FAQ & Data Rules
Process questions
Can I skip the query for an open-and-shut case? No. The right to be heard is not bypassable — every path to a sanction passes through a query and the chance to respond. "Open-and-shut" cases that skipped the query are how employers lose winnable NLC cases.
The employee refuses to sign anything. Now what? Nothing stops. Acknowledgement confirms receipt, not agreement — and a refusal is itself recorded, which is just as good on the record. The same goes for refusing to acknowledge a counselling note.
The employee resigned mid-case. Do we drop it? Close the case with closure reason Employee resigned. The record — allegations, findings so far, the trail — stays intact, which matters if the matter resurfaces (references, re-employment, NLC).
Can I edit a query/letter after serving it? No. The served text is snapshotted on the case. Template edits affect future letters only.
We made a mistake on a sanction. Can we fix it? Not by editing — records are never edited. The appeal path exists precisely for this: determine an appeal (or invite one) with outcome sanction reduced/increased or finding overturned; the original is superseded or rescinded, and both remain on the trail.
Who can see a restricted case? Not the respondent's line manager, and notifications marked suppress on restricted stay silent. Harassment and financial offences are seeded restricted by default. The respondent always sees their own employee-facing view.
What's the difference between Dismissed and Closed?Dismissed = the case died at review (no case to answer) — it never counts against the employee. Closed = the case ran its course, whatever the outcome.
Does a "Not upheld" case count against the employee later? Never. Occurrence counting and escalation rules count upheld findings only — a dismissed allegation can never escalate anything.
How do occurrences interact with old warnings? Only active (unspent, unrescinded, unsuperseded) sanctions with upheld findings count. A warning that expired last year is spent — on the record, out of the maths.
Probationers? They follow their own procedure template. The system will not silently run the permanent-staff ladder on a probationer.
What if we're too small for panels? A one-member panel — a single hearing officer — is fully supported. The conflict rules still apply to that one person.
Data rules — what the system refuses to do
| You cannot… | Because… |
|---|---|
| Delete a case, allegation, evidence, finding, sanction, appeal or audit entry | The record is the product; a trail with a delete button proves nothing |
| Edit the audit trail | Append-only, no update path exists in the code |
| Reach a sanction with an unadjudicated allegation | No partially adjudicated cases |
| Dismiss without a concluded hearing | Enforced against the sanction, not just the class config |
| Sit the complainant or investigator on a panel | Locked conflict rules |
| Determine an appeal you issued the sanction on | Hard rule, regardless of roles |
| Close over an active suspension | It auto-lifts — nobody stays suspended by oversight |
| Close over an undetermined appeal | The employee's challenge is answered first |
| Charge an offence not in force on the incident date | Effective dating protects closed cases |
Configuration is deactivated, never deleted, once anything references it — historical cases must resolve their config forever.
Retention & privacy
- Discipline data is the most sensitive HR data; visibility defaults to Restricted and every read of an employee's own data on the portal is session-scoped.
- Spent ≠ gone: expired sanctions stay on the trail but stop counting.
- The retention parameter (default 6 years after closure, Act 843-aligned) is the policy input for eventual archival/anonymisation — deletion is never the mechanism.
Migration from the old screens
The pre-2026 "Disciplinary Action" screen and its tables (misconduct, discipline_action, employee_discplinary_action) are retired and removed from the application. Historical rows are handled manually from backup per the migration script docs/migrations/2026-08-24-drop-legacy-disciplinary-tables.sql — back up first if any of it matters. Old records are deliberately not imported as cases: a migrated "case" would imply a procedure (query, hearing) that never happened, which would undermine the very defensibility the module exists to provide.
Glossary shortcut
See the Key Concepts glossary.