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C41/1998 for Proof of Identity for Income Support Payments

Document

DATE OF ISSUE:  7 October 1998

for Proof of Identity for Income Support Payments

Please note: For further information in relation to Proof of Identity refer to DI C30/2004.

Table of Contents

General

Purpose

To provide policy and procedural guidelines regarding establishing the identity of a person claiming an Income Support Payment from DVA.

Background

In determining a claim for payment the determining officer must be satisfied about all matters relating to the claim. This is especially true when identifying the claimant and/or the relationship of the claimant to the veteran. This means that you have to make a decision under the reasonable satisfaction guidelines.

There are no specific provisions in the Veterans' Entitlements Act 1986 (VEA) requiring that the identity of the claimant must be proved. However the determining officer must be satisfied that the claimant is a person who satisfies the eligibility provisions of the VEA.

Continued on next page


General, Continued

When to complete a POI

A Proof Of Identity (POI) check should be done in every case where a new claim is received. A POI check may prove to be easier for some cases where acceptable POI information (ie signed, stamped and dated) is already available on file. If the client has a current payment record it may not be necessary to do a complete POI. In these cases it may be possible to satisfy yourself by comparing earlier file details and  signatures.

New payment record cases always require a POI check using the categorised document lists included in this document. Where a veteran is already in receipt of a Disability Pension and their partner applies for an Income Support payment, the partner must provide POI. Where a re-application is received within 12 months the original POI may be used. If a re-application is received after 12 months a new POI check must be undertaken.


Establishing POI

POI Types

There will be cases where it is not possible for the claimant to provide the required documents as described in Categories A and B on Attachment 1 for POI purposes. Although it is desirable to adhere to the rigid standards of POI, in practice this is not always possible. There will always be genuine claimants who are unable to produce standard forms of identification. To take this into account POI can be divided into two separate types:

  • Standard POI; and

  • Non-standard POI

Establishing Standard POI

Standard POI is where the claimant can provide the required documents for POI purposes as described in Categories A and B on Attachment 1. If the claimant can provide three different documents from these categories with at least one document from Category A, standard POI has been established.

Establishing Non-standard POI

Non-standard POI is where the claimant is unable to provide the documents specified but can collectively demonstrate a continued history of the exclusive use of an identity over a reasonable period of time, generally considered to be 2 years. The acceptance of non-standard POI has been introduced with the intention of assisting the determining officer to exercise their discretion while emphasising the fact that a lesser standard of POI has been provided. Where non standard POI is accepted the determining officer must record their reasons for accepting it on the claimant's file.

Non-standard POI should be considered in cases where a claimant is unable to produce sufficient categorised documents. The Claimant may be able to provide other forms of identification that are not included on our list of ‘acceptable' documents. These other forms of identification may enable the officer to confidently establish a reasonable history of the person's identity on file. To this end the attached should not be considered a ‘definitive' list of acceptable documents.

Things to consider when trying to establish non-standard POI are:

  • The integrity of the documents;

  • Do the documents identify the claimant?; and

  • Do the documents show a history of the claimant?

In all these cases the officer concerned must state their reasons for accepting non-standard POI, as evidence of the claimants identity and record this on the claimant's file.


Acceptable Documents

Acceptable POI Documents

It is preferable that the claimant provide original documents. If these are unavailable, true and certified copies of these documents may be accepted. A true and certified copy must be signed by a person before whom a Statutory Declaration may be made. A list of these people is available on the reverse side of a current, standard Statutory Declaration form (issued, printed and available from AGPS) and include certain professionals and numerous other persons (example at Attachment 2). As on a Statutory Declaration the person certifying the copy must sign the copies and insert their name, address and qualification to sign, as certification, on the forms.

If the claimant mails their claim with original proof of identity documents the documents should be returned by certified mail.

Categories of Documents

There are two different categories of standard POI documents. Category A documents are regarded as sound because of the difficulty in obtaining them and because they are less likely to be stolen or illegally obtained. Category B documents are acceptable because of either their personal nature or because of the time they need to be held.

