Department of Finance Personal Information Digest - Classes of personal records

Transcription

1 Department of Finance Personal Information Digest - Classes of personal records To be read in conjunction with the Department of Finance Privacy Policy NO 1 MARCH 2014

2 Contents Contents 2 1. PERSONNEL AND STAFF MANAGEMENT PERSONNEL RECORDS PERSONAL SECURITY FILES PERSONNEL SECURITY VETTING CLEARANCE AND INCIDENT RECORDING DATABASE PERSONNEL ACCESS PASS 9 2. BENEFICIARY, PARLIAMENTARY AND MEMBER OF PARLIAMENT RECORDS PARLIAMENTARY WORKFLOW SYSTEM PARLIAMENTARY BENEFICIARY FILE RECORDS PARLIAMENTARY CONTRIBUTOR FILE RECORDS MEMBERS OF PARLIAMENT - ENTITLEMENTS AND FACILITIES FORMER FEDERAL JUDGES BENEFICIARY FILE RECORDS FORMER GOVERNOR-GENERAL BENEFICIARY FILE RECORDS BENEFICIARY FILE RECORDS FOR THE DEATH AND DISABILITY ARRANGEMENTS FOR JUDGES OF THE FEDERAL CIRCUIT COURT OF AUSTRALIA LEGAL AND FINANCIAL FREEDOM OF INFORMATION (FOI) REQUESTS REQUESTS FOR ACCESS TO DOCUMENTS GENERAL LEGAL ADVICE CONTRACT REGISTRATION SYSTEM (no longer operating) DEBTORS, CREDITORS AND CREDIT CARD HOLDERS Departmental Bank Account Signatory Information CLAIMS/APPLICATIONS ACT OF GRACE PAYMENTS/WAIVERS OF DEBT CLAIMS FOR COMPENSATION FOR DETRIMENT CAUSED BY DEFECTIVE ADMINISTRATION CLAIMS FOR COMPENSATION UNDER THE LANDS ACQUISITION ACT

3 4.4 CLAIMS AGAINST THE COMMONWEALTH APPLICATIONS FOR AUSTRALIAN GOVERNMENT PUBLIC SHARE OFFERS INDIVIDUALS HAVING 3rd PARTY CLAIMS AGAINST A MEMBER OF THE COMCOVER FUND SUPERANNUATION SUPERANNUATION RECORDS SUPERANNUATION ARRANGEMENTS - SPECIAL OR MODIFIED SUPERANNUATION CALCULATION OF THE COSTS OF THE PSS, CSS, PCSS, JUDGES PENSIONS SCHEME, GOVERNORS-GENERAL PENSION SCHEME AND THE DEATH AND DISABILITY ARRANGEMENTS FOR JUDGES OF THE FEDERAL CIRCUIT COURT OF AUSTRALIA MEMBERSHIPS APPOINTMENTS TO PORTFOLIO AUTHORITIES AND COMMITTEES CFO, CEO AND CHAIR DETAILS OF FMA/CAC BODIES CFO AND PRIME PROCUREMENT CONTACT DETAILS OF ALL FMA/CAC BODIES SUBJECT TO THE COMMONWEALTH PROCUREMENT GUIDELINES PROCUREMENT DISCUSSION FORUM MEMBERSHIP LIST APPOINTMENT OF SUPERANNUATION AND FUTURE FUND BOARDS MEMBERS APPOINTMENTS TO BOARDS AND GOVERNING BODIES OF GOVERNMENT BUSINESS ENTERPRISES AND RELATED ENTITIES COMCOVER ADVISORY COUNCIL DIRECTORS AND OFFICERS OF COMCOVER MEMBERS INVESTIGATIONS INVESTIGATIONS DATABASE LISTS ENDORSED SUPPLIER ARRANGEMENT (ESA) DATABASE (no longer operating) CUSTODIAN OF EXPROPRIATED PROPERTY COMCAR DATABASE STAFF DIRECTORY EVENTS BOOKING SYSTEM PANEL OF LEARNING AND DEVELOPMENT SERVICE PROVIDERS CONTACTS DATABASE (No longer operating) GOVERNMENT ONLINE SOLUTIONS MAPPING DATABASE CONTRIBUTORS AND USERS (no longer operating) AUSTRALIAN GOVERNMENT TELECOMMUNICATIONS ARRANGEMENT (AGTA) SERVICE PROVIDER INFORMATION 31

