C20/1996 IMPLEMENTATION AND USE OF NEW CERTIFICATE OF DISCLOSURE FOR EXCHANGE OF INFORMATION BETWEEN DSS AND DVA

DATE OF ISSUE:  11 March 1996

IMPLEMENTATION AND USE OF NEW CERTIFICATE OF DISCLOSURE FOR EXCHANGE OF INFORMATION BETWEEN DSS AND DVA

The purpose of this instruction is to advise of:

• the endorsement by the Secretary of the Department of Social Security (DSS) of a new "Certificate of Disclosure of Information to Another Commonwealth Department or Authority" ("the Certificate"); and

• the implementation and use of the Certificate by DVA to obtain certain information from DSS in respect of actions or investigations regarding current and/or former DSS pensioners.

2.Note that this Instruction supersedes DI B30/92 regarding the same subject and that the new certificate dated 6 February 1996 (copy attached) supersedes the 25 May 1994 certificate.

Background

4.Under the provisions of paragraph 1314(1)(b) of the Social Security Act 1991 (SSA), the Secretary of DSS may disclose information to the Secretary of a Department of the Commonwealth or the head of an authority of the Commonwealth.  The Certificate of Disclosure prescribes the specific DSS information authorised for such disclosure to specific Commonwealth Departments and Authorities.

5.Increased DVA activity in recent years in the areas of overpayments, prosecutions, data matching and other measures had shown that lack of detail relating to DVA information requirements from DSS meant that there was constant doubt as to DSS's ability to supply anything other than relatively basic information within the terms of the existing certificate of disclosure.  DVA requests for more detailed information typically had to be made at the senior management level between the Departments and a decision made regarding disclosure based on the merits of individual requests.  This was necessarily a time consuming and obstructive process which hampered DVA in the timely and accurate processing of actions and investigations regarding current and previous DSS pensioners.

6.In February 1994 discussions therefore commenced between DVA and DSS regarding agreement to a new certificate with the objectives of:

• agreeing upon a document which would clearly list the items of information which DVA would regularly require in relation to specific categories of action/investigation; and

• ensuring regular, reliable and prompt supply of the specified information without recourse to petition to senior DSS management.

Implementation, contents and use of the Certificate

7.In accordance with the above-mentioned objectives, the sections of the new Certificate dealing with DSS to DVA information disclosure have been structured such that the range of information able to be disclosed to DVA by DSS and the circumstances under which that information may be disclosed have been expanded and clarified.

8.The sections of the new Certificate dealing with DSS to DVA information disclosure have been reproduced at the attachment to this DI.  Note that the complete Certificate has not been attached as it includes disclosure provisions applicable to several other Government Departments and Authorities, the details of which are inapplicable to the operations of this Department.

9.The new Certificate supersedes the previous May 1994 Certificate and takes effect from 6 February 1996 - the date of authorisation of the document by the Secretary of DSS.

10.DVA staff should be aware that DSS staff have been made aware of the implementation of the new Certificate through DSS National Instruction CL960022 authorised on 23 February 1996.  DVA staff should also be aware that the DSS National Instruction makes it very clear that:

"Only the information specified in the instrument may be disclosed.  There is no discretion to release information not specified in the clauses of the instrument.".

11.Under the terms of paragraph 11 of the Certificate (pages 14 to 19), information can now be disclosed to DVA to:

a)enable DVA to calculate or determine a payment:

(i)where a person and/or their partner is transferring to or from a Social Security payment from or to a payment made by DVA;

(ii)where a DVA client's partner receives a DSS payment;

b)enable DVA to determine a claim or undertake a review under the Veterans' Entitlements Act 1986 (VEA);

c)enable the checking of discrepant cases detected by data-matching undertaken under the provisions of the Data-matching Program (Assistance and Tax) Act 1990;

d)detect or prevent dual payments;

e)facilitate adjustments under section 205AA of the VEA;

f)assist in an investigation, prosecution or possible investigation or prosecution under the VEA or the Crimes Act 1914; and

g)assist in the recovery of a debt (within five listed circumstances).

12.The Instrument also specifies the individual items of information able to be disclosed by DSS to DVA for each of the above-mentioned circumstances and details the DSS staff level authorised to disclose that information - note that these authorities are not delegations.

