Part 1- Comcare's Compliance Strategy under the SRC Act
Comcare's compliance strategies under the Safety Rehabilitation and Compensation Act (SRC Act) range from encouraging better practice through to audit and assurance activities for employers who are still developing their compliance systems and capability.
Comcare applies a range of information, education, advice and assistance to encourage better practice through partnerships and collaboration with the jurisdiction. A combination of better practice and compliance measures may be applied that are appropriate to the circumstances.
- education
- self evaluation with mandatory reporting
- audits
- letter of warning
- impact upon premium and regulatory contribution
- statutory enforcement options
- set conditions upon an applicants approval or renewal as a rehabilitation provider
- refuse to renew an applicant as a rehabilitation provider
- revoke an approval as a rehabilitation provider.
For further information about better practice and compliance activities refer to schedule 1.
A staged approach to achieve compliance - Employers
The Commission has introduced a staged approach to monitoring and encouraging compliance for a licensee that has resisted or been unable to achieve voluntary compliance that accords with the Australian National Audit Office Better Practice Guide to the Administration of Regulation 2007(2). So as to maintain consistency across the scheme Comcare will apply a similar regime to non licensee employers in the performance of their functions under the SRC Act. The OHS Act contains its own enforcement provisions.
Comcare will seek to resolve minor or technical non-conformance through various stages. The benefit of a set of graduated responses allows Comcare to impose a response that is proportionate to the risk, escalate or de-escalate regulatory action, and minimise the costs associated with a response. The use of a graduated set of responses also means that the financial, health and time costs of employers and employees can be minimised.
Once Comcare has identified that there is a problem, in the normal course of events, the employer would be notified of the issue in writing and given an opportunity to resolve the problem.
The first level of the staged approach is encouragement and focuses on education and voluntary compliance. This includes activities such as information and presentations provided by Comcare's SRC Act Policy Section.
If encouragement activities are unsuccessful or Comcare considers them to be inappropriate, it could consider activities at the second level in the direction category. This will depend on the issue. Comcare may:
- issue a letter requesting an action/direction (such as a report)
- issue a letter of statutory warning to the principal officer
- issue a request that the principal officer appear in front of the Commission
- the CEO of Comcare visit the principal officer of an employer
- direct that further audits and/or investigations be undertaken to address the issue
- report the employers poor performance in Comcare's Annual Report
- request the employer to report its poor performance in its own Annual Report
- report the employers poor performance on Comcare's website.
The third level is restriction. Comcare may, for example, consider it necessary to place restrictions on the manner in which the employer performs its rehabilitation functions. Comcare may also, by virtue of the increased level of regulatory oversight, increase an employers regulatory contributions to Comcare.
Comcare will have the discretion to undertake a simultaneous mix of the actions identified in the encouragement, direction and restriction categories, depending on the breach or issue. Using a combination of these steps is likely to communicate the seriousness with which Comcare views non-compliance.
At any point during the process it is open to an affected employer to make written representations to Comcare regarding the matters in question, and the appropriateness and effectiveness of Comcare's proposed regulatory response.
A staged approach to achieve compliance - Approved Rehabilitation Providers
A nationally consistent approach to the approval and regulation of rehabilitation providers was developed by a working party of representatives from all Workers' Compensation Authorities nationally (including Comcare), and has been endorsed by HWCA (Heads of Workers' Compensation Authorities).
The national approval and regulatory approach, i.e. Comcare's approach, is detailed in the documents Guide - Nationally consistent approval framework for workplace rehabilitation providers and the evaluation methodology and evaluation tool published in the Workplace Rehabilitation provider evaluation manual.These documents are available from the HWCA website at www.hwca.org.au
The purpose of the nationally consistent approval framework for rehabilitation providers is to:
- provide a robust approval system across the workers compensation authorities
- enable objective measurement of provider performance against the conditions of approval
- establish standards designed to delivery high quality rehabilitation services to workers, employers and insurers.
Comcare (and other workers compensation authorities) are responsible for maintaining an approval framework that:
- seeks to ensure provider conformance with the conditions of approval - including Comcare's provider criteria and operational standards
- creates an efficient and effective system for providers to operate within
- promotes collaboration and delivers return to work outcomes to all stakeholders
- promotes innovation and continuous improvement in return to work solutions.
Comcare is responsible for the approval of rehabilitation providers wishing to operate within our jurisdiction and has adopted an approval and regulatory process consistent with the model endorsed by HWCA. Providers are required to apply to Comcare for approval and meet Comcare's criteria and operational standards - outcome and service delivery standards - which include all requirements of the national framework.
(2) "policy on revocation and suspension of a self insurance licence".