Capability Assessments 001-18030203

Employment Services Providers are responsible for notifying job seekers:

• when they are required to contact Services Australia to complete a Capability Assessment, and
• the assessment takes approximately 30 minutes

The date the provider has this conversation with the job seeker becomes the deemed date of notification.

Providers issue this notification verbally. Job seekers do not receive a SMS or other outbound contact from Services Australia to prompt contact for the Capability Assessment.

The job seeker's payment remains suspended (SUS/TCF - did not meet provider requirement) until they contact Services Australia and complete the Capability Assessment.

Note: once the Capability Assessment is complete, any other reconnection requirements for mutual obligation failures committed while the Capability Assessment was pending, may impact when payment can restart.

Participation payments are automatically cancelled for reason failure to re-engage (CAN/CDR) if a job seeker does not arrange a Capability Assessment within 4 weeks of the deemed date of notification. See Re-engaging job seekers - Targeted Compliance Framework.

If the job seeker contacts:

• the Service Centre, the Customer Details screen in the Front of House (FoH) tool will indicate if compliance action is outstanding
• a Smart Centre, the Participation Compliance Hub in Process Direct will confirm if a Capability Assessment is outstanding:
• select Customer Summary from the Process Direct Landing page
• key 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

Capability Assessment is outstanding

Refer the job seeker to the Participation Solutions Team.

Capability Assessment is not outstanding

A Capability Assessment will not display as outstanding if:

• the Capability Assessment was not accepted through automatic validation, for example, if an Employment Services Assessment (ESAt) is pending, or
• background processing has identified that a Capability Assessment is not required, or
• demerits that contributed to the Capability Assessment being triggered have since been removed by the provider

Where a Capability Assessment is not outstanding, but the job seeker has a current Targeted Compliance Framework (TCF) suspension, refer the job seeker back to their provider.

When an exemption from mutual obligation requirements has been granted and a Capability Assessment exists, the Capability Assessment is placed on hold until the exemption ends.

When the exemption has ended, a contact trigger will prompt the job seeker to contact the Participation Solutions Team (PST) to have a Capability Assessment.

Note: the system will automatically hold the Capability Assessment if an exemption is recorded before the Capability Assessment workflow has been accessed.

Most Capability Assessments will be completed the day the job seeker contacts Services Australia, using evidence available on the record.

If the job seeker advises there are circumstances impacting their ability to meet the compulsory requirements in their Job Plan:

• check the record for any evidence that can be used to support the information the job seeker has provided
• use any evidence (such as medical evidence that has been lodged in the last two years) already on the record, which supports the job seeker's disclosed circumstances impacting compliance
• do not delay the Capability Assessment outcome by seeking further evidence unnecessarily
• if there is no evidence on the record and it is likely to impact the outcome of the Capability Assessment:
• request suitable evidence from the job seeker to support their circumstances, and
• hold the Capability Assessment for 2 days (this can be longer if required. Assess on a case by case basis)

Where the job seeker contacts to provide the evidence Services Australia has requested:

• check the Participation Compliance summary to confirm if a Capability Assessment is pending
• advise the job seeker to upload evidence or scan documents as appropriate
• refer the job seeker to the Participation Solutions Team (PST)

When the job seeker has not returned the requested evidence by the due date, Services Australia will complete the Capability Assessment during the next contact, based on available information.

When the job seeker contacts:

• check the Outstanding compliance actions table in the Participation Compliance Hub to confirm if a Capability Assessment is pending
• refer the job seeker to the Participation Solutions Team (PST)

If the job seeker provides evidence after the Capability Assessment is completed, Services Australia cannot reassess the Capability Assessment.

Refer the job seeker back to their provider to discuss the:

• circumstances that have been impacting their compliance, and
• the evidence they are now able to supply

Note: Services Australia staff are still required to take all appropriate action on the evidence supplied, that is:

• coding a medical certificate
• updating the Job Seeker Snapshot, and/or
• referring the job seeker for an Employment Services Assessment (ESAt) as needed

Note: to minimise the impact of record and transaction locking issues, check for Record Access and/or Transaction Error Messages that may appear at the top left-hand side of the screen to ensure you are the only Service Officer updating the customer's record. See Record and transaction locking in Process Direct.

