Chapter 12. Targeted Compliance Framework and Mutual Obligation Failures

Supporting Documents for this Chapter:

• ‘Compliance Action No Longer Appropriate’ reason optionssign-in required (sign-in required)

• Resolution Time, Demerit, Payment Suspension and Payment Restoration Triggerssign-in required (sign-in required)

• Manual Demerit removal optionssign-in required (sign-in required)

• Reporting 60 hours of Paid Work - Provider Fact Sheetsign-in required (sign-in required)

• ‘Re-engagement Not Required’ reason optionssign-in required (sign-in required)

• ’Rescheduled’, ‘No-Longer Required’ and ‘Requirement no longer needs to be met’ reason optionssign-in required (sign-in required)

• ‘Unable to Re-engage Within 2 Business Days’ reason optionssign-in required (sign-in required)

• Valid Reason assessment optionssign-in required (sign-in required)

12.1. Chapter OverviewCopy citation · §12.1

This Chapter:

• provides information about the Targeted Compliance Framework (TCF) and outlines how it applies to Participants in Workforce Australia Services.

• describes what happens when Participants commit Mutual Obligation Failures and Work Refusal Failures and how Providers are to respond. This includes guidance on impacts for new Participants to employment services, assessing reasons for failures and ensuring the accurate and timely reporting of outcomes against Participant’s Mutual Obligation Requirements.

• provides information about Capability Interviews and Capability Assessments and related processes. These capability reviews are key components of the TCF that provide safeguards for Participants to determine whether their Job Plan and Mutual Obligation Requirements are suitable.

• explains the Provider’s obligations under the Deed.

• provides information on the pause of Mutual Obligation Requirements under exceptional circumstances.

12.2. Targeted Compliance FrameworkCopy citation · §12.2

The Secretary of the Department (the ‘Employment Secretary’ under Social Security Law) took a decision on 5 and 6 March 2025 to pause some parts of the TCF, while legal and IT assurance reviews are underway.

Formal responsibility for administering the TCF sits with the Employment Secretary. Various decisions and functions have been delegated to officers of the Department, Services Australia, and Personnel engaged by Providers. As such, the Department and Providers are jointly responsible for administering this framework in accordance with the systems and guidelines developed by the Department.

In taking these decisions, the Secretary has considered her current level of confidence in how the system, and decision-making processes within the system, are operating and the impact of these decisions on Participants. Of critical importance is that people subject to the TCF are often our most vulnerable, including those who are homeless, First Nations people and people with disability.

While this is being resolved, Participants will not have their payments:

• reduced for persistently failing to meet their mutual obligations requirements (as applied under 42AF(2)(c) of the Social Security (Administration Act) 1999 (the Act);

• cancelled for failing to meet their mutual obligations requirements (as applied under 42AF(2)(d)) of the Act;

• cancelled or have a 4-week time preclusion period applied (not being able to apply for or receive a social security payment) for an ‘unemployment failure’ (as defined in 42AE and applied under 42AH of the Act); and

• cancelled where a person has not complied with a ‘reconnection requirement’ within 4 weeks after being notified of that requirement (as applied under 42AM of the Act).

The information below has been updated to reflect these decisions.

For further information on the specifics of these recent decisions, please see the DEWR website: Assuring the integrity of the Targeted Compliance Framework.

The TCF is designed to encourage Participants to engage with their Provider, take personal responsibility for managing and meeting their Mutual Obligation Requirements, actively look for work and improve their employment prospects. Participants commit Mutual Obligation Failures when they fail to comply with their Mutual Obligation Requirements.

Under the TCF, a Participant’s Income Support Payment may be:

• suspended if they commit a Mutual Obligation Failure

• suspended and/or cancelled if they commit a Work Refusal Failure (that is, they refuse or fail to accept an offer of suitable employment, subject to certain exceptions).

12.2.1. Provider ObligationsCopy citation · §12.2.1

The Provider’s main obligations relating to the TCF are set out in Chapter B4 – Participant Requirements and Compliance of the Deed. In summary, the TCF obligations of the Provider include:

• assessing a Participant’s capability to record/report their own participation (and reviewing their capability as required). For more information on how to assess a Participant’s capability to self-report their participation and how to record this in the Department's IT Systems, refer to Determining if a Participant can accurately record and report their participation online

• making sure the Participant’s Mutual Obligations Requirements and Points Requirement (including Job Search Requirement, where applicable) are suitable and tailored to their personal circumstances and commitments (see the Job Plan and Mutual Obligation Requirements Chapter for more information)

• actively monitoring and recording each Participant’s compliance with their Mutual Obligation Requirements

• timely and accurate recording in the Department's IT Systems when a Participant has committed a Mutual Obligation Failure or Work Refusal Failure.

Training

Provider staff must successfully complete all mandatory TCF training identified on the Targeted Compliance Framework page, on the Learning Centresign-in required (sign-in required), at least every 12 months.

(Deed Reference(s); Clauses 56.3, 97.1)

12.2.2. The 3 zones of the Targeted Compliance FrameworkCopy citation · §12.2.2

The TCF comprises 3 zones for Participants:

• Green Zone

• Warning Zone

• Penalty Zone.

The key things that determine if a Participant moves from one zone to another are:

• they accrue a Demerit when a Mutual Obligation Failure is applied

• how many Demerits they accrue in a particular period

• the outcomes of any Capability Assessments.

IMPORTANT NOTE: Although the Penalty Zone is still reflected in the Department’s IT Systems, the application of financial penalties in the Penalty Zone of the TCF has been paused. Payment suspensions for missed requirements may continue to apply. See Penalty Zone below for more information.

For a diagram illustrating the 3 zones in the TCF, see Attachment 12A – Overview of the Targeted Compliance Framework.

The Green Zone

All new Participants begin in the Green Zone when they commence in employment services. They remain in this zone as long as they do not commit any Mutual Obligation Failures without a Valid Reason.

Following a Capability Assessment with Services Australia, the Participant is moved back to the Green Zone by the Department with their Demerits reset to zero.⁵

The Warning Zone

When a Participant in the Green Zone accrues a Demerit, they move into the Warning Zone.

Moving into the Warning Zone helps to reinforce the importance of meeting Mutual Obligation Requirements and discourages Participants from committing any further Mutual Obligation Failures.

Each Demerit lasts for 6 active months, after which it automatically expires in the Department’s IT Systems.

The term ‘6 active months’ generally means 182 days, but the period is prolonged for any time the Participant is in a penalty period or has an Exemption (up to a maximum of 12 months).

Participants are required to participate in capability reviews once they have accrued 3 and 5 Demerits in a 6 active month period:

• at 3 Demerits, they will attend a Capability Interview with their Provider. The outcome of a Capability Interview determines whether the Participant will remain in the Warning Zone or go back to the Green Zone with their Demerits reset to zero.

• at 5 Demerits, they will participate in a Capability Assessment with Services Australia. Following the Capability Assessment, the Participant will go back to the Green Zone with their Demerits reset to zero.

At any time, a Participant may also be fast-tracked to the relevant capability review if they commit a ‘fast-track’ Mutual Obligation Failure.

While in the Warning Zone a Participant may have a Payment Suspension applied until a Reconnection requirement is met (see Reconnection Requirements below).

The Penalty Zone

The Penalty Zone is still reflected in the Department’s IT Systems, however the application of financial penalties in the Penalty Zone of the TCF has been paused.

After the fifth demerit, Participants will still undergo a Capability Assessment with Services Australia.

This is an important check to ensure a Participant is able to meet the requirements of their Job Plan and is given an opportunity to provide any other information relevant to their participation.

If a Participant is found to be capable of meeting their Mutual Obligation Requirements at the Capability Assessment, as the Penalty Zone no longer applies, they will be returned to the Green Zone by the Department (this will occur overnight), and their Jobs Plan will continue to apply. Providers should not report non-compliance to Services Australia for Participants who are being returned to the Green Zone.

12.2.3. Recording participation by close of businessCopy citation · §12.2.3

Providers must schedule Engagements in each Participant’s Electronic Calendar. Providers must schedule all Mutual Obligation Requirements, except the Participant's requirement to:

• report adequate Points Requirements, including Job Search efforts

• enter into a Job Plan, or

• action a Job Referral task or job opportunity.

Providers must confirm and/or record participation against each Mutual Obligation Requirement scheduled in a Participant’s Electronic Calendar. Providers must do this no later than close of business on the day that the Mutual Obligation Requirement is scheduled to occur in the Participant’s Electronic Calendar. Failure to do so could result in incorrect suspension of a Participant’s Income Support Payment.

With the exception of reporting attendance at a Provider Appointment, if an outcome is not recorded by close of business on the same day the requirement was scheduled, the Department’s IT Systems will automatically suspend the Participant’s Income Support Payment after 5 Business Days.

If, within that 5 Business Day period, the Participant:

• makes contact with their Provider to report their participation or

• gives a Valid Reason for the Mutual Obligation Failure, or

• meets a Reconnection Requirement, and

• this is recorded in the Department’s IT Systems,

the Participant’s Income Support Payment will not be affected.

Although a Participant does not necessarily accrue a Demerit for failing to record their participation against a Mutual Obligation Requirement, they may accrue a Demerit if they did not attend or participate in the Mutual Obligation Requirement, including if they failed to give prior notice to their Provider of their inability to meet the requirement when it was reasonable to expect them to do so. See the Resolution Time, Demerit, Payment Suspension and Payment Restoration Triggers supporting documentsign-in required (sign-in required) for information on the circumstances in which a Participant will accrue a Demerit.

(Deed Reference(s): Clauses 104.3, 104.4, 104.5, 105.1, 140, 143 and 144, and Section B2.6)

12.2.4. Committing Mutual Obligation FailuresCopy citation · §12.2.4

Where a Participant commits a Mutual Obligation Failure, their Income Support Payment may be suspended, and they accrue a Demerit if they do not have a Valid Reason.

The term ‘Mutual Obligation Failure’ has the same meaning as ‘mutual obligation failure’ in section 42AC of the Social Security (Administration) Act 1999.

A Participant will commit a Mutual Obligation Failure if they:

• fail to enter into a Job Plan

• fail to attend, or be punctual for, an appointment that they are required to attend

• fail to attend, be punctual for, or participate in an Activity that they are required to attend

• fail to comply with their Points Requirement each Points Reporting Period

• act in an inappropriate manner:

  • during an appointment that they are required to attend, or

  • while participating in an Activity that they are required to attend

• intentionally act in a manner that could reasonably foreseeably result in an offer of paid work not being made to them

• fail to:

  • attend and participate appropriately at a job interview, or

  • act on a job referral or job opportunity when requested to do so by their Provider.

(Deed Reference(s): Clauses 138, 139, 140, 145 and 146)

Note: Providers must not use or threaten to use the TCF to request pay slips or other proof of employment from a Participant. Providers may request that a Participant supply pay slips or other proof of employment, but Participants are under no obligation to supply evidence of employment.

Missed Requirements that do not result in a Mutual Obligation Failure

All Participants new to employment services will not have compliance applied the first time they do not meet their Mutual Obligation Requirement. Instead, they will be given a warning. The Department’s IT Systems will identify those new to employment services and, when a Did Not Attend - Invalid (DNAI) or Unsatisfactory Assessment is recorded, will send a warning via their preferred notification method. This warning reminds them:

• where they can find information about their requirements,

• to contact their Provider if they are having difficulty understanding or meeting their requirements, or they require a referral to support services and

• that on this occasion no compliance action will be taken in relation to their payment.

If a Participant makes contact with the Provider within 5 Business Days of the non‑compliance event date to discuss their reason for not meeting the requirement, and a Valid Reason is accepted for the Mutual Obligation Failure, the Provider will be able to reset the warning. Resetting the warning will enable the Participant to receive the warning for their next eligible failure. For more information see KB0017631 - IT Task Card – Compliance - Resetting the Compliance Warningsign-in required (sign-in required).

Where contact is made with the Participant after 5 Business Days, and you accept the Valid Reason for not meeting the requirement, Providers must submit a request within 28 calendar days of the non-compliance event date through Question Manager to have the warning reset.

However, where a Participant new to employment services does not attend their Initial Appointment with their Provider or behaves in such a way the Appointment cannot be completed or does not agree to a Job Plan, compliance action will apply.

Participants who fail to meet their first Points Requirement will still receive the "Light Touch" Reconnection for their next Points Based Failure. For more information see Light Touch Reconnection for a Points Based Failure.

