Generating and preparing for a Comprehensive Compliance Assessment (CCA) 001-18030212

System will prompt to manually generate an Automatic CCA

The prompt 'The application of this failure will result in the generation of an automatic CCA. Based on the CCA guidelines in Operational Blueprint, does the CCA need to be generated immediately?’ appears on the Decision and Penalty page when:

• a non-attendance failure, connection, reconnection or No Show, No Pay failure is applied, and
• the PST-skilled Service Officer records verbal notification of a decision to apply one of these failure types, and
• the application of this failure would automatically trigger the generation of a CCA overnight

If the CDP participant is on the phone, the PST-skilled Service Officer should:

• immediately generate an Automatic CCA, and
• undertake the preparatory work for a CCA. For further information, see Table 2

If the CDP participant is no longer on the phone, the PST-skilled Service Officer should:

• allow the CCA to generate automatically overnight, and
• ensure all outstanding relevant compliance investigations are finalised where possible

Procedure ends here.

Identify most appropriate assessment pathway

A manual CCA referral may be initiated if there are indicators that a CDP participant may have circumstances impacting compliance and early intervention is required, prior to an automatic CCA, to gain a better understanding for their reason/s for non-compliance.

If new significant circumstances impacting compliance or personal factors not currently included in the Job Seeker Snapshot are identified, the Job Seeker Snapshot should be updated before making a decision to generate a manual CCA.

A manual CCA is not appropriate if there is a more appropriate alternative assessment referral pathway available: for example, a current and valid Employment Services Assessment (ESAt), or where an ESAt is already underway.

Is there another more appropriate referral pathway?

• Yes, refer to appropriate referral pathway. Procedure ends here
• No, navigate to the Participation Compliance Hub and select Generate Compliance Action to generate a manual CCA. See Table 2

Finalise Unemployment Non-Payment Periods (UNPP) and serious failures not related to persistent non-compliance.

• Finalise any outstanding UNPP investigations generated before the CCA
• Finalise any outstanding serious failure investigations for failing or refusing a suitable job offer

A CCA is not required where:

• A participation payment is not current (cancelled or suspended)
• The CDP participant has an exemption from their mutual obligation requirements for 13 weeks or more at the time the CCA was generated
• The CDP participant is serving an UNPP when the CCA is generated
• A provider generated manual CCA has been returned to the provider due to insufficient evidence or documentation to undertake as assessment
• A provider generated manual CCA has been withdrawn by the provider

Note: if an Automatic CCA has been triggered but one or more of the triggering failures has since been revoked, the Automatic CCA is still valid and must be completed, although a serious failure cannot be found to have occurred.

The Resources page contains further information about finalising invalid CCAs.

Is the CCA valid?

• Yes, go to Step 4
• No, go to Step 3

In the Comprehensive Compliance Assessment (CCA) workflow:

• Record the CCA as 'Invalid' on the Review Record page
• On the Decision and Penalty page:
• Tick the first 2 check boxes
• 'Was the pattern of non-compliance persistent?' - 'No'
• 'Were the circumstances unforeseen?' - 'Yes'
• 'What is the decision in relation to the Compliance Action' - 'Do Not apply the compliance action'
• Select the most appropriate rejection reason, see Rejecting a compliance action
• Record reason why decision made to reject the compliance action in the Please provide a summary of why this decision has been made: field
• Finalise CCA activity

For further information, see:

• Rejecting a compliance action
• Sending free text to providers when compliance action finalised

Procedure ends here.

Once contact with the CDP participant has been established, discuss:

• why the CCA has been generated
• that the CCA will be conducted by a CCA Specialist
• the purpose of the CCA is to:
• explore reasons for the pattern of non-compliance with mutual obligation requirements
• check that participation requirements are suitable
• identify how their circumstances directly affect their ability to meet their participation and mutual obligation requirements, and
• identify any additional assistance that may help with addressing the CDP participant’s issues
• that a potential outcome of the CCA is a serious failure (where applicable)

Note: CDP participants are welcome to have a support person of their choice present during the CCA, for example, a relative, friend or an advocate from a disability, mental health or community organisation.

See Step 1 in Table 3

CDP participants are unable to report following non-compliance with a CCA requirement.

Has the CDP participant contacted following non-attendance at a CCA and is unable to report?

• Yes, review the CCA details page to determine the appropriate CCA specialist and transfer the CDP participant for the CCA to be conducted. See Step 1 in Table 4
• No, go to Step 2

Where a CCA has been finalised, any further CCAs triggered within a 12 month period are referred to as Review CCAs. PST-skilled Service Officers must check on the CCA Details page in the CCA workflow if the outstanding CCA is a Review CCA before identifying the appropriate CCA specialist.

Is the CCA a Review CCA?

• Yes, go to Step 5
• No, go to Step 3

Is the CDP participant in receipt of Youth Allowance (job seeker)?

• Yes, go to Step 6
• No, go to Step 4

Where the Circumstance Impacting Compliance page identifies, or the CDP participant presents with the following circumstances and it is not a review CCA:

• Medical condition - mental health
• Family relationship/Domestic violence

These CDP participant’s must be assessed by a PST-skilled social worker.

