C30/2004 DVA's Proof of Identity requirements

Purpose

The purpose of this Departmental Instruction is to:

• detail the new DVA Proof of Identity (POI) requirements; and

• outline procedures to be undertaken when processing Income Support (IS), Military Compensation (MC) and Veterans' Compensation (VC) claims and allowances.

Background

In June 2003, the Australian Government gave the Attorney General's Department responsibility to develop proposals to address identity fraud and misuse.

One of the proposals to be developed was for a “common set of identifying documents of higher integrity to be used by Australian Government Agencies for purposes of identifying clients for appropriate transactions”.  A steering committee comprising several government agencies was established to examine this proposal.  A copy of its final report was circulated to agencies in January 2004.

DVA's current POI requirements

DVA currently has one set of POI standards for IS claimants and a far less stringent standard for VC and MC claimants.

The income support standard still falls short of the cross agency framework's mandatory requirement to produce documents proving birth or arrival in Australia.

Commission decision

In May 2004, in submission CM5577 the Repatriation Commission endorsed changes to DVA's POI requirements that relate to applicants for pensions and allowances.

The new model is at Attachment A.

The new model

In summary the types of documents required are:

Category A documents

Documents from Category A provide proof of birth or arrival in Australia.  One document from this group is mandatory.

Category B documents

Documents from Category B provide evidence of identity existing in the community.

Category C documents

Documents from Category C provide evidence of residential address or residence in a Nursing Home or Residential Care Facility.

Claimants must provide 3 documents with 1 document from Category A and two documents from Category B.  If none of the documents produced to satisfy Category A or B provides evidence of current residential address, then the claimant must also produce a document from Category C (ie 4 documents).

Copies of original documents

The current DVA policy of accepting certified copies has been retained.  If an original document is provided to DVA, the document must be sighted and verified by a DVA officer and returned to the claimant by registered post.

Copies of original documents... cont

If copies of documents are provided, they must be certified copies, certified as true by a Justice of the Peace or another such person as listed at Attachment B.

DVA officers certifying copies of documents should mark the copy with 'CERTIFIED TRUE COPY” and date and sign it, including their full name.  A Veterans' Affairs network date stamp is not sufficient certification.

The person certifying the copies must see the original documents

Claims under the VCES

The requirements for VCES claimants are:

• under 5 years of age – birth certificate/adoption papers
• 5 -18 years of age – birth certificate plus relevant education documents.

Claimants over 18 years must satisfy the new POI requirements.

Claims for dependent children/ students

Requirements for claims in respect of dependent children or students are:

• under 5 years of age – birth certificate/adoption papers

• 5 -18 years of age – birth certificate plus relevant education documents.

Impact on existing pensioners

The new standard for POI will not be applied restrospectively.  All IS, MC and VC clients in payment or in the system when the new POI requirements are in place will not be subject to the new rules.  Situations or processes where POI will arise are detailed further on.  All applicants will be subject to the same POI requirements.

Commencement

The new POI requirements will commence from 4 January 2005.  POI training sessions in all States was completed early in December 2004.

IS, MC and VC Branches are amending relevant claim forms to require the new POI documents but these may not all be reprinted by the commencement date.  MC claims include both SRCA and MRCA claims whereas VC claims are those claimed under the VEA.

Commencement...cont

While the forms are being amended, a new one-page form containing the new POI and certification requirements has been developed.  The new form D663 is now available on-line through DVA Forms system.  When issuing new claim forms that don't contain the new POI requirements and POI must be satisfied, please insert this form.  Attached is a colour PDF version of the form.

Where POI requirements cannot be satisfied

There are circumstances where claimants cannot meet POI requirements.  Examples are widows living overseas or homeless veterans.  Some agencies strongly oppose accepting applications where the POI standard is not met.  However, for service delivery agencies dealing with clients who have a financial need, the reality is that some flexibility is required to alleviate possible hardship.  Following State Office concern that these cases should be carefully managed, non-standard POI checks will need approval at the Executive Level 1.

Non standard POI – ie cannot satisfy POI requirements

Non-standard POI is where the claimant cannot 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.  An example of this is a veteran or widow who is living overseas and cannot satisfy the category A documents.

Non-standard POI should be considered in cases where an applicant is unable to produce sufficient categorised documents.  The person may be able to provide other forms of identification that are not listed in the category A, B and C lists.  Wherever possible the claimant should be interviewed in depth about details that could verify their identity.  These other forms of identification may enable the officer to confidently establish a reasonable history of the person's identity.

Interview questions

The details provided by the claimant should be verified.  Questions should include:

• name, DOB, address and phone number of brothers, sisters, parents etc
• if parents not known, name and address of institution/organisation where they lived
• last 3 addresses, length of residence, name and address of landlord, real estate agent or owner
• last 3 employers, name and address, supervisor's name

• name of person or agency who can confirm identity.

