Transfers, Suspension, Exemption and Exits Guideline
Document change history
Version / Start date / Effective date / End date / Change and location /1.2 / 02 11 2016 / 05 12 2016 / 30 06 2018 / Changes in process reflecting IT changes for recording and effecting Exemption decisions. Clarification that an exemption should be ended when the parent Exits ParentsNext.
Removal of ‘automatic exemption’ terminology to clarify that an exemption decision is required only if a Participant applies for an exemption.
Minor changes for clarification purposes.
1.1 / 22 09 2016 / 22 09 2016 / 04 12 2016 / Changes to suspension process and duration period for Exemptions due to Domestic Violence.
Updated dates due to IT system changes.
Addition of requirement to advise Participant in writing when a decision is made about an Exemption.
Clarification that even if they have the circumstances that may make them eligible – a Participant may choose to not apply for an Exemption.
New policy that a Participant with an Exemption may choose to volunteer to participate in ParentsNext.
1.0 / 04 04 2016 / 04 04 2016 / 21 09 2016 / Original version of document
Explanatory Note
All capitalised terms have the same meaning as in the ParentsNext Deed (the Deed). In this document, ‘must’ means that compliance is mandatory and ‘should’ means that this represents preferred practice.
Disclaimer
This Guideline is not a stand-alone document and does not contain the entirety of ParentsNext Project providers’ (Project provider) obligations.
It must be read in conjunction with the Deed and any relevant Guidelines or reference material issued by Department of Employment under or in connection with the Deed.
Summary
This Guideline outlines:
· a Project provider’s responsibilities and actions that must be taken when a Participant transfers between its Sites or to a new Project provider
· the circumstances in which a Participant may be Exempt from participating in ParentsNext
· a Project provider’s responsibilities in granting a suspension from ParentsNext
· the circumstances in which a Participant is to be Exited from ParentsNext and a Project provider’s responsibilities when actioning Project provider Exits.
Policy Intent
Life events impact all people and Social Security law and the Department recognises that some events would result in a Participant either not being required to or should not continue participating in ParentsNext until their circumstances change. This Guideline recognises the variety of these circumstances, and provides direction on the action a Project provider must or should take, ranging from transferring them to another Project provider, or providing them with an Exemption, through to Exiting the Participant from ParentsNext.
Relevant Deed clause/s
The relevant clauses in the Deed include:
· Clause 1—Definitions and Interpretations
· Clause 10—Liaison and directions
· Clause 22—Fraud
· Clause 30—General
· Clause 36—Records the Funding Recipient must keep
· Clause 53—Liquidated damages
· Clause 56—Transition Out
· Clause 69—The Project
· Clause 72—Referrals by DHS and the Department
· Clause 74—Relocation of Participants between Funding Recipients Sites
· Clause 75—Transfer of Participants from the Funding Recipient
· Clause 76—Transfer of Participants to the Funding Recipient
· Clause 77—Appointments and Contacts with Participants
· Clause 79—Suspensions and Exemptions
· Clause 80—Exits
· Clause 82—Action about performance
· Clause 86—Mutual Obligation Requirements
· Clause 93—Obligations in relation to Participation Plan Officers
· Annexure A1—Definitions
Relevant references
Reference documents relevant to this Guideline include:
· Managing and Monitoring Appointments Guideline
· Eligibility, Referrals and Commencement Guideline
· Direct Registration Guideline
· Challenging Behaviours and Incident Management Guideline
· ParentsNext Compliance Framework Guideline
· Participation Requirements and Participation Plan Guideline
· Documentary Evidence Guideline
· Transfer by Agreement Form
· Transfer Due to Relationship Failure Form
· Social Security Act 1991
· Social Security (Administration) Act 1999
· Guide to Social Security Law.
Transfers, Suspension, Exemption and Exits Guideline Effective Date: 5 December 2016
TRIM ID: D16/1766069 20
Transfers
Process
/Details
/Participant changes Address
Deed clause references:
· Clause 30
· Clause 74
· Clause 75
· Clause 76
· Clause 80· Annexure A1 - Definitions
/ Within the ParentsNext Local Government AreaIf a Participant moves to a new location and their new location is within a reasonable distance, as determined by the Project provider (for example 60minutes travelling time) of any of the Project provider’s Sites then the Project provider must continue to have the Participant on their Caseload and should, if relevant, manually transfer them to the other site in the Department’s IT Systems.
If a Participant moves to a new location and their new location is not within a reasonable distance (for example 60 minutes travelling time) of any of the Project provider sites then then the Project provider:
· must manually transfer a Compulsory Participant to another Project provider using the Department’s IT Systems. The gaining Project provider must then have an Initial Appointment with the Participant (refer to the Managing and Monitoring Appointments Guideline).
· should manually transfer a Voluntary Participant to another Project provider using the Department’s IT Systems, if the Participant wishes to continue in ParentsNext. If the Participant does not wish to continue in ParentsNext the Project provider must Exit the Participant from ParentsNext.