Combinations of Documents

When a claim is lodged with DVA the following combinations of documents from the Category A and B lists described on Attachment 1

[14]

This Attachment will become an online form to be issued to persons making a claim. This form will be referred to on the claim forms.

[14] (go back)
are acceptable.

3 different documents with at least 1

category A documentAB         B

OR

1 category A document plusAB        Non standard

1 category B document plus

some form of non standard POI

OR

2 different category B documents

plus some form of non standard POIBBNon standard

If any of the documents are in a previous name an additional document which shows how the client's name was changed (e.g. a marriage certificate, deed poll) must also be included. A Statutory Declaration may also be adequate in some cases.

Only the first example above would be considered standard POI. This is the minimum requirement for Standard POI.

Continued on next page


Acceptable Documents, Continued

Verifying Documents

When accepting non-standard POI, verification is needed to protect clients and the Department from fraud. Therefore it is preferable that an officer of the Department sights an original POI document.

If original documents are forwarded to the Department they should be photocopied and immediately returned to the claimant by certified mail. The copies should then be marked with a statement that the original documents have been sighted, and be signed by the officer who sighted them.

Integrity of the Documents

In deciding which documents will contribute towards reliably establishing a person's identity. The following characteristics must be considered:

Are the documents:

  • issued by ‘reliable' organisations? (eg official letterhead);

  • likely to have been discarded by their legitimate holder? (eg out  of date).

Can the organisation be contacted to validate the information? (eg in the phone book).

Identification of Claimant

Do the documents contain:

  • the same personal details as those declared on the claim?

  • the claimant's full name (eg initials only may indicate an alias)?

  • the claimant's date of birth, (eg absence may enable use by a relative)

  • the claimant's address or a confirmed previous address?

  • a signature or photograph of the bearer? (Do they match?)

History of Use of Identity

Do the documents show:

  • a history of the claimant's residential address?

  • a history of continuous means of support?

Continued on next page


Acceptable Documents, Continued

Is the Document Acceptable

All documents tendered by the claimant may assist in the assessment of POI, however only documents which exhibit some element of all three of the above characteristics should be considered ie integrity of the documents, identification of the claimant and history of the use of identity. All qualifying documents must be examined with a view to the determining officer being satisfied that the claimant has demonstrated their exclusive use of their stated identity during the preceding two years.

Translated Documents

Documents in a foreign language must have their originals sighted and a copy placed on file as described above. A written translation must be provided. The translation of any documents must be done at the claimant's expense by an authorised translation service e.g. Department of Immigration and Ethnic Affairs, an appropriate embassy or professional translation service. This is usually recognisable by the document being stamped with the translator's details.


Claim Types

Disability Compensation Claims

In the case of a Disability Compensation claim the documentary evidence obtained in relation to a claim for compensation benefits is usually enough to confirm the identity of the claimant during the normal course of investigation (see Departmental Instruction C45/97). Where this is not considered sufficient the same procedures used in identifying ISS Claimants must be used. These procedures are described at the end of this chapter.

DSS Transfers

In the case of a transfer in from Department of Social Security (DSS), where the client is transferring from an Age pension with DSS  to an Age pension with DVA, and DSS has confirmed the completion of a POI check, there is no requirement for this check to be repeated. (Given the existence of datamatching checks between Departments this is seen as a low risk area for fraudulent activity.) Current procedures for the Bring Em Back cases should be observed in these cases (see Departmental Instruction C11/98 under ‘Ongoing Transfers'). However the signature on the claim form must match the signature on any previous file documents.

Veterans of the Australian Defence Forces

These veterans generally have sufficient documentation to prove their identity. Service records, birth certificates, marriage certificates etc. are usually obtainable. Original documents or certified copies of these documents must be sighted and a copy placed on file.

Allied and Commonwealth Veterans

These veterans may find it more difficult to provide acceptable documentation. Any previous record of association with the Department over 12 months may be utilised if the claimant can confirm details held on these records. This must be used in tandem with other POI and the signature on the claim form must be the same as the signature on any previous file documents (remembering to take the age of the claimant and any disabilities into account.)