4 8.10 SEMINARS MAILING LIST DISCUSSION LISTS (no longer operating) FINANCE WEBSITE FEEDBACK M&PS INTRANET WEBSITE MINISTERS MEDIA RELEASE SUBSCRIPTION SERVICE GOVERNMENT MEDIA RELEASE SERVICE SUBSCRIPTIONS WHOLE OF GOVERNMENT WEBSITE CONTACT US FACILITY BUSINESS CONTINUITY PLANS AND STAFF NEXT OF KIN LIST ASSURANCE REVIEWR SERVICES DATABASE COMMUNICATIONS MULTI USE LIST AUSTENDER AGIMO GOVERNANCE COMMITTEE AND CHIEF INFORMATION OFFICER CONTACT LISTS Govdex USER ACCOUNTS GovSpace ONLINE BOOKING SYSTEM (OBS) GOVERNMENT NETWORK SERVICE (GNS) CENTRAL DATABASE ICON MAILING LIST CONSULTANCY AND CONTRACT DETAILS DATA.GOV.AU WEBSITE CONTACT US FACILITY DATA.GOV.AU USER ACCOUNTS DIRECTORY.GOV.AU WEBSITE CONTACT US FACILITY DIRECTORY USER ACCOUNTS AUSGOVBOARDS USER ACCOUNTS AUSGOVBOARDS SUBSCRIPTION TO VACANCIES ACCOUNTS BOARDLINKS SUBSCRIPTION TO NEWSLETTER ACCOUNTS BUDGET CONTACT LIST 40 The Department of Finance (Finance) holds 70 classes of personal information, including 1 class of personnel records. The nature of these records is described in this document. This document is intended to be read in conjunction with the Department of Finance Privacy Policy.

5 1. PERSONNEL AND STAFF MANAGEMENT The purpose of these records is to maintain employment history and payroll and administrative information relating to all ongoing, contract and non-ongoing employees of Finance, as well as current and former Members of Parliament (Staff) Act 1984 (MOP(S) Act employees. 1.1 PERSONNEL RECORDS Personnel and payroll The records may include any one or more of the following: 1. records relating to attendance; 2. leave applications and approvals; 3. medical records; 4. payroll and pay related records, including banking details; 5. tax file number declaration forms; 6. declarations of pecuniary interests; 7. personal history files; 8. performance appraisals; 9. records relating to personal development and training; 10. trade, skill and aptitude test records; 11. completed questionnaires and personnel survey forms; 12. records relating to removals; 13. travel documentation; 14. copies of driver s licence; 15. records relating to personal welfare matters; and 16. contracts and conditions of employment Recruitment The records may include any one or more of the following: 1. recruitment records and files; Classes of personal records 5

6 1.1.3 Other 2. records relating to relocation of employees and removals of personal effects; and 3. records relating to character checks and security clearances. The records may include any one or more of the following: 1. records of accidents and injuries; 2. compensation case files; 3. rehabilitation case files; 4. records relating to counselling and discipline matters, including disciplinary, investigation and action files, legal action files, records of criminal convictions, and any other employees and establishment records as appropriate; 5. complaints and grievances; and 6. recommendations for honours and awards. Content of personnel records may include: name, address, date of birth, occupation, AGS number, gender, qualifications, equal employment opportunity group designation, next of kin, details of pay and allowances, leave details, work reports, security clearance details and employment history. Sensitive contents of personnel records may include: physical and mental health, disabilities, racial or ethnic origin, disciplinary investigation and action, criminal convictions, adverse performance and security assessments, tax file numbers, relationship details and personal financial information. Personal information on personnel records relates to current and former Finance employees including contract and non-ongoing employees, as well as employees on overseas postings and their recognised dependants. Finance employees that have access to personnel records include executive and senior management personnel, supervisors and members of selection committees (if appropriate), the individual to whom the record relates and, as is appropriate, personnel employees, security officers and case managers. Personnel records are kept according to the applicable provisions of the General Disposal Authority for employees and establishment records issued by the National Archives of Australia. Information held in personnel records may be disclosed, as appropriate, to Comcare, Commonwealth Medical Officers, the Attorney-General s Department, the Australian Public Service Commission, Comsuper and other superannuation administrators, the Australian Security Intelligence Organisation (ASIO), the Australian Taxation Office, and the receiving agency following movement or re-engagement of an employee. Records relating to all current and former employees of Finance are stored on Departmental files, microfiche and electronic media. Classes of personal records 6

7 1.1.4 Governance and Resource Management Group Short term Placements The purpose of these records is to administer short term placements within Finance, of officials from other national governments. The content of short term placement personnel records may include: name, address, date of birth, occupation, gender, next of kin, religion, marital and family status, qualifications and employment history. Personnel within Finance s Asia-Pacific Partnership Branch are the only persons who have access to this information and this is on a need-to-know basis. The short term placement personnel records are held in accordance with legislative requirements. The records relate to approximately 15 individuals and are stored on Departmental files and electronic media. Short term deployments and visits to other countries The purpose of these records is to administer short term deployments of, or visits by, Finance officials to countries in the Asia-Pacific region where Finance is supporting the government s Overseas Development Aid agenda. Content of short term deployment, or visiting, personnel records may include: name, address, date of birth, occupation, gender, next of kin, religion, marital and family status, qualifications and employment history. Personnel within Finance s Asia-Pacific Partnership Branch, People Branch and Security are the only persons who have access to this information and this is accessed on a need-to-know basis. The short term placement personnel records are held in accordance with legislative requirements. Long term deployments to other countries The purpose of these records is to administer long term deployments of Finance officials to countries in the Asia-Pacific region where Finance is supporting the government s Overseas Development Aid agenda. Content of long term deployment personnel records may include: name, address, date of birth, occupation, gender, next of kin, religion, marital and family status, qualifications and employment history. Where family members accompany deployees on their posting, or need to have visits arranged, similar details may be held for those family members. Personnel within Finance s Asia-Pacific Partnership Branch, People Branch and Security are the only persons who have access to this information and this is accessed on a need-to-know basis. The long term placement personnel records are held in accordance with legislative requirements. Classes of personal records 7

