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Unemployment due to a voluntary act or misconduct 001-10060000




This document outlines the policy and procedures that apply when a job seeker voluntarily stops suitable employment without reasonable excuse or becomes unemployed due to misconduct as a worker.

Identifying and generating a compliance action

On this page:

Identifying voluntary unemployment or dismissal due to misconduct

Generating a job seeker unemployment compliance action

Identifying voluntary unemployment or dismissal due to misconduct


Table 1

Expand table

Step

Action

1

Check reasons for unemployment

If a job seeker receiving or claiming a participation payment becomes unemployed, the reasons for separation from employment must be identified. This information may be provided through

  • an Employment Separation Certificate (SU1)
  • a verbal SU1 from the employer
  • Single Touch Payroll (STP) information on the STP Employer Wage Items (EMGI) screen in Process Direct
  • the Third Party Information Summary (TPIS) screen in Customer First
  • the job seeker's statement at new claim (additional unemployment details will be required before compliance generation, see: Employment Separation Certificate (SU001), or
  • formal termination advice (that is, a letter) from the employer

If the job seeker and employer's statements show unemployment was not voluntary and not due to misconduct or ill health/medical condition, do not generate a compliance investigation.

If the job seeker and employer statements:

  • differ, or it is unclear if the unemployment was voluntary or due to misconduct, go to Step 2
  • both support that unemployment was voluntary or due to misconduct, go to Step 3
  • both show unemployment was not voluntary or due to misconduct, do not generate a failure. Procedure ends here

2

Clarify reasons for unemployment

Further contact with an employer is needed if:

  • the employer has provided additional information or free text that contradicts the reason for separation selected on the SU1
  • 'unsatisfactory work performance' is recorded but no further explanation as to what this means, and the job seekers statement does not show the cessation of employment has occurred because of misconduct
  • 'ill health' is recorded however no additional information is included to establish if the job seekers ill health resulted in the:
    • work no longer being suitable, or
    • job seeker failing to attend/abandoning work because of ill health
  • 'other' reason is recorded, however the SU1 does not include adequate information to establish the reason for separation, including where the reason indicates cessation of employment has occurred as the result of a medical condition or ill health
  • the employer did not indicate a reason for separation

If contact with the employer is successful, or is not needed:

  • Annotate the Progress of Claim DOC, where needed, with any more details collected that clarifies the reasons for unemployment
    • If the employer has confirmed the reason for separation was not a voluntary act or due to misconduct, a compliance investigation does not need to be generated. The decision to not generate a compliance event should be recorded on the Progress of Claim DOC. Procedure ends here
    • If unemployment was due to a voluntary action or misconduct, tell the employer that we may need to contact again for more information. Confirm with the employer the best person for this contact. Go to Step 3

If contact with the employer is needed but was not successful:

A compliance investigation may be needed.

Annotate the Progress of Claim DOC, where needed, with the job seeker's statement outlining their reasons for leaving work. Include:

  • any request for additional information the job seeker has been asked to provide, and
  • the due date

For job seekers:

  • claiming a participation payment, go to Step 4
  • currently receiving a participation payment, see Table 2

3

Reason for unemployment due to voluntary act or misconduct

If the job seeker is:

  • claiming a participation payment, go to Step 4
  • currently receiving a participation payment, see Table 2

4

Check if new claim will be rejected

Consider the information provided by the job seeker in the claim and if there are any other reasons why the job seeker will not be eligible for payment.

Based on information provided by the job seeker, will the new claim be rejected?

5

New claim will be rejected

For a compliance action to be applied, a participation payment must be payable before it can be affected by a non-payment or preclusion period. If the claim for payment does not meet eligibility criteria, a compliance investigation does not need to be generated.

Record a Display on Access (DOA) DOC to advise that if the claim had not been rejected, compliance investigation would have been required. Include in the DOC:

  • date of unemployment
  • date the SU1 was scanned (where applicable)
  • if unemployment stopped because of:
    • voluntary unemployment, or
    • unemployment due to misconduct as a worker
  • if the job seeker reclaims payment before the end of any potential penalty period, consider generating compliance investigation before any reclaim is finalised
  • any other relevant details

This DOA DOC must have an expiry date equal to the expected end of the potential penalty period.

