Personal information digest

Contents

  1. Personnel and contractor records
  2. Personnel security records
  3. AUSTRAC Online (AO)
  4. AUSTRAC E-news
  5. AUSTRAC publications contact lists
  6. AUSTRAC AML/CTF Rules notification emails
  7. AUSTRAC International Technical Assistance and Training initiatives (TA&T)
  8. AUSTRAC international visits programs
  9. AUSTRAC Relationship Management System (ARMS)
  10. AUSTRAC travel arrangements
  11. Enterprise Connect (EC) and Information Management File Index (IMFI)
  12. Media contacts
  13. Transaction Reports, Analysis and Query (TRAQ)
  14. TRAQ enquiry system, access and training forms
  15. Partner agency intelligence reports disseminated to AUSTRAC
  16. Methodology records

Sixteen classes of personal information are held by this agency. Included in this total are two classes of Personnel Records identified as:

1. Personnel and contractor records

See Appendix 1

2. Personnel security records

See Appendix 1

Back to top


3. AUSTRAC Online (AO)

The purpose of these records is to assist businesses in their role as 'reporting entities' (REs) to provide and receive information about their regulatory and reporting obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act), or cash dealers under the Financial Transaction Reports Act 1988 (FTR Act).

Content may include: REs' business and trading names, business addresses, business employees' names and contact details, business structure, Australian registration or licensing details such as Australian Business Numbers (ABNs), agents' names and addresses (if applicable). REs without internet access provide information on paper which is subsequently entered into the AO system. Other information held on REs in the AO system also includes details of providers of designated remittance services (PoDRS)/the Remittance Sector Register information and also the Reporting Entities Roll information which may include residential addresses, contact phone number and birth dates of proprietors.

The personal information on these records relates to: REs' employees who nominate as the contact for a business; agents' names and addresses; Remittance Sector Register details which may include residential addresses, contact phone numbers and birth dates of proprietors.

These records are stored on computer and paper media and, according to AUSTRAC's Records Disposal Authority issued by the National Archives of Australia, are kept for a minimum of 8 years.

The following agency staff has access to this information: Chief Executive Officer; Executive General Managers; General Managers; and relevant staff in the Operations and Corporate Divisions.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


4. AUSTRAC E-news

The purpose of these records is to record personal details of subscribers to a monthly AUSTRAC email newsletter. This process is managed by AUSTRAC and its external service provider.

Content includes: first name; surname; email address; and the industry that the individual is concerned with.

The personal information on these records generally relates to individuals who are interested in AUSTRAC and anti-money laundering and counter-terrorism financing legislation and issues.

The records are kept permanently, or for as long as AUSTRAC produces this email newsletter.

AUSTRAC's Communications and Products officers and staff from the external service provider have access to these records. The external service provider is contractually bound to keep this information confidential and comply with the Australian Privacy Principles.

This information is not disclosed to other persons or organisations.

The records relate to around 4,000 individuals and are kept on an electronic database.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


5. AUSTRAC publications contact lists

The purpose of these records is to record personal details of intended recipients of AUSTRAC publications, particularly the AUSTRAC annual report, the AUSTRAC typologies and case studies report, and the Money Laundering in Australia 2011 report and National Threat Assessment on money laundering to enable the publications to be distributed to external stakeholders.

The contact lists typically includes the recipient's name, place of work, work role title, and work address.

There is no sensitive content included.

The personal information on these records generally relates to stakeholder individuals who are interested in AUSTRAC and anti-money laundering and counter-terrorism financing issues.

Information for the records is provided by various business units and collated by Communications and Products for the purpose of the distribution.

The following people have access to the full list of this personal information: Chief Executive Officer; Executive General Managers; Communications and Products; and staff from specific business units who provided specific information for the list.

The records are stored permanently to ensure AUSTRAC is able to keep track of names included on the mail-out list from year to year.

This information is not disclosed to other persons or organisations.

The records relate to around 170 individuals and are stored electronically.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


6. AUSTRAC AML/CTF Rules notification emails

The purpose of these records is to record email addresses of subscribers to an AUSTRAC email distribution list. This process is managed by the AUSTRAC Rules team.

The personal information on these records relates to individuals who are interested in AUSTRAC and AML/CTF Rules, including draft Rules released for public comment, and who have specifically requested that they be included on the list. They include representatives of industry associations, individual reporting entities, government agencies and individuals.

The records will be kept for as long as AUSTRAC produces the email notification.

Only the Rules Team has access to these records.

