Manage and plan to resolve a matter - stage three

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 the final stage, following determination of the issue type and seriousness of a matter, consideration should be given to any actions that need to occur immediately to mitigate any risk and resolve the matter in a timely way.

These steps may include:

Immediate actions
Notify Do any internal escalations or notifications need to occur?
Is there any requirement to notify an external agency eg QPS, CCC or registration body?
Safety and wellbeing Was this incident critical in that it caused significant harm to another person?
If so, does a debrief need to occur with those involved?
Does anyone require immediate support or a referral to the Employee Assistance Program?
Is there any risk to the employee remaining in their role or in the workplace whilst the matter is worked through?
If yes, can the risk be managed by placing the employee in another role or area of the business?


Does the employee's access to the work facility and/or IT services need to be reviewed?
Does any evidence need to be secured, for example CCTV footage, timesheets, IT logins, incident report?
Other Are there any other risk mitigation steps that need to occur?

Once any immediate actions have occurred, planning should occur for the resolution of the matter in a timely manner.

Consideration should be given to the following aspects when planning to resolve the matter:

Case management and planning
History Is the employee on probation?
Is there a record of similar issues being raised with employees in the past?
Support Is the manager aware of any health matters or personal concerns that may be impacting on the employee?
If yes, have any reasonable adjustments been applied or supports put in place to assist the employee?
Communicate Does an initial discussion need to occur regarding the allegation/s, timeframes and expected behaviour standards whilst the matter is being worked through?
Has an appropriate person been identified to keep in regular contact with the employee whilst the matter is being worked through?
has an appropriate person been identified to provide regular updates to any complainant for the matter?
Has it been identified how a response to the matter will be sought from the employee?
Evidence Are there any gaps in the information on hand to support the matter?
If yes, has the most appropriate way to obtain this information been identified?
Outcome Is it likely that the matter can be resolved through local management action?
Should a performance improvement plan be considered in matters involving inadequate performance?
Are there other supports that can be put in place to correct performance?
Should an investigator be appointed for matters categorised as a 3(a) or 3(b)?
Is it likely that if the allegation/s are proved, the employee will be liable for discipline?
What is the likely timeframe for resolution of the matter to occur?
Delegation Who is the decision maker for this matter?
Has the decision maker considered whether there are any conflicts of interest?
Have conflicts of interest (or the absence thereof) been documented?
Does the proposed decision maker have the appropriate delegation?
Reporting Report on all matters in categories 2, 3(a) and 3(b) on your agency's quarterly CaPE report. Further information on how to compile your report can be found on the Conduct and Performance data page.

More information