Investigating a reconnection failure 001-10070060

For Participation Solutions Team (PST)-skilled Service Officers (WNPPD).

This document outlines the policy and processes associated with investigating and making a decision about a reconnection failure. Participation Solutions Team (PST)-skilled Service Officers with the WNPPD security resource are responsible for the reconnection failure decision making process.

Step	Action
1	Reconnection failure generated A reconnection failure is generated when a Provider Appointment Report (PAR) for an appointment set as a reconnection requirement is accepted by the Services Australia system. All reconnection failures are investigated by the Participation Solutions Team (PST).
2	Accessing the Compliance Investigation workflow Selecting the failure from the Participation Compliance Hub screen will open the Compliance Investigation workflow and display the Key Information screen. Links to other screens in the workflow will display in the side menu. These include the Other Related Information screen, which will enable RAES job seeker information to be reviewed while working through the investigation and includes (if appropriate) links to: Provider Report Job Plan Provider Recorded Information Online Diary Job Seeker Calendar Recent non-compliance Services Australia Rates Estimator Address History View ESAt Recent activities and exemptions Circumstances impacting compliance
3	Establish contact with RAES job seeker Services Australia can contact RAES job seekers using: outbound dialler SMS messaging an outbound phone attempt a letter When outbound contact attempts are unsuccessful or there is no contact information on the record, contact should occur at the next reporting day or the next time the job seeker contacts Services Australia. A contact trigger is attached to the RAES job seeker's record when the reconnection failure is generated. This prevents the RAES job seeker from reporting until contact with the PST regarding the reconnection failure occurs. A reconnection failure cannot be investigated without talking to the RAES job seeker, unless it has already been established prior to RAES job seeker contact that the failure is invalid. See Job seeker contacts to discuss non-compliance or circumstances impacting compliance.
4	Key Information Relevant RAES job seeker information and details of the failure will be presented on the Key Information screen. A 'View Circumstances' link is provided to access the Circumstances Impacting Compliance screen. Note: a PST-skilled Service Officer must consult with a PST-skilled social worker where the job seeker presents with family and domestic violence or has a current Family relationships/Domestic violence circumstance recorded. See Accessing a PST-Skilled social worker. The PST-skilled Service Officer will be prompted to: record if an interpreter was used check and update RAES job seeker's phone and email details
5	Commence the investigation Go to the Investigation screen. The Investigation screen will be pre-populated with details of the failure date and the reason for the failure. The PST-skilled Service Officer will be prompted to outline the failure under investigation and read the privacy statement to the RAES job seeker. Access and review the Provider Attendance Report (PAR). The provider is required to have discussed the failure with the job seeker before submitting the PAR. If appropriate, record in the free text field what excuse the RAES job seeker gave the provider. Discuss with the RAES job seeker their explanation and record any additional information provided in the appropriate free text field. Consider the reasons given and answer the question: 'Does the job seeker's statement suggest ongoing circumstances had a direct and significant impact on the failure?' If the answer is 'Yes' or 'Unsure', a link to the Circumstances Impacting Compliance screen will allow the screen to be viewed and circumstances updated if required. See Circumstances impacting job seeker compliance.
6	Select an appropriate Job Seeker Reason Record the RAES job seeker's main excuse for the failure on the Investigation screen, that is, the reason determined as the main reason for the failure following any necessary clarification with the job seeker. The displayed options will include only options appropriate to the failure type. Choose a category from the drop down list Select a reason from the drop down list for the category selected that best describes the reasons the RAES job seeker has given and/or confirmed by the PST-skilled Service Officer as their main excuse. It is essential the PST-skilled Service Officer is satisfied they have captured the main reason for the failure here Additional information may display depending on the choice of RAES job seeker's reason. Additional information may include: Details of reported income Medical certificates and exemptions Address details
7	Review guidelines Consider the reasonable excuse or other guidelines, see: Non-attendance or inappropriate conduct in a compulsory provider managed appointment Assessing reasonable excuse for non-compliance with mutual obligation requirements Record the most appropriate response to questions as they present. Is this an acceptable reason that warrants further investigation? Note: when certain excuses are selected, the answer to this question will be set to 'No'. Yes or Unsure, further investigation is required. Go to Step 8 No, further investigation is not required. See Table 2
8	Direct and significant impact on the failure Does the excuse indicate it had a direct and significant impact on the failure? Yes or Unsure, further investigation is required. Go to Step 9 No, further investigation is not required. See Table 2
9	Avoidable failure Does the excuse indicate it was within the job seeker's control and they could have avoided the failure? Yes, further investigation is not required. See Table 2 No or Unsure, further investigation is required. Go to Step 10
10	Prior contact If a RAES job seeker is unable to attend a compulsory appointment with their provider they are expected to contact their provider prior to the scheduled appointment time to explain why they are unable to attend. An assessment of prior contact is required as part of the investigation when certain job seeker reasons have not been selected. Review the Provider Report using the link provided then record the most appropriate response to questions as they present. Does the report indicate the job seeker contacted their provider before they were due to attend? Yes, go to Step 11 No, go to Step 12
11	Prior contact made Record the reason the provider did not accept the excuse as documented in the PAR and discuss this with the RAES job seeker. Do you believe the job seeker provided a reasonable excuse when they contacted their provider? Note: answering No to this question will mean this failure will be applied. Please ensure the intention is to apply the failure before selecting No. If further investigation should occur, select Yes or Unsure. Yes or Unsure, further investigation is required. Go to Step 13 No, further investigation is not required. See Table 2
12	Prior contact not made Discuss the RAES job seeker's reasons for not contacting and record their explanation in the Why didn't you contact the provider before you were due to attend? field. Select a category and reason which best describes the RAES job seeker's reason for not making prior contact: Choose a category from the drop down list Select a reason from the drop down list for the category selected Consider the prior contact guidelines, see Assessing reasonable excuse for non-compliance with mutual obligation requirements. Record the most appropriate response to questions as they present. Would it have been possible, and reasonable, to contact the provider before the failure occurred? Note: when certain job seeker excuses are selected, the answer to this question will be set to 'Yes'. Yes, further investigation is not required. See Table 2 No or Unsure, further investigation is required. Go to Step 13
13	Sufficient evidence Does sufficient evidence already exist to confirm the excuse for the failure? Yes, further evidence is not required. See Table 2 No, go to Step 14
14	Further evidence is required PST-skilled Service Officers make evidence based decisions. When further evidence is required to reach a decision, the Service Officer needs to ensure any evidence collected as part of the investigation is specific to the incident, and focus is on the issues to be considered for this decision under the applicable legislation and policy. When the Service Officer is requesting/awaiting further details or evidence to confirm the excuse for the failure, the Evidence Due date field must be completed. When the Service Officer selects the option No - Phone call required to confirm the excuse for failure, the following must be completed: Evidence due date Who do you need to contact about the job seeker's excuse Summary of evidence provided The summary of evidence section may be used to document the evidence to be returned when a future date will be set for the return. When evidence is required and a future date is set for its return, Save and Exit the screen flow using the 'Evidence required for JSCM failure' option. If appropriate, the contact trigger will be removed but will be re-instated on the Evidence due date + 1. Is evidence required and a future date is recorded for the return? Yes, procedure ends here No, see Table 2