Continued on next page


Claim Types, Continued

Veterans of the forces of the Republic of Vietnam

There are various documents that may be used to identify these veterans such as a Visa for travel to Australia, Selection and Interview Report and Application for Resettlement in Australia issued by the Department of Immigration and Ethnic Affairs. These documents relate to people who came to Australia from Vietnam via a refugee camp and as such they may also have documentation relating to refugee status. Vietnamese Veterans may not have any documents relating to their military service. If they were interned by the new regime in a ‘re-education' camp, they may have retained the related documents. They may also have, or have access to, civilian documentation such as birth and marriage certificates.

War Widows/Widowers

These claimants may also have difficulty providing acceptable POI documentation. The determining authority must be satisfied as to the identity of the claimant and the relationship of the claimant to the veteran.

ISS Claims

When an ISS claim is made on the grounds of age, proof of age must be sought. A birth certificate can be used to satisfy both legislative and POI requirements, especially if the POI documents supplied with the war widows/widowers claim was not enough to satisfy the current claim.

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Attachment 1

Acceptable Proof of Identity Documents

When you lodge a claim with the Department of Veterans' Affairs (DVA) you must show documents from the Category A and B lists below which prove your identity.

You must show original documents or true and certified copies of these documents. (DVA can supply you with information as to who can certify document copies.)

If you mail your claim and originals of your proof of identity documents your documents will be returned by certified mail.

From the lists of Category A and B documents on this page, you must provide 3 different documents with at least one document from Category A. Should you be unable to provide these documents, other documentation may be considered. (This is described below as a “non standard document”.)

The following combinations of documents are acceptable:

1 Category A   +1 Category B    +A 2nd Category OR

DocumentDocumentB Document

1 Category A   +1 Category B    +Non standardOR

DocumentDocumentDocument

1 Category B   +A 2nd Category    +Non standard

DocumentB DocumentDocument

If any of the documents are in a previous name you must provide an additional document which shows how your name was changed (e.g. a marriage certificate).

CATEGORY A DOCUMENTS

A1Current and fully valid Australian Passport

A2Australian Armed Services Documents

A3Current overseas passport with current entry permit

A4Certificate of Australian Citizenship

A5Full Australian birth certificate issued more than 5 years ago

A6Legally drawn mortgage papers on a home or property.

A7Certificate of Identity issued by Department of Foreign Affairs. This is issued to a               ‘stateless person' who is unable to obtain a passport or other travel               documents in               order to travel outside of Australia. A refugee is an example of a stateless person.               Please take care not to confuse this certificate with the ‘Document of Identity'               which is issued by the Department of Immigration and Ethnic Affairs (see               Category B).

A8Re-education document for allied veterans of the forces of the Republic of Vietnam.

A9Previous Service or Disability Pension record of association with DVA over 12               months.


Attachment 1

CATEGORY B DOCUMENTS

B1Full or extract of Birth certificate

B2Current Australian driver's licence with photo (where name and address match those               on the form)

B3Marriage certificate

B4Current medical contribution book that is more than 12 months old

B5Title deed to real estate

B6Nurse's Registration Board documents

B7Tradesman's Right certificate

B8Rates notice

Only one of these three where name and address match those on the claim

form.

B9a current home contents policy

B10a current life insurance policy

B11a current car insurance policy

Only one of these four that was opened after February 1991 (when the 100 point system was introduced) where the name and address match those on the claim form.

B12a bank account statement

B13a building society account statement

B14a credit union account statement

B15a finance company account statement

One or two different types of legal documents that are less than 1 year old from this list.

B16 summons

B17bail paper

B18restraining order

B19police order

B20discharge certificate (from prison)

B21parole order

B22Document of Identity issued by the Department of Immigration and Ethnic               Affairs. (This document was valid for a single journey from Britain to Australia and               was issued in lieu of a Passport to the Bearer and his wife/family for travel to               Australia as ‘approved migrants'. These documents were issued from post war to the               mid 1970's. The details provided may have been completed by you, while in some               cases birth certificates may have been sighted. In either case this document               proves travel to Australia only, and therefore a birth certificate and marriage               certificate or equivalent will need to be sighted as well.)