This information is not disclosed to other persons or organisations outside AUSTRAC.

The records relate to around 110 individuals and are kept on an electronic database.

Individuals are removed from the email list on request, with no record being kept of their listing on the distribution list. These requests can be made via email to aml_ctf_rules@austrac.gov.au or by oral communication.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


7. AUSTRAC International Technical Assistance and Training initiatives (TA&T)

The purpose of these records is to record details of international delegates attending an International Technical Assistance and Training (TA&T) initiative in order to assist with the administrative and logistical coordination of the event and meet the required outcomes of International TA&T programs as set down in the Record of Understanding between AUSTRAC and the funding agency.

Content may include: name; gender; date of birth; contact details; name of employer; position of employment; next of kin full name and contact details; multimedia video footage of an event; and photographic images of delegates.

Sensitive content may include: passport number; scan of passport details page; personal bank account details; medical conditions; and dietary requirements.

The personal information on these records relates to delegates attending an International TA&T workshop or other initiative that has been held in the past or will be held in the near future, including AUSTRAC staff, staff of International TA&T counterpart financial intelligence units, staff of International TA&T counterpart jurisdiction supervisory bodies, staff of International TA&T counterpart jurisdiction law enforcement agencies.

The following staff have access to this personal information: Chief Executive Officer; Executive General Managers; General Managers; and relevant staff in the Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch.

The records are kept for a period between five and ten years in accordance with AUSTRAC's Records Disposal Authority.

Some of the general content of this information is disclosed to the Australian Government agency funding the International TA&T program under which the particular initiative has taken place. The sensitive content of this information is not disclosed to other persons or organisations without prior consent/notification.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

The records are kept on the AUSTRAC Enterprise Connect (EC) information management system.

Back to top


8. AUSTRAC international visits programs

The purpose of collecting personal details of domestic and international delegates either attending an AUSTRAC visit program or forming part of a multilateral meeting delegation is to assist with the administrative and logistical coordination of the event.

Content may include: name; gender; contact details; name of employer; position of employment; and commemorative photographic images of delegates.

Sensitive content may include: security clearance level.

The following staff have access to this personal information: Chief Executive Officer; Executive General Managers; General Managers; and as relevant, staff in the Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch. The records are kept for a period between five and ten years in accordance with AUSTRAC's Records Disposal Authority.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

The records are kept on the AUSTRAC EC and the AUSTRAC Information Management System (AIMS).

Back to top


9. AUSTRAC Relationship Management System (ARMS)

The purpose of the records held in ARMS is to enable AUSTRAC staff to more efficiently regulate businesses (either bodies corporate, government bodies or natural persons) referred to in the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act) as 'reporting entities' (REs).

ARMS is not only a database of REs, it is a case management repository where all interactions between AUSTRAC and REs are stored. The types of interactions that may be found on this system are, campaign notifications (mail outs or other broadcast messages), regulatory assessments, phone inquiries and any correspondence, whether via email or post.

AUSTRAC commenced using ARMS on 16 May 2011. Information in the ARMS database comes from the AUSTRAC Online system.

Data in ARMS includes REs' and prospective REs' business and trading names, business addresses, business employees' names and contact details, business structure, Australian registration or licensing details such as Australian Business Numbers (ABNs), agents' names and addresses (if applicable). Other information held on REs in the ARMS system includes details of providers of designated remittance services (PoDRS), the Remittance Sector Register information and also the Reporting Entities Roll information which may include residential addresses, contact phone number and birth dates of proprietors.

The personal information on these records relates to: REs who are natural persons, employees of REs who nominate as the contact for a business; agents' names and addresses. PoDRS' details include residential addresses, contact phone numbers and birth dates of proprietors.

These records are stored on computer and paper media and, according to AUSTRAC's Records Disposal Authority issued by the National Archives of Australia, are kept for a minimum of 8 years.

The following agency staff have access to this information, Chief Executive Officer; Executive General Managers, General Managers, and relevant staff in the Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


10. AUSTRAC travel arrangements

The purpose of these records is to arrange and record details of AUSTRAC staff who undertake travel as part of their official duties.

Content may include: full passport name; gender; date of birth; contact details; marital status; spouse and or next of kin full name; and contact details.

Sensitive content may include: official passport number, scan of passport details page.

The personal information on these records relates to AUSTRAC staff who undertakes domestic and international travel as part of their official duties.

The following staff have access to this personal information: Chief Executive Officer; Executive General Managers; General Managers; and relevant staff in the Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch. The records are kept for a period between two and ten years in accordance with AUSTRAC's Records Disposal Authority.

