Assessing a serious failure for refusing to accept or failing to commence a suitable job 001-10100010

• Participation Reports transmitted by Employment Services Providers, automatically:
• create a failure activity with a keyword of TT168
• map to PST
• When a CDP participant provides information that indicates a refusal to accept or failure to commence a suitable job, Services Australia staff are responsible for:
• manually generating the failure, and
• transferring this to PST for investigation

In Process Direct:

• select Customer Summary from the Process Direct Landing page
• enter the customer's CRN, select Go
• select the customer's CRN, select Go
• key BIPCW in the Super Key and press [Enter]
• the Participation Compliance Hub will display

Select the Compliance Investigation button for the event date from the Outstanding Compliance Actions section to:

• launch the Compliance Investigation workflow, and
• display the Key Information page

Links to other pages in the workflow will display in the side menu. These include the Other Related Information page. This page enables CDP participant information to be reviewed while working through the investigation and includes (if appropriate) links to:

• Provider Report
• Job Plan
• Provider Recorded Information
• Online Diary
• Recent non-compliance
• Services Australia Rates Estimator
• Address History
• View ESAt
• Recent activities and exemptions
• Circumstances impacting compliance
• Medical certificates

Use the following outbound contact strategies to establish contact with the CDP participant:

• outbound dialler
• SMS messaging
• outbound phone attempt or
• letter

When outbound contact attempts are unsuccessful, or the CDP participant does not have an available contact method, contact should occur at the next:

• reporting day, or
• incoming CDP participant contact

See Job seeker contacts to discuss non-compliance or circumstances impacting compliance.

The Key Information page:

• displays relevant CDP participant information and details of the failure
• provides a link to 'View Circumstances' to access the Circumstances Impacting Compliance page

A prompt will display to:

• record if an interpreter was used or not
• check and update CDP participant phone and email details

Navigate to the Investigation screen. The Investigation screen will pre-populate with details of the failure date and the reason for the failure.

A prompt will appear to:

• outline the failure under investigation, and
• read the privacy statement to the CDP participant

Access and review the Participation Report (when one exists):

• Record a response to: 'Has the provider discussed the failure with the job seeker?'
• If required, record in free text what excuse the CDP participant gave the provider
• Discuss with the CDP participant their explanation and record any additional information provided in the appropriate free text field
• Consider the reasons given:
• 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 page will allow the screen to be viewed and circumstances updated if required. See Circumstances impacting job seeker compliance

Record the CDP participant's main excuse for the failure (or the reason established as the main reason) on the Investigation screen.

Only the options appropriate to the failure type will display:

• 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 CDP participant has given

Additional information may display depending on the reason chosen by the CDP participant. Additional information may include:

• details of reported income
• medical certificates and exemptions
• address details

For CDP participants who are principal carers, if appropriate:

• use the Rate Estimator to determine financial suitability (see Financial suitability test for suitable work for principal carers), and
• record the following:
• Net fortnightly income excluding employment costs and income for the job
• Net fortnightly income including employment costs and income for the job
• Is the CDP participant (more than $50.00 per fortnight) financially better off if they accept the job?

Consider the reasonable excuse or other guidelines, see:

• Refusing or failing to accept a suitable job offer
• Assessing reasonable excuse for non-compliance with mutual obligation requirements
• Suitable/unsuitable work

Record the most appropriate response to questions as they present.

Is this an acceptable reason that warrants further investigation?

• Yes or Unsure, further investigation is required. Go to Step 8
• No, further investigation is not required. See Table 2

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

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

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 11

All decisions must be evidence based. If further evidence is required to reach a decision, ensure:

• any evidence collected as part of the investigation is specific to the incident, and
• the focus is on the issues to be considered for this decision, under the applicable legislation and policy

When the option:

• 'No - Phone call required to confirm the excuse for failure', or
• 'No - Have requested job seeker provide evidence' is selected, the following will display for entry of information:
• Evidence due date
• Who do you need to contact about the job seeker's excuse
• Summary of evidence provided
• In the Summary of evidence section:
• document the evidence to be returned, and
• set a future date for the return

Save and Exit the screen flow using the 'Evidence required for JSCM failure' option.

