Initial review of the matter - stage one

To support agencies apply the CaPE Case Categorisation Framework, a three stage approach to assess and manage conduct and performance matters has been developed. The approach supports the proactive and timely resolution of matters.

In stage one, a manager, human resources or ethical standards area in an agency receives information about a conduct or performance matter, to conduct an initial review to determine the details of the matter, the issue type and whether the matter should be categorised under the CaPE reporting framework.

A comprehensive intake process that includes all relevant information to hand at the time the matter is referred will ensure that all available information is considered and will allow for planning to occur about how to manage the matter to finalisation, within benchmark timeframes.

During the initial review of the matter, the following aspects should be considered by the assessor:

Intake considerations  
Issue The specifics of what the matter is actually about, or the high level descriptor of the concern/s
Behaviour Does the behaviour relate to an employee’s conduct or their performance? Does the employee know what is expected of them?
Breach What is the breach of policy, procedure or accepted standards of behaviour?
Evidence What information is available to support the matter at the time it is raised, consider any gaps in the information that may exist.
Referral Whether the matter, if proved, would constitute corrupt conduct.
Issue type Consider the issue type that most closely aligns to the circumstances of the matter.

At any point during the initial review or ongoing management of the matter, should a reasonable suspicion be formed that if proven, the allegations may constitute corrupt conduct, and the matter must be referred to the Crime and Corruption Commission (CCC). Each agency has a designated CCC Referral Officer who is responsible for this function and can provide advice about the management of corrupt conduct. Matters involving corrupt conduct are not reportable in an agency’s CaPE report unless the employee has been suspended from duty.

1. Determine the issue type

This issue type register below provides a descriptor for each issue type. To select the most appropriate issue type, consider the descriptor in conjunction with the specifics of the matter.

To support local management of the matter, the assessor may deem it necessary to assign multiple issue types. However, for CaPE reporting purposes the single most appropriate issue type must be assigned to the matter i.e. one issue type.

2. Issue type register

Determining the appropriate issue type is dependent upon the specific circumstances of each matter, which should be assessed in its own context, with regard for the allegation/s and information available at the time the matter is raised.

To select the most appropriate issue type, consider the descriptor in conjunction with the specifics of the matter. 

Issue type Descriptor
Assault/excessive force Can involve matters defined as assault in section 245 of the Criminal Code Act 1899, or use of excessive force with or without a weapon. Can also include threats of assault or excessive force.
Attendance/leave Matters involving unauthorised absence from the workplace or those where a pattern of unscheduled absence has been noted.
Breach of scope of practice Includes matters where a health practitioner may have undertaken a task outside of their education, registration conditions or departmental policies.
Bullying/harassment (not sexual) Repeated unreasonable behaviour towards an employee or group of employees that creates a risk to the health and safety of the employee/s.
This does not include reasonable management action or an employee’s perception of reasonable management action being taken against them.
Charge/conviction (civil) Information obtained that an employee has breached a civil law.
Charge/conviction (criminal) Information obtained that an employee has been charged or convicted with an offence under the Criminal Code Act 1899  or other relevant legislation.
Conduct in a private capacity Inappropriate or improper conduct in a private capacity that reflects seriously and adversely on the Queensland Public Service.
Conflict of interest The private interests of an employee interfere, or appear to interfere with the employee’s performance of duties, and the employee has not declared or managed the conflict appropriately.
Discrimination Treatment of a person or a group of people less favourably than others because they have a particular characteristic as outlined in section 7 of the Anti-Discrimination Act 1991. Discrimination can be direct or indirect.
Drug/alcohol issues Can involve possession or theft from the workplace of an illicit or prohibited substance or related paraphernalia. It can also involve matters where an employee presents for work whilst impaired by alcohol or drug use
Failure to provide adequate medical treatment Care or treatment provided by the practitioner is at a lesser standard than what may reasonably be expected of the practitioner according to relevant standards, codes of practice, and/or by the public or the practitioner’s peers. Can also relate to circumstances where an employee responsible for the care or welfare of others does not seek or provide medical assistance where required.
Failure to show courtesy and respect Behaviours demonstrated towards another in the course of duty that contravene the standards contained in the Code of Conduct.
Financial impropriety/fraud Can include matters involving the fraudulent diversion of public funds (including the fabrication of information or dishonesty in claiming employee entitlements), theft of public funds or unauthorised use of public funds (including government resources such as work time, equipment or facilities). Can also include matters involving a dishonest attempt to obtain a benefit or entitlement. 
Inappropriate conduct (general) A general behaviour that is inappropriate that may not contravene the Code of Conduct but may still give rise to corrective actions occurring.
Inappropriate conduct (sexual) Conduct or unwelcome attention of a sexual nature that makes a person feel offended, humiliated or intimidated. Includes uninvited physical intimacy, uninvited sexual propositions and remarks with sexual connotations.
Misuse of resources Matters included in this category can involve unauthorised or inappropriate use of physical, intellectual, service or Information Technology based public resources, but does not include financial impropriety. 
Non-compliance (direction) A deviation occurring from a lawful and reasonable instruction or direction issued to an employee in the course of their duties. 
Non-compliance (policy/legislation) A deviation from an agency’s or a profession’s standards, policies or legislation relevant to the carrying out of the employee’s duties.
Non-disclosure of relevant information The deliberate withholding of information relevant to an employee’s employment or the carrying out of their duties.
Performance deficiencies Can include performance matters that are being informally dealt with through feedback to the employee, matters that are being managed through a performance improvement plan (PIP) or that are being managed through a discipline process if a PIP is unsuccessful.  This type of issue includes deficiencies resulting from a lack of knowledge, competence or appropriate care or diligence but do not include deliberate acts or omissions in duty.
Unauthorised access/disclosure of confidential information

Can involve accessing or disclosing official information without a legitimate reason, unintentionally disclosing official information, falsifying information or records, acquiring or retaining information or records illegally, or inadequately safeguarding information.

Note - issues involving unauthorised access to information or departmental databases will likely involve a breach of the criminal code and require referral to the QPS and/or the CCC.

Other Provide a detailed summary.

3. More information