The Clean Energy Finance Corporation (CEFC) holds 10 classes of personal information, including one class of personnel records.

Transcription

1 Clean Energy Finance Corporation Agency Contact Details: Associate Director Corporate Affairs and Information Management Clean Energy Finance Corporation Suite 1702, 1 Bligh Street Sydney NSW 2000 The Clean Energy Finance Corporation (CEFC) holds 10 classes of personal information, including one class of personnel records. 1. Personnel Files See appendix 1 for a description of personnel records.

2 2. Personal Access Passes Name of the Records [IPP 5.3(a)]: Personal Access Passes Database Content of the Records [IPP 5.3(a)]: Content may include the full name and contact number of the pass holder. Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to maintain a database which is used to administer and record employee and contractor access to and from the premises and buildings occupied by the CEFC. 5.3(c)]: The personal information on these records relates to all Agency employees and most contractors. records are kept for an indefinite period of time. Manager - Telecommunications and IT; Manager - Human Resources; Office Manager; FOI Officer & Corporate General Counsel (in relation to FOI requests) Executive Officers. The Building Management of the buildings in which CEFC premises are located; Technicians of an external contracted security company on an as needs basis. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain information regarding access to personal information in this class of records by contacting the Office Manager on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: The records relate to approximately 64 individuals. electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets.

3 3. Anti-Money Laundering (AML) Records Name of the Records [IPP 5.3(a)]: AML Records. Content of the Records [IPP 5.3(a)]: Content may include: names, titles, occupation, addresses, phone numbers, date of birth, details of personal identification, documents used to verify personal details such as certified copies of passports, driver s licences and utility invoices. Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to maintain information and records required to satisfy the Know-Your-Customer anti-money laundering and counter-terrorism financing requirements associated with the CEFC s investment transactions as is required under the Anti-Money Laundering/ Counter- Terrorism Financing Act 2006 ( the AML/CTF Act ). There may be additional statutory requirements to retain the information (such as the Archives Act 1983 and the Commonwealth Authorities and Companies Act 1997). 5.3(c)]: The classes of people include persons who are a) borrowing or b) owners, agents, employees, directors, shareholders, nominees or parties otherwise associated with applicants for CEFC finance. records are kept for an indefinite period of time. Executive Officers; Board Secretariat; AML Compliance Group; FOI Officer & Corporate General Counsel (in relation to FOI requests) AUSTRAC Co-financiers Access for People to whom the Records Relate [IPP 5.3(f)]: Individuals can obtain information regarding access to personal information in this class of records by contacting the AML Officer on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: The records relate to approximately 35 individuals. electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets.

4 4. Board Member and CEO Records Name of the Records [IPP 5.3(a)]: Board Member and CEO Records Content of the Records [IPP 5.3(a)]: The content of these records is generally the same as that for Personnel Records at Appendix A. Note that Board Members and Chief Executive Officer are not staff but are separate statutory office holders under the Clean Energy Finance Corporation Act Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to comply with statutory and regulatory requirements in relation to the Board or its investment entities in addition to maintaining director service history and payroll and administrative information. 5.3(c)]: The class is limited to current and former members of the Board of the CEFC. records are kept for an indefinite period of time (NB - statutory minima may also apply under the Commonwealth Authorities and Companies Act 1997). CEFC Board Board Secretariat Executive Officers Finance and Payroll Manager - Human Resources Legal FOI Officer & Corporate General Counsel (in relation to FOI requests) External Human Resources Consultants (from time to time on an as required basis). Access for People to whom the Records Relate [IPP 5.3(f)]: Board Members have a statutory right of access conferred on them by section 27L of the Commonwealth Authorities and Companies Act 1997 and in addition have been afforded a deed of access by the Corporation. Statutory rights of access under the Freedom of Information Act 1982 may also apply. Other Matters: No. of Individuals about whom information is kept: 8 individuals. electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets.

5 5. Correspondence Name of the Records [IPP 5.3(a)]: Correspondence Content of the Records [IPP 5.3(a)]: There are two types of correspondence received by the CEFC: Finance-related and General: Finance-Related Correspondence relates to interest in CEFC finance for possible projects and finance partners and typically includes names, addresses, mobile and work phone numbers of applicants and/or their representatives; details of proposed projects and possibly other finance counterparty details. Details of proposals can include financial details, financial statements, financial models, credit assessments, credit references, details of contracts, corporate structures, asset holdings, valuations etc. General Correspondence Content may include: name, title, occupation, postal address, telephone number, , organisation, and the subject of the correspondence. Purpose of Retention [IPP 5.3(b)]: Finance-Related Correspondence is retained to assist the organisation to track individual investment applications and transactions in order to allow the Corporation to fulfil both its object and the investment function required of it under the Clean Energy Finance Corporation Act General Correspondence: the purpose of retaining these records is to monitor correspondence for the preparation of responses and follow-up action where necessary and for operational reference as required. There may be additional statutory requirements to retain the information (such as the Archives Act 1983 and the Commonwealth Authorities and Companies Act 1997). 5.3(c)]: Personal information relates to all people and organisations who have written to the CEFC (including contact by electronic format and finance applicants). records are kept for an indefinite period of time (NB - statutory minima may also apply under the Commonwealth Authorities and Companies Act 1997). All agency staff, CEO and Board Members have access to this information on an as needs basis. Commonwealth Ombudsman This information is not usually disclosed to other persons or organisations, but can be from time on an as needed basis (for example - referring a misdirected enquiry to another agency, or disclosure to counter parties or co-financiers (or prospective counter parties or co-financiers) with the permission of the principal. Access for People to whom the Records Relate [IPP 5.3(f)]: Finance-Related Correspondents: Approved individuals can obtain information regarding access to personal information in this class of records by contacting Director of Portfolio Management on General Correspondents: Approved individuals can obtain information regarding access to personal information in this class of records by contacting the Associate

