Gathering and assessing evidence for a job seeker compliance investigation 001-10040130

When additional evidence is requested, the job seeker or participant is advised to submit evidence using the upload document service. However, job seekers may also attend a service centre or agent to submit the evidence.

Note: where evidence is submitted to an Agent, the Agent is responsible to make sure this evidence is faxed to the National Business Gateway (NBG). Once the evidence is scanned or faxed to the NBG by the Agent, the job seeker should be advised to contact the Participation Solutions Team (PST).

Job seeker compliance decisions are evidence-based. Information used to make a decision needs to be:

• relevant to the compliance action
• from a reliable source
• documented, clearly including why (if relevant) some evidence was given more weight than others, and
• in line with legislation and policy

Make sure there is enough evidence to establish the facts that were relevant to the reported compliance action.

If the evidence to reach a decision is not available or further evidence will affect the decision outcome, review the job seeker's record for existing evidence.

During the investigation, the Compliance Investigation workflow provides access to information and evidence already available on the job seekers record.

The Other Related Information page provides access to current and historical:

• Provider Reports
• Job Plans
• Provider recorded information
• Online Diary
• Job Seeker Calendar
• Non-compliance actions, including Capability Assessments or Comprehensive Compliance Assessment (CCA)
• Services Australia Rates Estimator
• Address History
• View Employment Services Assessment (ESAt) reports and referrals
• Recent activities and exemptions
• Circumstances impacting compliance
• Medical certificates

Evidence may also exist outside the Participation Compliance workflow. This includes:

• Document List/Notes
• Employment Income Paid Details (EAPP) screen and hours worked as declared by a job seeker
• Document Tools (evidence scanned onto the record)

If additional evidence is required, ask the job seeker to upload it during the contact using upload documents. If this is not possible, negotiate a suitable timeframe with the job seeker to provide the evidence.

Note: mutual obligation failure decisions cannot be held pending evidence. Go to Item 4 for mutual obligation failure financial penalty decisions.

When a mutual obligation failure is being considered, if additional information cannot be obtained during the job seeker's initial contact, a decision must be made based on the available evidence.

The Compliance Investigation workflow does not allow a mutual obligation failure penalty investigation to be held pending evidence, nor can the job seeker's fortnightly payment be released.

Legislation requires the mutual obligation failure penalty to be recovered in the instalment period in which the failure is reported. Where payment has been released prior to the investigation, the penalty or cancellation will occur in the next instalment period.

Unemployment or work refusal failures and failures managed under the Job Seeker Compliance Framework, can be held pending further evidence. Job seekers must be given an opportunity to provide additional evidence before a decision is made:

Negotiate a reasonable timeframe, suitable with the job seeker to provide the additional evidence.

Note: there is no set timeframe for evidence to be supplied. As a guide, 2 working days would be considered reasonable for the job seeker to supply evidence based on their circumstances.

Document all evidence relevant to the compliance action and decision within the Compliance Investigation workflow.

Minimum standards for recording evidence includes:

• details of the source of the evidence (who provided it)
• details of how the evidence relates to the decision
• only relevant evidence needed for the decision
• the location of the evidence on the job seeker's record (if it is outside the workflow)
• using simple language which is easily understood
• can be substantiated on review

Record the job seeker's statement about their reason for non-compliance and/or their reason for not making prior contact (if appropriate) on the Investigation page in response to questions:

• Is there anything else they want to add to explain the failure/what reasons have they given for the failure?
• Why didn't you contact your provider before you were due to attend?

Record the job seeker's statement as a true reflection of all information the job seeker wants considered. It should also reflect the details of available evidence or evidence the job seeker believes will support their statement.

Staff must not include their own personal opinion or commentary on the job seeker's statement.

