78304 · Migration Law: Compliance And Cancellation
PIC 4020 and Re-entry Bans
This is the high-yield refusal map, and almost all of it lives in the Regulations, not the Act. PIC 4020 (a Schedule 4 Public Interest Criterion) refuses a visa and imposes a 3-year bar where a bogus document or information false or misleading in a material particular was given in relation to the application or to a visa held in the prior 12 months (the 12-month look-back). If the applicant's identity is not established, the harsher 10-year bar with no waiver applies (and it does not apply to minors). Trivedi [2014] FCAFC 42 is the key case: PIC 4020 needs fraud or deception but not the applicant's own knowledge. The signature trap is the 4020(4) waiver — it turns only on Australia's interests or a citizen-PR's interests, never on the applicant's own hardship. The chapter then sets out the re-entry bans table (PIC 4013/4014 three-year bans, both waivable) and the Special Return Criteria (SRC 5001 = lifetime, no waiver, after deportation or character cancellation; SRC 5002 = 12-month, waivable), with the strategic-timing move: wait 12 months after the tainted visa ends so 4020(1)(b) no longer bites.
What this chapter covers
- 01PIC 4020(1)(a)/(b): bogus doc or false-or-misleading info -> refuse + 3-year bar; the 12-month look-back
- 02PIC 4020(2A)/(2B): identity not established -> 10-year bar, NO waiver, not minors
- 03Trivedi: fraud/deception needed but NOT the applicant's knowledge
- 04The 4020(4) waiver: Australia's / a citizen-PR's interests only - not the applicant's own hardship
- 05Re-entry bans: PIC 4013 (from cancellation) and 4014 (from departure) - both waivable
- 06SRC 5001 (lifetime, no waiver) vs SRC 5002 (12-month, waivable)
- 07Strategic timing: wait 12 months after the tainted visa ends so 4020(1)(b) no longer captures it
Worked example: a bogus document and the waiver argument
- +1Issue. Does PIC 4020 bite despite the applicant's lack of knowledge, and is a 4020(4) waiver available?
- +1Trigger. A fabricated payslip is a bogus document / false-or-misleading information in a material particular in relation to the application — PIC 4020(1)(a) is engaged: refuse + a 3-year bar.
- +1Knowledge. Per Trivedi, PIC 4020 requires fraud or deception but not the applicant's own knowledge; the agent's fabrication is enough, so 'I didn't know' does not defeat the criterion.
- +1Identity limb. Confirm her identity is established — if it were not, the harsher 10-year no-waiver limb (4020(2A)/(2B)) would apply. On these facts identity is not in issue, so the 3-year limb governs.
- +1Waiver. Argue the 4020(4) waiver on the interests of her Australian-citizen spouse and child (third-party Australian interests), not her own hardship, which is excluded; family hardship to citizens has succeeded (e.g. on facts like 1808089).
- +1Conclude / timing. Refusal under 4020(1)(a) is open, but a 4020(4) waiver built on the citizen family's interests is the route. If waiver is not confident, advise waiting 12 months after the tainted visa ends so 4020(1)(b) no longer captures it.
Key terms
- PIC 4020
- A Schedule 4 Public Interest Criterion that refuses a visa and imposes a 3-year bar where a bogus document or false-or-misleading information in a material particular was given for the application or a visa held in the prior 12 months. Where identity is not established, a 10-year bar with no waiver applies.
- Bogus document
- Defined in s 5: a document the Minister reasonably suspects is counterfeit, altered, or obtained because of a false or misleading statement. Supplying one in a material particular engages PIC 4020 regardless of who created it.
- Trivedi
- Trivedi [2014] FCAFC 42 held that PIC 4020 requires fraud or deception but not the applicant's own knowledge. An agent's or third party's fabrication can engage the criterion, so 'I did not know it was false' is not a defence.
- The 4020(4) waiver
- The waiver of PIC 4020. It can be granted only on the basis of compelling circumstances affecting Australia's interests or the interests of an Australian citizen, permanent resident or eligible NZ citizen — never the applicant's own hardship. This exclusion of the applicant's own interests is the signature trap.
- SRC 5001 vs 5002
- Special Return Criteria in Schedule 5. SRC 5001 is an indefinite/lifetime bar with no waiver, applying after deportation or character cancellation (s 501 and related). SRC 5002 is a 12-month ban after removal from Australia and is waivable.
PIC 4020 and Re-entry Bans FAQ
Does PIC 4020 require the applicant to have known the document was false?
No. Trivedi [2014] FCAFC 42 established that PIC 4020 requires fraud or deception but not the applicant's own knowledge. A document fabricated by an agent or third party can still engage the criterion, so an honest applicant can be caught. The practical lesson is to vet supporting documents carefully, because lack of knowledge is not a defence.
Can the applicant's own hardship support a PIC 4020 waiver?
No — this is the trap. The 4020(4) waiver can be granted only on the basis of Australia's interests or the interests of an Australian citizen, permanent resident or eligible NZ citizen. The applicant's own hardship is expressly excluded, so a waiver argument must be built on third-party Australian interests, such as a citizen spouse or child.
When does the 3-year bar become a 10-year bar?
When the applicant's identity is not established to the Minister's satisfaction, PIC 4020(2A)/(2B) imposes a 10-year bar with no waiver (it does not apply to minors). This identity limb is far harsher than the ordinary 3-year bar, so establishing identity is a priority whenever PIC 4020 is in play.
Is there a timing strategy around PIC 4020?
Yes. PIC 4020(1)(b) looks back at false information given for a visa held in the 12 months before the application. If a waiver is not confident, advise the client to wait until more than 12 months after the tainted visa has ended before lodging, so the look-back no longer captures it. This does not cure 4020(1)(a) for the current application, but it removes the 12-month look-back exposure.
Exam move
Treat PIC 4020 as a high-yield, near-guaranteed issue and master its structure: the 3-year bar limbs (4020(1)(a)/(b)) with the 12-month look-back, versus the 10-year no-waiver identity limb (4020(2A)/(2B), not for minors). Hold Trivedi ready — fraud or deception is needed but the applicant's own knowledge is not — so 'I didn't know' never defeats the criterion. Above all, drill the waiver trap: 4020(4) turns only on Australia's or a citizen-PR's interests, never the applicant's own hardship, so frame waiver arguments on the citizen family or community. Keep the bans table straight (PIC 4013/4014 waivable; SRC 5001 lifetime no-waiver after deportation or character cancellation; SRC 5002 12-month waivable), and add the strategic-timing move of waiting 12 months after the tainted visa ends.