This information is not disclosed to other persons or organisations without prior consent/notification.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


11. Enterprise Connect (EC) and Information Management File Index (IMFI)

The purpose of these records is to retain and provide storage of records created as part of AUSTRAC's business activities. EC and IMFI are the two record keeping systems utilised by AUSTRAC. Unstructured records include MS Word, Excel, PowerPoint and MS Outlook email. IMFI contains a register of hardcopy files within the agency. EC is integrated with AUSTRAC's major desktop applications and consists of a user interface, a central database and an electronic file store. Information (metadata) about unstructured records is contained in the central database; electronic unstructured data is stored in the file store.

Content may include: name, gender, contact details, name of employer, position of employment and details relating to performance of AUSTRAC functions.

EC is a store that contains electronic records. Electronic records may be of any type, e.g. Microsoft Office applications, jpg, pdf, rtf. Records are also maintained on paper files.

The personal information contained in these records relates to individuals and AUSTRAC employees in relation to AUSTRAC's business activities.

Disposal action for records held within AUSTRAC is in accordance with the Agency's Functional Records Disposal Authorities and the National Archives of Australia Administrative Functional Disposal Authority (AFDA).

Within strict security access controls, EC allows all authorised employees to access and search unstructured electronic information, held as records by AUSTRAC.

The records are kept in an ongoing business record and updated.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


12. Media contacts

The purpose of these records is to record personal details of media contacts and other individuals who have requested to receive AUSTRAC media releases.

Content may include: first name, surname, job title, organisation, address, email address, phone number, fax number and website.

The personal information on these records generally relates to individuals who are interested in media statements about AUSTRAC and anti-money laundering and counter-terrorism financing legislation and issues.

The records are kept permanently.

The following staff have access to this personal information: Chief Executive Officer; Executive General Managers; General Managers; and relevant staff in Stakeholder Relations, Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch. This information is not disclosed to other persons or organisations.

The records relate to around 230 individuals and are kept on an electronic database.

Back to top


13. Transaction Reports, Analysis and Query (TRAQ)

The purpose of these records is to provide for the retention, compilation, analysis and dissemination of financial reports information collected pursuant to the provisions of the Financial Transaction Reports Act 1988 (FTR Act) and the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act).

Content may include: name, address, date of birth, occupation and identification particulars. Sensitive content may include financial information.

The personal information on these records relates to persons involved in a transaction with a Cash Dealer (as defined in the FTR Act) or a Reporting Entity (as defined in the AML/CTF Act) that must be reported to AUSTRAC. This includes reports on significant cash transactions within Australia; international funds transfer instructions, suspect transactions, threshold transactions and suspicious matters. AUSTRAC also receives reports of cross-border movement of physical currency from persons carrying $10,000 or more in physical currency into or out of Australia and reports of movements of bearer negotiable instruments into or out of Australia when requested.

These records are stored on computer and paper media and, according to AUSTRAC's Records Disposal Authority, are kept for a minimum of 8 years.

The following staff have access to this information: Chief Executive Officer; Executive General Managers; General Managers; and relevant staff in the Compliance, Intelligence and Operations Support Branches, Corporate Branch, and Information Technology Branch. In accordance with the AML/CTF Act and individual Memoranda of Understanding, designated agencies under the AML/CTF Act have access to this information. Lists of these agencies are available on the Our partners page of the AUSTRAC website.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


14. TRAQ enquiry system, access and training forms

The purpose of these records is for officers of AUSTRAC and Designated Agencies to apply for access to the TRAQ (Transaction Reports, Analysis and Query) Enquiry System (TES), the tool developed for users to directly interrogate AUSTRAC's database within the course of their duties.

Content may include: account, name, address, occupation, Agency/Department, contact details, identification particulars and details of the authorising officer(s).

The records are stored on electronic and paper media, updated as required and kept permanently.

The following relevant staff have access to this personal information: Chief Executive Officer; General Managers; and relevant staff in the Information Technology Branch, Compliance, Intelligence and Operations Support Branches.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


15. Partner agency intelligence reports disseminated to AUSTRAC

The purpose of these records is to provide AUSTRAC and other partner agencies with information on, and analysis of, current criminal activities.

Content may include name, address, date of birth, occupation and other identification particulars. Sensitive content may include AUSTRAC information. Not all records held include personal information. A majority of the records only include high level, aggregated information.

The personal information on these records relates to individuals of interest to AUSTRAC partner agencies.

