen, HR director
reviewers: [AI governance lead, data protection officer, chair of the central work-environment committee]
dpia_cross_reference: DPIA for ShiftWise, sections 3 to 5 # Article 27(4) as amended
registration: use registered in the EU database under Article 49(3); provider's registration checked # illustrative extension
process: four-week rosters, daily visit schedules and routes, open-shift offers
period_and_frequency: rosters every four weeks; routes daily; open shifts continuously
affected_groups:
- about 1,100 home-care staff, a high share part-time or hourly
- residents receiving home care, through visit timing
risks:
- id: R1
right: fair and just working conditions, Charter Article 31
harm: visit times too short for the care plan, raising pace and strain
- id: R2
right: non-discrimination, Charter Article 21
harm: preferences of part-time staff weighted below full-time staff
- id: R3
right: data protection, Charter Article 8
harm: behavioural data entering the optimiser through open-shift acceptance
oversight: unit managers approve every roster; may override with a recorded reason (DLG-NR-ROS-01)
measures_if_risks_materialise:
- R1: safety representative may require review of planned visit times
- R2: quarterly comparison of preference fulfilment by contract type
- R3: open-shift offers go to all opted-in staff in a published rotating order; no ordering based on any personal aspect
related_assessments: # illustrative extension
- {id: WRA-NR-HC-01, revision: 1, date: 2027-02-24, covers: R1, planned visit times}
- {id: WRA-NR-HC-01, revision: 2, date: 2027-03-11, covers: R1, minimum travel time and breaks}
complaints: contestation records CNT-NR-*, answered within 10 working days
complaints_at_next_revision: read as AIDR-0631, 10 working days and never later than 14 calendar days # illustrative extension
information_article_26_7: unions informed and negotiation held before go-live (AIDR-0602)
notified_to_market_surveillance_authority: true
scope_note: the hospital-ward section has the same structure # illustrative extension
review: on any change to optimisation objectives or offer rules; at least annually
next_revision_also_covers: [DLG-NR-ROS-01 v1.1.0, home-care waves 2 and 3] # illustrative extension
29_CODE_ROLE: Role charter ROLE-HM-MGR-01
Jana Petersen's role charter has the form of Mikael Strand's ROLE-NR-MGR-01 and adds the agents she directs. It protects 35 per cent of her time for M4 Development and M5 Care, caps the share of her week the agents may take and names what she never delegates. Chapter 29 shows an excerpt; the remaining shares of the time budget below are illustrative and sum to the whole week.
# roles/line-managers/ROLE-HM-MGR-01.yaml (Hansa Mutual, illustrative)
id: ROLE-HM-MGR-01
title: Claims team leader, motor and property, Hamburg
holder: Jana Petersen # about 20 handlers plus pilot agents
version: 1.0.0
effective: 2027-07-01
decision_record: AIDR-0683 # team-leader charter template; selection on evidence of judgement
decision_rights_file: DRF-HM-01
team_charter: TCH-HM-CLM-01
horizon_register: HZN-HM-MGR-01
template_agreed_with: Konzernbetriebsrat, BetrVG sections 94(2) and 95(1), selection-relevant parts
functions:
M1_Direction:
system: {name: claims-triage agent, profile: DLG-HM-CTA-01, degree: L3_Bounded}
decides: [reassign any allocated claim, record MDR-HM-*]
stop_right: {scope: own team, action: switch to manual allocation} # illustrative extension
M2_Evaluation: # illustrative extension
system: {name: throughput figures, degree: L1_Assisted, visible_to: team leader only}
rule: throughput feeds no M3 decision (DRF-HM-01, may_feed empty)
M3_Consequence:
decides_with: HR lead Germany
systems: none
M4_Development: # illustrative extension
decides: [development conversations, rotation into complex claims, deputy's unassisted allocation]
delegated_to_systems: none
M5_Care: # illustrative extension
decides: [capacity field per handler, workload reviews, response to concerns]
with: Betriebsrat where the works agreement requires
agents_directed:
mandate: MND-HM-CLM-01
profile: DLG-HM-AB-01
verification: weekly routine, about 2 hours
stop_right: {mechanism: revoke workload identities, time_to_effect: PT5M}
never_delegated: # illustrative extension
- development conversations and coaching
- decisions on a handler's reduced schedule or health-related capacity
- any input to a consequence decision about a handler
time_budget_per_week:
conducting_agents: 0.08
M1_allocation_oversight_and_reassignment: 0.12 # illustrative extension
M2_review_of_team_figures: 0.06 # illustrative extension
M3_with_HR: 0.04 # illustrative extension
M4_coaching_handlers_on_complex_claims: 0.18
M4_deputy_allocation_practice: 0.05 # illustrative extension
M5_workload_reviews_and_one_to_ones: 0.17
own_casework_and_escalations: 0.15 # illustrative extension
administration_and_reporting: 0.15 # illustrative extension
protected_floor: {M4_plus_M5: 0.35}
agent_share_cap: {conducting_agents_max: 0.10} # illustrative extension
review: {cadence_months: 12, triggers: [degree change, new agent or mandate, change in team size]} # illustrative extension
31_CODE_AP: The anti-pattern checklist
The checklist holds the signals for the twelve anti-patterns of Chapter 31, so that each quarterly review uses the same measures and a finding cannot be argued away in a meeting. Thresholds follow the defaults of Chapters 22 and 26. The fuller version adds the colour rule and the record sources from the chapter's practical guide.