8 Applications to the Australian Government ICT Entry Level Programs The Australian Government ICT Entry Level Programs (Apprenticeship, Cadetship and Graduate) retain limited personal information on applicants for a 12 month period. Members of the ICT Skills team are the only staff who have access to the information listed below. If an applicant is unsuccessful, information is destroyed once the delegate report is signed. For successful applicants, files are raised that contain personal details (name, phone number, address, resume and qualification results) and are kept for the time the applicant is on the program (between 18 months and three years). Once the participant completes the program, the files are closed and sent for archiving. ICT Program Personnel file The records may include any one or more of the following: 1. records relating to attendance; 2. leave applications and approvals; 3. medical records; 4. personal history files; 5. records relating to personal development and training including academic results; 6. trade, skill and aptitude test records; 7. completed questionnaires and personnel survey forms; 8. travel documentation; 9. copies of driver s licence and passport; 10. records relating to personal welfare matters; and 11. contracts and conditions of employment. 1.2 PERSONAL SECURITY FILES The purpose of these files is to administer and record the security clearances of Finance employees and contractors, and of MOP(S) Act employees of Ministers and Parliamentary Secretaries. Content may include: full birth certificate, marriage certificate, decree nisi/decree absolute, deed poll, academic qualifications, employment history, citizenship, immigration status, overseas travel records, passport(s), discharge certificate, address check, bankruptcy check, police check, ASIO assessment, referee contacts, record of interview, foreign contact, security record and financial check. In relation to Finance employees and contractors, Finance s security personnel and Records Management Staff are the only persons who have access to this information and this is on a need-to-know basis. In relation to MOP(S) Act employees of Ministers and Parliamentary Secretaries authorised staff in the Ministerial and Parliamentary Services Division are the only persons who have access to this information and access is on a need-to-know basis. Classes of personal records 8

9 Personal security files are kept until requested by AGSVA or for five years after separation from the Australian Public Service, or six years after the date of the last security clearance check on file. The number of records that Finance currently holds for both its current and former employees and Contractors exceeds 8000 and the Members of Parliament (Staff) Act 1984 (MOP(S) Act) employee records relate to approximately 2,600 individuals. The records are stored on hard copy file. 1.3 PERSONNEL SECURITY VETTING CLEARANCE AND INCIDENT RECORDING DATABASE Finance has Departmental Personnel Security Vetting Databases. The purpose of these databases is to hold records of security clearances granted by Finance prior to 1 October 2010, information regarding the coordination of security clearances by AGSVA and a register of security incidents in the Department. Content may include: name, date of birth, home address and level of security clearance. Finance s security personnel are the only persons who have access to this information and this is on a need-to-know basis. The vetting database records are kept for 10 years. The records exceed 8000 and are stored on encrypted electronic media. Details of the security vetting and clearance process of MOP(S) Act employees are maintained within the chris21 human resource management information system. Access to the security information of MOP(S) Act employees is restricted to authorised staff in the Ministerial and Parliamentary Services Division. Content may include: name, date of birth, home address and security clearance information including submission dates, grant dates and vettee ID. 1.4 PERSONNEL ACCESS PASS The purpose of these records is to maintain a database which is used to administer and record employees and contractor access to and from buildings occupied by Finance. Content may include: clearance level, company name (if other than Finance) and a photograph of the individual. Finance s security personnel are the only persons who have access to this information and this is on a need-to-know basis. The access pass database records are kept for 7 years after the pass expires. The records relate to approximately 5,100 individuals and are stored on electronic media. Classes of personal records 9

10 2. BENEFICIARY, PARLIAMENTARY AND MEMBER OF PARLIAMENT RECORDS 2.1 PARLIAMENTARY WORKFLOW SYSTEM The purpose of these records is to maintain a database which tracks ministerial correspondence and enables reports against a number of parameters. It records the receipt and processing of all correspondence addressed to the Minister for Finance and Deregulation, the Special Minister of State and the Minister Assisting the Finance Minister on Deregulation and Public Sector Superannuation. Content may include: the name and address of the correspondent, the subject, the date of the correspondence and the processing steps. The original record and the responses are stored electronically as well as in the action area of the Department or Portfolio Agency. Sensitive material may include: political beliefs and financial information (including debts) and, to a lesser extent, disabilities, religious beliefs and relationship details. Officers of Finance s Communications and Coordination Branch, as well as a range of employees in line areas, have access to all or some of this information on a need-toknow basis. Correspondence on issues not falling within the Ministers responsibilities is transferred to the appropriate Department. Name/subject/date details are recorded and copies of transferred correspondence may be stored electronically in Finance. 2.2 PARLIAMENTARY BENEFICIARY FILE RECORDS The personal information on these records relates to beneficiaries of the Parliamentary Contributory Superannuation Scheme. The purpose of these records is to ascertain entitlement to benefits for, or in respect of, former members of Parliament under the Parliamentary Contributory Superannuation Act 1948 which was closed to new members in Content may include: name, address, date of birth, marriage certificate or other relationship information, gender, certificate of health, parliamentary service, bank account details, payroll records and group certificates/payment summaries. Sensitive content may include: tax file numbers, financial information (including debts and benefit entitlements under the scheme), medical assessments, relationship details and group certificates/payment summaries. Classes of personal records 10

