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Non-compliance with compulsory requirements - review and appeals 001-10130000

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This document outlines the review process that applies to Targeted Compliance Framework (TCF) and Job Seeker Compliance Framework (JSCF) decisions.

Note: where 'job seeker' or 'Employment Service Provider' is referenced in sections applying to both the Targeted Compliance Framework and the Job Seeker Compliance Framework, this includes Remote Australia Employment Service (RAES) participants and RAES providers.

On this page:

Job seeker contacts about a job seeker compliance decision or suspension

Authorised Review Officer reviewing compliance decisions

Mutual obligation failure penalty applied without an investigation


Job seeker contacts about a job seeker compliance decision or suspension

Table 1

Expand table

Item

Description

1

Determining who made the job seeker compliance decision when a job seeker contacts

To make sure the job seeker can be referred to the appropriate service officer/Team or Organisation, service officers must identify who made the decision.

Decisions not made under social security law

Job seekers who contact about a decision made by employment services providers or triggered by the Employment Services System (ESS), that is not made under social security law, should be referred to their provider or, the Digital Services Contact Centre (DSCC) for job seekers connected with a Workforce Australia Online or Department of Employment and Workplace Relations (DEWR) National Customer Service Line. Services Australia cannot review or change these decisions.

Note: under the Job Seeker Compliance Framework, all decisions are made under social security law.

Payment suspension decisions

Payment suspension decisions are made by DEWR and/or employment service providers and are decisions made under social security law.

The quickest way for job seekers to resolve a payment suspension is to meet their reconnection requirement or to contact the provider and/or DEWR if they need help with meeting their requirement.

Job seekers who contact about a suspension decision made by DEWR or employment services providers should initially be referred to their provider or the Digital Services Contact Centre (DSCC) for job seekers connected with a Workforce Australia Online.

If the job seeker is not satisfied after discussing the decision with their provider, the job seeker should be referred to the Department of Employment and Workplace Relations (DEWR) National Customer Service Line.

Job seekers who remain unsatisfied with the outcome after taking the above steps or if the job seeker insists on a formal review of decision prior to taking the above steps, a formal request for review must be recorded.

Decisions made by Services Australia

Job seekers who contact about a Targeted Compliance Framework or Job Seeker Compliance Framework decision made by Services Australia should be referred to the Participation Solutions Team (PST) to discuss the decision.

Compliance action decisions made by Services Australia and be viewed in the Participation Compliance Hub within Process Direct.

To view:

  • select Customer Summary from the Process Direct landing page
  • enter the customer's CRN, select Go
  • in the customer's record key BIPCW in the Super Key field, select Enter
  • the Participation Compliance Hub screen will display
  • decisions made by Services Australia will have a twisty in the Action column to indicate a penalty decision has been made

PST-skilled staff are responsible for discussing:

  • Targeted Compliance Framework decisions relating to a mutual obligation failure, work refusal failure or an unemployment failure
  • all Job Seeker Compliance Framework decisions

For further information on job seeker compliance system decisions, see:

2

Job seeker contacts about a job seeker compliance decision Services Australia can review

Refer the job seeker to the PST using the appropriate method:

  • PST phone if job seeker is in a service centre, or
  • Transfer to PST if job seeker is calling from an external source

Note: all internal transfers to the PST should be conducted via unannounced (cold) transfer.

3

Job seeker has contacted PST

All PST-skilled staff:

Discuss the decision with the job seeker and answer any questions using the information recorded in the workflow:

In Process Direct:

  • select Customer Summary from the Process Direct landing page
  • enter the customer's CRN, select Go
  • in the customer's record key BIPCW in the Super Key field, select Enter
  • the Participation Compliance Hub screen will display
  • review the Completed/provider compliance actions for the applied compliance action
  • select the relevant Compliance workflow button
  • the Completed Compliance Actions screen will display
  • select the Participation Compliance Summary button
  • the Participation Compliance Workflows Summary screen will display
  • using the options from the dropdown menu, select the relevant option from the Screen Name
  • the relevant information will display for that screen

Further action required is based on the security resource of the PST-skilled service officer.

  • Decision Maker (DM), see Item 4
  • PST skilled staff (WNPPD), see Item 5
  • Request for explanation work item allocated, see Item 6

4

Decision maker (DM)

If the PST-skilled service officer is speaking with the job seeker as the Decision Maker (DM), and the job seeker is not satisfied with the decision, transfer them to the PST Virtual Support Queue (VSQ) via a warm hand-off to discuss with a PST-skilled service officer (WNPPD).

