This page contains information about reviewing and validating Participation Reports (PR) and Provider Appointment Reports (PAR) received from Employment Services Providers when additional validity checks are required to ensure the failure is valid.
Sufficient information to allow the investigation to proceed
Table 1: This table describes information required for investigation of a PR, Services Australia generated failure or manual Comprehensive Compliance Assessment (CCA).
Services Australia generated failure, go to Step 3
Manual Comprehensive Compliance Assessment (CCA), go to Step 4
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Participation Report (PR)
When a PR does not contain the required information allowing an investigation into the non-compliance event and contact with the provider has been unsuccessful, the PR must be rejected. If further information from the provider would allow the investigation to proceed, select the appropriate rejection code:
IVA - Returned for update - insufficient evidence/documentation, or
IVH - Returned for update - incorrect incident date
Record an explanation in the free text section of the Decision and Penalty screen of the investigation workflow, outlining the reasons for the rejection, and what additional information is needed for an investigation to proceed.
Providers are expected to confirm suitability of employment in the Employment Services System (ESS). Participation Solutions Team (PST)-skilled Service Officers should generally assume employment was suitable unless the RAES participant indicates otherwise. When this is the case, investigation of the suitability of employment is required and should also include (as a minimum):
the job description, that is, nature of employment
the hours of employment and if the job was full-time, or part-time/casual
Does the PR provide sufficient information to allow the full investigation to proceed?
Yes, the failure is valid. To proceed with the investigation, see the Compliance failures drop-down menu
When a Service Officer generates a compliance investigation via the ComplianceInvestigation workflow, the system will prompt for the appropriate information to be included.
An Unemployment Non-Payment Period (UNPP) can be rejected without contacting the RAES jobseeker only when there is sufficient information available to establish:
voluntary unemployment from suitable work or dismissal due to misconduct as a worker has not occurred
the UNPP would not affect the RAES participant's claim for payment as they have fully self-served the penalty, i.e. their payment start date is after the potential UNPP end date, or the UNPP would end prior to other waiting periods applicable to the claim. Does the Services Australia generated failure provide sufficient information about the non-compliance event to allow the full investigation to proceed?
Yes, the failure is valid. To proceed with the investigation, see the Compliance failures drop-down menu
A manual CCA can be triggered when there are indicators a RAES participant has unidentified barriers which may be impacting their compliance and an Employment Services Assessment (ESAt) referral is not the more appropriate option.
When a RAES participant's provider has requested a manual CCA, it should generally be accepted and progressed.
A manual CCA (generated by either Services Australia or the RAES participant's provider) should be rejected only if the CCA or follow-up discussions with the provider do not provide sufficient information to establish:
why the manual CCA was generated
a summary of how suspected barriers to employment or participation are currently impacting the RAES participant's compliance with requirements
why a referral to an ESAt was not the more appropriate referral option
Use the drop-down menu to select a compliance failure type.
Job related serious failures and UNPPs
Serious failures and UNPPs
Table 2: This table describes factors to take into account when considering the validity of a serious failure report for a Remote Australia Employment Service (RAES) participant who refuses, or fails to accept a suitable job offer, or an Unemployment Non-Payment Period (UNPP) for a RAES participant who voluntarily leaves suitable work or is dismissed due to misconduct.
As part of serious failure and Unemployment Non-Payment Period (UNPP) investigations, the Participation Solutions Team (PST)-skilled Service Officer needs to be satisfied the Participation Reports (PR) submitted and/or the failure generated by Services Australia is valid.
The Employment Services System (ESS) requires the provider to confirm the suitability of work (if required) and the RAES participant has been appropriately notified before a PR can be submitted.
Suitability of work
A suitability of work assessment may also require a review of the RAES participant's personal circumstances by the PST-skilled Service Officer. This may include:
information contained on the Circumstances impacting Compliance screen
No, the failure is invalid and must be rejected. See Rejecting a compliance action for more information. Procedure ends here
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Review validity
When deciding if an employment related failure or UNPP is valid, some or all of the following may need to be considered:
For a UNPP: is the RAES participant claiming or receiving a participation payment?
For a serious failure for refusal of suitable employment, was the RAES participant exempt from compulsory mutual obligation requirements on the event date?
For a serious failure for refusal of suitable employment, was the offer of employment made clear and the RAES participant understood an offer of employment was made?
A RAES participant is not expected to accept a job or continue in a job if the work is unsuitable. There are a number of factors that may need to be taken into account when determining if work is unsuitable including whether:
it aggravates a RAES participant's medical illness, disability or injury
the hours of work are above the RAES participant's assessed work capacity
it does not meet the applicable statutory conditions of employment
it requires the person to change their place of residence and they are unwilling to move
it involves an unreasonable commuting time from home to work (more than 60 minutes one way for RAES participants who are principal carers assessed as partial capacity to work (PCW) and more than 90 minutes one way for other RAES participants)
it involves skills the RAES participant does not possess and appropriate training will not be provided by the employer
Note: unless a RAES participant indicates there were issues with their work conditions and/or pay, or information provided needs further investigation, the PST-skilled Service Officer should assume the work is suitable.