Participants who advise they are undertaking 60 hours paid work in a Points Reporting Period (equivalent to 30 hours per fortnight) will generally not have compliance action applied for non-attendance at a Provider Appointment. Providers must not schedule compellable Provider Appointments at times they know a Participant is undertaking paid work.

See Reporting 60 hours of paid work and Targeted Compliance Framework Reference Guidesign-in required (sign-in required).

Fast-track Mutual Obligation Failures

Particular types of Mutual Obligation Failures are referred to as ‘fast-track’ Mutual Obligation Failures because they can result in a Participant having a Capability Interview or Capability Assessment more quickly than would otherwise be the case.

Fast-track Mutual Obligation Failures apply to all Participants who have an obligation to look for work.

A fast-track Mutual Obligation Failure occurs when a Participant:

• fails to attend or participate appropriately at a scheduled job interview, or

• fails to act on a job referral or job opportunity when requested to do so by their Provider.

If a Participant has:

• fewer than 3 Demerits when they incur a Demerit for a fast-track Mutual Obligation Failure, the Department’s IT Systems will automatically increase the number of Demerits to 3, or

• either 3 or 4 Demerits when they commit a fast-track Mutual Obligation Failure, the Department’s IT Systems will automatically increase the number of Demerits to 5.

Prior notice and Acceptable Reasons

If a Participant notifies the Provider, before the scheduled start time for a Mutual Obligation Requirement, that the Participant is unable to comply with their Mutual Obligation Requirement, the Provider must then assess whether the Participant’s reason for being unable to comply with the Mutual Obligation Requirement is an Acceptable Reason.

Providers must consider the necessity of scheduling a requirement over any confirmed Personal Events in the Calendar because a Personal Event is considered prior notice of a Participant’s inability to attend requirements (see Scheduling Mutual Obligation Requirements in the Participant’s Electronic Calendar).

In some limited circumstances, the Provider may need to schedule a requirement for the same time as a Participant’s confirmed and scheduled Personal Event. In this case the Provider must discuss with the Participant whether it is appropriate to record the Mutual Obligation Requirement. The Provider must ensure the Participant has been sufficiently notified and is able to make other arrangements for the Personal Event. Finally, the Provider will be required to record the reason for their assessment that it was appropriate to book the requirement over the event. Participants must not be asked to give up paid work to meet requirements.

The Provider must determine a Participant has an Acceptable Reason if:

• the Participant notified the Provider, before the scheduled start time for a Mutual Obligation Requirement, that the Participant is unable to meet the Mutual Obligation Requirement; and

• the Provider is satisfied that the Participant has a Valid Reason for being unable to meet the Mutual Obligation Requirement.

Note: If the Participant missed a requirement in the past, this is a decision on whether they had a Valid Reason. If the Participant can’t meet a requirement in the future, this is a decision on whether they have an Acceptable Reason. The nature of the Acceptable Reason is determined using the same considerations as for Valid Reason.

Note: a person notifying that they will be working at the time of a requirement is generally considered an Acceptable Reason.

In determining a Valid Reason, the Provider must be satisfied that the reason given by the Participant:

• would directly prevent the Participant from meeting the Mutual Obligation Requirement at the time the Mutual Obligation Requirement is scheduled to occur

• would be considered to be reasonable by a member of the general public

• aligns with the Participant’s personal circumstances as known by the Provider, and

• could not have reasonably been given prior to their inability to meet the requirement.

See the Valid Reason assessment options supporting documentsign-in required (sign-in required), for guidance on what reasons can be accepted or not accepted as a Valid Reason.

The exception to the above is discussed below in Drug and Alcohol Dependency or Misuse.

If the Provider is satisfied that the Participant has an Acceptable Reason, they must reschedule or remove the scheduled Mutual Obligation Requirement from the Electronic Calendar.

• System step — Where a Provider has a Deed obligation to reschedule or remove a Mutual Obligation Requirement, the Provider must select ‘No Longer Required’ or ‘Rescheduled’ (as appropriate) in relation to the Mutual Obligation Requirement in the Participant’s Electronic Calendar. This will either remove the Mutual Obligation Requirement from the Participant’s Electronic Calendar or allow the Mutual Obligation Requirement to be rescheduled in the Participant’s Electronic Calendar.

  System step — If the Mutual Obligation Requirement in question is a requirement to attend a job interview or act on a job opportunity the Provider must select ‘No Longer Required’ and also select from the drop-down menu the description of the relevant Acceptable Reason which is most similar to the Participant’s Acceptable Reason as they described it to the Provider.

  System step — If the Participant provides an Acceptable Reason for not being able to meet their monthly Points Requirement, the provider should select ‘No Longer Required’ and also select from the drop-down menu the description of the relevant Acceptable Reason which is most similar to the Participant’s Acceptable Reason as they described it to the Provider.

  System step — A full list of these drop-down menu options can be found in the ‘Rescheduled’, ‘No-Longer Required’ and ‘Requirement no longer needs to be met’ reason options supporting documentsign-in required (sign-in required).

If the Provider is not satisfied that the Participant has an Acceptable Reason for being unable to satisfy the future Mutual Obligation Requirement, the Provider must tell the Participant why. The Provider must then remind the Participant that they are still expected to meet this Mutual Obligation Requirement and must remind them about the potential consequences of non‑compliance. The Provider must provide support and information to assist the Participant to meet their Mutual Obligation Requirement. If the Participant then does not meet their Mutual Obligation Requirement, the Provider must comply with the obligations set out in the Assessing Valid Reasons section.

(Deed Reference(s): Clause 144 and Section B4.3)

Misconduct—Acting in an inappropriate manner

Particular types of Mutual Obligation Failures are referred to as ‘misconduct’ in the Department’s IT Systems. The circumstances in which the Provider must select ‘misconduct’ are described in the When the Participant does not have a Valid Reason section.

Misconduct refers to:

• inappropriate behaviour by the Participant:

  • during an Appointment they were notified about and required to attend as part of their Mutual Obligation Requirements, or

  • while participating in an Activity they were notified about and required to undertake as part of their Mutual Obligation Requirements, or

• behaviour by a Participant, during a job interview, that could, or did, result in an offer of Employment not being made.

A Provider must determine that a Participant’s behaviour involved ‘misconduct’ in the circumstances described above when the Participant’s behaviour during the relevant appointment, Activity or job interview:

• was within the Participant’s control

• prevented the purpose of the relevant appointment, Activity or job interview from being met, and

• would be judged by a reasonable person as being inappropriate in the circumstances.

This behaviour may include:

• dressing in a way that is clearly inappropriate for the relevant appointment, Activity or job interview

• using offensive language during the relevant appointment, Activity or job interview

• showing an obvious lack of interest in the relevant appointment, Activity or job interview to the extent that it prevents participation

• exaggerating the severity of an existing injury or illness to avoid fully participating in the relevant appointment, Activity or job interview

• leaving the relevant appointment, Activity or job interview before its completion.

Behaviour that appears to be inappropriate but is out of the Participant’s control must not be determined by a Provider to be misconduct. For example, a Participant may act in an inappropriate manner because they:

• do not have appropriate clothes to wear to the relevant appointment, Activity or job interview

• are affected by a significant personal crisis

• are affected by a medical condition.

12.2.5. Participant contactCopy citation · §12.2.5

Contact attempt required on same Business Day

The Provider must attempt to contact the Participant on the same Business Day they become aware that the Participant has missed a Mutual Obligation Requirement (except in the specific circumstances outlined in Contact attempt not required).

Where the Provider is able to make contact with the Participant, the Provider must discuss the reasons for the missed requirement so they can determine whether a Mutual Obligation Failure has actually occurred, and if so whether they have a Valid Reason.

Where the Provider establishes a Valid Reason for non-compliance, a Mutual Obligation Failure must not be reported in the Department’s IT Systems.

If the Provider cannot establish a Valid Reason for the non-compliance the Provider must determine if a Reconnection Requirement should be set for the Participant.

Where the Reconnection Requirement is a Capability Interview, the Provider must schedule a Capability Interview in accordance with the processes detailed in the Scheduling a Capability Interview section.

See Assessing Valid Reasons and the Valid Reason assessment options supporting documentsign-in required (sign-in required) for more information on Valid Reasons.

(Deed Reference(s): Clauses 138, 139, 140, 145.1 and 146)

Contact attempt not required

The Provider is not required to contact the Participant if a Mutual Obligation Failure has occurred because the Participant:

• failed to report sufficient tasks to meet their Points Target and/or Job Search Requirement by the end of their Points Reporting Period, or

• failed to enter into a Job Plan after being notified to do so.

In these instances, the Provider should wait for the Participant to make contact.

In most instances for these failures, the Department’s IT Systems apply a confirmed Demerit and set the Reconnection Requirement for the Participant. Where a Capability Interview is required, the Provider must wait for the Participant to make contact and schedule the Capability Interview as the Reconnection Requirement. For more information see Capability Interviews.

(Deed Reference(s): Clause 145)

Contact attempt not successful

When the Provider attempts to contact the Participant in accordance with the above obligation and the attempt is not successful, the Provider must record they are not in contact with the Participant and select ‘Did Not Attend—Invalid’ for attendance-based failures, or ‘Unsatisfactory’ for assessment-based failures in relation to the relevant Mutual Obligation Requirement. Doing so will create a pending Demerit on the Participant’s record and the Participant’s Income Support Payment will be automatically suspended in 5 Business Days if the Participant does not make contact or does not meet a Reconnection Requirement (where the Participant does not have a Valid Reason).

If the Provider is contacted by the Participant to discuss the Mutual Obligation Failure, the Provider must discuss with the Participant their reasons for the Mutual Obligation Failure, assess whether the Participant has a Valid Reason, comply with the obligations set out in Assessing Valid Reasons, and if the Provider:

• assesses that the Participant has a Valid Reason, record in the Department’s IT Systems that the Participant has a Valid Reason and comply with the obligations set out in When the Participant has a Valid Reason, or

• assesses that the Participant does not have a Valid Reason, set an appropriate Reconnection Requirement for the Participant in accordance with Reconnection Requirements.

See the Resolution Time, Demerit, Payment Suspension and Payment Restoration Triggers supporting documentsign-in required (sign-in required).

Five Business Day Resolution Time

The purpose of Resolution Time is to allow Participants 5 Business Days to contact their Provider, to discuss and—when possible—resolve the Mutual Obligation Failure, before a Participant’s payment is impacted.

During the 5 Business Days Resolution Time, the Provider must be available to engage with Participants who make contact to discuss the Mutual Obligation Failure.

During this discussion, the Provider must determine whether the Participant has a Valid Reason for the Mutual Obligation Failure and must immediately record this assessment in the Department’s IT Systems. As a result of this assessment:

• If the Provider records the Participant has a Valid Reason, the payment suspension will be avoided.

• If the Provider records the Participant does not have a Valid Reason, the Participant must meet a Reconnection Requirement to avoid payment suspension.

See Assessing Valid Reasons and Reconnection Requirements.

Notifications to Participants of Mutual Obligation Failures

When the Provider records in the Department’s IT Systems that a Participant has committed a Mutual Obligation Failure, the Department’s IT Systems sends the Participant a notification on the Provider’s behalf to advise them:

• it appears they have failed to meet a Mutual Obligation Requirement

• to contact their Provider as soon as possible, and

• their Income Support Payment may be suspended after 5 Business Days have passed if they take no further action.

The automatic notification only occurs if the Participant has SMS or email details recorded in the Department’s IT Systems for automatic notification.

If the Participant does not have SMS or email details recorded in the Department’s IT Systems for automated notification, the Provider must send the notice prepared by the Department’s IT Systems to the Participant’s postal address on the same day the Provider records in the Department’s IT Systems that the Participant has committed a Mutual Obligation Failure.

(Deed Reference(s): Clause 115, sections B4.2 and B4.3)

Five Business Days Resolution Time have passed since the Provider recorded the Mutual Obligation Failure in the Department’s IT Systems

If the Participant does not resolve the non-compliance within 5 Business Days by providing a Valid Reason or meeting a Reconnection Requirement, the Department’s IT Systems will automatically suspend the Participant’s Income Support Payment once 5 Business Days have passed.

When the Participant’s Income Support Payment is suspended, the Department’s IT Systems sends them a notification advising:

• that their Income Support Payment is suspended

• why their Income Support Payment is suspended

• what they must do for the Income Support Payment suspension to be lifted, and

• to contact their Provider as soon as possible.

If the Participant does not have SMS or email details recorded in the Department’s IT Systems for automated notification, the Provider must send the notice prepared by the Department’s IT Systems to the Participant’s postal address on the same day on which that 5 Business Day timeframe ends.

