Completing a Comprehensive Compliance Assessment (CCA) 001-18030213

Access the Comprehensive Compliance Assessment (CCA) workflow by selecting the event date of the outstanding CCA activity from the Compliance Investigation workflow screen.

Using the navigation menu on the left hand column of the Compliance Investigation workflow, review:

• relevant information contained on the Review Record screen, including the validity of the CCA
• information recorded by the Participation Solutions Team (PST)-skilled Service Officer as part of Generating and preparing for Comprehensive Compliance Assessment on the CCA Details screen

See the Resources page for Using an Interpreter during a CCA.

Ensure the CDP job seeker understands the purpose of the CCA:

• On the CCA Commencement screen, read the full privacy statement to the CDP job seeker and record completion
• Discuss potential outcomes of the CCA, including that the CCA will be used as part of determining whether a serious failure has occurred
• Explain which information will be shared with the provider and why

Confirm attendance at the CCA on the CCA Commencement screen. This ensures that all outstanding re-engagement requirements are updated in the system.

Select Continue to move to the next screen in the workflow.

A CCA Specialist who is not a social worker must consult with a PST-skilled social worker where the job seeker presents with family and domestic violence, or has a current Family/Domestic violence circumstance recorded. See Accessing a PST-skilled social worker.

Explore the issues affecting a CDP job seeker's ability to meet their requirements. This may include:

• exploring circumstances impacting their ability to comply (such as suspected mental health issues that may not have been previously disclosed or fully assessed)
• contacting other third parties, such as
• CDP Provider
• PST-skilled social worker
• Indigenous Service Officer (ISO)
• Multicultural Services Officer (MSO)
• Service Officer (SO5)
• Health Professional Advisory Unit (HPAU)
• Community Engagement Officer (CEO5)
• other external third parties
• considering and recommending any new interventions based on any new job seeker circumstances identified as contributing to the CDP job seeker's non-compliance

The CCA Specialist is responsible for recording any identified circumstances impacting compliance and associated interventions on the Circumstances Impacting Compliance screen.

For more information about recording and reviewing circumstances affecting compliance for job seekers, see Circumstances impacting job seeker compliance.

Where an intervention has previously been recorded, the CCA Specialist will be asked to review the Historical Interventions table and the Active Intervention table before adding an intervention.

A new intervention may be recorded when a circumstance impacting compliance was added during the CCA.

• To determine who will be undertaking the intervention with the CDP job seeker, select:
• Services Australia Intervention, or
• Provider Intervention
• Select Intervention Category from the drop down menu
• Select the appropriate Intervention needed to assist the CDP job seeker
• Record an outcome if it's a Services Australia Intervention

Note: where more than one intervention is required, multiple intervention categories may be recorded.

Active interventions may be updated as part of a CCA by selecting the radio button next to the active intervention.

The Intervention and Outcome fields can be updated.

For any new Services Australia Interventions added, the CCA Specialist will be alerted and an outcome must be recorded.

An outcome may be recorded for any other active intervention, for example:

• An outcome should be recorded for a provider intervention if the CCA Specialist has had contact with the CDP job seeker's provider during a CCA and the provider has advised they are unable to implement a specific outcome (for example, they don't have the available funds), or
• During contact with a provider, the provider indicates they have recently referred the CDP job seeker to this type of intervention or made the referral during the CCA Specialist contact. In these cases, an intervention outcome of 'referral made' should be selected. It is not appropriate to use an intervention outcome of referral made if a recommendation has been made to the provider but the provider has not yet made a referral. The referral made outcome is recorded by the provider after the CCA has been completed and they have made the appropriate referral

Intervention outcomes are selected from a drop down menu presented when the intervention is added. See the Outcome codes and recording details table for available intervention outcomes.

More information about the outcome can also be recorded in the free text field provided. This should be used to record why a particular outcome was recorded against an intervention.

A maximum of 10 active interventions may be current at any time. Once this limit is reached, the following outcome codes can be used to remove a current active intervention if there is a more beneficial active intervention that needs to be added:

• No longer required, or
• Created in error, this should only be used if the intervention is being deleted because it should not have been added in the first place

When updating an active intervention from a previous CCA, before deciding to end the intervention, due consideration should be given as to why it was identified as an intervention, including reviewing the further comments attached to the intervention.

The following information recorded by the CCA Specialist in the CCA workflow is automatically transmitted to the CDP job seeker's provider when the CCA is finalised:

• On the Circumstances Impacting Compliance screen:
• circumstances impacting compliance identified and any associated free text
• assessment of Impacts of Identified circumstances to the CDP job seeker's daily activities, both personal and their mutual obligation requirements
• all Interventions and responsibility for implementing the intervention
• intervention outcome date and code

An 'Interventions Outcome Review' will be created once a provider intervention has been active for 12 months without an outcome being recorded. These interventions will be automatically updated with an outcome of EXP (Expired), no outcome recorded.