See Suitable/unsuitable work for further information about the factors to be considered when assessing suitability of work.
Appointment failure and refusing to enter/vary a Job Plan
Connection failure for not attending a compulsory appointment and refusing to enter/vary a Job Plan
Table 3: This table describes factors that may need to be considered when there is an identified need to establish the validity of a connection failure for not attending a compulsory appointment either with Services Australia, or a third party organised by their provider, or for not entering into a Job Plan.
Investigating a failure, Participation Solutions Team (PST)-skilled Service Officers must be satisfied a non-attendance, or reconnection failure (failure to attend a provider appointment, or a connection failure (failure to attend a compulsory appointment with a third party organised by their provider or not entering into a Job Plan) is valid.
A non-attendance, connection or reconnection failure is invalid if:
the PST-skilled Service Officer finds the Remote Australia Employment Service (RAES) participant:
did not receive a participation payment in the fortnight the incident occurred
did not receive appropriate notification and reasonable notice of the specific dates and times for the appointment or activity. See Assessing reasonable notice
did not refuse to sign the Job Plan with their provider
was exempt from, or did not have, mutual obligation requirements at the time the failure occurred
the PST-skilled Service Officer finds the Job Plan:
terms are not in line with the relevant participation policy
includes a compulsory term or terms which are unsuitable
there is an outstanding Comprehensive Compliance Assessment (CCA) investigation, or the failure was lodged after a CCA commenced and the event date of the failure is not later than the date the CCA is finalised, see Determining failure hierarchy when there are multiple failures
the requirement is a voluntary activity included in the Job Plan and not an appointment
Note: when the Online Diary result has been changed by the provider after the failure has been generated, this does not invalidate a failure.
After the initial review of the Participation Report (PR) or generated failure, is the failure valid?
Yes, the failure is valid. To proceed with the investigation when the failure recommended is a:
Connection failure for not meeting points target or job search requirements
Table 4: This table describes the factors that may need to be taken into account when considering whether a connection failure for not meeting points target or job search requirements is valid.
Determining the validity of a connection failure (not meeting points target or job search requirements)
A connection failure is invalid if the Participation Solutions Team (PST)-skilled Service Officer finds the Remote Australia Employment Service (RAES) participant:
did not receive a participation payment in the fortnight the incident occurred
was exempt from, or did not have, mutual obligation requirements at the time the failure occurred
has an outstanding Comprehensive Compliance Assessment (CCA) investigation, or the failure was lodged after a CCA has commenced and the event date of the failure is not later than the date the CCA is finalised, see Determining failure hierarchy where there are multiple failures
A provider must give the RAES participant appropriate notification of their job search requirement, which means the RAES participant:
has a compulsory job search activity included in their Job Plan, which includes:
the number of job search efforts required per month, and
the date their job search efforts are due and how they will be reported to their provider (for example, via email / in person)
Has the RAES participant received the appropriate notification of their job search requirement?
Yes, and the RAES participant:
has job search included in their Job Plan, and has full work capacity or a partial capacity to work (PCW) of at least 15 hours or more per week, go to Step 3
recently had an exemption from their mutual obligation requirements, go to Step 4
is receiving Parenting Payment (PP) with compulsory mutual obligation requirements, go to Step 5
has reported earnings during the period job search was required, go to Step 6
RAES participants with full work capacity, partial capacity to work (PCW) or who are principal carers
It is a RAES provider's discretion to determine the number of job searches a RAES participant should undertake, including those RAES participants who have a PCW of at least 15 or more hours per week, as long as it does not exceed maximum limits.
Job search requirements included in a RAES participant's Job Plan are based on the availability of jobs in the area, seasonal employment, transport and the RAES participant's personal circumstances.
Is the job search requirement appropriate for the RAES participant?
RAES participants with a temporary exemption from mutual obligation requirements
RAES participants who are granted a temporary exemption of 7 days or more from their mutual obligation requirements will be required to provide their job search efforts for the period of time they are not exempt.
RAES participants who are receiving PP are subject to compulsory mutual obligation requirements from the date their youngest dependent child turns 6 years of age. RAES participants receiving PP cannot incur a connection failure for failing to comply with job search requirements.
Is the RAES participant receiving PP with compulsory mutual obligation requirements?