Access the Capability Assessment workflow via the Participation Compliance Hub in Process Direct.

• Process Direct Landing page: select Customer Summary
• Key the customer's CRN then select Go
• Super Key field: key BIPCW then select [Enter]
• The Participation Compliance Hub screen will display
• Outstanding compliance actions table: select the Capability Assessment button to access the workflow. The Key Information page will display

The Key Information tab displays a summary of essential customer information, including if the customer requires an interpreter. Check to make sure:

• an interpreter is requested for the Capability Assessment, if indicated. See Booking an interpreter for an appointment if required
• the job seeker's contact information is correct

PST staff must confirm that the job seeker has heard the automated privacy message before their call was answered. If the job seeker advises that they did not hear the automated privacy message, PST staff are required to read the privacy statement from within the workflow to the job seeker. Make sure any concerns are addressed before proceeding.

Check the Other related information tab. It displays a range of information that may be useful in conducting the Capability Assessment, including previously identified circumstances impacting compliance. Select the Circumstances impacting compliance hyperlink and take note of any circumstances that will require an assessment.

Select Next to go to the Overview for the Capability Assessment. This page:

• includes talking points which must be read out to the job seeker
• explains the reason for the assessment and how personal information will be used during the assessment

At this point, it is essential to:

• provide the job seeker with a clear explanation of what an outcome of capable will mean, and
• advise the job seeker of the potential financial penalties, should they progress to the financial penalty zone after the Capability Assessment, and
• confirm their understanding of the above, and
• address any concerns the job seeker has before continuing

Is the assessment able to be completed now?

• Yes, go to Step 3
• No, the:
• job seeker refuses to participate or deliberately ends the call, go to Step 2
• Capability Assessment cannot continue for another reason, see Table 4

If a job seeker refuses to participate in the assessment, tell them:

• the assessment will be completed without their involvement based on the available evidence, and
• it could mean they move into the penalty zone where non-compliance can result in:
• a financial penalty, or
• cancellation of their payment

Complete the Capability Assessment using information on the record. This includes (but is not limited to) checking:

• the Job Plan for errors
• for medical certificates that are yet to be coded
• and reviewing the impact of any recorded circumstances

Go to Step 4.

When a Capability Interview is triggered by the Employment Services System (ESS), the provider will conduct the interview. In this interview the provider and job seeker discuss and review:

• any difficulties the job seeker had in meeting their requirements
• the requirements in their Job Plan, to ensure the provider has considered their circumstances and how they may impact their ability to comply
• their understanding of the requirements in order to reinforce the importance of complying
• their understanding of the requirement to make prior contact, to reinforce the importance of contacting before the appointment or activity start time if they cannot attend, and
• the consequences of further non-compliance

The Capability Interview ensures the provider tailors the Job Plan to ensure it is achievable given the job seeker's circumstances.

During the Capability Assessment discuss the outcomes from the Capability Interview with the job seeker.

• Capability Interview summary page: select view summary of Capability Interview to review the outcomes of the conversation
• Contact the provider if clarification about the details of the Capability Interview is needed
• Record any contact with the provider on the Further Assessment page

Note: job seekers who query the recent non-compliance and demerit accrual outlined in their Capability Interview must be referred back to their provider to discuss. For further information, see Non-compliance with compulsory requirements - review and appeals.

Go to Step 4.