To another ParentsNext Local Government Area
Compulsory Participants – the Department’s IT Systems will automatically transfer the Participant to another Project provider. The gaining Project provider must then have an Initial Appointment with the Participant (refer to the Managing and Monitoring Appointments Guideline).
Voluntary Participants – the Project provider must Exit the Voluntary Participant using the Department’s IT Systems and, if the Participant wishes to continue in ParentsNext, should give the Participant the details of a Project provider in the ParentsNext Local Government Area they are moving to so that the Participant can approach that Project provider for Direct Registration (refer to the Direct Registration Guideline).
Outside a ParentsNext Local Government Area
Compulsory Participants – the Department’s IT Systems will automatically Exit the Participant from ParentsNext.
Voluntary Participants – the Project provider must Exit the Participant from ParentsNext using the Department’s IT Systems.
Transfer by agreement
Deed clause references:
· Clause 36
· Clause 75
· Annexure A1 - Definitions
/ Participants may transfer to a new Project provider if their current Project provider, their proposed Project provider and the Participant all agree to the transfer.Compulsory Participants – A request for a transfer by agreement must be completed by both the current and proposed Project providers and the Participant and lodged through the Department’s IT Systems using the Transfer by Agreement Form, which is available on the Provider Portal (a copy is at AttachmentA):
· When all parties agree and sign the Transfer by Agreement Form, the current Project provider must enter the details into the Department's IT Systems to action the transfer. The current Project provider must retain a copy of the signed form (refer to the Documentary Evidence Guideline).
· Where either the current or the proposed Project provider declines the transfer request, the other Project provider and Participant should be informed of the outcome of the request.
Note: If the Participant is a sensitive Participant (that is they have their contact details blocked out in the Department’s IT Systems) or has a current Level3 Incident Report (refer to the Challenging Behaviours and Incident Management Guideline) the current Project provider must contact the Department's Employment Systems Help Desk on1300305520 to facilitate a transfer where agreement has been reached by all parties.
Transfer due to relationship failure
Deed clause references:
· Clause 75
· Clause 77
· Annexure A1 - Definitions
/ Where the Department determines that the relationship between the Project provider and a Compulsory Participant has broken down, the Department will transfer the Participant to another Project provider where one is available.Participant initiated request
Where a Participant considers that they cannot maintain a reasonable and constructive relationship with their Project provider, they can contact the Department’s National Customer Service Line on1800805260. A customer service officer will record the request and help to make the transfer, where appropriate.
Project provider initiated request
Where a Project provider considers that it cannot maintain a reasonable and constructive relationship with a Participant, the Project provider should complete the Transfer Due to Relationship Failure Form and forward this via email to the Department’s National Customer Service Line () for investigation. The Department will consider the request based on the evidence provided, including whether the Project provider has followed the process outlined in the Challenging Behaviours and Incident Management Guideline.
Approval/transfer process
Where the Department’s National Customer Service Line approves a transfer due to relationship failure, it will select an alternative Project provider, where one is available. In doing so it will take into account a range of factors, including a Project provider’s location, and facilitate the transfer of the Participant. The Participant will be sent a letter advising them of their new Project provider and the date and time of their next appointment.
Where the Department’s National Customer Service Line does not approve the transfer, it will notify the Project provider and/or the Participant in writing. If the Project provider and/or Participant are not satisfied with the outcome, they can request a review of the decision by notifying the Department’s National Customer Service Line in writing (at ) within 14BusinessDays of the original decision.
If there is no alternative Project provider in the Local Government Area the Project provider must continue to provide assistance to the Participant.
Review process
Where the Project provider and/or Participant request a review of the original decision as to whether a transfer is warranted, it will be undertaken by a Departmental officer who was not involved in the original approval process. In undertaking the review, the Departmental officer should consider whether the Project provider has applied the strategies outlined in the Challenging Behaviours and Incident Management Guideline.
If the outcome of the review is that the request for transfer is approved, the Department’s National Customer Service Line will action the transfer using the process outlined earlier in this section.
Where the outcome of the review is that the request for transfer is not approved, the Project provider and/or Participant will be notified in writing and the Project provider must continue to provide assistance to the Participant.
Transfer for better servicing
Deed clause references:
· Clause 76
· Annexure A1 - Definitions
/ Where a Participant has demonstrated to the Department’s satisfaction that they will receive better assistance from another Project provider, the Participant may be transferred to that Project provider.To request a transfer, a Participant may contact the Department’s National Customer Service Line on1800805260, which will assess the request. Where the Department determines that the Participant has demonstrated that they will receive better assistance from another Project provider, the Department will action the transfer. Where the Department does not agree to the request, the Participant will be informed of the decision.
Other
Deed clause references:
· Clause 22
· Clause 53
· Clause 56· Clause 77
· Clause 82 / The Department may transfer Participants to another Project provider for any reason, including or not limited to:
· the current Project provider ceases to conduct the Project at all or at a particular Site
· during a Transition Period.
The gaining Project provider must then have an Initial Appointment with the Participant (refer to the Managing and Monitoring Appointments Guideline).