B23Group certificates

Please note that these lists should not be considered as ‘definitive'. For further information on acceptable documentation please contact your nearest DVA Office.

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Attachment 2

Examples of Persons Before Whom a Statutory Declaration May Be Made

Part 1 - Members of Certain Professions

Chiropractor

Dentist

Legal Practitioner

Medical Practitioner

Nurse

Patent attorney

Pharmacist

Physiotherapist

Psychologist

Veterinary Surgeon

Part 2 - Other Persons

  • Agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public
  • Australian Consular Officer, or Australian Diplomatic Officer, (within the meaning of the Consular Fees Act 1985)
  • Bailiff
  • Bank Officer with 5 or more continuous years of service
  • Building Society officer with 5 or more years of continuous service
  • Chief executive officer of a Commonwealth court
  • Civil marriage celebrant
  • Clerk of a court
  • Commissioner for Affidavits
  • Commissioner for Declarations
  • Credit union officer with 5 or more years of continuous service
  • Fellow of the National Accountant's Association
  • Finance company officer with 5 or more years of continuous service
  • Holder of a statutory office not specified elsewhere in this list
  • Judge of a court
  • Justice of the Peace
  • Magistrate
  • Master of a court
  • Member of the Association of Taxation and Management Accountants
  • Member of the Australian Defence Force who is
  • an officer: or
  • a non-commissioned officer within the meaning of the Defence Force Discipline Act 1982 with 5 or more years of continuous service; or
  • warrant officer within meaning of that Act
  • Member of the Institute of Chartered Accountants in Australia, the Australian Society of    Certified Practising Accountants or the National Institute of Accountants
  • Member of the Institute of Corporate managers, Secretaries and Administrators
  • Member of the Institution of Engineers, Australia, other than at the grade of student
  • Member of:
  • the Parliament of the Commonwealth; or
  • the Parliament of a State; or
  • a Territory legislature; or
  • a local government authority of a State of Territory
  • Minister of religion registered under Division 1 Part IV of the Marriage Act 1961
  • Notary Public

Attachment 2

Examples of Persons Before Whom a Statutory Declaration May Be Made cont.

  • Permanent employee of:
  • the Commonwealth or of a Commonwealth authority; or
  • a State or Territory or of a State or Territory authority; or
  • a local government authority;

with 5 or more years of continuous service who is not specified in another item in this list

  • Permanent employee of the Australian Postal Corporation with 5 or more years of continuous service who is employed in an office supplying postal services to the public
  • Person before whom a statutory declaration may be made under the law of the State or Territory in which the declaration is made
  • Police Officer
  • Registrar, or Deputy Registrar, of a court
  • Senior Executive Service Officer of the Commonwealth, or of a State or Territory, or of a Commonwealth, State or Territory authority
  • Sheriff
  • Sheriff's officer
  • Teacher employed on a full time basis at a school or tertiary education institution

Although these examples have been taken from a current Statutory Declaration at the date of this DI, Statutory Declaration forms are updated regularly and it is advisable not to assume that this list is exhaustive.