The provider negotiates the Job Plan with the job seeker. During the Capability Interview, the provider will:

• talk to the job seeker, ensuring their circumstances have been considered, and
• make sure the requirements included within the Job Plan are reasonable and achievable

Job Plan errors

Check the job seeker's Job Plan for any errors such as:

• conflicting requirements, for example, two or more compulsory activities at the same time
• additional requirements for job seekers who are fully meeting their mutual obligations through volunteer work and/or paid work
• activities that require:
• a principal carer to regularly participate outside school hours or travel more than 60 minutes to and from the activity
• participation in a criminal activity
• the job seeker to undergo medical, psychiatric or psychological treatment
• participation in an activity outside of Australia
• involvement in the sex or adult entertainment industry
• participation in an activity that contravenes laws relating to discrimination or work health and safety
• participation in an activity that would aggravate an existing illness, disability or injury, or
• participation in an activity that does not provide appropriate support or facilities regarding their illness, disability or injury
• participation in WFD (or other approved programs of work) as a compulsory activity when the job seeker receives a partial rate of income support due to the income test (either due to their earnings or their partner's)
• a job seeker under 18 years of age to participate in WFD

Further information on the types of requirements that a Job Plan must not contain is available in the Social Security Guide 3.11.2 Job Plans. See the References page for a link to the Guide.

If one or more errors are identified in the Job Plan:

• record each error on the Job Plan error page
• use the pencil icon in the action column to select the relevant requirement that contains the error
• include information for the provider to consider when negotiating a more appropriate Job Plan for the job seeker. Record errors or inappropriate terms in the Job Plan
• the Capability Assessment outcome will automatically become 'Not Capable', and
• the Capability Assessment outcome page will display the message 'Errors in compellable requirements'. No further assessment is required

For more information, see Approved activities for Job Plans.

Go to Step 5.

Following the workflow, the next question that presents after reviewing the Job Plan is:

'Is there anything that is making it difficult for you to meet your requirements that hasn't been mentioned so far?'

The purpose of this part of the Capability Assessment is to prompt the job seeker to advise of any circumstances impacting their capacity to comply with their requirements. These may be circumstances which:

• are newly identified. The job seeker has not previously disclosed these circumstances to their provider in the Capability Interview or during other contacts, or
• are ongoing. The circumstances may have been disclosed previously and are continuing to, or have changed in the way they impact the job seeker's capacity
• are existing, for example recorded via an ESAt or standalone process (this includes if the job seeker has not mentioned these again during the Capability Assessment, as noted in Step 1)

Has the job seeker advised of any ongoing difficulties meeting requirements or do they have existing circumstances recorded (as noted in Step 1) that may impact their capacity to comply or are yet to be assessed?

• Yes:
• select Yes - has ongoing difficulties meeting requirements, and
• record their statement or the fact that there were circumstances not yet assessed, in the Free Text section of the workflow, then go to Step 6
  Note: completing 'Yes - has ongoing difficulties meeting requirements' and the associated Free Text field, will progress the workflow to the Circumstances Impacting Compliance tab
• No:
• select No - difficulties identified are point in time or short term or no difficulties identified, and
• record their statement in the Free Text box that presents in this section of the workflow
  Note: when No is selected, the workflow will bypass the Circumstances Impacting Compliance section. Any new information obtained at this point will not impact the outcome of the Capability Assessment
• see Table 5

Update the Circumstances impacting compliance page with all relevant circumstances. This includes those with a status of 'yet to assess impact'. They must be:

• updated to confirm their impact (through the provision of suitable evidence), or
• updated to 'difficulties are point in time or short term', or
• ended as they are 'not identified' or 'do not impact compliance'

If circumstances are impacting, go to Step 7.

If circumstances are no longer impacting, however were noted in Step 1 as existing:

• see Circumstances impacting job seeker compliance for how to update, record and end circumstances, and
• if there are no other impacting circumstances:
• go back to the Action taken since Capability Interview tab, and
• make sure the question 'Does the job seeker's statement suggest there are ongoing circumstances directly impacting their ability to comply with requirements' is answered correctly, according to the finalised review of circumstances. This will be either:
  No - difficulties identified are point in time or short term, or
  No difficulties identified

Note: when going back to the Action taken since Capability Interview tab and No is selected, the workflow will bypass the newly updated Circumstances Impacting Compliance page.

See Table 5.

Assessing and identifying the impact of job seeker circumstances is a key part of the Capability Assessment.

During a Capability Assessment, PST-skilled staff must consult with a PST-skilled social worker if:

• a job seeker presents with family and domestic violence, or
• there is a Family relationships/Domestic violence circumstance (FDV) indicator on the job seeker's record

See Accessing a PST-skilled social worker.