A Participant’s Income Support Payment will normally remain suspended until they meet a Reconnection Requirement or until the Provider records a Valid Reason in the Department’s IT Systems. Income Support Payments will be cancelled by Services Australia if the Participant fails to meet a Reconnection Requirement within 28 calendar days of it being notified to the Participant.

(Deed Reference(s): Clause 115, sections B4.2 and B4.3)

12.2.6. Assessing Valid ReasonsCopy citation · §12.2.6

As referred to in Contact attempt required on same Business Day and Contact attempt not successful, Providers must assess whether a Participant has a Valid Reason for a Mutual Obligation Failure. If the Provider records in the Department’s IT Systems that the Participant:

• has a Valid Reason for a Mutual Obligation Failure, the pending Demerit on their record relating to that Mutual Obligation Failure will be removed, or

• does not have a Valid Reason, the Demerit will be confirmed.

See the Resolution Time, Demerit, Payment Suspension and Payment Restoration Triggers supporting documentsign-in required (sign-in required) for information on the circumstances in which a Demerit (pending confirmation) will be confirmed or removed from the Participant’s record.

A Provider must determine the Participant has a Valid Reason for a Mutual Obligation Failure when the Provider is satisfied that the reason the Participant provided:

• directly prevented the Participant from meeting the Mutual Obligation Requirement at the relevant time that the Mutual Obligation Failure occurred

• would be considered to be reasonable by a member of the general public, and

• aligns with their personal circumstances as known by the Provider.

The exception to the above is discussed below under Drug and alcohol dependency or misuse.

(Deed Reference(s): Clauses 138, 144 and 145)

Drug and alcohol dependency or misuse

There are limits on the circumstances in which a Provider can determine that a Participant’s drug or alcohol misuse or dependency is an Acceptable Reason or a Valid Reason for a Mutual Obligation Failure.

Acceptable and Valid Reason determinations are discussed in Prior Notice and Acceptable reasons and Assessing Valid Reasons.

Subject to those Sections, the first time a Participant cites drug or alcohol misuse or dependency as the reason they are not able to meet an upcoming Mutual Obligation Requirement or have committed a Mutual Obligation Failure, the Provider may determine this is an Acceptable Reason or a Valid Reason, respectively.

If the Provider determines that a Participant’s drug or alcohol misuse or dependency is an Acceptable Reason or a Valid Reason, the Provider must identify and source an available and appropriate treatment program and must encourage the Participant to participate in that program. Participation in treatment services to address drug or alcohol misuse or dependency may reduce other Mutual Obligation Requirements. See Mutual Obligation Requirements for more information on setting Mutual Obligation Requirements.

If a Participant cites drug or alcohol misuse or dependency as the reason they are not able to meet an upcoming Mutual Obligation Requirement or have committed a Mutual Obligation Failure, the Provider must not determine this is an Acceptable Reason or a Valid Reason (as relevant) if:

• the Provider previously determined that the Participant’s drug or alcohol misuse or dependency was an Acceptable Reason or a Valid Reason, so the relevant upcoming Mutual Obligation Failure was rescheduled or the relevant Mutual Obligation Failure did not result in a Demerit

• the Provider referred the Participant to available and appropriate treatment to address the drug or alcohol misuse or dependency

• the Participant refused or deliberately failed to participate in the treatment, and

  unless one of the following exceptions applies:

• the treatment that the Participant was referred to was not available or appropriate for the Participant

• the Participant was genuinely unable to participate in the treatment

• the Participant agreed to participate in the treatment but, despite taking all reasonable steps to commence the treatment, the treatment did not commence, or

• before the Participant was referred to the treatment, the Participant had:

  • completed the same type of treatment as the treatment they were referred to, or

  • completed treatment that was substantially similar to the treatment they were referred to and, in the opinion of an appropriately qualified medical professional, the Participant would not benefit from further treatment of the same kind as the type of treatment already completed by the person.

(Deed Reference(s): Clause 137, 145)

When the Participant has a Valid Reason

• System step — On the day the Provider determines a Participant has a Valid Reason for a Mutual Obligation Failure, the Provider must record this assessment in the Department’s IT Systems.

The way the Provider must record this assessment differs, depending on the type of Mutual Obligation Failure that the Participant has committed. The steps the Provider must take, depending on the type of Mutual Obligation Failure with a Valid Reason, are described below.

By recording a reason that is Valid, the Provider is:

• removing the need for any re-engagement requirement associated with the Mutual Obligation Failure

• finalising the Mutual Obligation Failure to prevent the Participant’s Income Support Payment being affected

• lifting the Participant’s payment suspension if the Participant’s Income Support Payment is suspended, and

• removing the pending Demerit from the Participant’s record.

• System step — When the Provider records that the Participant has a Valid Reason, the Provider must also select from the drop-down menu the description of the relevant Valid Reason.

A list of Valid Reason drop-down menu options can be found in the Valid Reason’ assessment options supporting documentsign-in required (sign-in required). An item not being included in drop-down menus does not necessarily mean that it is not a Valid Reason and the Provider should choose the option that is most similar to the reason given by the Participant.

Providers should also note, that in the Department’s IT Systems:

• ‘reasons accepted’ refers to the reasons that the Provider determines are Valid Reasons, and

• ‘reasons not accepted’ refers to the reasons that the Provider determines are not Valid Reasons.

Failures against requirements that are in the Participant’s Electronic Calendar (including failure to attend a Mandatory Activity)

• System step — On the day the Provider determines a Participant has a Valid Reason for a Mutual Obligation Failure:

• If the Provider has not already recorded an attendance result in relation to the relevant Mutual Obligation Requirement—the Provider must select ‘Did Not Attend—Valid’.

• If the Provider has already recorded ‘Did Not Attend—Invalid’ or ‘Misconduct’ in relation to the relevant Mutual Obligation Requirement—the Provider must select ‘Yes’ in response to the question of whether they accept the Participant’s given reason.

(Deed Reference(s): Clause 139, 142, 145)

Failures to meet monthly Points Requirement

Failures to meet Points Requirement are automatically created and confirmed by the Department’s IT Systems.

• System step — On the day the Provider determines a Participant has a Valid Reason for a Mutual Obligation Failure due to the Participant’s failure to meet their Points Requirement, the Provider must select ‘Yes’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate the Participant’s reason for not meeting their Points Requirement has been accepted. The system will prompt Providers to record the reason the Participant provided.

(Deed Reference(s): Clauses 110, 138, 145)

Failures to enter into a Job Plan

Refer to Creating a Job Plan for more information about Participant requirements to enter into a Job Plan.

• System step — On the day the Provider determines a Participant has a Valid Reason for a Mutual Obligation Failure due to the Participant failing to enter into a Job Plan:

• the Provider must select ‘Yes’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate the Participant’s reason for failing to enter into a Job Plan has been accepted. The system will prompt the Provider to record the reason the Participant provided.

• Once the Provider has recorded that the Participant has a Valid Reason, the Provider must then create a Provider Appointment for the Participant to attend within 2 Business Days after the day the Provider has recorded their assessment. If the Participant attends the Provider Appointment, the Provider must discuss the Job Plan with the Participant. If the Participant does not attend the Provider Appointment to discuss the Job Plan, this is a Mutual Obligation Failure, and the Provider must comply with their usual obligations regarding Mutual Obligation Failures.

(Deed Reference(s): Clauses 107, 108, 145)

Failures to act on a Job Referral task or job opportunity

Refer to Creating a Job Plan for more information about Participant requirements to act on a Job Referral task or job opportunity.

• System step — On the day the Provider determines that a Participant has a Valid Reason for a Mutual Obligation Failure due to a failure to act on a Job Referral task or job opportunity when requested to do so by the Provider, the Provider must select ‘Unsatisfactory—Valid’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate the Participant’s reason for failing to act on a job opportunity has been accepted.

(Deed Reference(s): section B4.3)

When the Participant does not have a Valid Reason

• System step — On the day the Provider determines a Participant does not have a Valid Reason for a Mutual Obligation Failure, the Provider must record this assessment in the Department’s IT Systems.

The way the Provider records this differs depending on the type of Mutual Obligation Failure the Participant has committed.

When the Provider records this information, they must also select from the drop-down menu a description of the reason the Participant has given that they have determined was not Valid. Where the exact reason is not in the drop-down menu, the Provider should select the option which is most similar to the reason the Participant described.

By recording the Participant’s reason is not a Valid Reason, the Provider is confirming the relevant Demerit on the Participant’s record.

A list of these drop-down menu options can be found at Valid Reason assessment options supporting documentsign-in required (sign-in required). Providers should also note, that in the Department's IT Systems:

• ‘reasons accepted’ refers to reasons that the Provider determines are Valid Reasons

• ‘reasons not accepted’ refers to reasons that the Provider determines are not Valid Reasons.

On the day the Provider determines a Participant does not have a Valid Reason for failing to meet a Mutual Obligation Requirement, the Provider must also explain the following to the Participant:

• why their given reason was not a Valid Reason,

• their Income Support Payment will be suspended following Resolution Time unless the Participant is able to meet a Reconnection Requirement during Resolution Time,

• how this decision will be displayed on the ‘Participant’s Compliance Status Indicator’ on the online Dashboard including the number of Demerits the Participant has accrued,

• the importance of meeting all Mutual Obligation Requirements,

• what and when the Participant’s Reconnection Requirement will be.

By reinforcing the consequences of failing to meet Mutual Obligation Requirements, Participants are encouraged to meet their Mutual Obligation Requirements in the future and remain engaged with their Providers.

Failures against requirements that are in the Participant’s Electronic Calendar (including failure to attend a Mandatory Activity)

Where a Participant commits a Mutual Obligation Failure by failing to meet a Mutual Obligation Requirement that is scheduled in the Participant’s Electronic Calendar, the Provider must undertake the system steps referred to below by close of business on the day the Provider determines the Participant does not have Valid Reason for the Mutual Obligation Failure.

• System step — If the Provider:

• has not already recorded an attendance result in relation to the relevant Mutual Obligation Requirement—the Provider must select ‘Did Not Attend—Invalid’.

• has already recorded ‘Did Not Attend—Invalid’ or ‘Misconduct’ in relation to the relevant Mutual Obligation Requirement—the Provider must select ‘No’ in response to the question of whether they accept the Participant’s given reason. The system will prompt Providers to record the reason the participant provided.

(Deed Reference(s): Clause 139, 142, 145)

Failures to meet a Points Requirement

Failures to meet Points Requirements are automatically created and confirmed in the Department's IT Systems.

• System step — On the day that the Provider determines that a Participant does not have a Valid Reason for a Mutual Obligation Failure due to the Participant failing to meet their Points Requirement, the Provider must select ‘No’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate that the Participant’s reason for not meeting their Points Requirement has not been accepted. The system will prompt Providers to record the reason the Participant provided.

Participants who fail to meet their Points Requirement without a Valid Reason will be required to meet a Reconnection Requirement to make up the missed points by undertaking Job Search. See Reconnection Requirement for failing to meet Points Requirement for more information.

Failures to enter into a Job Plan

Refer to Creating a Job Plan for more information about Participant requirements to enter into a Job Plan.

• System step — On the day that the Provider determines that a Participant does not have a Valid Reason for a Mutual Obligation Failure due to the Participant failing to enter into a Job Plan, the Provider must select ‘No’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate that the Participant’s reason for failing to enter into a Job Plan has not been accepted. The system will prompt Providers to record the reason the Participant provided.

Failures to act on a Job Referral task or job opportunity

Refer to Creating a Job Plan for more information about Participant requirements to act on a job referral or job opportunity.

• System step — On the day that the Provider determines that a Participant does not have a Valid Reason for a Mutual Obligation Failure due to a failure to act on a job opportunity when requested to do so by the Provider, the Provider must select ‘Unsatisfactory—Invalid’ on the Outstanding Non-Compliance screen in the Department’s IT Systems to indicate that the Participant’s reason for failing to act on a job opportunity has not been accepted. The system will prompt Providers to record the reason the Participant provided.

Manually removing Demerits

Providers must remove Demerits in the following circumstances:

• the Demerit was recorded in respect of a Mutual Obligation Failure by a Participant who was subsequently found to have had a Valid Reason for committing the Mutual Obligation Failure, or

• the Demerit was recorded in error.

• System step — When removing the Demerit, the Provider must record the reason for the removal in the Department’s IT Systems. A full list of these drop-down menu options can be found in the Manual Demerit removal options supporting documentsign-in required (sign-in required).