Making a decision about a reconnection failure

Table 2

Expand table

Step	Action
1	Determine if failure occurred On the Decision and Penalty page record a response to questions as they present. Note: the response to these questions may be automatically set in certain circumstances. Have you confirmed the requirement is not suitable, it is explicitly precluded by policy or social security law, or they can't be compelled to meet the requirement for another reason? Yes, go to Step 5 No, go to Step 2
2	Errors or omissions Have you identified any significant errors or omissions in the report submitted by the provider? Yes, go to Step 5 No, go to Step 3
3	Reasonable excuse Are you satisfied there is a reasonable excuse for the failure? Yes, go to Step 4 No, go to Step 6
4	Prior notice Are you satisfied prior notice was given or it was not reasonable to do so? Yes, go to Step 5 No, go to Step 6
5	Rejection reason Select the appropriate rejection reason from the dropdown list. Clearly record an explanation for rejecting the compliance action in the free text area provided. Service Officers need to be satisfied this is the correct decision before going any further. This may require Service Officers to reconsider and confirm the main reason for non-compliance has been correctly captured earlier in the workflow. Record further information for the provider to explain the reason for rejection. Note: any information recorded can be obtained by the RAES job seeker under the Freedom of Information Act 1982. The information which can be lawfully provided by Services Australia to Employment Services Providers is covered by Section 202 of the Social Security (Administration) Act 1999. The failure decision will be automatically displayed in the 'Decision' section of the Decision and Penalty screen. Go to Step 8.
6	Failure decision The failure decision will be automatically displayed in the 'Decision' section of the Decision and Penalty screen. When the failure is applied, as the decision maker Service Officers need to be satisfied the decision is correct under the Social Security (Administration) Act 1999. If not satisfied the decision is correct, consider reviewing the reason recorded as the job seeker's main excuse within the Compliance Investigation workflow. Record a summary of the reason why the decision has been made, including any evidence or circumstances that have been considered. Inform the RAES job seeker of the failure decision and their review and appeal rights. Note: any information recorded, can be obtained by the RAES job seeker under the Freedom of Information Act 1982. The information, which can be lawfully provided by Services Australia is covered by Section 202 of the Social Security (Administration) Act 1999. Record a response to: Have you verbally notified the job seeker of the failure decision and appeal rights? Have they indicated they intend to immediately appeal the decision? Note: where the decision and/or appeal rights are unable to be verbally advised, PST-skilled Service Officers should finalise the decision in the workflow. Finalising the decision will issue a letter to the job seeker advising of the adverse decision and appeal rights. Does the RAES job seeker want to apply for a formal review of the decision? Yes, go to Step 7 No, go to Step 8
7	RAES job seeker wants to apply for a formal review of the decision The following message will display: 'The job seeker has requested a review of the decision to apply the failure. Ensure appropriate action is taken to record the request for the review.' See Non-compliance with compulsory requirements - review and appeals.
8	Existing circumstances impacting compliance require review to confirm they are up to date The PST-skilled Service Officer will be required to complete outstanding reviews or assessments of existing circumstances impacting compliance. See Circumstances impacting job seeker compliance.
10	Comprehensive Compliance Assessment (CCA) will be generated due to the application of the failure When the following message presents: 'The application of this failure will result in the generation of an automatic CCA. Based on the CCA guidelines in Operational Blueprint, does the CCA need to be generated immediately?', a response must be selected from either: Yes - generate CCA immediately No - system should generate CCA overnight If a CCA is generated immediately, it will be displayed on the Participation Compliance Hub screen. For more information, see Generating and preparing for a Comprehensive Compliance Assessment (CCA).

Operational Information

Investigating a reconnection failure 001-10070060

On this page:

Investigating the facts in a reconnection failure

Making a decision about a reconnection failure