Consult with a PST-skilled SO5 or PST-skilled social worker if:

• the job seeker discloses a circumstance (not FDV), and
• help is needed to assess the impact of that circumstance upon their ability to comply with their current compulsory requirements

These consults can be used as evidence to support the addition or validation of most circumstances.

Minimum level of evidence

Only circumstances that have been impacted by meeting a minimum level of evidence can be used to determine a job seekers capability during the assessment. If a circumstance does not meet the minimum level of evidence and the job seeker:

• advises they have previously supplied evidence to support their circumstance, check the record, or
• believes they will be able to obtain evidence to support their circumstance, give them an opportunity to do so, or
• advises they are not able or are unwilling to provide evidence:
• update the circumstance status to 'Sometimes impacts ability to comply, requirements reasonable'
• record 'evidence yet to be provided to assess impact on compliance' in the 'Describe the circumstances' Free Text section
• advise the job seeker that their circumstance will not be able to be considered as directly or significantly impacting their capacity to comply with their requirements

Contact with the job seeker's provider or other third parties may also be required. Any contact with a specialist provider, or third party can be used as evidence and must be recorded on the Circumstances Impacting Compliance page.

Note: every reasonable attempt must be made to finalise the Capability Assessment at the job seeker's initial point of contact. A Capability Assessment can be placed on 'hold' if the job seeker:

• is unable to meet their mutual obligation requirements due to their circumstances, and
• given the opportunity, can provide evidence that supports the above. See Table 3

For more information on minimum evidence, see the Resources page of Circumstances impacting job seeker compliance.

Updating the circumstance

Record the job seeker's explanation of how a particular circumstance impacts their ability to meet their requirements. See Circumstances impacting job seeker compliance for how to update circumstances.

The text recorded must be relevant to all of the following:

• the circumstance
• the requirements the job seeker is having trouble complying with, and
• what requirements the job seeker feels they are still able to meet with regard to that circumstance

Record the date the circumstance started to directly impact the job seeker's ability to meet requirements, that is, the earliest known date the job seeker can identify as being impacted by the circumstance. If the date the circumstance began to impact is prior to the date the Capability Assessment is completed, record additional information to determine if the circumstance disclosed contributed to demerits accrued on or after that date.

Note: information on the Circumstances Impacting Compliance (BIJC) page is shared with the provider. To protect the job seeker's privacy, do not record sensitive, personal information. Seek guidance from a PST-skilled Social Worker about how to best document sensitive information (if required).

Recording capability to meet requirements

Where the minimum evidence requirement is met and there are requirement/s which the job seeker finds difficult to meet, consider the following:

• Which compulsory requirement/s are they finding it difficult to meet?
• How does the circumstance affect their ability to comply with the requirements?
• What is the reason?
• What dates/times can they attend?
• What kinds of activities could they complete?

Note: this information is recorded once the circumstance modal is completed. Use the Add icon that displays directly under the circumstance.

Select Save Impacted Requirement to confirm the information before assessing another requirement.

Does the Job Seeker Snapshot need to be completed?

• Yes, go to Step 9
• No, see Table 3

If the information recorded suggests the Job Seeker Snapshot should be reviewed, a message will display on the Circumstances Impacting Compliance page, with a prompt to Save and Exit the workflow to exit the Capability Assessment.

Run the Job Seeker Snapshot with the job seeker. Follow the workflow prompts to make sure they are in the appropriate service. See Step 6 in Table 4.

Once the Job Seeker Snapshot is completed, resume the Capability Assessment. This ensures any change in servicing occurs as part of the Capability Assessment outcome.

If:

• evidence is required to verify relevant circumstances, see Table 3
• a referral for an ESAt is required, see Step 3 in Table 3
• all circumstances have been identified, verified and assessed, see Table 5

Staff conducting Capability Assessments must:

• be satisfied that the circumstances disclosed by the job seeker are impacting their ability to meet the compulsory requirements in their Job Plan
• give the job seeker an opportunity to provide evidence to verify the circumstances disclosed (if required). This will result in the Capability Assessment being placed on hold while evidence is obtained

Request evidence only if it:

• is not already available on the record
• is relevant
• will change the outcome of the assessment

When evidence is required to verify circumstances and the job seeker advises they can obtain it, give them the opportunity to provide this. See Step 3 in Table 4.