No, (for example, they are in receipt of JobSeeker Payment (JSP) as a principal carer) the failure is valid. To proceed with the investigation, see Not meeting points target or job search requirements. Procedure ends here
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Effect of suitable paid employment (including self-employment) on job search requirements
For RAES participants with full work capacity with at least:
40 hours of suitable paid employment undertaken in the fortnight, job search requirements are halved
70 hours of suitable paid employment undertaken in the fortnight or the RAES participant's rate is reduced to nil, job search requirements are reduced to nil
For RAES participants assessed as having partial capacity to work (PCW) and between:
11 and 29 hours of paid work have been undertaken in the fortnight, job search requirements are halved
Principal carers and partial capacity to work (PCW) RAES participants who are fully meeting their mutual obligation requirements through 30 hours per fortnight of paid work or approved study, do not have any job search requirements
Mature age (55+) RAES participants meeting their mutual obligation requirements through 30 hours per fortnight of paid work do not have any job search requirements
Has the RAES participant failed to comply with their job search requirements?
Table 5: This table describes the process a Participation Solutions Team (PST)-skilled Service Officer must undertake when determining the validity of a No Show, No Pay failure for non-attendance or inappropriate behaviour at a job interview.
For all No Show, No Pay failures relating to inappropriate behaviour or non-attendance at a job interview, Participation Solutions Team (PST)-skilled Service Officers must check the suitability of the job.
Even though the provider is expected to have established the job was suitable, an investigation is required when:
the Service Officer considers the job is unsuitable, or
the RAES participant raises issues about the job that creates doubt of the suitability
Further assessment for inappropriate behaviour at a job interview failure
When the RAES participant behaved inappropriately at the job interview and it has been determined the job was suitable, assess:
how the RAES participant was informed of the requirement to attend an interview
the RAES participant's willingness to actively participate in the job interview
the RAES participant's presentation at the job interview, e.g. were they dressed in a way clearly inappropriate for the interview
the provider's comments in the Participation Report (PR), ensuring they give a clear and sufficiently accurate account of the RAES participant's actual conduct at the job interview
the RAES participant's explanation of what occurred, including any circumstances that may have affected their conduct or presentation, and/or
the employer's statement, to ensure the account given by the provider can be confirmed
It is essential the PR contains all relevant information including any information provided by the employer about the nature of the RAES participant's behaviour.
The decision about whether the RAES participant behaved inappropriately should be based on the behaviour demonstrated during the job interview, including if they:
displayed an unwillingness to engage
were inappropriate in their responses
did not respond, or
were aggressive in nature
made unreasonable requests of the potential employer (e.g. demanding an inflated hourly rate, provision of a work vehicle etc.)
Has it been established the RAES participant refused a suitable offer of employment and this has been indicated in the PR?
behaved poorly at the job interview, the failure is valid. To proceed with the investigation, see Investigating a No Show, No Pay Failure. Procedure ends here
did not behave poorly at the job interview, the failure is invalid. To reject the failure, see Rejecting a compliance action. Procedure ends here
Job Plan terms exceed the RAES participant's mutual obligation requirements or capacity
Table 6: This table describes matters that may need to be taken into account when considering whether the terms of a Job Plan are in excess of mutual obligation requirements policy.
Terms exceed the RAES participant's mutual obligation requirements or capacity
When a Remote Australia Employment Service (RAES) participant's circumstances change, a requirement that was reasonable at the time a RAES participant entered into the Job Plan may no longer be reasonable and realistically achievable.
When investigating a failure, it must be considered whether the compulsory requirements in a Job Plan are appropriate to the participant's circumstances and do not exceed their assessed capacity.
All RAES participants are required to:
attend job interviews,
attend provider appointments and third party appointments as required, and
meet job search requirements if appropriate, depending on the strength of the local labour market
There is no minimum number of hours of requirements that a RAES participant must undertake each fortnight to meet their mutual obligation requirements. Unless the participant has volunteered to undertake an activity, hourly requirements in the Job Plan will be zero.
Providers and participants may also negotiate suitable voluntary activities such as Work Skills and Projects to be included in the Job Plan.
this can be in addition to negotiated compulsory requirements
the number of hours of participation in the activity is negotiated between the provider and participant, and is recorded in the Job Plan
failure to undertake a voluntary activity, or to complete the number of hours specified in the Job Plan, will not result in any compliance action
Principal carers have part-time mutual obligation requirements which can be fully met by undertaking suitable work or studying part-time (including a combination of the 2) of 15 hours per week.
If this is the case, they may sign a Job Plan with Services Australia and volunteer to participate with a provider. For further information, see Approved activities for principal carers.
If the RAES participant is not fully meeting their mutual obligation requirements, their provider may negotiate other suitable requirements to be included in their Job Plan:
Does the Job Plan contain a minimum number of hourly requirements, and the participant has not volunteered to undertake an activity for the number of hours recoded in the Job Plan?
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