The Project provider must take all reasonable steps to prevent fraud upon the Commonwealth.
Transfers, Suspension, Exemption and Exits Guideline Effective Date: 5 December 2016
TRIM ID: D16/1766069 20
Exemptions
This section relates to Compulsory Participants. Voluntary Participants should be Exited from ParentsNext if they are unable to participate.
Process
/Details
/Exemption
Deed clause references:· Annexure A1 - Definitions
· Clause 30
· Clause 79
· Clause 86
· Clause 93
/ If a Compulsory Participant experiences a major personal crisis or significant disruption, or other circumstance which may warrant an Exemption (see Exemption Types below), and the Participant requests an Exemption, a Participation Plan Officer must consider the Participant’s circumstances, including their severity and duration, and decide whether they warrant an Exemption from their Mutual Obligation Requirements (participation requirements) for a specified period of time.Factors to consider include whether any adjustments to the Participant’s Participation Plan that would help under the circumstances, i.e. whether reduced or different requirements would help support a conclusion that an Exemption is not warranted.
If the Participant and Participation Plan Officer agree that no Exemption is to be applied and that the Project should continue to deliver assistance then the officer must consider whether the Participant’s Participation Plan should be updated. Any changes to Activities should be entered into the Department’s IT Systems, including a comment recording that the Participant agreed not to be Exempted from their participation requirements. The decision to not proceed with the Exemption request should be recorded in the Department’s IT Systems. The Project provider should closely monitor the situation to ensure that Project assistance is meeting the Participant’s needs and that their Participation Plan remains suitable for them.
If a Participant has been granted an Exemption they may request to participate in ParentsNext voluntarily during the period of Exemption (see Participants volunteering during a period of Exemption, below).
Requests for an Exemption
Deed clause references:· Annexure A1 - Definitions
· Clause 22
· Clause 30
· Clause 79
· Clause 86
· Clause 93
/ Participation Plan Officers must consider all Participant requests for an Exemption from participation requirements, record the request and decision in the Department’s IT Systems and advise the Participant in writing of the decision, within 10 Business Days of receiving the request. Participants may submit their request verbally or in writing.When deciding whether to grant an Exemption the Participation Plan Officer must:
· take into account the requirements for the particular Exemption (see Exemption types, below)
· discuss with the Participant the requirements for applicable Exemptions and ask the Participant to provide any information or evidence relevant to their entitlement to an Exemption - evidence of the request must be recorded
· explain that if clear evidence is not provided no Exemption will be granted
· record the application for Exemption in the Department’s IT Systems. Once the application is recorded, a decision must be made by the Project provider for an Exemption within 30 days, otherwise the Department’s IT Systems will close the Exemption.
· consider the information provided when determining whether to grant the Exemption. Information or evidence not provided in an appropriate timeframe may not be considered
· review evidence, including relevant documents whether provided by the Participant or otherwise, and comments and file notes recorded on the Department’s IT Systems
· if the Participation Plan Officer proposes not to grant the Exemption, inform the Participant of this and of the proposed reasons for not granting the Exemption, and ask the Participant to provide any final comments they wish to provide before the decision is made.
Once a decision has been made to grant an Exemption the Participation Plan Officer must:
· check that the Participant’s income support payment is not suspended for ParentsNext non-compliance reasons. If payment is suspended, the Participation Plan Officer must submit an updated attendance result (attendance at ParentsNext appointment) in the Department’s IT Systems and confirm with the Participant that payment has been restored before granting the Exemption and Suspending the Participant from the ParentsNext Project
· inform the Participant of the decision in writing, including the start and end dates of the Exemption (Exemptions cannot be backdated). Project providers can use the template generated from the Department’s IT Systems
· inform the Participant that they will not receive Project assistance while between the Exemption start and end dates. Only if the Participant volunteers in to ParentsNext during the period of Exemption can they receive assistance while Exempt from participation requirements
· record the Exemption decision and reason in the Department’s IT Systems
· using the Department’s IT Systems, apply the Exemption
· if the Participant advises that they wish to participate in ParentsNext on a voluntary basis during an Exemption period, arrange for the service Suspension to be lifted (see Participants volunteering during a period of Exemption, below).
If a decision is made to not grant the Exemption the Participation Plan Officer must:
· inform the Participant of their decision in writing, including the reason for the decision
· when informing the Participant of the decision, provide written information on how the Participant can seek internal review by the Department of Employment of the Exemption decision made or, if the Participant prefers, ask the Project provider to check or explain the decision before the Participant decides whether to seek internal review by the Department
· inform the Participant that it is in their interest to seek a review of the Exemption decision sooner rather than later because, without an Exemption, they will need to comply with their participation requirements, and
· record the Exemption decision and reason in the Department’s IT Systems, retaining all documentary evidence.
If a request for an Exemption is not granted the Project provider should sensitively re-engage with the Participant. Consideration must be given to re-negotiating the Participant’s Participation Plan ensuring that consideration is given to the Participant’s current circumstances.
The Project provider must take all reasonable steps to prevent fraud upon the Commonwealth.
Duration of Exemption