Employment Services Assessments (ESAt) are required to ensure job seekers receive the most appropriate support to help them in their transition into employment based on their circumstances.

There are two types of ESAt: medical and non-medical.

To make a referral for a medical ESAt there must be medical evidence available.

Is there appropriate evidence available to support an ESAt referral?

• Yes, complete referral for ESAt, go to Step 4
• No, see Step 3 in Table 4

Before finalising the Capability Assessment with the outcome 'ESAt referral arranged', make a referral for an ESAt. To make a referral:

• use the Save and Exit function to save information already recorded. Select the reason 'check information not available in the workflow'. Exiting the workflow for this reason means:
• suspension is maintained
• contact trigger is maintained
• complete the Employment Services Assessment (ESAt) Referral

Once the referral for an ESAt is completed:

• resume the Capability Assessment
• check the outcome is 'Not Capable – ESAt referral arranged'
• finalise the Capability Assessment. Procedure ends here

An appropriate save and exit reason must be selected for Capability Assessments that cannot be completed due to:

• information outside the workflow needing to be checked, or
• another workflow/assessment needing to be completed

The reason selected also determines whether the:

• payment suspension and/or contact trigger is lifted, and
• completion of the Capability Assessment is suspended for a period of time or not

When:

• the call drops out or is disconnected (job seeker has not terminated the call deliberately), go to Step 2
• the job seeker is being asked to provide evidence, go to Step 3
• the job seeker is now exempt from compulsory requirements, go to Step 4
• the job seeker is unable to complete the Capability Assessment on the day of contact, go to Step 5
• information outside of the Capability Assessment needs to be checked or the Job Seeker Snapshot needs to be updated, go to Step 6
• system issues are preventing completion of the Capability Assessment, go to Step 7

This may happen when the job seeker agrees to participate in the Capability Assessment, but the call drops out, or is disconnected.

Note: this reason is different from when a job seeker refuses to participate in the Capability Assessment.

Attempt to re-engage the job seeker

• Make one outbound call attempt
• If this attempt is unsuccessful, exit the workflow using 'Call unexpectedly terminated'. This means the:
• payment will stay suspended
• contact trigger is maintained. The job seeker cannot report until the Capability Assessment is completed

To save and exit the Capability Assessment:

• select Save and Exit
• select the reason Call unexpectedly terminated
• Free Text field: explain why the Capability Assessment has not been able to be completed
• Review Date field: add today's date
• select Exit to exit the workflow
• select the Process Direct Home button in the menu bar, on the top left of the screen header, to exit the customer's record and access the Process Direct Landing page

Procedure ends here.

When the job seeker is asked to provide evidence that will likely effect the outcome, save and exit the Capability Assessment.

Assess the amount of time required to obtain and supply evidence on a case-by-case basis. This would generally be 2 business days, but no more than 14 calendar days, unless exceptional circumstances exist.

Encourage job seekers to submit their evidence using the Upload documents service.

When evidence has been requested, select Pending Evidence From Customer to exit the workflow. This means the:

• the payment suspension is lifted
• the contact trigger is released (for the current report only)

To save and exit the Capability Assessment:

• select Save and Exit
• select the reason Pending Evidence From Customer
• Free Text field: clearly document the evidence requested and the possible impact the evidence will have on the outcome (for example medical certificate required for ESAt referral)
• Review Date field: enter the agreed date the evidence is to be returned by
• select Exit to exit the workflow
• Errors (SWE) screen: select Assess
• Entitlement (ELD) screen: select Finish
• Finalise modal: record any further information and select Finalise
• assist the job seeker to finalise any outstanding reporting

Once the due date for evidence is reached, a contact trigger prevents the job seeker from reporting until the Capability Assessment is finalised.