# management/anti-pattern-checklist.yaml (illustrative)
checklist: anti-pattern checklist
version: 1.0.0
review: {cadence: quarterly, with: [works council or unions, data protection officer]}
reporting: {level: team, individual_figures: none, excluded_uses: [M2, M3]}
scope: every delegation register entry and feature register entry, last two quarters # illustrative extension
colours: # illustrative extension
red: a signal meets its condition or cannot be answered from a record
amber: near-miss already remedied
green: otherwise
record_sources: [oversight records, MDRs, contestation records, release notes, dates of information to representatives]
closure: findings closed only when the re-test passes
anti_patterns:
- {id: AP-01, name: delegation nobody recorded, functions: [M1, M2, M3, M4, M5],
signal: system output used in a decision with no DLG entry, red_if: any, remedy: Ch 10 and 25}
- {id: AP-02, name: rubber-stamp approval, functions: [M1, M2, M3],
signal: median time, departures, seeded catch,
red_if: "catch < 0.85 or departures < 0.02 or adverse M3 median < 2 min", remedy: Ch 26}
- {id: AP-03, name: throughput benchmark for people, functions: [M1, M2],
signal: throughput as evaluation norm or allocation weight, red_if: any, remedy: Ch 9 and 18}
- {id: AP-04, name: appeal to nobody, functions: [M3],
signal: contest routed to approver or no time limit, red_if: any, remedy: Ch 27}
- {id: AP-05, name: vendor release changed behaviour, functions: [M1, M2, M3],
signal: release without change class, red_if: any, remedy: Ch 23, 24 and 28}
- {id: AP-06, name: representatives informed after the fact, functions: [M1, M2, M3, M4, M5],
signal: information date after go-live, red_if: any, remedy: Ch 21 and 23}
- {id: AP-07, name: rest rule as soft constraint, functions: [M5, M1],
signal: care rule closable as a flag, red_if: any, remedy: Ch 14 and 26}
- {id: AP-08, name: manager measured against the system, functions: [M2],
signal: override rate in manager appraisal, red_if: any, remedy: Ch 25 and 29}
- {id: AP-09, name: junior work vanished, functions: [M4, M1],
signal: deputy time in reversibility test, red_if: "> 2x team leader", remedy: Ch 19 and 25}
- {id: AP-10, name: Level 4 by accident, functions: [M3, M1],
signal: observed degree above recorded, red_if: "any M3 without named decider", remedy: Ch 4, 17 and 20}
- {id: AP-11, name: explanation nobody can read, functions: [M2, M3],
signal: reasons request unanswered in time limit, red_if: any, remedy: Ch 7 and 27}
- {id: AP-12, name: register never reviewed, functions: [M1, M2, M3, M4, M5],
signal: days since last review, red_if: "> 92", remedy: Ch 25 and 30}
independent_check: readers re-derive three answers from raw records, at least one red and one green
red_finding_record: AI Decision Record with an owner who is not the subject of the finding
32_CODE_PLANNR: The 24-month plan of Nordvik Region
Nordvik's plan, recorded as AIDR-0640, begins with procurement and with oversight before the third home-care wave in the first quarter of 2028. It contains no agent directed by a manager and no new consequence system. The plan is the one Chapter 32 shows; the review and reporting blocks at the end are added from the chapter's practical guide.