CDP participants may also disclose information suggesting they are in crisis and there are exceptional circumstances identified indicating social work assessment skills are required during the CCA. These CDP participants must be referred to a PST-skilled social worker to undertake the assessment when the CCA is not a review CCA.

Is the CDP participants in crisis, presenting with or have circumstances recorded on the Circumstances Impacting Compliance page indicating mental health conditions or family relationship/domestic violence, or has exceptional circumstances identified which require social work assessment skills?

• Yes, go to Step 6
• No, go to Step 5

Transfer CDP participant to the PST RJCP CCA phone queue.

Go to Step 7.

Transfer CDP participant to the PST SWO CCA queue.

For more information, see Accessing a PST-skilled social worker for consultation, general referral or a Comprehensive Compliance Assessment (CCA).

Go to Step 7.

Ensure that the reasons for selecting the CCA Specialist and delivery channel are recorded on the CCA Details page.

The purpose of recording this information is to ensure that there is enough information available for the CCA Specialist to accurately complete the CCA Report.

See Step 1 in Table 4.

The Service Officer needs to decide if the CDP participant should be immediately transferred to the identified CCA Specialist queue or issued with a deferred contact notice to call by midday on the following business day.

To make this decision consider:

• current CCA specialist availability based on queues and the time of day that the intended notice is to be given
• circumstances/other appointments or requirements the CDP participant needs to attend to (for example, collecting children from school or day care)
• the availability of a support person the CDP participant would like to attend the CCA with them
• the CDP participant’s ability to access a telephone the next business day

Note: immediate referral for a CCA should only be considered in exceptional circumstances after 4:30pm in the CDP participant’s time zone.

From the 'Select type of notification' options on the CCA Details page record either:

• Notice for immediate handoff - CCA to be conducted by phone
• Deferred contact notice - CCA to be conducted by phone

Ensure that the CDP participant understands:

• the purpose of the CCA
• attendance at the CCA is a compulsory mutual obligation requirement
• non-attendance may result in their payment being stopped

Specific information that needs to be given to the CDP participant will depend on whether the CCA will be conducted immediately, or if the CDP participant is issued with a deferred contact notice.

Use the information displayed for the type of notification option selected on the CCA Details page in the CCA workflow to ensure the CDP participant receives proper notification of the CCA requirement.

If a CDP participant will be immediately transferred, the notice includes:

• they will now be transferred to a specialist to undertake the CCA
• what to do if the call is disconnected prior to or while speaking to the specialist
• the consequences of not undertaking the CCA or calling back if disconnected

A deferred contact notice includes:

• the number the CDP participant is required to call
• when the CDP participant needs to call by
• the consequences of not calling by the required time, and
• the requirement to contact if they cannot comply with the requirement

On the CCA Details page record the date the CCA is expected to be conducted.

• For immediate transfer, record today's date
• For deferred contact notice, record the next business day

Is the CDP participant is to be issued with a:

• notice for an immediate handoff, go to Step 4
• deferred contact notice, go to Step 3

Where the decision has been made to issue a deferred contact notice, Participation Solutions Team (PST)-skilled Service Officers should ensure the CDP participant is able to report and not delay receipt of their payment as a direct result of the deferred contact notice issued.

Is the CDP participant required to report?

• Yes, on the Customer contact page respond to the question 'What method of contact was used to contact the customer':
• record Unsuccessful contact on reporting day
• advise the CDP job seeker they can now report after the phone call is finished
• go to Step 4
• No, go to Step 4

The CCA Details page should include specific information to support action if a CDP job seeker fails to attend the CCA and information to support the CCA Specialist undertaking the CCA.

In the Please provide any additional information to support the conduct of the CCA: field record:

• the factors that influenced the decision to stream to the type of CCA Specialist and why the delivery channel was chosen
• any relevant information such as any issues identified that are not already on the customer's record, and
• any other information that would be useful for the CCA Specialist

Select Continue to confirm the information recorded and move onto the Customer Contact page.

Select Exit to save and exit the workflow.

The save and exit reason will depend on the type of CCA that will be conducted.

See the Resources page for save and exit reasons.

Is the CDP participant currently in a reconnection failure period?

• Yes, go to Step 6
• No, go to Step 7

When formal notification is given to the CDP participant of the requirement to attend a CCA, any outstanding reconnection failure periods are to be ended.

When ending a reconnection failure period where the reconnection requirement was attendance at a provider appointment, cancel the provider appointment in the Online Diary in Process Direct by selecting Cancel then select the cancellation reason 'Alternate re-engagement arranged (CCA)'.

Note: cancelling the appointment will automatically end any reconnection penalty period currently accruing from the system date minus one day.

Where a CCA is triggered and there is an outstanding Non Attendance Report (NAR), the system will auto finalise the NAR and cancel any reconnection appointment made for the CDP participant by their provider.

Where a CCA is generated:

• any outstanding Non-Attendance Report (NAR) will be automatically finalised once the CCA requirement has been notified, including ending any non-attendance failure penalty where one has been applied in the same sequence of events
• all other outstanding non-attendance failure, connection, reconnection and Non Show, No Pay (NSNP) compliance investigations will be automatically rejected