The following AUSTRAC staff have access to this information: Chief Executive Officer; Executive General Managers; General Managers; Intelligence Branch business units; and relevant staff in the Information Technology branch and Compliance, Intelligence and Operations Support Branches.

The records are kept in electronic form in a specified folder in EC. Records are stored permanently to ensure AUSTRAC is able to refer to them as required.

The personal information contained in these records should not be disclosed to other persons or organisations.

Individuals will need to contact the originating partner agency to access personal information in this class of records.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


16. Methodology records

The purpose of these records is to provide AUSTRAC staff with current information on money laundering and terrorism financing methodologies.

Content may include name, address, date of birth, occupation and other identification particulars. Sensitive content may include financial information.

The personal information on these records relates to individuals of interest to AUSTRAC partner agencies. Information is obtained from AUSTRAC partner agencies.

The following AUSTRAC staff have access to this information: Chief Executive Officer; Executive General Managers; General Managers; Intelligence Branch business units; and relevant staff in the Information Technology branch.

The records are kept in electronic form in AUSTRAC's database and sanitised case studies are kept in a specified folder in EC which is locked down so that only relevant staff have access. Records are stored permanently to ensure AUSTRAC is able to refer to them as required.

The personal information contained in these records is disclosed to relevant partner agencies to assist the case study approval process.

Individuals will need to contact the originating partner agency to access personal information in this class of records.

Individuals can request access to their personal information held by AUSTRAC under the provisions of the Freedom of Information Act 1982 (FOI Act) by contacting the FOI Contact Officer on (02) 6120 2631, by post to PO Box 5516, West Chatswood NSW 1515 or via email at INFO_ACCESS@austrac.gov.au.

Back to top


Appendix 1 - Personnel, contractor and security records

Due to the commonality of these classes of records between agencies, they have been grouped in one entry. This necessarily reduces the amount of detail provided. Current and former employees can obtain details of specific agency record handling practices by contacting personnel staff in AUSTRAC.

It should not be assumed that all records described are kept in a common storage facility. Separate security arrangements will typically apply, depending on the sensitivity of the information.

The purpose of these records is to maintain employment history and payroll and administrative information relating to all permanent, contract and temporary staff members and employees of AUSTRAC.

Personnel and payroll

The records may include any one or more of the following:

  1. records relating to attendance and overtime;
  2. leave applications and approvals;
  3. medical and dental 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, etc;
  9. completed questionnaires and personnel survey forms;
  10. records relating to personal welfare matters;
  11. contracts and conditions of employment;
  12. EEO Data; and
  13. next of kin details.

Recruitment

The records may include any one or more of the following:

  1. recruitment records and dossiers;
  2. records relating to character checks and security clearances.

Contracts Register/Commercial Arrangements:

The records may include any one or more of the following:

  1. details of contractor staff provided by contracted entities;
  2. contact and AUSTRAC action officers names;

Other

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 staff and establishment records as appropriate;
  5. complaints and grievances; and
  6. recommendations for honours and awards
  7. records relating to training and studies assistance.

The 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, employment history, and details of training, development and study.

Personnel records may include information which employees may consider sensitive such as: 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 staff members and employees including contract and temporary staff.

Records relating to AUSTRAC staff personal development and training are located in the Managed Learning System (MeLS) and EC.

Personal information may be obtained from staff to access information systems from other agencies. This information is passed on to the other agency for processing. Hard copies kept by AUSTRAC are destroyed. Soft copies are held in accordance with AUSTRAC's Privacy Policy.

The following agency staff may have access to personnel records: Chief Executive Officer, Executive General Managers; senior personnel management staff; supervisors; and members of selection committees (if appropriate); the individual to whom the record relates; and (as appropriate) personnel staff, security officers and case managers.

Personnel records are kept according to the applicable provisions of the General Disposal Authority for staff 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; Australian Public Service Commission; ComSuper and other superannuation administrators; Australian Taxation Office; Australian Government Security Vetting Agency (AGSVA); Australian Security Intelligence Organisation (ASIO); Australian Federal Police (AFP) Australian Commission for Law Enforcement Integrity (ACLEI); and the receiving agency following movement or re-engagement of an employee.

Individuals can obtain information regarding access to their personal information by contacting the Employment Conditions and Services or Workforce Capability and Performance sections of AUSTRAC. If the individual is dissatisfied with the information received from personnel section then the documents may be obtained under section 15A of the FOI Act.

Records relate to all current and former employees of the agency and are stored on paper, microfiche and electronic media.

Back to top

Last modified: 18/11/2014 13:00