# management/plans/ai-in-management-2027-2029.yaml (Nordvik Region, illustrative)
plan: PLAN-NR-MGT-2027
decision_record: AIDR-0640
owner: role:hr-director # Ingrid Halvorsen
co_owner: role:ai-governance-lead
endorsed_by: regional-executive-committee
period: {from: "2027-10-01", to: "2029-09-30"}
constraint: procured systems; supervision capacity in home care
measures:
- id: N1
what: Apply NR-PRQ-MGT-01 at acceptance of the next major ShiftWise release, then as annex to the follow-on tender
period: months-0-24
owner: role:hr-director
representatives: negotiation under MBL 11 with both unions
verify: seeded-breach suite passes; stop drill within 1 hour; export test passes
- id: N2
what: Oversight before wave 3; roster class returns to Level 1 Assisted where seeded catch stays below 0.85 for two periods
period: months-0-6
owner: role:head-of-home-care
depends_on: [AIDR-0630]
verify: OQM-NR-ROS-01 at or above 0.85 in every wave-2 unit
- id: N3
what: Decide whether dashboards keep individual figures; if kept, provider duties in place by 2027-12-02
period: months-0-6
owner: role:hr-director
representatives: negotiation; safety representatives consulted
verify: decision recorded; DLG-NR-HCD-01 revised either way
- id: N4
what: Open-shift offers stay at Level 3 Bounded in the published rotating order, with no ordering based on any personal aspect; DIT-NR-ROS-01 on every release
period: months-0-24
owner: role:hr-director
verify: offer ratio by contract type at or above 0.8
- id: N5
what: Meet RVT-NR-ROS-2027-01 conditions; rerun the test; shift-swap stays frozen until it passes
period: months-6-12
owner: role:unit-manager
verify: RVT in 2028-04 passes without conditions
- id: N6
what: Report the staggered evaluation at 24 months
period: months-18-24
owner: role:hr-director
verify: outcomes in six categories, unit level only, stop rules applied
- id: N7
what: Reopen recruitment screening and agents directed by managers only against their conditions
period: months-18-24
condition: supplier explains its ranking; trained overseers and a Region-held stop path exist
verify: decision recorded either way
excluded: [Level 4 Autonomous anywhere, any M3 Consequence above Level 1 Assisted, ranked open-shift offers, emotion inference]
decisions_for_committee: [fund oversight time of two hours per roster, adopt NR-PRQ-MGT-01 for the tender, decide on individual dashboard figures]
revise_on: [supplier change of control, contest showing a new harm, stop rule in EVP triggered]
review: {cadence: quarterly with the unions and the central work-environment committee, periods: four of six months} # illustrative extension
reporting: {to: regional-executive-committee, frequency: every six months, level: unit and wave, individual_figures: none} # illustrative extension
32_CODE_PLANHM: The 24-month plan of Hansa Mutual
Hansa's plan, recorded as AIDR-0690, begins with the pilot's mandate and with the provider's duties for allocation, and every extension beyond Germany passes the gate of the entity concerned. Measure H1 took its first step in November 2027, when AIDR-0686 extended MND-HM-CLM-01 without other change to 2028-06-30; the status field records that, and the decision to renew or end the mandate falls due by then. As for Nordvik, the review and reporting blocks are added.
# management/plans/ai-in-management-2027-2029.yaml (Hansa Mutual, illustrative)
plan: PLAN-HM-MGT-2027
decision_record: AIDR-0690
owner: role:chief-hr-officer
co_owner: role:chief-risk-officer
endorsed_by: executive-board
reviewed_by: Konzernbetriebsrat
period: {from: "2027-10-01", to: "2029-09-30"}
constraint: co-determination across seven markets
measures:
- id: H1
what: Renew or end MND-HM-CLM-01 by 2028-06-30, the date to which AIDR-0686 extended it, on the twelve-month evaluation; TCH-HM-CLM-01 attached
period: months-0-12
owner: role:claims-team-leader
representatives: KBV-IT-2024 change classes
verify: EVP-HM-AB-2027-01 twelve-month report; no stop rule triggered
status: extended by AIDR-0686 to 2028-06-30 without other change; renewal or end due by then # illustrative extension
- id: H2
what: Provider obligations for claims-triage allocation from 2027-12-02; routing reason in the handler view
period: months-0-6
owner: role:head-of-group-claims-operations
depends_on: [AIDR-0651]
verify: Annex IV file generated; chain checkpoint back at Level 2 Supervised
- id: H3
what: Departure-rate test for the sales score in every market; remove it as a pay input where departures stay below 0.05
period: months-0-12
owner: role:chief-hr-officer
representatives: Konzernbetriebsrat; ondernemingsraad consent in NL
verify: DLG-HM-SPS-01 revised per market; quarterly contest report
- id: H4
what: Hold TalentLens at Level 1 Assisted; seeded catch and blind review each quarter; equality test each release
period: months-0-24
owner: role:group-head-of-recruitment
verify: seeded catch at or above 0.85 for two quarters
- id: H5
what: Extend the pilot to further Hamburg teams with a team charter and an MND-HM-CLM mandate each
period: months-6-18
owner: role:head-of-group-claims-operations
condition: H1 verified; agents stay at Level 2 Supervised
verify: mandate and charter merged per team
- id: H6
what: Lift the DE-only freeze market by market, starting with the Polish service centre
period: months-12-24
owner: role:chief-hr-officer
condition: deputy allocates without the agent within service level; entity gate passed; European Works Council informed
verify: RVT-HM-CTA rerun passes without conditions; register shows the gate and its date
excluded: [Level 4 Autonomous anywhere, any M3 Consequence above Level 1 Assisted, agents directing people, throughput as an M3 input, emotion inference]
decisions_for_executive_board: [accept loss of the sales score as a pay input where decisive, fund deputy allocation time, sequence the markets]
revise_on: [stop rule in EVP-HM-AB-2027-01, oversight figure below floor for two periods, change in UK or Swiss regime]
review: {cadence: quarterly with the Konzernbetriebsrat, european_works_council: informed of transnational measures} # illustrative extension
reporting: {to: [executive board, Konzernbetriebsrat], frequency: every six months, level: team and market, individual_figures: none} # illustrative extension