Emergency/ hardship situations

Situations may arise in both standard and non-standard POI cases where an immediate payment of pension or allowance is required.  For example, this may cover the following situations.

• emergency, such as:

• where a person requires immediate treatment in circumstances where there may be serious threat to the person's health;

applications for treatment benefits under sections 85(2) or 88A of the VEA.  The approval of such treatment benefits attracts the payment of pharmaceutical allowance and may involve the provision of expensive medical treatment, eg cancer treatment or hospital admission for a psychiatric illness.

• severe financial hardship, such as:

• for MC/VC cases: being unable to earn a sufficient livelihood for themselves and dependants due to reasons beyond their control and; not in receipt of income support from DVA or Centrelink or

for IS cases: the claimant would need to demonstrate they would suffer financial hardship if their income support payment is delayed.  The test would be entitlement to the maximum rate of income support and liquid assets <$1,000 for a single person and <$2,000 for a married couple.

Temporary payment for emergency/ hardship cases

Claimants in emergency or hardship situations may be given time to obtain necessary documents.  However, in no circumstances should such a temporary payment extend beyond two pay periods from the date of the decision to grant.  Claimants should be advised that the temporary payment cannot extend beyond that time and they should obtain the necessary documents urgently.  If it turns out that the claimant will not ever satisfy standard POI requirements the case then falls into the 'non-standard' POI requirements and continued payment beyond the 2 pay periods must be approved at the EL1 level – please see next section 'Approval for non-standard cases'.

For an income support payment, a review should be scheduled in the Departmental Review System (DRS) using review reason 'POI” 2 pay periods ahead, to ensure the appropriate POI documentation has been provided or non-standard POI has been approved.  If not, the payment must be stopped.

Approval for non-standard cases

In all cases where a claimant is unable to ever provide the required documents, including those emergency/hardship cases who have been put into temporary payment and who remain unable to ever provide standard POI, a full report should be prepared providing reasons for a recommendation about accepting the application and/or starting temporary payment arrangements.  The recommendation should be referred to the relevant Executive Level 1 officer to make a decision

NO is aware of the concern in the smaller States about the impact of the approval being at the EL1 level and will monitor the situation to see if it needs reviewing.

Full POI required

A claimant for IS, MC or VC, who is not already receiving a payment or allowance from DVA, is required to satisfy the new POI requirements detailed at Attachment A.

Any partner also making a claim at the same time and who is not already receiving a payment or allowance is also required to satisfy the requirements.

Claimant already in payment @ DVA

When lodging a new claim for IS, MC or VC, existing clients, ie those in payment prior to the introduction of DVA's new POI model, do not need their POI satisfied again.

However, in certain situations a modified POI approach should be taken to ensure the correct identify of the claimant.

Modified POI required

Situations or work processes may arise where although the claimant is already receiving a payment or allowance, full POI may never have been undertaken or the person has not had any contact with DVA for a number of years.  In these situations, a modified approach to POI should be taken.

One document from the category B documents, as detailed at Attachment A should be obtained.  Documents in this group provide evidence of the person existing and operating in the community.

When and what POI is needed

The following table provides examples of POI requirements for the more common processes undertaken by IS, MC and VC.

PROCESS/SITUATION

Full POI

Modified POI

No POI

Income Support

Claim for service pension (SP) – cleanskin, ie no DVA payment/allowance being received.  This includes:

• age service pension
• invalidity service pension
• partner service pension
• Commonwealth Seniors Health Card (CSHC)
• Gold Card
• Orange Card British Commonwealth & Allied Card (BCAL)

✗

Claim for SP – disability pension (DP) or Pharmaceutical Allowance already in payment

✗

Re-application for SP – more than 12 months after cancellation – where no other DVA payment is being received

✗

Re-application for SP - within 12 months of cancellation – where no other DVA payment is being received

✗

Partner service pension –receiving spouse DP (ie $0.84c - $8.42 pf)

✗

Current Centrelink customer transferring DVA IS

✗

Pension Bonus Registration

✗

Qualifying Service claim

Note:  the automatic issue of Gold card to WWII over 70 years where POI has not been satisfied is an issue for review

✗

Claim for income support supplement – eligibility requires person to be a war widow or widower

✗

Veterans' Compensation/Military Compensation

Claim for MC/VC (including claim for war widow's pension  – cleanskin case)

✗

Claim for VC/MC (including war widow – already receiving disability pension, income support, MC Incapacity Payments) (this includes payment of Pharmaceutical Allowance)

✗

Previously submitted MC/VC – previous claim was rejected with no pension/allowance paid

✗

Application for increased disability pension

✗

Claim for war widow's  pension – receiving only spouse DP (ie $0.84c - $8.42 pf)

✗

Claim for war widow's  pension – receiving partner service pension

✗

MC previous claim liability admitted but no benefit paid within previous 24 months

✗

Supplementary Benefits to non-veterans eg Loss of Earnings for a travelling attendant

✗

Auto war widow/er grants

In certain situations, widows and widowers are eligible for the automatic grant of war widow's pension, ie no claim form is required.  In these cases, they should be treated as 'cleanskin' cases ie fall into situations numbered 10, and 14 above.  However, because the Death Processing System automatically puts these cases into payment, an administrative work around is being considered and will be advised separately.