(Deed Reference(s): Clause 145.4)

12.2.7. Participants cannot appeal Demerit decisions under Social Security LawCopy citation · §12.2.7

All Participants have the right to ask for a review of a decision made under Social Security Law and, in most cases, to appeal the decision to a tribunal or court. This includes decisions to suspend a Participant’s Income Support Payment as a result of non‑compliance.

Demerit decisions are not decisions under Social Security Law and so Participants cannot appeal or ask for a formal review of any decisions on Demerits. However, Participants may dispute Demerit decisions.

Disputing a Demerit decision by contacting the National Customer Service Line

A new complaints service was launched on 31 October 2024 to help Australians who use employment services to raise concerns more easily and effectively. This new service forms part of the “Strengthening the Integrity of Employment Services” measure announced in the 2024-25 Federal Budget.

The strengthened service delivers a user-centred approach to complaints management, focusing on creating an accessible, transparent, and responsive service that prioritises the needs of Participants.

Complaints with a major or serious impact on users are referred immediately to a new complaints management team for investigation.

Where an investigation is needed, complaints are investigated by the new complaints management team and complainants are kept informed and provided with a comprehensive statement of the outcome of their complaint.

If a Participant is dissatisfied with a Demerit decision, they can first discuss the decision with their Provider. If they still wish to dispute the decision after this discussion, or if they do not feel comfortable discussing this with their Provider, they can contact the National Customer Service Line (NCSL).

By contacting the NCSL to dispute a Demerit decision, the Participant will in effect make a Workforce Australia Services-related complaint. If required and appropriate, the Provider must action complaints that are referred to them by the NCSL or the Complaints Management Team. This may include reviewing the Demerit decision-making process, any Valid Reason assessments or information that has been recorded on the Department’s IT Systems.

12.2.8. Reconnection RequirementsCopy citation · §12.2.8

Note: ‘Reconnection Requirements’ are referred to as ‘re‑engagement requirements’ in the Department’s IT Systems and in some reference materials.

A Reconnection Requirement is what a Participant must do to prevent their Income Support Payment from being suspended during the 5 Business Days Resolution Time or to restore their payment once suspended. Usually, the Reconnection Requirement will be the Mutual Obligation Requirement that the Participant failed to meet.

Reconnection Requirements are set:

• By Providers: When contact with a Participant occurs to discuss their reasons for a Mutual Obligation Failure, and the Provider assesses they do not have a Valid Reason and records the assessment in the Department’s IT Systems (as described in Assessing Valid Reasons), the Provider must set a Reconnection Requirement for the Participant.

• Automatically: The Department’s IT Systems will automatically set the Reconnection Requirement when the Participant has failed to:

  • meet their Points Requirement (the Participant fails to do or report sufficient tasks or activities to meet their Points Target and/or Job Search Requirement by the end of their Points Reporting Period), or

  • enter into a Job Plan.

Where the Department’s IT Systems automatically set a Reconnection Requirement for a Participant as described above, the Provider does not need to do this.

If the Participant’s Income Support Payment has been suspended, they must meet a Reconnection Requirement in order to have their Income Support Payment suspension lifted.

See the Resolution Time, Demerit, Payment Suspension and Payment Restoration Triggers supporting documentsign-in required (sign-in required) for information on the circumstances in which:

• a Participant’s Income Support Payment is suspended

• the suspension of a Participant’s Income Support Payment is lifted.

Note that if set, a Reconnection Requirement is a Mutual Obligation Requirement. This means that, among other things the Provider must comply with the Deed:

• when recording Reconnection Requirements in a Participant’s Electronic Calendar

• in relation to rescheduling or removing a Reconnection Requirement from a Participant’s Electronic Calendar.

See Reconnection Requirements -– No Longer Required.

(Deed Reference(s): Clauses 140 and 145)

12.2.9. Reconnection Requirements for attendance-based failures during Resolution TimeCopy citation · §12.2.9

If the Participant makes contact during Resolution Time for an attendance-based failure and the Provider is satisfied that a Reconnection Requirement is not necessary, the Provider must record “Re-engagement not required – non-compliance discussed”, unless the missed requirement was an Initial Appointment, or unless the Reconnection Requirement is a Capability Interview or Capability Assessment. In these cases, the Reconnection Requirement should not be finalised as “Re-engagement not required – non-compliance discussed”.

If the purpose of the missed requirement cannot be achieved during a Reconnection Requirement (for example to discuss Job Search), a new requirement can be booked and the Participant notified to attend.

In instances where the Participant has demonstrated continued patterns of disengagement, or if the Provider considers that re-engagement is required, the Provider can set a Re-engagement Requirement to occur in accordance with Setting a Reconnection Requirement.

If a Provider sets a Reconnection Requirement for an attendance-based failure during Resolution Time, they must record the reason in the comment section of the Department’s IT Systems.

12.2.10. Setting a Reconnection RequirementCopy citation · §12.2.10

When setting a Reconnection Requirement, the Provider must follow the prompts in the Department’s IT Systems and notify the Participant of the Reconnection Requirement. The Department’s IT Systems will specify the type of Reconnection Requirement which the Provider must set for the purposes of complying with their Deed obligation. Refer to Notifications to Participants of Mutual Obligation Failures for information on notifying Participants within the appropriate timeframe.

The Provider must schedule any attendance-based Reconnection Requirements in the Participant’s Electronic Calendar to occur within 2 Business Days following the day of the contact between the Participant and their Provider to discuss the relevant Mutual Obligation Failure. The exception to this is if the Participant has a Valid Reason for not being able to meet the Reconnection Requirement within the 2 Business Day timeframe as discussed below in Valid Reason to not meet Reconnection Requirement within 2 Business Days.

(Deed Reference(s): Clauses 120, 140 and 145)

Reconnection Requirement for failing to meet Points Requirement

To meet a Reconnection Requirement for failing to meet the Points Requirement, the Participant must complete Job Search to the value of the Points Requirement that was not previously met.

Example: Where a Participant has a Points Target of 80 points, but has only earned 65 points, the Participant must complete 3 Job Searches (5 points per Job Search = 15 points) (15 points + 65 points = previous Points Target of 80 points).

• System step — When the Provider or Participant reports the Participant’s re-engagement Job Search efforts, the Department’s IT Systems will automatically allocate these points first to offset the Participants Job Search re-engagement requirement.

Participants must complete the required number of Job Searches to either:

• avoid payment suspension within the 5-day Resolution Time; or

• have their payment suspension lifted if Resolution Time has passed.

See the Job Plan and Mutual Obligation Requirements Chapter for details on Job Search and reporting Job Search on behalf of a Participant.

Light Touch Reconnection for a Points Based Failure

All Participants are offered a “Light Touch” Reconnection when they have their first Points Based failure.

The system will identify when a Participant is eligible for Light Touch Reconnection and the Reconnection Requirement will be automatically set to ‘Light Touch’, unless the Reconnection Requirement is to attend a Capability Interview or Capability Assessment.

Participants will have a Reconnection Requirement to agree to a declaration to confirm their understanding of their Points Requirements. Participants will not need to make up the points they missed. A Participant’s Income Support Payment will be suspended following the 5 Business Day resolution time, if the Participant does not agree to this declaration.

Any Participant who is unable to agree to this online declaration themselves must contact their Provider to arrange for them to agree to the declaration.

To support this process, Providers must:

• have a conversation, using the Light Declaration Script in the Department's IT Systems, with the Participant to ensure the Participant understands their Points Requirement, and the consequence of not meeting their Points Requirements in the future; and

• update the system on the Participant’s behalf.

Note: Providers should also use this conversation to ensure the Participant’s Points Requirement is appropriately tailored to their personal circumstances. For more information, see Tailoring the Points Requirement to reflect a Participant’s circumstances.

When a Participant agrees that they understand the script, Providers should update the system as described below. There is no further action for the Provider.

• System step — To finalise the Reconnection Requirement on behalf of the Participant, the Provider needs to select reason ‘Compliance Action No Longer Required’ and select the option ‘Light Touch Re-engagement used – non-compliance discussed’.

  System step — If a Participant does not understand the script or does not agree, Providers should update the system as described in the ‘system step’ above and set a Provider Appointment to occur within the next 10 days (if one has not already been scheduled).

  System step — At this appointment, the Provider should work with the Participant to ensure they understand their Points Requirement and to help them to understand and plan what tasks they will undertake to meet their Points Requirement each month. This may also involve helping the Participant to upload these to their Dashboard and / or to enter Job Search efforts on the Participant’s behalf.

Multiple Mutual Obligation Failures before contact

When a Participant commits multiple Mutual Obligation Failures before there is a contact with their Provider to discuss those Mutual Obligation Failures:

• only one Reconnection Requirement can be set, and

• the Provider must advise the Participant they only have to meet one Reconnection Requirement.

Valid Reason to not meet Reconnection Requirement within 2 Business Days

Where the re-engagement requirement is to attend an appointment, Capability Interview or Capability Assessment, the Provider must consider whether the Participant has a Valid Reason for being unable to meet their Reconnection Requirement within 2 Business Days following that contact.

• System step — If the Provider considers that the Participant does have a Valid Reason, the Provider must select ‘Unable to Re-engage Within 2 Business Days’ on the Outstanding Non-Compliance screen in the Department’s IT Systems. If the Participant’s Income Support Payment is suspended, this will lift the Participant’s Income Support Payment suspension and remove the need for a Reconnection Requirement.

  System step — For the purposes of the above, a Provider must determine that the Participant has a Valid Reason for being unable to meet their Reconnection Requirement within 2 Business Days in line with Assessing Valid Reasons.

• System step — If the Provider selects ‘Unable to Re-engage Within 2 Business Days’ as described above, the Provider must also select from the drop-down menu a description of the relevant Valid Reason that is most similar to the Participant’s Valid Reason as they described it to the Provider.

A full list of these drop-down menu options can be found in the Unable to Re-engage Within 2 Business Days’ reason options supporting documentsign-in required (sign-in required).

Provider not able to arrange or deliver the Reconnection Requirement within 2 Business Days

In limited circumstances, a Provider may not be able to arrange or deliver the attendance-based Reconnection Requirement within 2 Business Days as described above.

• System step — If that is the case, the Provider must select ‘Re‑engagement Not Required’ on the Outstanding Non-Compliance screen. When selecting ‘Re‑engagement Not Required’ as described above, the Provider must also select from the drop-down menu the description of the relevant reason which is most similar to the actual reason.

  System step — A full list of these drop-down menu options can be found in the Re-engagement Not Required’ reason options supporting documentsign-in required (sign-in required).

If the Participant’s Income Support Payment is suspended, this will lift the payment suspension and remove the need for a Reconnection Requirement.

Compliance action no longer appropriate

Once a Participant’s Reconnection Requirement has been set, unexpected circumstances may make it inappropriate to expect them to meet a Reconnection Requirement and/or to maintain their payment suspension.

• System step — If that is the case, the Provider must record ‘Compliance action no longer appropriate’ on the Outstanding Non-Compliance screen.

• When selecting ‘Compliance action no longer appropriate’ as described above, the Provider must also select from the drop-down menu the description of the relevant reason which is most similar to the actual reason.

• A list of these drop-down menu options can be found in the Compliance Action No Longer Appropriate’ reason options supporting documentsign-in required (sign-in required).

If the Participant’s Income Support Payment is suspended, this will lift the payment suspension and remove the need for a Reconnection Requirement.

Failure to meet a Reconnection Requirement

• System step — If the Provider becomes aware that a Participant has failed to meet a Reconnection Requirement, the Provider must attempt to contact the Participant on the same Business Day. If the Provider:

• attempts to contact the Participant on that day but is unsuccessful, the Provider must record they are not in contact with the Participant and select ‘Did Not Attend—Invalid’ in relation to the Reconnection Requirement in the Participant’s Electronic Calendar. In this case:

  • if the Participant’s Income Support Payment is not yet suspended, it will be suspended when the 5 Business Days Resolution Time following the original failure expires, or

  • if the Participant’s Income Support Payment is suspended, the payment will remain suspended until the Reconnection Requirement is met.

• is able to contact the Participant on that day, the Provider must discuss the Participant’s reasons for not meeting the Reconnection Requirement and assess if the Participant had a Valid Reason.

For the purposes of the above, a Provider must determine that the Participant had a Valid Reason for being unable to meet their Reconnection Requirement when they are satisfied that the Participant’s reason meets the requirements as set out in Assessing Valid Reasons.