If the job seeker is unable to be transferred to PST VSQ immediately, give the job seeker their internal review options.

Procedure ends here.

5

PST-skilled staff (WNPPD)

If a job seeker contacts about a compliance decision made by Services Australia can review, all PST-skilled staff (WNPPD) can change the decision, where it is appropriate.

To identify the investigation details for the decision the job seeker would like to discuss:

In Process Direct:

  • select Customer Summary from the Process Direct landing page
  • enter the customer's CRN, select Go
  • in the customer's record key BIPCW in the Super Key, select Enter
  • the Participation Compliance Hub screen will display
  • review the Completed/provider compliance actions for the applied compliance action
  • select the relevant Compliance workflow button
  • the Completed Compliance Actions screen will display
  • select the Participation Compliance Summary button
  • the Participation Compliance Workflows Summary screen will display
  • using the options from the dropdown menu, select the Compliance investigation option
  • the relevant information will display

Discuss the decision with the job seeker and answer any questions.

If an error is identified that would change the penalty outcome if corrected:

PST-skilled staff (WNPPD) must:

If no error is identified, give the job seeker their internal review process.

Note:

  • When using the Internal Review/Explanation script to record a request for an explanation or an application for a formal review, the site code must be recorded as PST
  • Discuss each failure with the job seeker. If multiple failures are discussed, make sure the DOC includes details of each failure discussion
  • Run the Internal Review/Explanation script for each failure the job seeker is requesting an explanation or applying for a formal review of. Note: due to system limitations, for each subsequent failure that occurs on the same date, record:
    • 'Other' in the Original Decision field
    • in the Comments field, record 'this decision is a separate failure than recorded in APL A123456 (record the actual APL number)'

6

Request for explanation work item allocated

A request for explanation work item ZIAM_EIR_PST_EXP, can only be completed by PST-skilled staff (WNPPD) as a PST Subject Matter Expert (SME).

To action this work item, see SME explanation of decision, ARO referrals and implementing ARO decisions.

Note: PST SMEs can undertake a reassessment of the investigation decision, including revoking an applied failure as a result of further information or an error in the original decision.


Authorised Review Officer reviewing compliance decisions

Table 2

Expand table

Item

Description

1

Identify the job seeker compliance system

Non-compliance events can occur under two separate job seeker compliance systems.

To identify the job seeker compliance system the non-compliance event is under:

In Process Direct:

  • in the customer's record key BIPRS in the Super Key field, select Enter
  • the Provider report summary page will display
  • select the relevant Provider report details button
  • the Provider Report will display. The Service Details will indicate the Employment Services the compliance action was submitted under

Targeted Compliance Framework (TCF):

  • Workforce Australia Services
  • Workforce Australia Online
  • Inclusive Employment Australia (IEA) (formally Disability Employment Service (DES) prior to 1 November 2025)

Job Seeker Compliance Framework (JSCF):

  • Remote Australia Employment Services (RAES) (formally Community Development Program (CDP) prior to 1 November 2025)

2

Identify the non-compliance event decision

A non-compliance decision can occur when a job seeker voluntarily leaves suitable work, is dismissed from suitable work because of misconduct, refuse or fail to commence suitable work or when they have failed to meet their mutual obligation requirements whilst receiving or claiming a participation payment.

To identify the non-compliance event

In Process Direct:

  • in the customer's record key BIPCW in the Super Key field, select Enter
  • the Participation Compliance Hub screen will display
  • review the Completed/provider compliance actions for the compliance action
  • select the relevant Compliance workflow button
  • the Completed Compliance Actions screen will display
  • select the Participation Compliance Summary button
  • the Participation Compliance Workflows Summary screen will display
  • using the options from the dropdown menu, select the relevant option from the Screen Name
  • the relevant information will display

For further information on failure decisions

In Process Direct:

  • in the customer's record key BIPCW in the Super Key field, select Enter
  • the Participation Compliance Hub screen will display
  • review the Completed/provider compliance actions for the compliance action
  • open the failure incident by selecting the arrow in the action column
  • select the relevant Compliance workflow button
  • the Completed Compliance Actions screen will display
  • select the Participation Compliance Summary button
  • the Participation Compliance Workflows Summary screen will display
  • using the options from the dropdown menu, select Compliance Investigation
  • the relevant information will display

Note: Decisions relating to RapidConnect or cancellation for failing to report (CAN-/FRP) are not non-compliance events.