11 Access to this personal information is limited to selected employees in Finance s Superannuation Branch who have responsibility for the function. Information may also be disclosed to senior management on a need-to-know basis. The records are kept permanently for certain matters that could be of historical importance. Other records are retained in accordance with Departmental and National Archives of Australia requirements. A computer database which was established in July 1999 contains information on all cases handled since this date. Some of this information may be disclosed to members of the Parliamentary Retiring Allowances Trust and/or relevant Ministers within the Finance and Deregulation portfolio where the information is required to undertake their responsibilities. Also, some limited information may be disclosed, from time to time, on a need-to-know basis, the Australian Taxation Office, persons or organisations nominated by the pensioner concerned (such as their accountant, lawyer or guardian) or to the Family Court of Australia. 2.3 PARLIAMENTARY CONTRIBUTOR FILE RECORDS The personal information on these records relates to members of the Parliamentary Contributory Superannuation Scheme. The purpose of these records is to ascertain potential or actual entitlement to benefits for members of Parliament under the Parliamentary Contributory Superannuation Act 1948, which was closed to new members in Content may include: name, address, date of birth, parliamentary service, marriage certificate or other relationship information and gender. Sensitive content may include: certificate of health, tax file numbers, financial information and relationship details. Access to this personal information is limited to selected employees in Finance s Superannuation Branch who have responsibility for the function. Information may also be disclosed to senior management on a need-to-know basis. The records are kept permanently for certain cases that could be of historical importance. Other records are retained in accordance with Departmental and National Archives of Australia requirements. A computer database which was established in July 1999 contains information on all cases handled since this date. Some of this information may be disclosed to members of the Parliamentary Retiring Allowances Trust and/or relevant Ministers within the Finance and Deregulation portfolio where the information is required to undertake their responsibilities. Also, some limited information may be disclosed, from time to time, on a need-to-know basis, the Australian Taxation Office, persons or organisations nominated by the pensioner concerned (such as their accountant, lawyer or guardian) or to the Family Court of Australia. 2.4 MEMBERS OF PARLIAMENT - ENTITLEMENTS AND FACILITIES The purpose of these records is to enable the payment of salaries to Ministers under the Ministers of State Act 1952 up until November 2011 when the function was transferred to the Department of the Senate and the Department of the House of Representatives. The records also enable the provision of entitlements and facilities Classes of personal records 11

12 to current and former members of Parliament, including their employees and eligible dependants. Personnel and salary records are also held for the payment of staff employed under the MOP(S) Act. Content may include: name, address, date of birth, occupation, marital status, names, status of partners or relatives and gender as well as Travel Profiles and accounting details for the various travellers. Sensitive content may include: physical or mental health, disabilities, tax file numbers, financial information, bank account details and relationship details. The personal information on these records relates to current and former members of the Parliament, spouses and dependants entitled to travel at official expense, and persons employed under the MOP(S) Act. Employees of Finance s Ministerial and Parliamentary Services Division have access to this information on a need-to-know basis. The records are kept according to the applicable provisions of the General Disposal Authority for employees and establishment records issued by National Archives of Australia. This information is not usually disclosed to other persons or organisations. However, certain information may be released in response to requests made under the Freedom of Information Act 1982 (FOI Act). Information regarding Parliamentarians expenditure on entitlements paid by Finance is published on a six monthly basis on Finance s website at The records relate to approximately 16,000 individuals and are stored on Departmental files, computer and microfiche media. 2.5 FORMER FEDERAL JUDGES BENEFICIARY FILE RECORDS The personal information on these records relates to beneficiaries of the Judges Pensions Scheme. The purpose of these records is to ascertain entitlement to benefits for, or in respect of, former Federal Judges under the Judges Pensions Act Content may include: name, address, date of birth, marriage certificate or other relationship information, gender, certificate of health, judicial service, bank account details, payroll records and group certificates/payment summaries. Sensitive content may include: tax file numbers, financial information (including debts and benefit entitlements under the scheme), medical assessments, relationship details and group certificates/payment summaries. Access to this personal information is limited to selected employees in Finance s Superannuation Branch who have responsibility for the function. Information may also be disclosed to senior management on a need to know basis. The records are kept permanently for certain matters that could be of historical importance. Other records are retained in accordance with Departmental and National Archives of Australia requirements. A computer database which was established in January 2010 contains information on all cases handled since this date. Classes of personal records 12