• System step — If the Participant had a Valid Reason, the Provider must select ‘Did Not Attend–Valid’ in relation to the Reconnection Requirement in the Participant’s Electronic Calendar. If the Participant’s Income Support Payment is suspended, this will lift the payment suspension as the Participant will be taken to have met the Reconnection Requirement (as they have a Valid Reason). However, the Provider must set a Mutual Obligation Requirement for the Participant:

• to occur within 2 Business Days after the day on which the Provider determines that the Participant has a Valid Reason for not meeting the Reconnection Requirement

• that is the same type as the Mutual Obligation Requirement the Participant failed to meet originally.

• System step — If the Participant did not have a Valid Reason, the Provider must select ‘Did Not Attend—Invalid’ in relation to the Reconnection Requirement in the Participant’s Electronic Calendar. In this case:

• if the Participant’s Income Support Payment is not yet suspended, it will be suspended if the Participant does not meet another Reconnection Requirement within 2 Business Days following the date of the original Reconnection Requirement, or

• if the Participant’s Income Support Payment is suspended, the payment will remain suspended, and the Provider must reschedule the Reconnection Requirement.

12.2.11. Record KeepingCopy citation · §12.2.11

• Documentary evidence — Depending on the Mutual Obligation Failure that the Participant has committed, in addition to the evidence recorded in the Department’s IT Systems, the Provider must retain Documentary Evidence which is not retained on the Department’s IT Systems. This would include:

• where the Mutual Obligation Failure is a failure to attend a job interview or act on a job opportunity, a copy of any manually prepared and prior notification of the requirement to attend the job interview or act on the job opportunity,

• where the Mutual Obligation Failure is a failure to attend an appointment, a copy of the manually prepared and prior notification of the requirement to attend the appointment,

• where the Mutual Obligation Failure is a failure to meeting a monthly Points Requirement, including Job Search Requirement, a hard copy of any relevant fully or partially completed Job Searches, and

• where the Mutual Obligation Failure is acting in an inappropriate manner during an appointment or while participating in an Activity, details of the job/Employer and/or details of the relevant incident, including dates, the parties involved and what occurred.

12.3. Capability InterviewsCopy citation · §12.3

12.3.1. The purpose of a Capability InterviewCopy citation · §12.3.1

The purpose of the Capability Interview is to determine whether a Participant’s Job Plan and Mutual Obligation Requirements are suitable for the Participant. Mutual Obligation Requirements are suitable for a Participant if they are appropriate to the Participant’s circumstances and the Participant is capable of meeting them.

The outcome of the Capability Interview will determine whether the Participant continues in the Warning Zone or whether they are returned to the Green Zone with their Demerits reset to zero. The Department’s IT Systems will determine the outcome of the Capability Interview based on the information that the Provider records in the Department’s IT Systems in relation to the Capability Interview. For more information on what the Provider must record in the Department’s IT Systems regarding Capability Interviews, see the Preparing to conduct a Capability Interview and Conducting the Capability Interview sections.

A Participant will:

• return to the Green Zone with their Demerits reset to zero if the outcome of the Capability Interview is that their Job Plan and Mutual Obligation Requirements are not suitable (i.e. the Mutual Obligation Requirements are not appropriate to the Participant’s circumstances or the Participant is not capable of meeting them), or

• continue in the Warning Zone if the outcome of the Capability Interview is that their Job Plan and Mutual Obligation Requirements are suitable for the Participant (i.e. the Mutual Obligation Requirements are appropriate to the Participant’s circumstances and the Participant is capable of meeting them).

(Deed Reference(s): Clauses 104, 105, 107, 138, 145)

12.3.2. When a Capability Interview is triggeredCopy citation · §12.3.2

The Providers must conduct a Capability Interview when the Department’s IT Systems specify that the Participant’s Reconnection Requirement is a Capability Interview.

Broadly speaking, this will occur when the Participant has, in 6 active months accrued 3 Demerits or a Demerit for a ‘fast-track’ Mutual Obligation Failure. See Fast-Track Mutual Obligation Failures for more information.

The outcome of any Capability Interview or Capability Assessment which has been conducted in relation to the Participant in the previous 60 calendar days will also influence whether a Provider must conduct a Capability Interview. Subject to certain exceptions, if the previous capability review outcome is that the Participant’s Mutual Obligation Requirements are suitable, then a further Capability Interview is not required. These exceptions include when a Participant moves to a different employment program (e.g. from Inclusive Employment Australia to Workforce Australia Services) and the Department’s IT Systems indicate a new Capability Interview is required.

When the Department’s IT Systems specify that the Participant’s Reconnection Requirement is a Capability Interview:

• a Capability Interview is said to be ‘triggered’, and

• the Department’s IT Systems will identify that the Capability Interview is ‘outstanding’.

The Department’s IT Systems will identify that a Capability Interview is ‘outstanding’ until it is finalised.

• System step — The Capability Interview will be finalised when the Provider selects ‘submit’ in the Department’s IT Systems after completing the pre-interview questions, and recording all the relevant information during the Capability Interview (as discussed below in Preparing to conduct a Capability Interview and Conducting the Capability Interview).

When a Participant accrues a Demerit that triggers a Capability Interview, their Income Support Payment will be suspended until the Participant participates in the Capability Interview and the Capability Interview is finalised. Exceptions to this are discussed below under Circumstances where a Capability Interview cannot be delivered within 2 Business Days.

Where the Department’s IT Systems identify that a Capability Interview is ‘outstanding’ (as referred to above), the Participant will not be able to accrue any further Demerits until they attend a Capability Interview and that Capability Interview is finalised.

(Deed Reference(s): Clause 145)

12.3.3. Capability Interviews resulted as ‘No Longer Required’ but are still outstandingCopy citation · §12.3.3

In some circumstances, where the Department’s IT Systems identify that a Capability Interview is ‘outstanding’, the Capability Interview will be shown to be ‘No Longer Required’. This will happen where, after the Capability Interview is triggered, but before it is finalised, the Participant:

• transfers from the Provider to another Provider, including transfers to and from Provider-led Services, or

• is granted an Exemption.

Even though the Capability Interview is shown as ‘No longer Required’, the Capability Interview must still be undertaken:

• when the Participant transfers to a new Provider, the new Provider must conduct the Capability Interview, and

• when the Participant returns to servicing after an Exemption, the current Provider must conduct the Capability Interview.

In these cases, the Participant must participate in a Capability Interview before their new Job Plan can be negotiated with them. The Department’s IT Systems will continue to identify that the Capability Interview is ‘outstanding’ until the Capability Interview is finalised.

The timeframe within which the ‘No longer Required’ Capability Interview must be conducted is discussed below under When the Participant is transferred to another Provider or they are returning to service after an Exemption.

12.3.4. Scheduling a Capability InterviewCopy citation · §12.3.4

When scheduling a Capability Interview in the Participant’s Electronic Calendar, the Provider must be in direct contact with the Participant. This direct contact ensures that the Participant receives formal notification of the Capability Interview within a reasonable timeframe.

Usually, when a Provider is scheduling the Capability Interview, the Provider must schedule it to occur within 2 Business Days after the Participant accrues the relevant Demerit. This usual timeframe is referred to in this Guideline as the ‘standard 2 Business Days timeframe’. Exceptions to the standard 2 Business Days timeframe are discussed below under Circumstances where a Capability Interview cannot be delivered within 2 Business Days.

Providers must ensure the scheduled Capability Interview is of sufficient length to allow for a thorough review of the Participant’s personal circumstances and have a detailed discussion. The recommended time for a Capability Interview is between 45 and 60 minutes.

Providers must also ensure that as with all other compulsory appointments, efforts are made to avoid clashes with any Personal Events in the Calendar. Participants must be able to prioritise commitments such as paid work. See Scheduling Mutual Obligations Requirements in the Participant’s Electronic Calendar.

When scheduling the Capability Interview, the Provider must ensure that they explain to the Participant:

• the purpose of the Capability Interview

• the reason they must participate in a Capability Interview (either because they accrued 3 Demerits or because they committed a fast-track Mutual Obligation Failure).

(Deed Reference(s): Clause 145)

12.3.5. Circumstances where a Capability Interview does not need to be delivered face-to-faceCopy citation · §12.3.5

Unless otherwise directed by the Department, Providers must conduct Capability Interviews face-to-face in accordance with the Face-to-face Service Delivery section in the Part A: Universal Guidelinessign-in required (sign-in required), except in allowable circumstances.

Allowable circumstances are limited to circumstances listed in the Face-to-face Service Delivery section of the Part A: Universal Guidelinessign-in required (sign-in required), under the heading ‘Reasonable in the circumstances to be conducted in a face-to-face format'. Providers must consider a Participant’s personal circumstances when scheduling Capability Interviews.

Where a Provider determines face-to-face servicing is not appropriate for a Capability Interview, they may conduct the Capability Interview via telephone or videoconference so that it is delivered within the standard 2 Business Days timeframe.

• System step — When scheduling the Capability Interview to be delivered via phone or videoconference, the Provider must record their reasons in the Department’s IT Systems and update their reasons as circumstances change.

(Deed Reference(s): Clauses 105.3, 145.2)

12.3.6. Circumstances where a Capability Interview does not need to be delivered within 2 Business DaysCopy citation · §12.3.6

If the Participant has an Acceptable Reason

A Participant may notify the Provider, before the end of the standard 2 Business Days timeframe, that they are unable to attend the Capability Interview within that timeframe. The Provider must then assess whether the Participant’s reason for not being able to attend the Capability Interview within that timeframe is an Acceptable Reason.

For the purposes of the above, the Provider must determine that a Participant has an Acceptable Reason for being unable to attend the Capability Interview within the standard 2 Business Days timeframe:

• the Participant notified the Provider, before the end of the standard 2 Business Days timeframe, that the Participant is unable to attend the Capability Interview, and

• the Provider is satisfied that the Participant has a Valid Reason for being unable to attend the Capability Interview within the standard 2 Business Days timeframe.

A Provider must determine the Participant has a Valid Reason if they are satisfied that the reason meets the requirements as outlined in Prior Notice and Acceptable Reasons.

If the Provider determines a Participant has an Acceptable Reason for being unable to attend the Capability Interview within the standard 2 Business Days timeframe as discussed above, the Provider must schedule the Capability Interview to occur within 12 Business Days after the standard 2 Business Days timeframe. Broadly speaking, this means that the Provider must schedule the Capability Interview within 14 Business Days after the Participant accrues the Demerit that triggers the Capability Interview.

• System step — In this case, Providers must select ‘unable to re-engage within 2 Business Days’ in the Department’s IT Systems. The Department’s IT Systems will then prompt the Provider to schedule the Capability Interview within that 14 Business Day timeframe. This will lift the Participant’s Income Support Payment suspension, but the requirement to attend the Capability Interview will still be outstanding on the Participant’s record.

  System step — If the Provider selects ‘unable to re-engage within 2 Business Days’ in the Department’s IT Systems as referred to above, the Provider must also select from the drop-down menu a description of the relevant Valid Reason that is most similar to the Participant’s Valid Reason as they described it to the Provider.

  System step — A full list of the reasons that appear in the drop-down menu can be found in the Unable to re-engage within 2 Business Days’ reason options supporting documentsign-in required (sign-in required).

If the Participant does not have an Acceptable Reason

If the Provider assesses that the Participant’s reason is not an Acceptable Reason as discussed above, the Provider must schedule the Capability Interview within the standard 2 Business Days timeframe. The Provider must then tell the Participant why their reason is not an Acceptable Reason, inform them that they are still expected to attend the Capability Interview and remind them their Income Support Payment suspension will not be lifted until they do so.

When part-time or outreach services prevent delivery of the Capability Interview within 2 Business Days

If part-time or outreach services prevent the Provider from delivering the Capability Interview face-to-face within the standard 2 Business Days timeframe, but the Provider has determined the Capability Interview must be conducted face-to-face (e.g. because it is unsuitable to deliver the Capability Interview via telephone or videoconference or no allowable circumstance exists), the Provider must then schedule the Capability Interview to occur as soon as possible after the standard 2 Business Days timeframe. In any event, the Provider must schedule the Capability interview to occur within 12 Business Days after the standard 2 Business Days timeframe. Broadly speaking, this means that the Provider must schedule the Capability Interview within 14 Business Days after the Participant accrues the Demerit that triggers the Capability Interview.

• System step — In these cases, Providers must select ‘re-engagement not required’ in the Department’s IT Systems. This will lift the Participant’s Income Support Payment suspension, but the requirement to attend the Capability Interview will still be outstanding on the Participant’s record.