Procedure ends here.

6

Check if the potential penalty period has been self-served

Job seekers have fully self-served a potential penalty period if the end date of the potential penalty period is before the claim start date. This will depend on the job seeker compliance system the job seeker is managed under.

The potential penalty period will be fully self-served for a job seeker who is managed:

  • under the Targeted Compliance Framework, if the date of unemployment is more than 4 weeks before the potential claim start date, or
  • under the Job Seeker Compliance Framework, if the date of unemployment is more than 8 weeks before the potential claim start date

Has the job seeker fully self-served the potential penalty period?

  • Yes:
    • do not generate a compliance investigation
    • annotate the Progress of Claim DOC, with the reasons why a compliance investigation is not being generated, and
    • continue with normal claim processing
    • procedure ends here
  • No, go to Step 7

7

Check for waiting periods that may apply

Identify other waiting periods or preclusion periods that will extend beyond the potential penalty period end date, including:

Do not undertake any MALEP assessments. The Department of Social Services (DSS) has paused all Moving to an Area of Lower Employment Prospects (MALEP) assessments. See Moving to an Area of Lower Employment Prospects (MALEP) employment related exclusion period.

Will the job seeker serve a waiting period that extends beyond the potential penalty period end date?

8

Job seeker needs to serve another continuous waiting period that will end after the potential penalty period

For job seekers not currently receiving a participation payment, compliance action is not to be generated if concurrent waiting periods will extend beyond the potential penalty period end date.

Staff must:

  • annotate the Progress of Claim DOC with the reason for not generating compliance action, and
  • record a Display on Access (DOA) DOC. Add:
    • why compliance action was not generated
    • if any waiting periods are reassessed to end before the end of any potential penalty period. Consider generating compliance action before any payment is issued
    • an expiry date equal to the expected end of concurrent preclusion period(s)

Compliance action must be generated if a waiting period review results in payment starting before the end of a potential penalty period.

Continue with normal processing. Procedure ends here.


Generating a job seeker unemployment compliance action


Table 2

Expand table

Step

Action

1

Job seekers receiving a participation payment or submitting a new claim for a participation payment

When a job seeker who claims for, or is receiving a participation payment stops suitable work, staff must explore the reasons why. If the job seeker left suitable work because of a voluntary act, misconduct or due to ill health, a compliance action must be generated.

A compliance action to investigate the reasons why the job seeker left suitable work can only be generated when evidence suggests they left suitable work:

  • due to a voluntary act, or
  • misconduct

Has the job seeker submitted a new claim for a participation payment?

2

Check if a compliance action has previously been generated for the same incident - new claim

Before generating an Unemployment Failure or Unemployment Non-Payment Period (UNPP) failure at new claim, staff must review the job seeker's record to make sure the compliance action has not been generated for the same incident.

To determine this, staff must check the Participation Compliance Hub in Process Direct.

In Process Direct, for job seeker who submit an online claim or where staff have completed the Assisted Customer Claim (ACC) workflow:

  • once in the claim, the Transaction Summary (TS) screen will show
  • go to the Participation Compliance Hub (BIPCW) screen

Does the Participation Compliance Hub show an unemployment related compliance action with a compliance status of Investigation for the same incident?

Yes, do not generate another compliance action for investigation.

No:

  • select Back to return to the TS screen
  • a compliance action will need to be generated, go to Step 4

3

Check if a compliance action has previously been generated for the same incident – current job seeker

Before generating an Unemployment Failure or Unemployment Non-Payment Period (UNPP) failure for a job seeker current on payment, staff must review the job seeker's record to make sure the compliance action has not been generated for the same incident.

To determine this, staff must check the Participation Compliance Hub in Process Direct.

In Process Direct:

  • select Customer Summary from the Process Direct Landing page
  • key the job seeker's CRN, select Go
  • select the job seeker's CRN from the search results
  • go to the Participation Compliance Hub (BIPCW) screen

If there is an outstanding compliance action already created for the same incident, a new compliance action must not be generated.

Is there an outstanding compliance action for the same incident?

4

Generating a compliance action at new claim

Before generating a compliance action, make sure all relevant evidence (for example, SU1) is scanned onto the job seekers record, using the appropriate classification.