Advise the job seeker if evidence is not provided by the due date:

• the Capability Assessment will be completed at their next contact. It will be based on the information available at that time. This may mean any additional support they require (for example an ESAt referral) cannot be arranged
• they may also move into the financial penalty zone and further non-compliance may result in a:
• reduction, or
• cancellation of their payment
• they may not be able to complete their outstanding reporting, see Step 4 in Table 7

The Capability Assessment is held for the duration of the exemption. Complete the assessment once the exemption has ended.

An automatic hold is placed on a pending Capability Assessment if the exemption is granted prior to commencing the Capability Assessment workflow.

Place a manual hold on the Capability Assessment when it has been commenced before the exemption has been granted.

To manually hold a Capability Assessment:

• Process Direct Landing page: select Customer Summary
• key the customer's CRN, select Go
• go to the Participation Compliance Hub (BIPCW) screen
• Outstanding compliance actions table: select Capability Assessment to access the Capability Assessment workflow
• Explain: the purpose of the Capability Assessment and read the privacy provisions
• Overview page: 'Is the assessment able to be completed now?' select
• Job seeker currently exempt, then
• Save and Exit
• use the reason Exemption Applied
• Free Text field: record details of the exemption period
• Review Date field: enter the exemption period end date (note this cannot exceed 14 weeks)
• select Exit to exit the workflow
• SWE screen: select Assess
• ELD screen: select finish
• Finalise Modal: record details of the exemption period

Exiting the workflow when the job seeker is exempt from compulsory requirements means:

• the job seeker's payment is restored
• the contact trigger is released allowing the job seeker to report (until the hold date has been reached)

Note: where the exemption is updated to end on a different date, access, save and exit the Capability Assessment workflow again. Update the Review Date field with the new exemption end date.

Procedure ends here.

Complete the Capability Assessment on the day the job seeker contacts (where possible). If the job seeker contacts and the assessment cannot be completed:

• ask them to call back by 12pm the next working day to complete it
• they will be deemed as having made arrangements to complete their Capability Assessment and considered as having met their re-engagement requirements

At the initial contact:

• explain the purpose of the Capability Assessment, and
• confirm with the job seeker that while on hold they heard the privacy statement and customer privacy provisions, and
• ask the job seeker if they require any further information

If the Capability Assessment is unable to be completed today, exit the workflow by selecting unable to complete today.

To save and exit the Capability Assessment:

• Overview page: 'Is the assessment able to be completed now?' select:
• Can't conduct assessment today
• Save and Exit
• use the reason Unable to Complete on Day of Contact
• Free Text field: record details of why the assessment cannot be conducted today
• select Exit to exit
• SWE screen: select Assess
• ELD screen: select Finish
• Finalise Modal: record the details of why the assessment cannot be conducted today

Exiting the workflow when the Capability Assessment is unable to be completed on the day of contact means the:

• payment suspension is lifted
• contact trigger is released (for the current report only)
• job seeker is notified of their requirement to call back the next business day to complete the assessment

Procedure ends here.

This option is used to save the information already gathered and recorded before exiting the workflow.

Exit the workflow to:

• check other information in the job seeker's record, or
• complete other actions like a referral for an ESAt, or
• update the Job Seeker Snapshot

Exiting the workflow for this reason means:

• the suspension is maintained, and
• the contact trigger is maintained

To exit the Capability Assessment to check information outside the workflow:

• select Save and Exit
• select the reason Check information not available within the workflow
• Free Text field: record any relevant information
• select Exit to exit the workflow
• select the Process Direct Home button in the menu bar, on the top left of the screen header, to exit the customer's record and access the Process Direct Landing page

Once these actions are completed, information can be checked outside the workflow. Resume the Capability Assessment workflow and complete it with the job seeker on the phone.