Errors in Certificate and procedures for requesting information affected by those errors

13.It is important to note that the Certificate contains an error which is repeated three times and occurs in clauses (d), (e) and (f).  In these clauses it is specified that only a person's current home and postal address may be disclosed.  In fact the last draft of these clauses drawn up by DVA and sent to DSS for inclusion in the Certificate specified that current and former home and postal addresses be discloseable.

14.DSS have given an undertaking to correct these errors in the next two to three months when a regular update of the Certificate is due.  In the interim DSS have advised that details in respect of former home and postal address for the affected categories noted in clauses (d) to (f) of the Certificate will be disclosed to DVA upon request.

15.However, such requests will be required to directed to Policy Administration and Advice Section (PA&A) at DVA National Office who will liaise with DSS National Office for release of the specific information as a "matter of public interest" under paragraph 1314(1)(a) of the SSA.  Refer to the "queries" section at the end of this DI for contact details in respect of such requests.

Issue of VEA section 128 notice required to obtain DSS information

16.It is an ongoing requirement that all requests to DSS for the supply of information under the terms of the Certificate must take the form of a section 128 VEA notice signed by a DVA officer with the relevant delegation.

17.Before issuing a section 128 VEA notice to DSS for supply of information it is important that staff;

• ascertain the nature of the information required and the purpose for which the information is required;

• check the Certificate and confirm that the required information is available under the terms of the Certificate; and

• ensure that the section 128 VEA notice clearly states the information which is required and states that the information is required to be supplied in accordance with the appropriate clause ie., clauses (a) to (g) of paragraph 11 of the Certificate.

Reporting of difficulties in obtaining information

18.Instances where DVA staff experience difficulties in obtaining information specified in the Certificate from DSS should be reported to the Director Policy Administartion and Advice Section, Income Support Branch, National Office.  The reporting of such incidents is important to ensure the effectiveness of the agreement and that its terms are and remain appropriate to DVA's requirements.

Queries

19.Any further queries in respect of this matter should be directed to Martin Dibb on telephone 06-2896751, fax. 06-2894854, LAN C-C-PAA-1.

MURRAY HARRISON

BRANCH HEAD

INCOME SUPPORT

ATTACHMENT

EXTRACT FROM DSS DOCUMENT

"CERTIFICATE UNDER PARAGRAPH 1314(1)(b) - DISCLOSURE OF INFORMATION TO ANOTHER COMMONWEALTH DEPARTMENT OR AUTHORITY",

AUTHORISED 6 FEBRUARY 1996 BY THE SECRETARY TO THE DEPARTMENT OF SOCIAL SECURITY

"(11) Department of Veteran's Affairs (DVA)

Information can be disclosed to the Secretary of the DVA:

(a)              To enable DVA to calculate or determine a payment where a person and/or their partner is transferring to or from a Social Security payment, to or from a payment made by DVA; or where a DVA customer's partner receives a DSS payment.

              The information which can be disclosed is: full name (legal, previous, maiden or alias); date of birth; current address (home and postal); marital status; full names and dates of birth of dependants; SSR number; payment type; period of payment; rate of payment and components; termination/suspension/rejection reason; amount of any overpayment to be recovered as a result of a payment made by DSS or DVA; country of birth; date of arrival.

              Additional information which can be disclosed in discrepant cases is: itemised income and asset details including the name and branch of financial institutions, account numbers; account types and titles of accounts, and full details of managed investments and shares; name and address of employer; period of employment; broken residency details.

              Information can be disclosed by Regional Office staff, AS03 and above.

(b)              To enable DVA to determine a claim or undertake a review under the Veterans' Entitlements Act 1986

              The information which can be disclosed is: full name (legal, previous, maiden or alias); date of birth; current address (postal and home); marital status; full names and dates of birth of dependants; SSR number; payment type; period of payment; rate of payment and components; treating doctor's reports; termination/suspension/rejection reason; country of birth; date of arrival.

              Additional information which can be disclosed in discrepant cases is: itemised income and asset details including the name and branch of financial institutions, account numbers; account types and titles of accounts, and full details of managed investments and shares; name and address of employer; period of employment; broken residency details.

              Information can be disclosed by Regional Office staff, AS05 and above.

(c)              To enable the checking of discrepant cases detected by data-matching undertaken              under the provisions of the Data Matching Program (Assistance and Tax) Act 1990.