The CCA Specialist selects Save Intervention once all details about an intervention have been recorded.

This creates a new intervention under the Active Intervention heading at the top of the screen and allows the CCA Specialist to record or update another intervention.

When updating an Active Intervention the original date the intervention was created is retained.

To save the updated or added intervention select Continue on the Intervention screen.

Details about the CCA Specialist who has conducted the CCA are recorded on the Circumstances Impacting Compliance screen.

This includes recording:

• the type of CCA Specialist using option available from the drop down menu
• the date the CCA was conducted
• the contact phone number for the CCA Specialist
• specialist name and availability details, and
• location of the CCA Specialist

When a call is disconnected during a CCA, the CCA Specialist should immediately attempt an outbound contact to re-engage the CDP job seeker.

If attempt to re-engage the CDP job seeker is:

• successful, continue with the CCA
• unsuccessful and enough information has been collected to assess the impact of identified issues on the pattern of non-compliance, complete the CCA
• unsuccessful and further information is required to complete the assessment:
• record all information collected (prior to the call being disconnected) in the CCA workflow
• Save and exit the CCA workflow, updating the activity status to 'further contact with customer required'
• The CDP job seeker is required to contact before close of business. If the CDP job seeker does not contact by close of business they will be unable to report until the CCA is completed
• Add a DOC to the job seeker's record clearly including the reasons why the CCA was unable to be completed. Procedure ends here

Where the CCA has been conducted by a PST SO5, the PST SO5 should also finalise the serious failure decision. See Persistent non-compliance for Community Development Program (CDP) job seekers.

Where the CCA has been conducted by a Social Worker, see Table 2.

Once the CCA report is completed a decision regarding the serious failure needs to be made.

Where the CCA has been conducted by a CCA Specialist who is not a PST SO5, the CDP job seeker will need to be transferred to a PST-skilled Service Officer (WNPPD).

Prior to transferring the CDP job seeker to a PST-skilled Service Officer (WNPDD) to make a determination on a persistent non-compliance or where the CDP job seeker indicates they are unable to remain on the phone, the CCA Specialist must hold the CCA activity until the next working day.

CCA Specialist must inform the CDP job seeker of the following:

• They must remain on the phone
• They need to speak with a serious failure decision maker
• This person will consider the information in the CCA report and other information available to determine whether a serious failure has occurred, and
• They will have the opportunity to discuss waiver options if the serious failure penalty is applied
• If the call is disconnected for any reason:
• they must call back by midday the next business day
• if they do not call back this may affect their payments if the decision is made to apply the serious failure for persistent non-compliance and they wish to access waiver provisions to have payment reinstated
• if the serious failure is applied, the CDP job seeker can have the penalty waived if they agree to attend a re-engagement appointment with their provider. They will only be entitled to a waiver from the date they agree to do this. It is therefore important that they re-contact PST before midday on the following business day

Transfers from a CCA Specialist, to a PST-skilled Service Officer (WNPPD access) are to be cold transferred.

The CCA Specialist must add a DOC to the CDP job seeker's record confirming that they have clearly advised the CDP job seeker of the above.

Note: warm transfers should be limited to extreme and exceptional circumstances, for example, CDP job seekers who are experiencing extreme emotional distress and would benefit from a warm transfer.

The CCA Specialist must transfer the call to the appropriate CCA Finalisation telephony queue using the appropriate direct transfer method in the Services Australia Workspace.

Before transferring the call the CCA Specialist must undertake the following action, within the CCA workflow:

• Go to the Save and Exit screen in the Compliance Investigation workflow
• Change the Save and Exit reason field to 'Return to PST for decision'
• If the customer:
• is being cold transferred, clearly document in the free text field that the CDP job seeker was cold-transferred. Procedure ends here
• unable to remain on the phone, go to Step 4
• terminates the call go to Step 5

Where the CDP job seeker cannot remain on the phone (this should only occur in exceptional circumstances for example the local office they are calling from is closing or they have another commitment they need to attend to), the CCA Specialist must record the following:

• Go to the Save and Exit screen in the Compliance Investigation workflow
• Change the Save and Exit reason field to 'Return to PST for decision'
• Clearly document in the free text field why the CDP job seeker was not able to be transferred, and
• Add a DOC to the job seeker's record confirming they have advised the CDP job seeker of the requirement to call back by midday the next business day and that failure to do so may affect their eligibility to access a waiver of any serious failure period imposed

Procedure ends here.

Where the call is disconnected, prior to transfer to the CCA finalisation queue the CDP job seeker is required to contact before close of business. The CCA Specialist should attempt an outbound call on the same business day to re-engage the CDP job seeker.

Was outbound contact attempt successful?

• Yes, transfer the job seeker to the CCA finalisation queue
• No:
• Go to the Save and Exit screen in the Compliance Investigation workflow
• Change the Save and Exit reason field to 'Return to PST for decision'
• Add a DOC to the job seeker's record clearly explaining why the CDP job seeker was not able to be transferred