Only use this option if the job seeker contacts to have a Capability Assessment:

• before they are due to report, and
• system issues prevent it from being completed

Using this option will not:

• remove payment suspension
• allow the job seeker to report

To exit the Capability Assessment due to system issues:

• select Save and Exit
• select the reason Unable to complete - system issues
• Free Text field: record any relevant information
• Review Date field: enter the job seeker's next reporting date
• select Exit to exit the workflow
• select the Process Direct Home button in the menu bar, on the top left of the screen header, to exit the customer's record and access the Process Direct Landing page

For job seekers who are due to report or who have an outstanding report to complete, use the option 'Unable to complete on day of contact' when:

• a system issue prevents the Capability Assessment from being completed, and:
• the workflow has been checked to make sure all relevant details have been recorded, and/or
• there is an NNU advising records affected by the problem must be raised as an incident via Roxy, and
• the record has been reported to Roxy triage

Procedure ends here.

A capable outcome means the Capability Assessment:

• has not identified anything impacting the job seeker's ability to meet the compulsory requirements set out in the Job Plan
• the Job Plan is free from errors and the requirements contained within it are reasonable and appropriate to their capabilities

When the outcome of capable is sent back to the Provider and accepted, the job seeker will move into the financial penalty zone.

When the outcome of capable is reached, use the talking points presented in the workflow to reinforce:

• compliance with compulsory requirements
• making prior contact with the provider if unable to comply with requirements, and
• the consequences of further non-compliance with compulsory requirements

When a job seeker has repeatedly been non-compliant and in the penalty zone, they must demonstrate compliance for 3 active months before returning to the green zone. Active months refers to the period when a job seeker has mutual obligations requirements.

Financial Penalties

Job seekers in the penalty zone, who fail to meet their requirements without a reasonable excuse, will have a financial penalty applied, losing part or all of their payment.

A job seeker:

• can have a first and second mutual obligation failure applied in the same fortnight
• can self-accept a first and/or a second mutual obligation failure when they report
• cannot have a third mutual obligation failure applied in the same reporting period as their second failure
• cannot self-accept a third failure as part of their report

Reclaiming payment after a third mutual obligation failure

Job seekers who incur a third mutual obligation failure, will have:

• their payment cancelled, and
• a four week non-payment period applied

When the above occurs, the job seeker will need to re-claim payment.

For further information, see Targeted Compliance Framework financial penalties and payment cancellations.

See Table 7.

Important messages that must be discussed with the job seeker, will display at the end of the Capability Assessment workflow. This includes:

• clarifying the circumstances that were disclosed, a summary of how they are expected to impact, and anything the provider may need to follow up with the job seeker at their next contact
• reminding the job seeker their provider will contact to arrange an appointment to renegotiate the Job Plan
• confirming with the job seeker that they are still expected to meet the requirements they are capable of meeting and the importance of notifying their provider if their circumstances change
• discussing the return to the green zone, what that means for the job seeker and the consequences of further non-compliance

If the job seeker is not capable because:

• the Job Plan contains requirements that are inappropriate for the job seeker's current circumstances or capacity, go to Step 2
• the Job Seeker Snapshot was re-run during the Capability Assessment and resulted in a change in eligibility/level of service, go to Step 3
• a circumstance has been identified and it directly impacts recent non-compliance, go to Step 4
• an ESAt is required, go to Step 5
• an error exists in the current Job Plan, go to Step 6

If none of the above apply, see Table 7.

This is the appropriate outcome when the Capability Assessment:

• has identified new or updated existing job seeker circumstances directly affecting their ability to meet requirements in the current Job Plan, and
• contains job seeker circumstances that are verified with appropriate evidence, and
• clearly indicates the impact of the job seeker's circumstances mean they are unable to meet one or more requirements in their current Job Plan

When the ESS receives this Capability Assessment outcome, the job seeker will return to the green zone.

The provider receives the following information when this outcome is used:

• job seeker circumstances recorded/updated during the assessment
• the requirement(s) in the Job Plan that require change and the reasons why

When this outcome is received, providers are required to update the Job Plan within 10 business days.

Go to Step 7.

This is the appropriate outcome when the Capability Assessment:

• has identified a change in circumstances, and
• the Job Seeker Snapshot has been re-run during the Capability Assessment, and
• results in a system change to the level of service appropriate for the job seeker's assessed capacity

When this is the Capability Assessment outcome, the job seeker will return to the green zone.