13 Some of this information may be disclosed to relevant Ministers within the Finance and Deregulation portfolio and the Attorney-General s portfolio where the information is required to undertake their responsibilities. Also, some limited information may be disclosed, from time to time, on a need to know basis, to the Australian Taxation Office, persons or organisations nominated by the beneficiary concerned (such as their accountant, lawyer or guardian) or to the Family Court of Australia. 2.6 FORMER GOVERNOR-GENERAL BENEFICIARY FILE RECORDS The personal information on these records relates to beneficiaries of the Governor- General Pension Scheme. The purpose of these records is to ascertain entitlement to benefits for, or in respect of, former Governors-General under the Governor-General Act Content may include: name, address, date of birth, marriage certificate or other relationship information, gender, certificate of health, details of service, bank account details, payroll records and group certificates/payment summaries. Sensitive content may include: tax file numbers, financial information (including debts and benefit entitlements under the scheme), medical assessments, relationship details and group certificates/payment summaries. Access to this personal information is limited to selected employees in Finance s Superannuation Branch who have responsibility for the function. Information may also be disclosed to senior management on a need to know basis. The records are kept permanently for certain matters that could be of historical importance. Other records are retained in accordance with Departmental and National Archives of Australia requirements. A computer database which was established in January 2010 contains information on all cases handled since July 2009, at which time administration of payments commenced by Finance, following the transfer from the Department of the Prime Minister and Cabinet. Some of this information may be disclosed to relevant Ministers within the Finance and Deregulation portfolio and the Prime Minister and Cabinet portfolio where the information is required to undertake their responsibilities. Also, some limited information may be disclosed, from time to time, on a need to know basis, to the Australian Taxation Office, persons or organisations nominated by the beneficiary concerned (such as their accountant, lawyer or guardian) or to the Family Court of Australia. 2.7 BENEFICIARY FILE RECORDS FOR THE DEATH AND DISABILITY ARRANGEMENTS FOR JUDGES OF THE FEDERAL CIRCUIT COURT OF AUSTRALIA The personal information on these records relates to beneficiaries of the death and disability arrangements for Judges of the Federal Circuit Court of Australia (formerly known as Federal Magistrates). As at 1 July 2012, there is only one beneficiary. The purpose of these records is to document the administration of and payments made under the death and disability arrangements for Judges of the Federal Circuit Classes of personal records 13

14 Court of Australia. These arrangements are governed by the Federal Circuit Court of Australia Act Content may include: name, address, date of birth, marriage certificate or other relationship information, gender, certificate of health, details of service, bank account details, payroll records and group certificates/payment summaries. Sensitive content may include: tax file numbers, financial information (including debts and benefit entitlements under the scheme), medical assessments, relationship details and group certificates/payment summaries. Access to this personal information is limited to selected employees in Finance s Superannuation Branch who have responsibility for the function. Information may also be disclosed to senior management on a need to know basis. The records are kept permanently for certain matters that could be of historical importance. Other records are retained in accordance with Departmental and National Archives of Australia requirements. A computer database which was established in January 2010 contains information on the case that has been handled since July 2010, at which time administration of payments commenced by Finance, following the transfer from the Attorney-General s Department. Some of this information may be disclosed to relevant Ministers within the Finance and Deregulation portfolio and the Attorney-General s portfolio where the information is required to undertake their responsibilities. Also, some limited information may be disclosed, from time to time, on a need to know basis, to the Australian Taxation Office, persons or organisations nominated by the beneficiary concerned (such as their accountant, lawyer or guardian) or to the Family Court of Australia. Classes of personal records 14

15 3. LEGAL AND FINANCIAL 3.1 FREEDOM OF INFORMATION (FOI) REQUESTS The purpose of these records is to process requests made under the FOI Act for access to documents. Content may include: name, address, address, date of birth, and telephone number. Sensitive content may include: physical or mental health, disabilities, sexuality, racial or ethnic origin, criminal convictions, criminal intelligence, religious beliefs, political beliefs, financial information (including debts) and relationship details. The personal information on these records relates to members of the public, Members of Parliament and individuals employed by Members of Parliament. Finance staff who have access to this information include the Secretary, the Secretary s Executive officer, the FOI Coordinator, Legal and Strategic Support Branch staff, as well as officers from the Business Group responsible for responding to the particular FOI request. The records are kept for 5 to 10 years. Some of this information may be disclosed to other organisations on a need-to-know basis in order to respond to the FOI request. 3.2 REQUESTS FOR ACCESS TO DOCUMENTS The purpose of these records is to process requests including requests made under the Archives Act 1983 for access to records controlled by Finance. These records are held by Finance or by the National Archives of Australia. Content may include: name, address, date of birth, telephone number and employment history (if a former APS employee is seeking access to details of their employment). The personal information on these records relates to members of the public, employees of Australian and State Government agencies and private organisations and former APS/MOP(S) Act employees. Finance staff that have access to this personal information include the Deputy Secretary, Chief Operating Officer Group; Legal and Strategic Support Branch staff, People Branch, Records Management Unit, and Ministerial and Parliamentary Services Division. The records are kept for 5 to 10 years. Some of this information may be disclosed to other organisations on a need-to-know basis in order to respond to the request. Classes of personal records 15