  System step — The Provider must record the reason why ‘re-engagement is not required’ in the Department’s IT Systems. The only drop-down menu option is ‘Part-time/outreach services’.

  System step — The Provider must then manually schedule the Capability Interview in the Participant’s Electronic Calendar.

When the Participant is transferred to another Provider or they are returning to service after an Exemption

A Provider does not need to conduct the Capability Interview within the standard 2 Business Days timeframe where, after the Capability Interview is triggered, but before it is finalised, the Participant:

• transfers from their current Provider to another Provider or Other Service, or

• is granted an Exemption.

When the Participant transfers to another Provider, that new Provider must conduct the Capability Interview at the Participant’s Initial Interview.

When the Participant returns to servicing after an Exemption, the Provider must conduct the Capability Interview within 14 Business Days after the Participant returns.

Reporting Work Refusal Failures before the Capability Interview is finalised

Providers must still create Work Refusal Failure reports in accordance with their Deed obligations, regardless of whether the Participant has an outstanding Capability Interview in the Department’s IT Systems.

(Deed Reference(s): Clauses 138, 140, 145)

For more information, see Work Refusal Failures.

If a Participant fails to attend their Capability Interview

As a Capability Interview is a type of Reconnection Requirement the Provider must take the action required when a Participant fails to meet a Reconnection Requirement. See Reconnection Requirements.

12.3.7. Preparing to conduct a Capability InterviewCopy citation · §12.3.7

The Provider must prepare for the Capability Interview by familiarising themselves with the information recorded in the Department's IT Systems about the Participant by reviewing:

• the Participant’s current Assessments (including their Job Seeker Snapshot and any ESAt, — to familiarise themselves with the Participant’s personal circumstances

• the Capability Management Tool (CMT)—for information on barriers that may be affecting the Participant’s ability to meet their Mutual Obligation Requirements

• the Job Seeker Profile—to familiarise themselves with the Participant’s basic information history and current circumstances, and

• the Participant’s current Job Plan and Mutual Obligation Requirements to determine:

  • whether the Participant’s Mutual Obligation Requirements are up-to-date and appropriate based on their known and recorded personal circumstances

  • if their Points Target and Job Search Requirements are appropriate for their known and recorded personal circumstances and in line with Policy

  • if the requirements do not include excessive hours in a Mandatory Activity/ies.

In determining these things, the Provider must consider the relevant requirements outlined in the Job Plan and Mutual Obligation Requirements Chapter.

The Provider must be well prepared and have all relevant information to hand both prior to completing the Pre-Interview Questions, conducting the Capability Interview and during the Capability Interview itself.

For more information regarding the Capability Interview, see the Capability Interview Best Practice Guide, on the Provider Portal.

Pre-interview Questions

• System step — Prior to the Capability Interview, the Provider must accurately complete the pre-interview questions in the Department's IT Systems. The Provider can access the pre-interview questions in the Department’s IT Systems by selecting the relevant Capability Interview listed on the Non-Compliance History screen.

The pre-interview questions are used to determine if the Participant’s Job Plan and Mutual Obligation Requirements are appropriate to the Participant’s circumstances and the Participant is capable of meeting them.

Providers must not consider voluntary requirements when completing the questions.

When answering the pre-interview questions, Providers must only use the information that is known about the Participant and has been recorded in the Department’s IT Systems prior to the Capability Interview being triggered.

12.3.8. Conducting the Capability InterviewCopy citation · §12.3.8

When conducting the Capability Interview, Providers must always consider the importance of Participants’ privacy and confidentiality. Capability Interviews should be conducted in a private setting that enables Participants to disclose personal circumstances safely and honestly.

Delivery by a different staff member

While it is not a requirement, it is strongly recommended the staff member who delivers the Capability Interview is someone other than the staff member who entered into and approved the relevant Participant’s Job Plan or set and manage their Mutual Obligation Requirements. This is because the Participant may disclose new information to another staff member which they had not previously disclosed to their usual consultant (i.e. the staff member who would usually enter into and approve the relevant Participant’s Job Plan or set and manages their Mutual Obligation Requirements).

Site resourcing may restrict this practice, for example. In this situation, it is acceptable for the same staff member who entered into and approved the relevant Participant’s new Job Plan to also conduct the Capability Interview.

Getting started

An interpreter must be provided when requested by the Participant and it is appropriate to the Participant’s circumstance. The Provider must first advise the Participant that the Capability Interview is being undertaken due to their Mutual Obligation Failure(s). The Provider must explain the purpose and potential outcomes of the Capability Interview, including that:

• the Participant’s Mutual Obligation Requirements may require renegotiating, and

• the Participant will either return to the Green Zone or continue in the Warning Zone, depending on the outcome of the Capability Interview.

The focus of the Capability Interview is to:

• ensure the Participant understands their Mutual Obligation Requirements and the consequences of not meeting them

• ensure the Participant’s Mutual Obligation Requirements are appropriate for their circumstances, and

• identify any undisclosed barriers preventing the Participant from meeting their Mutual Obligation Requirements.

The Provider must ensure the Participant is aware their Provider is seeking to better understand the reasons why they have not been meeting their Mutual Obligation Requirements.

Providers must advise Participants that:

• it is important they disclose any personal circumstances that may be affecting their ability to comply with their Mutual Obligation Requirements (so the Provider can set Mutual Obligation Requirements appropriately)

• if needed, the Participant will be provided with assistance to help them meet their Mutual Obligation Requirements or their Mutual Obligation Requirements may be adjusted

• the Participant may require and receive different services as a result of the Capability Interview

• they may be referred to Services Australia for an Employment Services Assessment (ESAt).

The Provider must ask the Participant if they have any concerns or questions before starting the Capability Interview, and they should address these where possible.

(Deed Reference(s): Clauses 138, 140, 143, 144 and 145)

Capability Interview discussion

During the Capability Interview, the Provider must discuss and consider holistically the following with the Participant:

• the Participant’s understanding of their Mutual Obligation Requirements and what they must do to meet them. This may require a detailed discussion to ascertain the Participant’s level of understanding of the requirements of their Job Plan and what they must do to avoid compliance action

• the reasons behind the Participant’s recent Mutual Obligation Failure(s) and any factors that may be affecting the Participant’s capacity to meet their Mutual Obligation Requirements

• whether alternative Mutual Obligation Requirements may be more appropriate for the Participant

• any undisclosed barriers that might be preventing the Participant from meeting their Mutual Obligation Requirements

• any support or assistance identified that might better help the Participant meet their Mutual Obligation Requirements

• if applicable, the quality of their Job Search efforts

• if applicable, what the Participant will do to increase their chances of finding Employment

• if applicable, the Participant’s attempts to find and keep suitable Employment, including their long-term employment goals, and

• anything else of relevance to the Participant’s capability to meet their Mutual Obligation Requirements.

Providers should note that the Capability Interview is not an opportunity to review the circumstances under which each Demerit was accrued or to review the decision-making process for each Demerit decision.

• System step — During the Capability Interview discussion with the Participant, the Provider must accurately answer all the Capability Interview questions that can be accessed on the Non-Compliance History screen in the Department’s IT Systems. The Provider must also accurately record additional information relating to those questions where they are prompted to do so by the Department’s IT Systems.

  System step — The Provider must finalise the Capability Interview in the Department’s IT Systems while the Participant is still in attendance at the Capability Interview appointment, or while the Participant is still in contact where the Capability Interview was delivered via phone or videoconference.

  System step — If the Participant attended the Capability Interview appointment but did not participate for the duration of the appointment, Providers must complete the Capability Interview based on what is recorded in the Department’s IT Systems about the Participant and then ensure to finalise the Capability Interview in the Department’s IT Systems the same day.

(Deed Reference(s): Clauses 138, 140, 141, 143, 144 and 145)

Updating the Job Seeker Snapshot

The Job Seeker Snapshot is a questionnaire which includes questions used to determine the Participant’s JSCI score and helps to identify if the Participant requires an ESAt.

During each Capability Interview, the Provider must:

• review the Job Seeker Snapshot, and

• if the Job Seeker Snapshot does not accurately reflect the current circumstances of the Participant as disclosed during the Capability Interview, update the Job Seeker Snapshot with the Participant’s newly disclosed information.

See How to conduct the Job Seeker Snapshot for further information.

Referring the Participant for an Employment Services Assessment after updating the Job Seeker Snapshot

Services Australia conducts an ESAt to determine if a Participant has a long-term reduced work capacity or is eligible for Inclusive Employment Australia.

Generally, Providers cannot book another ESAt Appointment for a Participant unless a recommendation for one is identified during a Capability Interview.

See Referring Participants for an Employment Services Assessment for further information.

Where the Job Seeker Snapshot results in an ESAt being required and a referral to Services Australia is made within the Capability Interview, the Capability Interview will not be finalised by the Department’s IT Systems until the ESAt appointment is booked. The outcome of the Capability Interview will be ‘newly disclosed information’ (meaning the Participant’s Mutual Obligation Requirements and or Job Plan is not suitable), and the Participant will return to the Green Zone with their Demerits reset to zero.

Services Australia will notify the Provider of the outcome of the ESAt via the noticeboard in the Department’s IT Systems and will upload any newly disclosed vulnerabilities and barriers into the CMT for the Provider to action.

While awaiting the outcome of an ESAt, Participants are still required to meet Mutual Obligation Requirements that are appropriate to their circumstances and any newly disclosed information, but they cannot accrue further Demerits for Mutual Obligation Failures.

Using the Capability Management Tool

Providers must use the CMT during the Capability Interview.

Providers can access the CMT in the Department’s IT Systems. The CMT is used to record, review and manage information on Participant’s personal circumstances that may be affecting their capacity to meet their Mutual Obligation Requirements. The CMT consolidates information collected from the Capability Interview discussion and any past ESAts or Capability Assessments.

Based on the discussion with the Participant during the Capability Interview, the Provider must use the CMT to accurately record information regarding all identified barriers or vulnerabilities affecting the Participant’s ability to meet their Mutual Obligation Requirements and find employment, including how these are or are not being addressed.

Note: For more information on the CMT refer to the Targeted Compliance Framework Reference Guidesign-in required (sign-in required).

(Deed Reference(s): Clauses 140 and 145)

12.3.9. Actioning the outcomes of the Capability InterviewCopy citation · §12.3.9

As noted above, the Department’s IT Systems will determine the outcome of the Capability Interview. The outcome is based on the information that the Provider records in the Department’s IT Systems in relation to the Capability Interview, so it is important to ensure it is accurate.

The Department's IT Systems will display one of the following outcomes of a Capability Interview. The possible outcomes displayed in the Department's IT Systems are that the Participant is:

• Capable

• Not Capable due to errors in compellable requirements

• Not Capable of meeting current requirements due to ongoing circumstances

• Not Capable due to newly disclosed information, or

• Not Capable due to a change in service eligibility or stream

• Each of these outcomes is discussed in further detail below.

Once the Department’s IT Systems have determined the outcome of the Capability Interview, the Provider must explain this outcome to the Participant while they are still in attendance/in contact. The Provider must ensure that the Participant understands what the Capability Interview outcome means and what will happen next.

If the result of the Capability Interview is that the Participant’s Job Plan and compellable requirements are not suitable, meaning that the Mutual Obligation Requirements specified in the Job Plan need to be negotiated and updated so they are suitable for the Participant, refer to Tailoring the Points Requirement to reflect a Participant’s circumstances, for information on how to tailor the Points Target and/or the Job Search Requirement of a Participant.

Capable

If the outcome of the Capability Interview is that the Participant’s Job Plan and compellable requirements are suitable for the Participant (i.e. the Mutual Obligation Requirements are appropriate to the Participant’s circumstances and the Participant is capable of meeting them), they will continue in the Warning Zone with 3 Demerits once the Capability Interview is finalised.

Because the Job Plan is suitable for the Participant, the Mutual Obligation Requirements specified in the Participant’s Job Plan do not need to be updated.

Provider action

• Advise the Participant that their Job Plan and Mutual Obligation Requirements have been assessed as being suitable for them.

• Advise the Participant, if they continue to commit Mutual Obligation Failures without a Valid Reason, this may result in a Capability Assessment with Services Australia.

• The Provider must explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

Not Capable due to errors in compellable requirements

If the outcome of the Capability Interview is that there are errors in the Participant’s Mutual Obligation Requirements, the Participant is returned to the Green Zone with their Demerits reset to zero.