Before finalising, make sure enough detail is available to allow another person reviewing the case to understand:

• the job seeker's explanation of what occurred, and
• any factors the job seeker believes effected their ability to comply

The Compliance Investigation workflow displays information and questions tailored to the compliance investigation. The Investigation page will display a 'Further Evidence' section if the job seeker's reasons for non-compliance and prior contact suggests:

• enough evidence is available, or
• further evidence is required to make a decision

The Further Evidence section is used to record the evidence relating to the job seeker's reasons for the non-compliance event and prior contact requirements. In this section, record:

• if sufficient evidence already exists to confirm:
• the excuse for the failure, and
• the reason for not contacting the provider, or
• there was prior contact made with the provider and a good reason was provided
• the method to be used to collect further evidence (where possible this should be via phone contact)
• any additional evidence requested, and:
• the due date (work refusal failure, unemployment failure and Job Seeker Compliance Framework compliance action only), and
• the impact the evidence is likely to have on the decision outcome (or the likely outcome if the requested evidence is not supplied)
• who needs to be contacted for additional evidence
• a summary of the additional evidence that has been provided

The Summary of evidence requested/provided field, allows additional contacts, such as:

• organisation/business name
• contact person
• contact number, and
• a summary of the evidence provided to be recorded

If additional evidence has been requested and a due date recorded, the Save and Exit page must be completed before exiting the Compliance Investigation workflow.

A provider report contains information which forms a key part of the evidence for compliance decisions. This information is kept as a part of the decision history.

When additional contact with the provider occurs as part of the investigation, this must be recorded on the Further Evidence screen in the Compliance Investigation workflow. Record:

• details of who provided the additional evidence
• a concise summary of the information discussed relevant to the compliance action

Comments that are an opinion should be noted as such, and only included if relevant to the decision making process.

Note: information supplied by a provider may be requested by the job seeker under Freedom of Information.

While additional information from the provider forms part of the evidence, they may also need to be referenced when summarising the decision.

Contact with specialists and other third parties must be recorded on the Further Evidence page in the Participation Compliance workflow.

Include a concise summary of all facts relevant to the decision, including the source. Avoid comments which represent an opinion.

In all instances where a job seeker's circumstances are identified as having an ongoing impact on their capacity to comply:

• access the Circumstances Impacting Compliance screen from the Compliance Investigation workflow, and
• record evidence on this screen to support the new or changed circumstances

All information supplied by a third party may be requested by the job seeker under Freedom of Information unless the third party:

• has requested this information not be released, and
• provides valid reasons why the release should not occur

Evidence sourced from the job seeker's record is recorded on the Decision and Penalty page in the Compliance Investigation workflow. Include details of the relevant location. and nature of the evidence. For example, 'On the EAPP screen, the income and hours worked in the 2 previous reporting periods is shown, confirming the job seeker worked on the failure incident date.'

To hold an unemployment, work refusal or Job Seeker Compliance framework failure:

• make sure the timeframes negotiated meet the job seeker's needs
• explain to the job seeker:
• the benefits of providing the evidence within the agreed timeframe
• that failing to provide evidence will mean the decision will be based on the available evidence at their next contact with the Participation Solutions Team (PST)
• in the Further Evidence section, document:
• the evidence requested
• how the requested evidence may affect the decision
• when it is due, and
• the job seeker is aware that failing to submit further evidence by the due date, means a decision will be made based on the available evidence

The workflow will:

• go to the Save and Exit page
• automatically select the appropriate save and exit
• if appropriate, temporarily remove the contact trigger pending the return of evidence
• if required, update the negotiated due date

For Job Seeker Compliance Framework investigations, the system will auto restore payment if it is currently suspended 'DNA participation appointment (APA)'.

If the job seeker fails to provide evidence by the due date, they will not be able to:

• report
• have their new claim finalised until they have spoken to the PST

Make a decision based on the available information. Facts that cannot be substantiated with evidence, may either be given lesser weight or be disregarded.

Use all available evidence to determine if reasonable excuse and prior contact requirements (if appropriate) have been met. Assess the evidence collected during the investigation. Consider the:

• relevance to the incident
• relevance to the job seeker compliance legislation and policy
• impact the evidence had on the job seekers ability to meet their requirement, and
• source of the evidence provided

If conflicting evidence cannot be resolved, weighing the evidence can help to reach a decision based on what is more likely to have occurred. Consider:

• the exacerbation of previously declared and evidenced circumstances
• declared natural disasters
• if the circumstances disclosed as having impacted compliance in this instance, were unforeseen or exceptional in nature

The Resources page contains information on types of evidence and common scenarios of how to assess evidence.

On the Decision and Penalty page, record an explanation of the decision made and details of the evidence used to support the decision. The summary must include:

• the matters that were taken into account when forming the decision
• how the relevant facts were substantiated (the evidence used to support the decision)
• the weight given to the evidence considered in the compliance investigation process