Key Concepts
Learn these eight ideas and every screen in the module makes sense.
1. Case vs Sanction
The Case is the process — the file that moves through reporting, triage, query, decision. The Sanction is the outcome imposed at the end (written warning, suspension without pay, dismissal). The word "disciplinary action" is deliberately not used for either, because it blurs the two.
2. The three-tier response model
Forcing every timesheet lapse through a full case is how discipline modules die. AstraHR has three tiers:
| Tier | Instrument | Opens a case? | Counts toward escalation? | Appealable? |
|---|---|---|---|---|
| 0 | System reminder / nudge | No | No | No |
| 1 | Counselling note | No — a lightweight record | Yes, as proof of prior notice | No — nothing was imposed |
| 2 | Formal case | Yes | Yes | Yes |
A tier-1 counselling note is what other systems miscall a "verbal warning". A verbal warning is a contradiction — to be useful later it must be written down, and once written it is a record. AstraHR names it honestly.
3. The case lifecycle
Every case is always in exactly one state. Moves between states are called transitions, and each transition has a gate — a condition the server checks. If the gate fails you get told exactly why, and nothing changes.
The most important gates, in plain words:
| To reach… | The system demands… |
|---|---|
| Under Review | A named respondent; anonymous reports need a named HR validator |
| Query Issued | Offence classified, at least one allegation, evidence where the offence requires it |
| Response Received | A response on file, or the lapsed deadline minuted with a timestamp (a lapse is never an admission); a verbal response must be verified by the employee |
| Decision | For hearing-mandatory classes: a concluded hearing with quorum, attendance, representation status and minutes |
| Sanction Issued | Every allegation carries a finding; at least one upheld; ladder floors/ceilings respected; overrides justified in writing |
| Closed | No active suspension (auto-lifts), no undetermined appeal, appeal window elapsed or waived |
4. Effective-dated configuration
A case is judged by the configuration in force on its incident date, not today's. If you tighten a policy in March, a January case still runs under January's rules — otherwise every closed case becomes arguable. That is why offences, sanction types and authority rules carry Effective from / Effective to dates, and why the case snapshots its offence class, procedure and recommendation at triage.
5. Occurrences and the sanction ladder
Each offence carries a ladder: the recommended sanction for the 1st, 2nd, 3rd… upheld occurrence. At triage the system counts the respondent's prior upheld, unspent occurrences of the same offence and pre-selects the right rung. Departing from the recommendation requires a written justification, and configured floors/ceilings are enforced. Severity never decreases down a ladder.
Spent records don't count. When a sanction's validity elapses (e.g. a written warning after 12 months), a nightly job marks it spent: still on the trail forever, but excluded from occurrence counting. Closure starts the clock; it does not end the record.
6. Suspension is not a sanction
Precautionary suspension is a neutral measure while a case runs — it may span review, query and hearing, it blocks leave approval, and it auto-lifts the moment the case closes. An SME forgetting to reinstate someone is a real liability; the system makes it impossible.
7. Roles and the authority matrix
Business roles (Line Manager, HR Officer, HR Manager, Managing Director, CEO) carry a seniority order. The authority matrix says, per sanction: who may issue, who must approve, and who hears the appeal — and the appeal authority must sit strictly above the issuer. Two absolutes hold regardless of configuration: the issuer never determines the appeal against their own decision, and dismissal is never reachable without a concluded hearing.
8. The audit trail is the case
Every transition, query, disclosure, finding, sanction, acknowledgement (or refusal), lapse and note is appended to the case's event log with actor, timestamp and reason. There is no code path that edits or deletes an entry. The Case Pack's chronology is this log — which is why it stands up at the NLC.
Glossary
| Term | Meaning |
|---|---|
| Allegation | One specific factual assertion on a case; each carries its own finding |
| Appeal window | Working days after a sanction during which the employee may appeal |
| Case reference | The immutable number (e.g. DC/2026/0007) minted when a case is created |
| Disclosure | Releasing an evidence item to the respondent; timestamped to prove they saw what the decision-maker saw |
| Finding | The adjudication of one allegation: Upheld, Not Upheld, Partially Upheld, Withdrawn, or No Finding |
| Grievance | An employee's complaint to the organisation; rides the same case machinery with no sanction path |
| Lapse | A response deadline passing with no response — minuted with a timestamp, never treated as an admission |
| Occurrence | Which upheld repetition of an offence this case is, for the respondent |
| Quorum | Minimum voting panel members who must be eligible (after conflict exclusions) and present |
| Restricted | Case visibility that excludes even the respondent's line manager |
| Spent | A sanction whose validity has elapsed — on the record, out of the counts |
| Working days | Calendar days minus weekends and the public-holiday calendar; all deadlines use them |