Provider action

• The Provider must discuss the Participant’s requirements with them, renegotiate and update the Participant’s Job Plan and compellable requirements so that they are suitable

• This should be undertaken as soon as the Capability Interview outcome has been determined by the Department’s IT Systems, or if this is not possible within 10 Business Days following the finalisation of the Capability Interview.

• The Provider must then explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

Note: Until the Job Plan has been discussed and agreed, the Participant cannot accrue further Demerits. If the Participant has compellable requirements recorded outside of the Job Plan which require updating in the system (i.e. Points Requirement and/or Job Search Requirement and/or Activity placement details for the Mandatory Activity), then the Provider must action these changes, and the Participant must agree to the updated Job Plan. Once the Participant has agreed to their new Job Plan, this will flag in the system that Mutual Obligation Requirements are appropriate and the Participant will be able to accrue Demerits against those requirements.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.2)

Not Capable of meeting current requirements due to ongoing circumstances

If the outcome of the Capability Interview is the Participant is not capable of meeting their current compellable requirements due to ongoing circumstances, the Participant is returned to the Green Zone with their Demerits reset to zero.

Provider action

• The Provider must discuss the Participant’s requirements with them, renegotiate and update the Participant’s Job Plan and compellable requirements so that they are suitable.

• This should be undertaken as soon as the Capability Interview outcome has been determined by the Department’s IT Systems, or if this is not possible within 10 Business Days following the finalisation of the Capability Interview.

• The Provider must then explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

Note: Until the Job Plan has been discussed and agreed, the Participant cannot accrue further Demerits. If the Participant has compellable requirements recorded outside of the Job Plan which require updating in the system (i.e. Points Requirement and/or Job Search Requirement and/or Activity placement details for the Mandatory Activity), then the Provider must action these changes, and also reapprove the Job Plan. Once the Participant has agreed to their new Job Plan, this will flag in the system that Mutual Obligation Requirements are appropriate and the Participant will be able to accrue Demerits against those requirements.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.2)

Not Capable due to newly disclosed information

If the outcome of the Capability Interview is that the Participant disclosed new information which directly impacted them at the time they accrued Demerits the Participant is returned to the Green Zone with their Demerits reset to zero.

Provider action

• The Provider must consider if Mutual Obligation Requirements remain appropriate to the Participant’s circumstances and the Participant is capable of meeting them.

• If not, the Provider is strongly encouraged to discuss and, when agreed, update the Participant’s Job Plan so that it is suitable.

• If the Job Plan is not suitable and not updated as part of the Capability Interview, the Provider must discuss with the Participant and update the Job Plan (so that the Mutual Obligation Requirements specified in the Job Plan are appropriate to the Participant’s circumstances and the Participant is capable of meeting them) within 10 Business Days following the finalisation of the Capability Interview.

• The Provider must explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

For more information on Eligibility criteria, Referrals and other employment services, refer to the Eligibility and Referral Chapter.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.2)

Not Capable due to a change in service eligibility or stream

If the outcome of the Capability Interview is the Participant is not capable due to a change in service eligibility or stream) this means the Participant is not capable of meeting their Mutual Obligation Requirements specified in their Job Plan. The Participant is returned to the Green Zone with their Demerits reset to zero.

Provider action

• Advise the Participant that their level of servicing or program eligibility has changed as a result of an updated JSCI score - or as a result of the finalisation of an ESAt.

• The Provider must discuss and when agreed, update the Participant’s Job Plan so that it is suitable.

• The Provider is strongly encouraged to negotiate and update the Job Plan as part of the Capability Interview once the outcome has been determined by the Department’s IT Systems.

• If the Job Plan is not updated as part of the Capability Interview, the Provider must negotiate and update the Job Plan within 10 Business Days following the finalisation of the Capability Interview.

• The Provider must explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.2)

12.4. Capability AssessmentCopy citation · §12.4

Capability Assessments are a key component of the TCF and are conducted by Services Australia. They are further protection for the most vulnerable Participants and provides another opportunity for Participants to disclose issues that may be affecting their ability to meet their Mutual Obligation Requirements.

The purpose of the Capability Assessment is to determine whether a Participant’s Mutual Obligation Requirements are suitable for the Participant. Mutual Obligation Requirements are suitable for a Participant if they are appropriate to the Participant’s circumstances and the Participant is capable of meeting the requirements.

Even though Providers do not conduct Capability Assessments, Providers still have Deed obligations in relation to Capability Assessments.

Irrespective of the outcome, following a Capability Assessment, the Participant is returned to the Green Zone by the Department with their Demerits reset to zero.

(Deed Reference(s): Clause 145.3)

12.4.1. When a Capability Assessment is triggeredCopy citation · §12.4.1

Services Australia conducts a Capability Assessment when the Participant has:

• completed a Capability Interview that resulted in an outcome of "Capable", and

• in 6 active months, accrued 5 Demerits or a Demerit for a ‘fast-track’ Mutual Obligation Failure when they already have 3 Demerits.

When the circumstances described above occur:

• the Department’s IT Systems will identify that the Participant’s Reconnection Requirement for their most recent Mutual Obligation Failure is a Capability Assessment, and

• the Capability Assessment is said to be ‘triggered’.

When a Capability Assessment is triggered, the Department’s IT Systems will display the re-engagement notification script the Provider must read to the Participant. This notification informs the Participant that they must contact Services Australia to participate in a Capability Assessment as their re-engagement requirement.

Participants will be unable to report to Services Australia for their next fortnightly Income Support Payment until they contact Services Australia to undertake the Capability Assessment.

No further Demerits until the Capability Assessment is finalised

Participants will not accrue any further Demerits until they have completed their Capability Assessment and that Capability Assessment is finalised in the Department’s IT Systems.

After triggering the Capability Assessment, Participants might commit further Mutual Obligation Failures before the Capability Assessment has been finalised in the Department’s IT Systems. In these cases, the Participant will not accrue Demerits, but their Income Support Payment may still be suspended to encourage the Participant to reconnect with their Provider.

Work Refusal Failure before the Capability Assessment is finalised

Providers must still comply with their Deed obligations relating to Work Refusal Failures, regardless of whether the Capability Assessment is finalised in the Department’s IT Systems.

For more information, see Work Refusal Failures.

(Deed Reference(s): Clause 145.3)

12.4.2. Delivery of the Capability Assessment and recording outcomesCopy citation · §12.4.2

Services Australia will notify Providers of Capability Assessment outcomes via a noticeboard message on the Department’s IT Systems. Services Australia will record the outcome of the Capability Assessment and will provide information in the Participant’s record on what Mutual Obligation Requirements are inappropriate and that the Provider must renegotiate with the Participant.

(Deed Reference(s): Clause 145.3)

12.4.3. Actioning the outcomes of a Capability AssessmentCopy citation · §12.4.3

Once Services Australia has finalised the Capability Assessment in the Department’s IT Systems, the Participant is moved back to the Green Zone by the Department.

The possible outcomes of a Capability Assessment are that the Participant is:

• Capable

• Not Capable due to errors in compellable requirements

• Not Capable of meeting current requirements due to ongoing circumstances

• Not Capable due to newly disclosed information, or

• Not Capable due to a change in service eligibility or stream

To ensure the Participant does not experience payment suspension or accrue Demerits for requirements that they are not capable of meeting, when a Participant is found Not Capable, their Mutual Obligation Requirements must generally be updated to address the nature of the outcome. Following an outcome of Not Capable, the Participant cannot accrue further Demerits, until the Job Plan is updated and agreed.

Providers can view the Capability Assessment outcomes on the Targeted Compliance Framework History Screen in the Department's IT Systems. Each of the above outcomes are discussed in further detail below.

Capable

If the outcome of the Capability Assessment is that the Participant’s Mutual Obligation Requirements are suitable for the Participant, they will be found Capable and move into the Penalty Zone. The Department will then move the Participant from the Penalty Zone back to the Green Zone.

Because the Mutual Obligation Requirements are suitable for the Participant, they do not need to be updated.

The Provider must advise the Participant that their compellable requirements have been assessed as being appropriate to the Participant’s circumstances and the Participant is capable of meeting them.

The Provider must explain to the Participant their Mutual Obligation Requirements in their Job Plan and the consequences of non-compliance.

The Provider must review the CMT for the Participant as Services Australia may have identified issues that the Provider will need to consider when renegotiating the Participant’s Mutual Obligation Requirements in the future.

Not Capable

If the outcome of the Capability Assessment is that the Participant is Not Capable, irrespective of the reason, the Provider must:

• review the CMT for service recommendations recorded by Services Australia, and must consider those recommendations before renegotiating the Participant’s Mutual Obligation Requirements.

• In consultation with the Participant, the Provider must update the Job Plan so that it is suitable within 10 Business Days following the finalisation of the Capability Assessment (including making any necessary adjustments to the Participants Points Target and/or Job Search Requirements).

• The Provider must explain to the Participant their Mutual Obligation Requirements and the consequences of non-compliance.

If the Participant is found Not Capable due to a change in service eligibility or stream, the Provider must also advise the Participant that their level of servicing or program eligibility has changed as a result of an updated JSCI score or as a result of the finalisation of an ESAt.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.3)

For more information on Eligibility criteria, Referrals and other employment services, refer to the Eligibility and Referral Chapter.

(Deed Reference(s): Clauses 106.2, 107, 108, 109, 110, 145.3)

12.5. Work Refusal FailuresCopy citation · §12.5

A Participant commits a Work Refusal Failure if they refuse or fail to accept an offer of suitable Employment. Participants may have their Income Support Payment suspended for a Work Refusal Failure

When the Provider creates a Work Refusal Failure report, the report will be sent through the Department’s IT Systems to Services Australia. Services Australia will determine whether the Participant has a Reasonable Excuse for the Work Refusal Failure.

If Services Australia determines a Participant has committed a Work Refusal Failure without a Reasonable Excuse, the Participant’s Income Support Payment may be cancelled and it cannot be paid for 4 weeks. Participants can reapply for payment at any time after their payment has been cancelled but they will not receive Income Support Payment again until they have served their preclusion period.

Work Refusal Failures reinforce the principle that Income Support Payments for Participants should only be available to those who are genuine in their efforts to move into paid work.

Providers must comply with their Deed obligations relating to apparent Work Refusal Failures regardless of which zone the relevant Participant is in.

12.5.1. Identifying a Work Refusal FailureCopy citation · §12.5.1

Providers have obligations under the Deed when they become aware (e.g. an Employer notifies the Provider or the Provider receives information from the Department) that a Participant has apparently committed a Work Refusal Failure.

When the Provider is in contact with the Participant (as referred to in Reporting a Work Refusal Failure), the Provider must discuss the circumstances of an apparent Work Refusal Failure with the Participant and must consider whether the Participant has refused or failed to accept an offer of Employment.

If, after discussing the circumstances of an apparent Work Refusal Failure with the Participant, the Provider assesses that:

• the Participant has not received an offer of Employment (e.g. they attended an interview, but were not offered the position), the Provider must not determine that the Participant committed a Work Refusal Failure; or

• the Participant has refused or failed to accept an offer of Employment, the Provider must then assess whether the Employment offered was suitable for the Participant. Providers must consider the following factors when making this assessment, as any one of these factors would make the work unsuitable:

  • the Participant lacks the particular skills, experience or qualifications that are needed to perform the work and no training will be provided by the Employer

  • there is medical evidence that the Participant has an illness, disability or injury that would be aggravated by the conditions in which the work would be performed

  • the Participant is the principal carer, and does not have access to appropriate care and supervision for the children at the times when the Participant would be required to undertake the work (which includes reasonable amounts of time that would be needed for the Participant to travel between home and the work)

  • the Participant is the principal carer, or the Participant has a partial capacity to work, and the work hours are greater than 15 hours per week

  • performing the work in the conditions in which the work would be performed would constitute a risk to health or safety and would contravene a law of the Commonwealth, a State or a Territory relating to occupational health and safety

  • the terms and conditions for the work would be less generous than the applicable statutory conditions

  • commuting between the Participant’s home and the place of work would be unreasonably difficult [that is, it would require the Participant to spend more than 90 minutes each way in commuting time (or 60 minutes each way for principal carers or those with a partial capacity to work, see below), using the mode of transport normally available to the Participant]

  • the work requires the Participant to change residence, in most cases

  • the Participant has a verifiable and legitimate objection to the work on moral, cultural or religious grounds (for example, there is evidence that the Participant adheres to a particular set of moral, ethical or religious values and aspects of the work would be inconsistent with those values)

  • the work would require the Participant to enlist in the Defence Force or the Reserves, or

  • the Participant has a partial capacity to work, or is a principal carer and one or more of the following applies:

    • the duration of the journey between the Participant’s home and the place of work would normally exceed 60 minutes

    • the Participant would be financially worse off as a result of undertaking the work, by comparison with not undertaking the work, considering:

      • the financial cost to the Participant in providing appropriate care and supervision for one or more children, for whom the Participant is the principal carer, at the times when the Participant would be required to undertake the work

      • the financial cost of travel that would be incurred by the Participant in undertaking the work,

      • the reduction in income support, additional tax paid or impact on public housing, or

      • the financial benefit for the Participant of undertaking the work would be marginal because of the financial cost to the Participant in providing appropriate care and supervision for one or more children, for whom the Participant is the principal carer, at the times when the Participant would be required to undertake the work.