If appropriate, the contact trigger will be removed, then re-instated on the Evidence due date + 1.

If evidence is required and a future date has been set for the return, the procedure ends here. Otherwise, see Table 2.

Prior to finalising a serious failure decision, staff below the SO5 level must consult with an SO5.

Consultation with an SO5:

• is mandatory
• is to ensure relevant personal factors that impacted on the CDP participant's capacity to comply have been identified and appropriately assessed
• provides additional assurances for decisions on penalties that have serious consequences

To request a consult, select PST CCA SPST Assess from the Services Australia Workspace transfer menu.

Record the consultation on the Evidence section of the Investigation screen in the Compliance Investigation workflow. Include:

• details of who the consultation was with
• any additional factors considered as part of the consult, or
• when nil additional factors were considered:
• that an SO5 consult occurred, and
• the recommendation was supported

Record a response to the questions as they present on the Decision and Penalty screen. 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 3

Have you identified any significant errors or omissions in the report submitted by the provider?

• Yes, go to Step 5
• No, go to Step 4

Are you satisfied there is a reasonable excuse for the failure?

• Yes, go to Step 5
• No, go to Step 6

Select the appropriate rejection reason from the drop down list.

In the free text area, record:

• an explanation for rejecting the compliance action, and
• further information for the provider to explain the reason for rejection, if appropriate

Note: the Freedom of Information Act 1982 gives CDP participants the right to access any information recorded. Section 202 of the Social Security (Administration) Act 1999, allows Services Australia to provide the information to Employment Services Providers.

The failure decision will automatically display in the 'Decision' section of the Decision and Penalty screen.

Go to Step 10.

When a failure is applied, staff making the decision must be satisfied the decision is correct (as per the Social Security (Administration) Act 1999). This may require further consideration of the main reason for non-compliance. Ensure the correct reason is captured within the Compliance Investigation workflow.

The failure decision will automatically display in the 'Decision' section of the Decision and Penalty screen.

When the penalty is applied:

• the penalty and penalty periods will be automatically calculated
• check the start and end dates (automatically calculated by the Participation Compliance workflow), as part of making a recommendation or decision to apply a serious failure

Note: the Freedom of Information Act 1982 gives CDP participants the right to access any information recorded. Section 202 of the Social Security (Administration) Act 1999, allows Services Australia to provide the information to Employment Services Providers.

For further information, see Manually adjusting non-payment period start and end dates.

Advise the CDP participant of:

• the failure decision
• their review and appeal rights, and
• the waiver provisions

When a CDP participant has committed a serious failure, determine if they meet the criteria for a hardship waiver under Section 42NC SSAA (1999). For more information, see Serious failure hardship provisions.

The following questions will be presented on the Decision screens in the Compliance Investigation workflow to assist in this determination:

• Are you satisfied the job seeker does not have any capacity to attend a waiver re-engagement appointment?
  Note: Compliance Activities no longer occur. A determination must be made on the Job seeker's capacity to attend a waiver re-engagement appointment.
• Will serving the non-payment period cause the customer severe financial hardship?

Section 42NC does not apply if the response to the:

• first question is No, and
• second question is Yes

If section 42NC does not apply, the workflow will automatically select the waiver option. The non-payment period must be waived under the hardship provisions.

Has the CDP participant indicated they want to apply for a formal review of the decision?

• Yes, go to Step 8
• No, go to Step 9

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.

A serious failure period imposed under the Job Seeker Compliance Framework, can be partially or fully waived, if the CDP participant undertakes a Compliance Activity. The serious failure decision maker must discuss this option with the CDP participant at the time a serious failure is applied.

See Waiving a serious failure period.

Complete any outstanding reviews or assessments of existing circumstances impacting compliance. See Circumstances impacting job seeker compliance.