              Information can be disclosed by Regional Office staff, AS03 and above, and Area Office CR&R staff, AS03 and above. The Data-matching Program Co-ordinator (AS05) in Area Office CR&R must handle disclosure in more complex cases.

(d)              To detect or prevent dual payments.

              The information which can be disclosed is: full name (legal, previous, maiden or alias); date of birth; current address (home and postal); marital status; full names and dates of birth of dependants; type of DVA payment advised by customer to DSS; whether the overpayment is subject to a fraud inquiry; SSR number; payment type; period of payment; rate of payment and components.

              Information can be disclosed by Regional Office staff, AS03 and above.

(e)To facilitate adjustments under Section 205AA of the Veterans' Entitlements Act 1986.

              The information which can be disclosed is: full name (legal, previous, maiden or alias); date of birth; current address (home and postal); marital status; full names and dates of birth of dependants; type of DVA payment advised by customer to DSS; SSR number; payment type; period of payment; rate of payment and components; amount of adjustment for customer and spouse listed separately.

              Information can be disclosed by Regional Office staff, AS03 and above.

(f)              To assist in an investigation or prosecution, or a possible investigation or prosecution under the Veterans' Entitlements Act 1986, or the Crimes Act 1914.

              The information which can be disclosed is: full name (legal, previous, maiden or alias); date of birth; current address (home and postal); telephone number; marital status; full names and dates of birth of dependants; SSR number; payment type; period of payment; current and past rates of payment and components; itemised income and asset details including the name and branch of financial institutions, account numbers, account types and title of accounts, and full details of managed investments and shares; name/s and address/es of current and previous employer/s, period of employment, and amounts paid; copy of completed DSS claim/review forms; termination/suspension/              rejection reason; information or documents relating to current fraud inquiry; details of previous convictions or fraud investigations; country of birth, date of arrival, broken residency details.

              Information can be disclosed by Area Office CR&R staff, AS05 and above.

(g)              To assist in the recovery of a debt.

              The information which can be disclosed is.

(i)To determine the most suitable method of recovery of a DVA pension or allowance and to calculate the formula rate of deductions from a DSS payment.

              Information which can be disclosed is: customer's full name (legal, previous, maiden or alias); date of birth; current address (home and postal); telephone number; marital status, full names and dates of birth of dependants; confirmation that the debtor is a Social Security customer and if so; SSR number; payment type; rate of payment and components; itemised income and asset details including the name and branch of financial institutions, account numbers, account types and title of accounts, full details of shares and managed investments; name and address of employer, period of employment, and amounts paid.

(ii)To assist in the recovery of an overpayment of DVA pension or allowance by deductions from a payment made by DSS as authorised in subsections 1228(1) and 1228(2).

              Information which can be disclosed is: customer's full name (legal, previous, maiden or alias); date of birth; current address (home and postal); confirmation that the debtor is a Social Security customer and if so; SSR number; payment type; amount recovered and the period of withholding's; rate of withholding's and, if decreased from the original rate requested, the reason it occurred; if withholding's cannot be imposed, the reason for this, including approximate cessation date if a DSS debt is being recovered.

(iii)When deductions under subsection 1228(1) cease and there is an outstanding balance of the debt and DSS information may assist in locating and contacting the debtor to negotiate continuing repayments.

              Information which can be disclosed is: customer's full name (legal, previous, maiden or alias); date of birth; current address (home and postal); telephone number; marital status; reason for cessation of deductions; termination or suspension reason; employer's name and address; partner's full name and address; name and branch of financial institution and account number to which Social Security payment was made.

(iv)When deductions cannot commence because the customer is not in receipt of payment from DSS but was previously in receipt of such payment, and DSS information may assist in locating and contacting the debtor to negotiate repayment of a DVA debt.

              Information which can be disclosed is: customer's full name (legal, previous, maiden or alias); date of birth; address (home and postal); termination or suspension reason; telephone number; employer's name and address; partner's full name and address; name and branch of financial institution and account number to which Social Security payment was made.

(v)To assist in the recovery of an overpayment of a DSS payment, as defined in Part 5.2 of the Act, by deductions from a payment made by DVA.

              Information which can be disclosed is: customer's full name (legal, previous, maiden or alias); date of birth; SSR number; address (postal and home, current and previous), benefit type overpaid; amount of the overpayment; Debt Identification Number.

Information can be disclosed by Regional Office staff, AS03 and above, or Area Office CR&R staff, AS03 and above."