16 3.3 GENERAL LEGAL ADVICE The purpose of these records is to maintain details of legal actions by individuals or organisations and other legal advice to the Minister for Finance and Deregulation, the Special Minister of State, the Executive, and Finance Business Groups and units on subjects such as contracts, constitutional law issues, public law, employment law and statutory interpretation. Content may include: name, address, date of birth, occupation, marital status, names and status of partners or relatives, and gender. Sensitive content may include: physical or mental health, disabilities, racial or ethnic origin, criminal convictions, criminal intelligence, religious and political affiliations, financial information, relationship details and work performance. The personal information on these records relates to employees, clients and some members of the public. Finance employees have access to this information on a need-to-know basis. The records are kept for various periods, depending on Departmental requirements and in accordance with the National Archives of Australia General Disposal Authorities. Some of this information may be disclosed to the Australian Government Solicitor, Office of Legal Services Coordination (OLSC), private law firms, Finance Business Groups (and their agencies) or debt recovery process service agents, on a need-toknow basis. 3.4 CONTRACT REGISTRATION SYSTEM (no longer operating) The purpose of the Contract Registration System was to maintain a register of consultants engaged and contracts entered into by Finance. Content may include: name of consultant/contractor, description of the nature of the work to be performed, the contract value and actual expenditure. The personal information on these records relates to consultants and the employees involved in the engagement and approval. Selected employees of Finance have access to this information on a need-to-know basis. The personal information contained in these records may be disclosed as a result of an FOI request. Names of key personnel involved in the consultancies are disclosed. 3.5 DEBTORS, CREDITORS AND CREDIT CARD HOLDERS The purpose of these records is to maintain a register of debtors and creditors to facilitate accounts processing and record details of holders of credit cards in Finance. Content may include: name, address, date of birth and occupation. Sensitive content may include: financial information and other personal identification details. The personal information on these records relates to Finance employees, members of the public and Departmental clients. Classes of personal records 16

17 The following agency employees that have access to this personal information include business unit finance managers, accounts staff and senior management on a need-to-know basis. For credit cards, the Treasury, Tax, Asset Management and Accounts Processing Unit within the Chief Financial Officer Branch have access to the information. The records are kept permanently or retained for 5 to 7 years, depending on Departmental and National Archives of Australia requirements. Some of this information may be disclosed to the Director of Public Prosecutions, legal advisors and the Australian National Audit Office on a need-to-know basis. The records relate to approximately 10,000 individuals and are stored on computer media and Departmental files. 3.6 Departmental Bank Account Signatory Information The bank forms for cheque signatories collect name, residential address, date of birth, contact numbers and signature. Other relevant edited information (cut & paste). Personal information on these records relates to Finance employees and Departmental outsourced providers. The Treasury, Tax & Asset Management team within the Chief Financial Officer Branch have access to this personal information and senior management on a needto-know basis. The records are kept permanently or retained for 5 to 7 years, depending on Departmental and National Archives of Australia requirements. Classes of personal records 17

18 4. CLAIMS/APPLICATIONS 4.1 ACT OF GRACE PAYMENTS/WAIVERS OF DEBT The purpose of these records is to assist the Minister and her delegates consideration of, and decisions on, requests for act of grace payments under section 33 of the Financial Management and Accountability Act 1997 (the FMA Act), and requests for waivers of debts owed to the Commonwealth under section 34 of the FMA Act. Content may include: name, address, date of birth, occupation, telephone number, sick leave records, marital status, salary, employer, superannuation details, taxation details, child support details and other personal information. Sensitive content may include: physical or mental health, medical opinions, disabilities, sexuality, racial or ethnic origin, criminal convictions, criminal intelligence, religious affiliations, political affiliations, tax file numbers, financial information (including debts) and relationship details. The personal information on these records relates to applicants for act of grace payments or those seeking waivers of debts due to the Commonwealth. Finance employees who have access to this personal information on a need-to-know basis include the Discretionary Payments Section staff; Special Counsel and Projects Section staff; the Assistant Secretary, Risk, Insurance and Special Claims Branch; First Assistant Secretaries, Deputy Secretaries and the Secretary. The Special Minister of State, Assistant Treasurer, the Minister for Finance and Deregulation, and certain business analysts who support a computer database may also have access on a need-to-know basis. Where the requests for act of grace and waivers sought are in excess of $250,000, access to this information also extends to the Chief Executive Officer, or deputies, of the Australian Customs Service and the Agency that is the subject of the request. The records are kept permanently for certain cases that could be of historical importance. Other files are kept for 17 years after the last action. A computer database with summary information on all cases handled, and correspondence, is kept permanently and holds records dating from December The records are stored on computer media and Departmental files. 4.2 CLAIMS FOR COMPENSATION FOR DETRIMENT CAUSED BY DEFECTIVE ADMINISTRATION The purpose of these records is to assist in the investigation of requests for compensation under the Scheme for Compensation for Detriment Caused by Defective Administration (CDDA Scheme). Content may include: name, address, date of birth, occupation, telephone number, sick leave records, marital status, salary, employer, superannuation details, taxation details, child support details and other personal information. Classes of personal records 18