3

Notification of compliance event

Services Australia and employment services providers are delegated to issue formal notification related to compulsory requirements to establish the notification given:

To locate the relevant notification, in Process Direct:

  • in the customer's record key BIPRS in the Super Key field, select Enter
  • the Provider report summary page will display
  • select the relevant Provider report details button
  • the Provider Report will display
  • The Provider Appointment Evidences section will show the details of the notification

If notification cannot be established, see Assessing reasonable notice.

4

Non-compliance event decision checks

The following screens, workflows and resources may assist a non-compliance decision review via:

Note: this list is not exhaustive, further investigation may be required.

Process Direct

  • Points based activation system summary (PBAS)
  • Circumstances Impacting Compliance (BIJC)
  • Participation Summary
    Tabs:
    • Online Diary
    • Participation Compliance - Provider recorded information
    • Job Plan
    • Key Information
    • Job seeker registration & provider referral information
  • Activity and Exemption summary (AEX)
  • Medical Condition Summary (MCSS)
  • Documents
  • Notes
  • Benefit Status (XDS)
  • Earnings (EANS)
  • Payment Summary (PS)
  • Referral Summary (RRSUM)

Customer First

  • Investigation Summary (BIIS)
  • Principal Carer Circumstance Details (PCCD)

Mutual obligation failure penalty applied without an investigation

Table 3

Expand table

Item

Description

1

Action required when a mutual obligation failure penalty was applied without a compliance investigation

A financial penalty with a status of Applied - job seeker declined investigation (AAP), is a financial penalty that has been applied without an investigation.

This status does not preclude the job seeker from providing information or having the decision reassessed.

Before internal review options can be provided, job seekers who have an AAP status penalty must have an investigation completed by a PST-skilled staff (WNPPD).

If a job seeker contacts about an accepted mutual obligation failure penalty that has not been investigated, PST-skilled staff (WNPPD) should take the following action within Process Direct:

  • Key BIPCW in the Super Key, select Enter
  • The Participation Compliance Hub screen will display
  • Select Compliance Workflow with compliance status Applied - job seeker declined investigation
  • The Completed Compliance Actions screen will display
  • Select Review Decision
    • When the Review Decision link is selected the workflow will automatically change the failure status from 'Applied - job seeker declined investigation (AAP)' to 'Investigation (INV)'
    • The penalty period will continue to display on the record while the failure is under investigation
  • The Review Decision workflow will display
    • Record the date of contact in the Date Review Requested/Initiated field
    • Select Review Auto Applied Failure in the Actions Required field
    • Select Next
  • Use the Compliance Investigation workflow to record information provided by the job seeker
    • a message will display the first time the Key Information page is accessed advising 'Investigation workflow has been launched to review the decision of a failure applied without investigation'
  • If there is sufficient evidence to change the decision under review, record the appropriate rejection reason and finalise the workflow to revoke the failure:
    • the failure status will update to Revoke rather than Rejected. The decision text in the workflow will display 'Failure revoked following investigation'
    • once revoked the original penalty applied will be automatically removed
  • If there is not enough evidence to vary the decision, the failure must be applied:
    • when finalised, the failure status will change to 'Applied (APP)'
    • the existing penalty start, and end date applied will not change

If the job seeker is not satisfied with the decision, transfer the job seeker to the PST Virtual Support Queue (VSQ) via a warm hand-off for a further discussion.

If the job seeker is unable to be transferred to PST VSQ immediately, give the job seeker their internal review options.

2

Adjustment to financial penalties when a mutual obligation failure decision is set aside

When a decision to apply a penalty for a failure is set aside, this may impact the penalty applied for other failures within the failure group.

When the decision has been made to revoke the Applied - job seeker declined investigation (AAP):

  • within 13 weeks of notification, any financial penalties for the job seeker in the same failure group are adjusted automatically by the system
  • 13 weeks or more after notification:
    • any financial penalties for the job seeker in the same failure group are not adjusted automatically by the system as it is outside of 13 weeks
    • if it is a first failure decision and a second penalty exists in the same failure group, the second penalty does not automatically convert to a first penalty. Manually update the penalty sequence and issue the expected arrears to the job seeker
    • if it is a first or second failure decision and a third failure exists in the same failure group, the third penalty does not automatically convert to the appropriate first or second failure as it is outside of 13 weeks. Manually update the penalty sequence and issue the expected arrears to the job seeker

See Table 1 in Implementing the outcome of a review of a participation failure decision.