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How to complete a claim form
Detailed Instructions for completion are provided with each claim form.
Employers
Instructions for completion of Claim Form AD 138-1Details of required supporting documentation
For the 1st claim of each financial year, claim forms must be accompanied by the following supporting documents, which must relate to the period immediately prior to the Defence service being claimed:
- Evidence that you employ the employee/Reservist.
- Evidence that your business is bona fide and a registered employer.
- For part-time employees - evidence of normal work hours (this should, whenever possible, cover a two month period). Generally employees are part-time if they work less than 35 hours per week.
- Evidence of employment - payment summary, group certificate, payroll slip, superannuation guarantee contribution payment evidence, employee number, employment contract or other similar evidence to support that the Reservist is employed by the business.
- Evidence that the business is bona fide and registered - notification of ABN registration from the ATO, certificate of incorporation for a company, business name registration certificate or similar supporting evidence.
- Evidence of normal work hours for a part-time employee - last two months rosters, last two months payment details including hours worked, employment contract or other similar evidence to support normal part-time hours worked.
These forms of evidence are also detailed in Section B of the claim form.
Supporting documents are NOT required with subsequent claims for Defence service within the same financial year unless there has been a change in circumstances (eg the employee has moved from full-time to part-time employment). You may rely on the previous evidence unless further evidence is requested by the approving ESP Delegate.Self-employed Reservists
Instructions for completion of Claim Form AD 138-2 (revised April 2007)Details of required supporting documentation
1st Claim
Your 1st claim form must be accompanied by the following supporting documents, which must relate to the period immediately prior to the Defence service being claimed:
Evidence that your business or company is bona fide - at least one of the following:
- a copy of notification of ABN registration from the ATO; or
- a copy of certificate of incorporation; or
- a copy of business registration certificate;
Evidence that your business or company is trading or operating - at least one of the following:
- a copy of a current business activity statement for the business or company; or
- a copy of a current financial statement for the business or company, certified by the company's accountant or financial adviser; or
- a copy of the current business tax return, substantiated by forwarding the ATO notice of assessment within seven days of its receipt; or
- other evidence from a financial adviser or accountant for the business; and
Evidence that your business or company provides your principal source of income and has done so for a continuous period of at least the previous six months - at least one of the following:
- a copy of your current financial statement, certified by your accountant or financial adviser; or
- a copy of your current personal tax return, substantiated by forwarding the ATO notice of assessment within seven days of its receipt; or
- other evidence certified by your financial adviser or accountant concerning the Reservist's income (certain requirements apply to this evidence).
If you are self-employed on a part-time basis - evidence of normal work hours (this should, whenever possible, cover the two month period prior to the Defence service). Generally, you will be regarded as part-time if you work less than 35 hours per week.
Evidence must be provided in an acceptable form and must also provide proof of the relevant requirement. There are two requirements - the correct form and the substance of the information contained in the document.When there is a gap of more than three months between the information and the Defence service, the delegate may request more up-to-date information be provided.Evidence Certified by a Financial Adviser or Accountant
A statement from a financial adviser or accountant should specify the amounts of income earned, derived or received from all sources over a specified period of at least six months prior to the member’s Reserve service (a statement that a Reservist receives his or her principal source of income from the business, without income details, is insufficient).
An extract of paragraphs 64 – 80 of Defence Instruction (General) PERS 05-42 should be provided to the financial adviser or accountant to ensure the figures are calculated in accordance with the requirements of the Defence Determination.
An example of a statement from a financial adviser or accountant is enclosed. This contains the minimum information that would be required by a delegate. When necessary, statements from financial advisers or accountants should contain additional details to substantiate a claimant’s eligibility for ESP.
Further Claims
If there has been a gap of six months or longer between periods of continuous Defence service (ie periods that are at least 5 consecutive days in duration) - new supporting documents are required with the subsequent claim for Defence service.
If a claimed period of Defence service is within six months of a previous period of continuous Defence service (for which an ESP payment was received or which was counted towards the annual qualifying period) - you can rely for up to three years on the supporting documents that were previously provided.
If relying on previously provided supporting documents, there is no requirement to re-submit these supporting documents, unless requested to do so by the approving ESP delegate.
Each period of Defence service is considered discretely. So, an approving ESP delegate is entitled to re-assess evidence accepted by a different ESP delegate for an earlier claim and may make a different decision relating to acceptance of the evidence and approval of the current claim. You may choose to provide new supporting documents with any claim, even if within the three year period detailed above. If the new evidence is accepted by the approving ESP delegate, a new three year period would apply.
Re-establishing eligibility
If you have relied on previously provided supporting documents, you must submit new supporting documents to re-establish your eligibility after three years. The three year period for the use of documentation runs from the end of the specified assessment period that the information covers. The new documents must relate to a new period immediately prior to the Defence service now being claimed. They must cover the same requirements as previously:
Standard advice on evidence from Financial Advisors/Accountants
A statement from a financial adviser or accountant should specify the amounts of income earned, derived or received from all sources over a specified period of at least six months prior to the member’s Reserve service (a statement that a Reservist receives his or her principal source of income from the business, without income details, is insufficient).
An extract of paragraphs 64 – 80 of Defence Instruction (General) PERS 05-42 should be provided to the financial adviser or accountant to ensure the figures are calculated in accordance with the requirements of the Defence Determination.
An example of a statement from a financial adviser or accountant is available for download here
This contains the minimum information that would be required by a delegate. When necessary, statements from financial advisers or accountants should contain additional details to substantiate a claimant’s eligibility for ESP.
Re-establishing eligibility
If you have relied on previously provided supporting documents, you must submit new supporting documents to re-establish your eligibility after three years. The three year period for the use of documentation runs from the end of the specified assessment period that the information covers. The new documents must relate to a new period immediately prior to the Defence service now being claimed. They must cover the same requirements as previously:
- Evidence that your business or company is bona fide.
- Evidence that your business or company is trading or operating.
- Evidence that your business or company provides your principal source of income and has done so for a continuous period of at least the previous six months
- If you are self-employed on a part-time basis - evidence of normal work hours (this should, whenever possible, cover a two month period).
Standard advice on evidence from Financial Advisors/Accountants
A statement from a financial adviser or accountant should specify the amounts of income earned, derived or received from all sources over a specified period of at least six months prior to the member’s Reserve service (a statement that a Reservist receives his or her principal source of income from the business, without income details, is insufficient).
An extract of paragraphs 64 – 80 of Defence Instruction (General) PERS 05-42 should be provided to the financial adviser or accountant to ensure the figures are calculated in accordance with the requirements of the Defence Determination.
An example of a statement from a financial adviser or accountant is available for download hereThis contains the minimum information that would be required by a delegate. When necessary, statements from financial advisers or accountants should contain additional details to substantiate a claimant’s eligibility for ESP.