(Deed Reference(s): Clauses 138.1 (d), 140.1 (a), 145.1)

12.5.2. Reporting a Work Refusal FailureCopy citation · §12.5.2

Following the discussion with the Participant, the Provider must consider whether the Participant has committed a Work Refusal Failure. See Identifying a Work Refusal Failure.

Timeframe to report a Work Refusal Failure

The Work Refusal Failure report must be created and finalised within 10 Business Days of the incident date (described in further detail below).

If this does not occur (e.g. where the Provider does not become aware of an apparent Work Refusal Failure until after 10 Business Days have passed since the incident date), the Department’s IT Systems will not allow the Work Refusal Failure report to be finalised, meaning the Work Refusal Failure will not be reported to Services Australia.

The incident date is the date on which the Participant:

• refused an offer of suitable Employment. For example, if a Participant was offered a job at an interview and refused that offer:

  • on the day of the interview, the incident date is the date of the interview

  • 3 days after the interview, the incident date is the date that is 3 days after the interview, or

• failed to accept an offer of suitable Employment, for example:

  • if the Participant was given 14 days to accept the offer and did not do so, the incident date is the 14th day (unless the Participant actively refuses the job on an earlier day), or

  • if, when the offer was made, the Participant agreed a start date with the potential Employer, but did not commence work on that date, the incident date is the date the Participant was due to start.

(Deed Reference(s): Clauses 138.1 (d), 140.1 (a), 145.1)

The steps that the Provider must take when they become aware that a Participant has apparently committed a Work Refusal Failure are described below.

Contact attempt is successful on the same Business Day

Provider considers that the Participant committed a Work Refusal Failure

If, after contacting the Participant on the same Business Day as becoming aware of the apparent Work Refusal failure and discussing the circumstances of the apparent failure, the Provider considers the Participant has committed a Work Refusal Failure (see Identifying a Work Refusal Failure), the Provider must create a Work Refusal Failure report, for investigation by Services Australia.

• System step — The Provider must create and finalise the Work Refusal Failure report by undertaking the following steps in the Department’s IT Systems:

• selecting ‘create compliance’

• selecting the appropriate Event Type from the drop-down menu:

  • select ‘job seeker failed to accept suitable job’ where the Provider considers that the Participant refused or failed to accept an offer of suitable Employment, other than by failing to commence work on the start date agreed with the potential Employer, or

  • select ‘job seeker failed to commence suitable job’ where the Provider considers that the Participant refused or failed to accept an offer of suitable Employment by failing to commence work on the start date agreed with the potential Employer

• recording the incident date (discussed above)

• answering ‘yes’ to the question of whether they are in contact with the Participant

• selecting a reason from the ‘Reasons not accepted’ column of the drop-down menu that will appear. The Provider must select the reason that most closely aligns with the reason the Participant gave as to why they refused or failed to accept the offer of suitable Employment. A full list of these drop-down menu options can be found in the Work Refusal Failure reason options supporting documentsign-in required (sign-in required),

  • otherwise accurately answering the questions that will be automatically generated, and

  • selecting ‘create’, which will finalise the Work Refusal Failure report and send it to Services Australia. Services Australia will assess whether the Participant had a Reasonable Excuse for the Work Refusal Failure, which will determine whether the Participant’s Income Support Payment is cancelled.

By creating and finalising the Work Refusal Failure report as described above, the Provider is confirming they consider the Participant has committed a Work Refusal Failure.

(Deed Reference(s): Clauses 138.1 (d), 140.1 (a), 145.1)

Provider considers that the Participant has not committed a Work Refusal Failure

No further action is required if the Provider:

• was in contact with the Participant on the Business Day on which the Provider became aware of an apparent Work Refusal Failure, and

• after discussing the circumstances of the apparent Work Refusal Failure with the Participant, considers the Participant has not committed a Work Refusal Failure (see the discussion under the heading ‘Identifying a Work Refusal Failure’ above).

Provider considers that the Participant has been non-compliant but the TCF cannot be applied

If the Provider considers that the Participant has committed a Work Refusal Failure (see Identifying a Work Refusal Failure) but the TCF cannot be applied (for example, where 10 Business Days have passed since the incident date), the Provider should discuss the matter when next in contact with the Participant and provide guidance on accepting and commencing suitable employment. During this discussion, Providers should also consider referring the Participant to activities to build or improve employability or similar appropriate activities.

12.5.3. Contact attempt is not successful on the same Business DayCopy citation · §12.5.3

When the Provider becomes aware that a Participant has apparently committed a Work Refusal Failure but is unable to contact the Participant on the same Business Day, the Provider must undertake the steps described below.

• System step — On the Business Day that the Provider becomes aware of the apparent Work Refusal failure, the Provider must create the Work Refusal Failure report by undertaking the following steps in the Department’s IT Systems:

• selecting ‘create compliance’

• selecting the Event Type from the drop-down menu that will appear as follows:

  • select ‘job seeker failed to accept a suitable job’ where the Provider considers that the Participant has apparently refused or failed to accept an offer of suitable Employment, other than by failing to commence work on the start date agreed with the potential Employer, or

  • select ‘job seeker failed to commence suitable job’ where the Provider considers that the Participant has apparently refused of failed to accept an offer of suitable Employment by failing to commence work on the start date agreed with the potential Employer

• recording the incident date (discussed above)

• answering ‘no’ to the question of whether they are in contact with the Participant

• accurately answering the questions that will be automatically generated, and

• selecting ‘create’. This will create a draft Work Refusal Failure report.

In any zone, the Participant will receive notification advising that they appear to have committed an apparent Work Refusal Failure, that they must contact their Provider as soon as possible, and their payment may be suspended after 5 Business Days if they take no further action. If the Participant does not make contact with their Provider within 5 Business Days, the Department’s IT Systems will automatically suspend the Participant’s Income Support Payment and the Participant will receive notification that their Income Support Payment has been suspended and to contact their Provider.

In any zone, the Participant’s Reconnection Requirement is to make contact with their Provider to discuss the apparent Work Refusal Failure. If the Participant’s Income Support Payment has been suspended, the suspension will be lifted once they make contact with their Provider and their Provider finalises the Work Refusal Failure report (as discussed immediately below).

(Deed Reference(s): Clauses 138.1 (d), 140.1 (a), 145.1)

When there is contact with the Participant

Where there is contact with the Participant after the Business Day on which the Provider became aware of the apparent Work Refusal Failure, the Provider must update the draft Work Refusal Failure report (referred to above).

• System step — The Provider must update and finalise the Work Refusal Failure report by undertaking the following steps in the Department’s IT Systems:

• selecting the edit option in the draft Work Refusal Failure report (By doing so, the Provider is confirming that they are in contact with the Participant), and either:

  • if the Provider considers the Participant committed a Work Refusal Failure (see the discussion under the heading ‘Identifying a Work Refusal Failure’ above):

    • selecting ‘No’ in response to the question of whether they accepted the reason given by the Participant. By doing so, the Provider is confirming that they have determined that the Participant has committed a Work Refusal Failure

    • selecting a reason from the ‘Reasons not accepted’ column of the drop-down menu that will appear. The Provider must select the reason that most closely aligns with the reason that the Participant gave as to why they refused or failed to accept the offer of suitable Employment. A full list of these drop-down menu options can be found in the Work Refusal Failure reasons supporting documentsign-in required (sign-in required), and

    • selecting ‘submit’, which will send the Work Refusal Failure report to Services Australia. Services Australia will assess whether the Participant had a Reasonable Excuse for the Work Refusal Failure, which will determine whether the Participant’s Income Support Payment is cancelled,

OR

• if the Provider considers the Participant did not commit a Work Refusal Failure (see the discussion under Identifying a Work Refusal Failure):

  • selecting ‘Yes’ in response to the question of whether they accepted the reason given by the Participant. By doing so, the Provider is confirming that they have determined that the Participant has not committed a Work Refusal Failure

  • selecting a reason from the ‘Reasons accepted’ column of the drop-down menu that will appear. The Provider must select the reason that most closely aligns with the reason that the Participant gave as to why they did not refuse or fail to accept an offer of suitable Employment. A full list of these drop-down menu options can be found at Work Refusal Failure reasons supporting documentsign-in required (sign-in required), and

  • selecting ‘submit’, which will close the report (i.e. the report will not be sent to Services Australia for investigation).

If the Participant’s Income Support Payment has been suspended, this suspension is lifted when the Provider selects ‘submit’.

If the Participant does not contact their Provider within 28 calendar days of their payment suspension date, their Income Support Payment will automatically be cancelled.

(Deed Reference(s): Clauses 138.1 (d), 140.1 (a), 145.1)

12.5.4. Unemployment FailuresCopy citation · §12.5.4

Although the IT system functionality is available for Providers to report Unemployment Failures, Providers must not submit Unemployment Failures to Services Australia.

Where Providers identify that a Participant may have committed an Unemployment Failure (that is, become aware that a Participant voluntarily left a suitable job or was dismissed for misconduct), the Provider should discuss with the Participant their reasons for leaving the job, or whether there was misconduct, at the next Provider appointment.

12.5.5. Identifying Work Refusal Failures for Transition to Work ParticipantsCopy citation · §12.5.5

If a Transition to Work Provider assesses that a Transition to Work Participant has committed a Work Refusal Failure, they must refer the Participant to a Workforce Australia Provider. The Transition to Work Provider must:

• explain the impact of the failure to the Participant

• exit the Participant from Transition to Work and refer the Participant to a Workforce Australia Provider, and

• provide electronic evidence to the Workforce Australia Provider that supports the Transition to Work Provider’s assessment that the Participant has committed a Work Refusal Failure.

The Workforce Australia Provider must then comply with their Deed obligations in relation to that Participant, including those relating to Work Refusal Failures.

12.6. Pause of Mutual Obligation RequirementsCopy citation · §12.6

The Department pauses Mutual Obligation Requirements when exceptional circumstances are identified that would impact Participants’ ability to meet (or report) their Mutual Obligation Requirements, or Providers’ ability to deliver employment services. Exceptional circumstances may include:

• natural disasters

• major IT system outages

• other significant events such as a pandemic.

When a pause of Mutual Obligation Requirements is in place, the TCF does not apply. Participants can still engage if it is safe and they wish to do so, but there are no compliance consequences if they do not. Providers must not apply compliance actions during a pause, as all Mutual Obligation Requirements become voluntary during this time.

Where the circumstance is at a localised level such as power outages or public transport disruptions, a pause of Mutual Obligations may not be required. In these cases, Providers should manage any potential impacts on Participants.

Where appropriate, this may include:

• Adjusting requirements for affected Participants.

• Rescheduling Provider Appointments or recording that a Participant is no longer required to attend.

• Setting Points Reporting Periods and Job Search Reporting Periods to No Longer Required (NLR).

• Recording that a Participant is no longer required to attend a job interview or complete a Job Referral task.

• Ensuring Participants are given sufficient time before recording a non-attendance result.

• Considering if further support referrals are required. 

Note: For more information on the Pause of Mutual Obligation Requirements, refer to the Targeted Compliance Framework Reference Guidesign-in required (sign-in required).

Attachment 12A. Overview of the Targeted Compliance Framework

Source diagram not reproduced ServiceCite note: This diagram shows the Targeted Compliance Framework stages and zones. The official guideline includes a diagram at this location. ServiceCite has not reproduced or indexed the image because images are excluded from DEWR’s default Creative Commons licence unless otherwise indicated. View the authoritative diagram in the official PDF on page 276. The surrounding guideline text remains searchable.

Footnotes

5. Refer to the Targeted Compliance Framework section for information on the pause of some decisions. ↩