On the Transaction Summary (TS) screen in Process Direct, select https://ourblueprint.internal.dept.local/content/images/process_direct_small/more options.png|More Options icon > Generate UNPP to launch the Generate Compliance Action workflow

Within the workflow, update the following fields:

  • What payment type does this compliance action relate to? Key the participation payment the job seeker is claiming
  • What is the event date of this compliance action? (dd/mm/yyyy) This is the day after the job seeker last worked (date of unemployment). See the Resources page for common scenarios to determine the date of unemployment
  • What is the nature of the compliance action? Select EPR - Employment Related
  • What is the reason for this compliance action? Select the appropriate reason from:
    • Dismissed from suitable job due to misconduct (including when a job seeker abandons work due to ill health)
    • Left suitable job voluntarily (including when a job seeker resigns from work due to ill health)
  • Employer's name: as per separation details
  • Contact name: as per separation details
  • Contact details: as per separation details
  • Has an Employment Separation Certificate (SU1 received verbally or in writing) or Single Touch Payroll data been received in relation to the job seeker's unemployment? Select Yes or No. The following will show depending on the answer selected:
    • Yes - Record the reason/s selected on the SU1 or Single Touch Payroll data will show. Select the appropriate option/s
    • No - Information to support this compliance action will show. Record the details of the information used to generate the compliance action
  • Is there additional information on the SU1? Select Yes or No (This question will only present if the answer was Yes to the earlier question.) The following will show depending on the answer selected:
    • Yes - Provide details of the failure, including additional information provided on the SU1 will show. Record any further details of the separation
    • No - Information to support this compliance action will show. Record any further details of separation
  • You are about to generate a compliance action activity. Are these details correct? Select Yes or No
  • Do you want to send a notification asking the job seeker to contact Services Australia? Select Yes
  • Select Submit to save all information
  • Does E488PB - Provider not known/Provider not linked error when generating failure at new claim show?
    • Yes, go to Step 8
    • No, continue with generating compliance action
  • Resolve any warnings or errors on the SAP Warnings and Errors (SWE) screen, select Assess
  • The Entitlements (ELD) screen will show. Check the outcome is correct and select Finish
  • The Finalise screen will present, include any relevant notes in the Free text field, select Finalise
    • A notification will show to advise a Change of Circumstances 'CoC Successfully finalised for CRN'. Select OK to return to the Process Direct Form List
    • If appropriate, annotate the Progress of Claim DOC to advise a compliance action has been generated

If the compliance action is generated because of a new claim, a UNPPJSK keyword is automatically added to the claim activity. The new claim activity cannot be finalised until the compliance action has been completed.

Note: failure to correctly finalise the Generate Compliance Investigation workflow will result in the compliance activity remaining at Provisional status instead of the correct Investigation status. If this occurs, staff may be allocated work items ZCOC_GCA and ZCOC_GCA_CDP to review and complete the provisional compliance actions. For more information, see the Resources page for a link to the Process Direct Support page.

When the compliance action is generated, if the Job Seeker is:

5

Generate a compliance action for a current job seeker

For job seekers receiving a participation payment, compliance action can only be generated in Process Direct, and are generated for recipients of the following participation payments:

  • JobSeeker Payment (JSP)
  • Youth Allowance (YA) (job seeker)
  • Parenting Payment (PP) (with mutual obligation requirements)
  • Special Benefit (SpB) (nominated visa holder)

Select Generate Compliance Action on the Participation Compliance Hub to launch the workflow.

Failure to complete the full process will result in an incorrectly generated activity.

Within the workflow, update the following fields:

  • What payment type does this compliance action relate to? Key the participation payment the job seeker is receiving
  • What is the event date of this compliance action? (dd/mm/yyyy) This is the day after the job seeker last worked (date of unemployment). See the Resources page for common scenarios to determine the date of unemployment
  • What is the nature of the compliance action? Select EPR - Employment Related
  • What is the reason for this compliance action? Select the appropriate reason from:
    • Dismissed from suitable job due to misconduct (including when a job seeker abandons work due to ill health)
    • Left suitable job voluntarily (including when a job seeker resigns from work due to ill health)
  • Employer's name: as per separation details
  • Contact name: as per separation details
  • Contact details: as per separation details
  • Has an Employment Separation Certificate (SU1 received verbally or in writing) or Single Touch Payroll data been received in relation to the job seeker's unemployment? Select Yes or No. The following will show depending on the answer selected:
    • Yes - Record the reason/s selected on the SU1 or Single Touch Payroll data will show. Select the appropriate option/s
    • No - Information to support this compliance action will show. Record the details of the information used to generate the compliance action
  • Is there additional information on the SU1? Select Yes or No. (This question will only present if the answer was Yes to the previous question.) The following will show depending on the answer selected:
    • Yes - Provide details of the failure, including additional information on the SU1 will show. Record any further details of the separation
    • No - Information to support this compliance action will show. Record any further details of separation
  • You are about to generate a compliance action activity. Are these details correct? Select Yes or No
  • Do you want to send a notification asking the job seeker to contact Services Australia? Select Yes
  • Select Submit to save all information, the SAP Warnings and Errors (SWE) screen will show:
    • Resolve any warnings or errors on the SWE screen, select Assess
    • The Entitlements (ELD) screen will show. Check the outcome is correct and select Finish
    • Finalise modal will present, include any relevant notes in the Free text field, select Finalise
    • COC finalised will present, select OK to confirm the successful generation of the compliance action

Note: failure to correctly finalise the Generate Compliance Investigation workflow will result in the compliance activity remaining at Provisional status instead of the correct Investigation status. If this occurs, staff may be allocated work items ZCOC_GCA and ZCOC_GCA_CDP to review and complete the provisional compliance actions. For more information, see the Resources page for a link to the Process Direct Support page.

Is the job seeker on the phone or in the service centre?

6

Job seeker is not present when the compliance action is generated

The compliance or new claim activity (if appropriate) will be allocated to an appropriately skilled Service Officer to action via Workload Manager if the:

  • job seeker is not on the phone or in the service centre at the time the compliance action is generated, or
  • Service Officer does not have WNPPD or UNPP security resources

Confirm the failure has been correctly generated and annotate the Progress of Claim DOC to record the compliance action has been generated.

Note: failure to correctly finalise the Generate Compliance Investigation workflow will result in the compliance activity remaining at Provisional status instead of the correct Investigation status. If this occurs, staff may be allocated work items ZCOC_GCA and ZCOC_GCA_CDP to review and complete the provisional compliance actions. For more information, see the Resources page for a link to the Process Direct Support page.

Procedure ends here.

7

Job seeker is on the phone or is present when the compliance action is generated

If the Service Officer generating the compliance action:

If the job seeker is in the service centre and/or unable to call from their own phone, help them contact the PST using an appropriate phone in the service centre.

If the job seeker is unable to wait to speak with the PST, tell the job seeker this may result in a delay in their payment or claim processing. Provide the job seeker with the PST number and ask them to contact as soon as possible.

If appropriate, annotate the Progress of Claim DOC detailing the job seeker was unable to be transferred to the PST and was advised to call back as soon as possible.

The compliance activity will be allocated to PST-skilled staff to action via Workload Manager.

Procedure ends here.

8

E488PB - Provider not known/Provider not linked error when generating failure at new claim

An error 'E488PB - Provider not known/Provider not linked' may occur in Process Direct when attempting to generate a failure as part of the new claim process.

This error may occur when the job seeker has:

  • not been referred to a provider, or
  • been referred to a provider but there is a delay in the system processing the referral

This error affects failures generated when a job seeker is claiming:

  • JobSeeker Payment (JSP)
  • Youth Allowance (YA) (job seeker)
  • Special Benefit (SpB) - Nominated Visa Holders, and
  • Parenting Payment Single (PPS) with compulsory requirements

Before attempting to generate the failure, confirm correct action has been taken to refer the job seeker to a provider, see Participation Interview for JobSeeker Payment (JSP) and Youth Allowance (YA) (other).

If the appropriate action has been taken and the error is stopping generation of the failure, the claim should be assessed without investigating the failure.

Staff must:

  • annotate the Progress of Claim DOC advising E488PB error is stopping failure generation
  • continue processing the new claim (if suitably skilled)
  • make sure the new claim is 'in process' to be allocated to a suitably skilled Service Officer to action via Workload Management

Do not hold claims where this error shows.

Procedure ends here.