19 Sensitive content may include: physical or mental health, medical opinions, disabilities, sexuality, racial or ethnic origin, criminal convictions, criminal intelligence, religious affiliations, political affiliations, tax file numbers, financial information (including debts) and relationship details. Finance employees that have access to this information on a need-to-know basis include Special Financial Claims Section staff; Assistant Secretary, Risk, Insurance and Special Claims Branch; staff within Business, Procurement and Asset Management, Ministerial and Parliamentary Services Division and Legal and Strategic Support Branch; Finance First Assistant Secretaries and Deputy Secretaries and the Secretary. The Minister for Finance and Deregulation along with the Special Minister of State (and their staff), and certain business analysts who support a computer database can also have access to the information on a need-to-know basis. Files are kept for 17 years after the last action. A computer database with summary information on all cases handled, and correspondence, is kept permanently, and holds records dating from April The records are stored on computer media and Departmental files. 4.3 CLAIMS FOR COMPENSATION UNDER THE LANDS ACQUISITION ACT 1989 The purpose of these records is to assist the Finance Minister in his consideration of, and decision on, compensation for acquisition of interests in land under the Lands Acquisition Act Content may include: name, address, date of birth, occupation, telephone number, and marital status. Sensitive content may include: financial information including income taxation, and valuation of property and business interests. Finance staff who have access to this information include Land Acquisitions, Native Title and Mining Section Staff; the Assistant Secretary, Heritage Environment and Land Policy Branch; the First Assistant Secretary, Property and Construction Division; Deputy Secretary, Business, Procurement and Asset Management; Legal and Strategic Support Branch, and the Secretary. Some of this information may be disclosed to other Commonwealth agencies, as required by the case. The records currently held in the area relate to approximately 25 individuals and are stored on computer media and Departmental files. 4.4 CLAIMS AGAINST THE COMMONWEALTH The purpose of these records is to record information in connection with public liability claims against the Commonwealth (pre Comcover). Content may include: some personal information on the claimants and possibly some sensitive information on Government properties. Sensitive content may include: personal medical records provided in support of a claim. These records are kept on Departmental files and can be accessed by Finance staff on a need-to-know basis. Classes of personal records 19

20 4.5 APPLICATIONS FOR AUSTRALIAN GOVERNMENT PUBLIC SHARE OFFERS The purpose of these records is to process the sale of shares in Australian Government companies to members of the public, where the sale is conducted by means of a public share offer. Content may include: name, address, Clearing House Electronic Subregister System (CHESS) Holder Identification Number, number of shares applied for, telephone numbers and whether a foreign person. The personal information on these records relates to applicants for the purchase of shares. Finance employees who have access to this information on a need-to-know basis are staff of the Commercial and Claims Division. Staff of Link Market Services Limited who provide processing services under an outsource contract also have access on a need-to-know basis. The records are kept for various periods in accordance with the requirements of the Corporations Act 2001 and the Archives Act Some of this information may be disclosed to other organisations on a need-to-know basis, in accordance with the Privacy Act The records relate to approximately 2.56 million applicants and are stored either electronically or on Departmental files. 4.6 INDIVIDUALS HAVING 3rd PARTY CLAIMS AGAINST A MEMBER OF THE COMCOVER FUND The purpose of these records is to record details of third party individuals who have made a claim(s) against a Comcover Member (i.e. a Commonwealth General Government Sector agency) where the claim results from a risk that has been covered by Comcover. These individuals include persons indemnified by a Member of the Comcover Fund. Content may include: name; contact details; information relating to the claim by the individual; and previous claims information. Risk, Insurance and Special Claims staff of Finance and Comcover Member Services (CMS) Finance s contracted claims management service provider have access to this information. The records are stored on computer and Departmental files and the CMS Database accessed by Risk, Insurance and Special Claims staff of CMS. The personal information contained in these records may be disclosed to the Claims Management staff of Comcover Member Services, loss assessors and legal advisers. The records are kept indefinitely based on Departmental requirements. Classes of personal records 20

21 5. SUPERANNUATION 5.1 SUPERANNUATION RECORDS The purpose of these records is to advise on claims for Act of Grace payments under the Financial Management and Accountability Act 1997; to document Administrative Appeals Tribunal cases involving the Commissioner for Superannuation; to respond to cases before the Australian Human Rights Commission or the Superannuation Complaints Tribunal and to reply to ministerial correspondence. Content may include: name, address, date of birth, gender, marital status, occupation, salary, employer, employment term, levels of superannuation benefits, AGS numbers and taxation and relationship details. Sensitive content may include: financial information, employment and superannuation details and details of marriage and other relationships. The personal information on these records relates to some members of the Commonwealth Superannuation Scheme, the Public Sector Superannuation Scheme, the Public Sector Superannuation Accumulation Scheme or their dependants, persons seeking or appealing against decisions made under the Superannuation Act 1922, the Superannuation Act 1976, the Superannuation Act 1990 and the Superannuation Act Finance employees who have access to this personal information may include all staff of the Superannuation Branch or other relevant business unit or Departmental managers on a strict need-to-know basis. Some of the information is also disclosed to Ministers on a need-to-know basis. The records are kept indefinitely as some material is required for precedent purposes. The records are kept on computer media and on Departmental files. This information is not usually disclosed to other persons or organisations. 5.2 SUPERANNUATION ARRANGEMENTS - SPECIAL OR MODIFIED The purpose of these records is to allow approval of special superannuation arrangements or continuation of personalised superannuation cover for individuals under the Superannuation Benefits (Supervisory Mechanisms) Act 1990 or by modification of the Superannuation Act 1976 and the Trust Deed and Rules of the Superannuation Act The purpose of these records is also to allow approval of Replacement Payments under the Same-Sex Relationships (Equal Treatment in Commonwealth Laws Superannuation) Act Content may include: name, date of birth, occupation, salary level, level of employer and employee superannuation contributions, details of superannuation arrangements sought (including supplier), employment term and employer, Classes of personal records 21