The provider is advised of the job seeker circumstances recorded/updated during the assessment including description, impact and evidence.

Go to Step7.

This is the appropriate outcome when:

• the Capability Assessment has identified ongoing circumstances impacting compliance and these were not identified at the time of the most recent Capability Interview
• the impact of the job seeker's circumstances has been assessed and deemed as significant in terms of their ability to meet their requirements
• the job seeker's circumstances have been verified with appropriate evidence

When this is the Capability Assessment outcome, the job seeker will return to the green zone.

The provider will be advised:

• the job seeker circumstances recorded/updated during the assessment including description, impact and evidence
• sufficient and appropriate evidence has been recorded, confirming the job seeker circumstances

Go to Step 7.

This is the appropriate outcome when:

• the job seeker has been referred to either a non-medical or medical ESAt during the Capability Assessment, and
• appropriate action has been taken to arrange an ESAt appointment

When this is the Capability Assessment outcome, the job seeker will return to the green zone.

The provider will be advised:

• the job seeker circumstances recorded/updated during the assessment including description, impact and evidence
• the ESAt referral details

Go to Step 7.

This is the appropriate outcome when the Capability Assessment has:

• identified a requirement in the Job Plan that contains an error, and
• recommended how the Job Plan can be corrected by recording:
• which requirements need to be corrected or removed, and
• why the requirements need to be corrected or removed

When this is the Capability Assessment outcome, the job seeker is returned to the green zone.

The provider is advised of the:

• requirement(s) that needs to be adjusted/removed, and
• reason the change is required

When this outcome is received, providers must update the Job Plan within 10 business days.

Go to Step 7.

When a job seeker is returned to the green zone by the ESS after a Capability Assessment outcome of Not capable, any current demerits are reset to zero.

The provider is responsible for re-negotiating the Job Plan with the changed circumstances and related evidence being taken into consideration.

Prior to finalising the Capability Assessment, go to the Further Assessment page and answer the following questions:

• Is an ESAt required?
• Did you need to contact the provider during the assessment for any reason not already documented?

Record any action taken based on information discussed during the Capability Assessment. This includes but is not limited to:

• a tip-off is required as income has not been declared or circumstances the job seeker disclosed would affect rate of payment
• a claim for alternative payment or review of current entitlement is appropriate based on circumstances disclosed during the assessment or
• an exemption is required to be coded due to circumstances disclosed during the assessment

Complete the Further Assessment page of the Capability Assessment to include details of the PST staff completing the Capability Assessment.

• The system will automatically add the PST staff member's logon, surname and initial
• Manually add:
• the PST staff member's current position in the Free Text box
• the details of any staff (logon, surname, initial, position) consulted during the Capability Assessment, to the Position field on the Capability Assessment Outcome page
• the date the Capability Assessment was conducted

Before finalising the Capability Assessment:

• make sure the outcome recorded is appropriate to the circumstances presented by the job seeker during the assessment
• if there is uncertainty about the Capability Assessment outcome, consult with PST Virtual Support

After the workflow has been finalised, the Capability Assessment Outcome page will provide additional, relevant prompts for action required.

On completion of the Capability Assessment, update the stand alone Circumstances Impacting Compliance page:

• Go to the Further Action Required section
• Select the link to Existing circumstances impacting compliance requirement review to confirm they are up to date
• The Circumstances Impacting Compliance page will display

For further information, see Circumstances impacting job seeker compliance.

When ESS receives a Capability Assessment outcome, the re-engagement requirement to attend a Capability Assessment is automatically finalised.

If the job seeker has:

• complied with all outstanding reconnection requirements, ESS will automatically send an electronic transaction to lift the payment suspension
• other reconnection requirements that are still outstanding, for example as a result of failures committed after the Capability Assessment was triggered, payment will remain suspended until the reconnection requirement is met:
• go to the Participation Compliance Workflows Summary screen
• check the Completed/Provider to action table. If there is further outstanding compliance action with a status of Yet to meet requirement, advise the job seeker to contact their provider