ISS claims

To satisfy eligibility for income support supplement, the claimant must be a war widow or widower.  They will already have satisfied POI for DVA purposes and would not need to undergo the full POI requirements.

Clients who change their name

Where a client advises of a change of name, whether it is an existing client or a new one, evidence of how the name was changed is required.  For example, in the case of a war widow, a marriage certificate or certificate of change of name by Deed Poll would be acceptable.

Implementation issues

A workshop involving SO and NO representatives from IS, MC and VC was held in Canberra in June 2004.  The group identified a number of issues to be addressed as part of implementing the new POI framework.  The following issues were identified:

• Fact Sheets
• Standard Letters
• Systems:

• develop POI status record in VIEW
• assess any impact for PIPS, CCPS, DEFCARE, GLIDE, QUASARS

Quality Assurance (QA) Protocols

Training/Education program

Written & electronic procedures, eg CLIK

Fact Sheets

As POI is now common to IS, MC and VC a new Fact Sheet DVA06 has been developed that will serve all areas.  This will be available through the DVA Fact Sheets system when the new rules come into effect.

Proposed changes to DVA standard letters

Changes include the addition of the following paragraph to all relevant DVA standard letters:

“Proving your identity to DVA

When lodging a new claim for Income Support and Compensation payments under the Veterans' Entitlements Act 1986, the Safety, Rehabilitation and Compensation Act 1988 or the Military Rehabilitation and Compensation Act 2004, before your claim can be finalised you may be required to show DVA documents that prove your identity.  You must show original documents or copies that are certified as true copies of the originals.

Further information about proving your identity to DVA is in the attached Fact Sheet DVA06 “Proving your identity to DVA”.

Applicants in payment prior to 4 January 2005 have already satisfied DVA's Proof of Identity requirements and do not need to again.”

.

Systems

To support the new POI procedures, an integrated facility that can be launched from VIEW is currently undergoing business analysis.  Following the business analysis a set of specifications for the new facility will be produced, however any further development is subject to the funding being made available.  In the meantime, some kind of manual check to ensure POI is being satisfied should be used.

Some States already use a new claim checklist to ensure POI and other information is data collected or satisfied.  It is recommended that all States put in place a manual process to prompt POI being addressed.

Other systems identified throughout this DI will be assessed for changes required for new POI recording.

QA Protocols

Amendments may be required to the Division's Quality Assurance protocols.  The following people in NO have this responsibility:

• IS - Leanne Sloane, Business Improvement & Monitoring;
• VC – Gaynor Cavanagh, Business Development, Monitoring & Support; and
• MC – Paul Weber, Policy and Procedure.

Training/ Education program

A training and education program has been developed under the Division's National Training Strategy. The program targetted staff and will be made available to QGAP, NGAP, TIP, service providers etc.

Nominated SO & NO contacts are:

SA - Craig Videon & Wanda Melnyczek

NSW - Stephen Andrews

VIC - Michelle Flannery

Qld - Lyn Daffurn

WA - Derrick Jaquet

NO, MC & VC - Mike Armitage.

The NTS Co-ordinator, Fiona Schrier co-ordinated the training, which was delivered in all States in November and December 2004.

Written & electronic procedural documentation

POI information contained in CLIK etc is being reviewed and amended.  National co-ordinators of this are:

• IS – Shane Redfern, Business Operations & Support;
• VC – Brett Davis, Business Development, Monitoring & Support Section; and

• MC – Paul Weber, MCRS Policy and Procedure.

POI Category

Acceptable Documentation

1 of:

A - Documents from Category A provide proof of birth or arrival in Australia.

Full Australian birth certificate

Record of Immigration Status

Foreign passport and current Australian Visa

Travel document and current Australian Visa

Certificate of Evidence of residential status

Citizenship Certificate

plus 2 of:

B - Documents from Category B provide evidence of identity existing in the community.

Australian driver's licence (current and original)

Australian passport (current)

Firearms licence (current and original)

Current overseas passport with valid entry stamp or visa

Medicare card

Change of name certificate (for marriage or legal name change – showing link with previous name/s)

Credit or bank account card

DVA card

Security Guard/Crowd Control licence

Australian marriage certificate issued by a government department

Tertiary identification card

C - Documents from Category C provide evidence of residential address or residence in a Nursing Home or Residential Care Facility.

Note: Used only to provide evidence of residential address if not provided by an A or B document

Utilities notice

Rent details

Document from Nursing Home or Residential Care Facility that provides evidence of residence.