22 employer, contact details, relationship details, bank account details and proof of identity documents. Sensitive content may include: physical or mental health and salary level, salary level, bank account details and relationship details. The personal information on these records relates to persons seeking approval of special or personalised arrangements under the Superannuation Benefits (Supervisory Mechanisms) Act 1990 or the Superannuation Act 1976 or by modification of the Superannuation Act 1976, employees of government business enterprises and certain temporary employees. The personal information on these records also relates to persons seeking approval of Replacement Payments under the Same-Sex Relationships (Equal Treatment in Commonwealth Laws Superannuation) Act Replacement payments are not superannuation payments, but provide entitlements to certain same-sex partners of deceased Australian Government superannuation scheme members that are equivalent to benefits paid under those schemes. Finance employees who have access to this personal information include officers in the Superannuation Branch or other relevant business unit or Departmental managers on a strict need-to-know basis. Some of the information is also disclosed to Ministers within the Finance and Deregulation portfolio where information is required to undertake their responsibilities. Officers in ComSuper have access to Replacement Payments information used to assess eligibility for entitlements and to administer the payments. The records are kept permanently, some material being required for precedent purposes. The records are kept on computer media and Departmental files. This information is not usually disclosed to other persons or organisations. 5.3 SUPERANNUATION CALCULATION OF THE COSTS OF THE PSS, CSS, PCSS, JUDGES PENSIONS SCHEME, GOVERNORS-GENERAL PENSION SCHEME AND THE DEATH AND DISABILITY ARRANGEMENTS FOR JUDGES OF THE FEDERAL CIRCUIT COURT OF AUSTRALIA The purpose of these records is to allow for the actuarial calculation of specific employer contribution rates for the PSS, CSS, PCSS, Judges Pensions Scheme, Governors-General Pension Scheme and the death and disability arrangements for Judges of the Federal Circuit Court of Australia (formerly known as Federal Magistrates) and the calculation of the Commonwealth s unfunded superannuation liability for Budget estimates. ComSuper provides the Department with the data on PSS and CSS members. The Attorney-General s Department provides the Department with data in relation to serving Judges. Content may include: an individual s AGS number, date of birth, gender, superannuation salary, employer, employment term and level of superannuation benefit. Sensitive information may include tax file number, superannuation and employment details. Finance employees with access to this information on a strict need-to-know basis include officers within the Superannuation Branch and Funds and Actuarial Branch. Contracted actuaries have access to this information to conduct the required Classes of personal records 22

23 calculations. The contract contains privacy clauses which require compliance with the Privacy Act The information is stored on computer media, personnel and Departmental files. Classes of personal records 23

24 6. MEMBERSHIPS 6.1 APPOINTMENTS TO PORTFOLIO AUTHORITIES AND COMMITTEES The purpose of these records is to record details of membership and appointments to portfolio authorities and committees. Content may include: name, address, telephone and facsimile numbers, term of appointment, date of birth, occupation, gender, ethnicity and disabilities. The personal information on these records relates to individuals with expertise in relevant fields. Senior employees of Finance have access to this information on a need-to-know basis. Some of this information is disclosed to the Department of the Prime Minister and Cabinet, the Minister for Finance and Deregulation and the Special Minister of State. The information is stored on computer media and Department files. 6.2 CFO, CEO AND CHAIR DETAILS OF FMA/CAC BODIES The purpose of these records is to provide Finance with contact details, for broad distribution of relevant information, to Chief Executives (CEs) and Chief Financial Officers (CFOs) of FMA Act bodies and Chairpersons and CFOs of CAC Act bodies. Content may include, for each position: an individual s name and title of position, telephone, fax, and postal address. The following agency employees have access to this information: certain officers of the Financial Framework Policy Branch, Commonwealth Financial Accountability Review project and Legislative Review Branch (of the Financial Framework Division) along with Accounting Policy Branch, Financial Reporting Branch and Cash Management Branch (of the Financial Reporting and Cash Management Division). Other employees within Finance may be given selected access on need-to-know basis. The records relate to approximately 450 CE, CFO and Chairperson contacts and are stored electronically. The information is not disclosed to persons outside government agencies. 6.3 CFO AND PRIME PROCUREMENT CONTACT DETAILS OF ALL FMA/CAC BODIES SUBJECT TO THE COMMONWEALTH PROCUREMENT GUIDELINES The purpose of this list is to provide Finance with contacts for the distribution of information relating to the Government s Procurement Framework. Classes of personal records 24