Examples of Persons Before Whom a Statutory Declaration May Be Made

Part 1 - Members of Certain Professions

Chiropractor

Dentist

Legal Practitioner

Medical Practitioner

Nurse

Patent attorney

Pharmacist

Physiotherapist

Psychologist

Veterinary Surgeon

Part 2 - Other Persons

  • Agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public
  • Australian Consular Officer, or Australian Diplomatic Officer, (within the meaning of the Consular Fees Act 1985)
  • Bailiff
  • Bank Officer with 5 or more continuous years of service
  • Building Society officer with 5 or more years of continuous service
  • Chief executive officer of a Commonwealth court
  • Civil marriage celebrant
  • Clerk of a court
  • Commissioner for Affidavits
  • Commissioner for Declarations
  • Credit union officer with 5 or more years of continuous service
  • Fellow of the National Accountant's Association
  • Finance company officer with 5 or more years of continuous service
  • Holder of a statutory office not specified elsewhere in this list
  • Judge of a court
  • Justice of the Peace
  • Magistrate
  • Master of a court
  • Member of the Association of Taxation and Management Accountants
  • Member of the Australian Defence Force who is
  • an officer: or
  • a non-commissioned officer within the meaning of the Defence Force Discipline Act 1982 with 5 or more years of continuous service; or
  • warrant officer within meaning of that Act
  • Member of the Institute of Chartered Accountants in Australia, the Australian Society of    Certified Practising Accountants or the National Institute of Accountants
  • Member of the Institute of Corporate managers, Secretaries and Administrators
  • Member of the Institution of Engineers, Australia, other than at the grade of student
  • Member of:
  • the Parliament of the Commonwealth; or
  • the Parliament of a State; or
  • a Territory legislature; or
  • a local government authority of a State of Territory
  • Minister of religion registered under Division 1 Part IV of the Marriage Act 1961
  • Notary Public
  • Permanent employee of:
  • the Commonwealth or of a Commonwealth authority; or
  • a State or Territory or of a State or Territory authority; or
  • a local government authority;

with 5 or more years of continuous service who is not specified in another item in this list

  • Permanent employee of the Australian Postal Corporation with 5 or more years of continuous service who is employed in an office supplying postal services to the public
  • Person before whom a statutory declaration may be made under the law of the State or Territory in which the declaration is made
  • Police Officer
  • Registrar, or Deputy Registrar, of a court
  • Senior Executive Service Officer of the Commonwealth, or of a State or Territory, or of a Commonwealth, State or Territory authority
  • Sheriff
  • Sheriff's officer
  • Teacher employed on a full time basis at a school or tertiary education institution

Although these examples have been taken from a current Statutory Declaration at the date of this DI, Statutory Declaration forms are updated regularly and it is advisable not to assume that this list is exhaustive.

DI 41/98 - Attachment 1

CATEGORY A DOCUMENTS

A1Current and fully valid Australian Passport

A2Australian Armed Services Documents

A3Current overseas passport with current entry permit

A4Certificate of Australian Citizenship

A5Full Australian birth certificate issued more than 5 years ago

A6Legally drawn mortgage papers on a home or property.

A7Certificate of Identity issued by Department of Foreign Affairs. This is issued to a ‘stateless person' who is unable to obtain a passport or other travel documents in order to travel outside of Australia. A refugee is an example of a stateless person.

Please take care not to confuse this certificate with the ‘Document of Identity' which is issued by the Department of Immigration and Ethnic Affairs (see Category B).

A8Re-education document for allied veterans of the forces of the Republic of Vietnam.

A9Previous Service or Disability Pension record of association with DVA over 12 months.

CATEGORY B DOCUMENTS

B1Full or extract of Birth certificate

B2Current Australian driver's licence with photo (where name and address match those on the form)

B3Marriage certificate

B4Current medical contribution book that is more than 12 months old

B5Title deed to real estate

B6Nurse's Registration Board documents

B7Tradesman's Right certificate

B8Rates notice

Only one of these three where name and address match those on the claim form.

B9a current home contents policy

B10a current life insurance policy

B11a current car insurance policy

Only one of these four that was opened after February 1991 (when the 100 point system was introduced) where the name and address match those on the claim form.

B12a bank account statement

B13a building society account statement

B14a credit union account statement

B15a finance company account statement

One or two different types of legal documents that are less than 1 year old from this list.

B16 summons

B17bail paper

B18restraining order

B19police order

B20discharge certificate (from prison)

B21parole order

B22Document of Identity issued by the Department of Immigration and Ethnic Affairs. (This document was valid for a single journey from Britain to Australia and was issued in lieu of a Passport to the Bearer and his wife/family for travel to Australia as ‘approved migrants'. These documents were issued from post war to the mid 1970's. The details provided may have been completed by you, while in some cases birth certificates may have been sighted. In either case this document proves travel to Australia only, and therefore a birth certificate and marriage certificate or equivalent will need to be sighted as well.)

B23Group certificates

Please note that these lists should not be considered as ‘definitive'. For further information on acceptable documentation please contact your nearest DVA Office.