6 Director Corporate Affairs and Information Management on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: Unknown, but estimated to be under 1,000 individuals. electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets.

7 6. Freedom of Information (FOI) Requests and Register Name of the Records [IPP 5.3(a)]: FOI Requests and Register Content of the Records [IPP 5.3(a)]: Content may include: name, postal address, telephone number, , organisation and occupation. Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to maintain a record of requests for access to documents under the Freedom of Information Act There may be additional statutory requirements to retain the information (such as the Archives Act 1983 and the Commonwealth Authorities and Companies Act 1997). 5.3(c)]: The personal information relates to persons seeking access to documents in the possession of the CEFC and, in some cases, other persons to whom the requested documents relate. 5.3(c)]: Applicants under the Freedom of Information Act records are kept for an indefinite period of time. Staff involved in processing Freedom of Information requests Executive Officers Board Members, CEO and Board Secretariat Corporate General Counsel Legal Office of the Australian Information Commissioner Commonwealth Ombudsman Any other Commonwealth agencies involved in the application as required by the FOI Act. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain information regarding access to personal information in this class of records by contacting the Associate Director Corporate Affairs and Information Management on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: Unknown but estimated to be less than 50 individuals. electronically in a password protected and limited access environment.

8 7. Media and Stakeholder Contacts Name of the Records [IPP 5.3(a)]: Media and Stakeholder Contacts Content of the Records [IPP 5.3(a)]: Content may include: name, title, occupation, postal address, telephone number, , and organisation. Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to allow key media and business stakeholder contacts to be notified via phone and of media release material during the announcement of CEFC specific news. 5.3(c)]: Media and stakeholders of the CEFC. records are kept for an indefinite period of time. Marketing and Communications Staff Corporate Affairs Staff Executive Officers Board Members, CEO and Board Secretariat Administrative Support Staff This information is not usually disclosed. Commonwealth Ombudsman. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain information regarding access to personal information in this class of records by contacting the Associate Director Corporate Affairs and Information Management on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: The records relate to approximately 1,500 individuals. electronically in a password protected and limited access environment.

9 8. Financial Management Records Name of the Records [IPP 5.3(a)]: Financial Management Records Content of the Records [IPP 5.3(a)]: given names, family names, address, contact phone numbers, address, drivers licence number, date of birth and bank account details. Purpose of Retention [IPP 5.3(b)]: The purpose of these records is to enable the payment of monies to suppliers, the reimbursement of funds to employees and for the collection of monies owed to the CEFC. 5.3(c)]: The personal information on these records relates to: Individuals transacting with the CEFC and CEFC employees. records are kept for an indefinite period of time. There may be additional statutory requirements to retain the information (such as the Commonwealth Authorities and Companies Act 1997). Finance Chief Financial Officer This information is not usually disclosed. ATO Commonwealth Ombudsman. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain information about accessing personal information in this class of records by: contacting the Chief Financial Officer on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: The records relate to approximately 65 individuals and individuals associated with some 300 different companies. electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets.

10 9. Brand Management Database Name of the Records [IPP 5.3(a)]: Brand Management Database Content of the Records [IPP 5.3(a)]: Content may include: subject of contact, name, title, company name, telephone numbers, , and occupation. Purpose of Retention [IPP 5.3(b)]: The purpose of retaining these records is to maintain a register of people to whom the CEFC has sent brand collateral such as the Corporate logo for their use as a branding tool. This enables the CEFC to maintain a record of who has access to CEFC brand collateral and allows the CEFC to update the contact person or provide them with amended collateral if required. 5.3(c)]: Business stakeholder contacts and commercial partners, and may also include conference/event organisers and journalists. records are kept for an indefinite period of time. Marketing and Communications Staff Chief Operating Officer This information is not usually disclosed. Commonwealth Ombudsman. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain access to their personal information by contacting the Director Communications and Marketing on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: Unknown estimated to be less than 500 individuals. electronically in a password protected and limited access environment.

11 10. imart Name of the Records [IPP 5.3(a)]: imart Content of the Records [IPP 5.3(a)]: Content may include: individuals name, company name, telephone numbers, , and occupation in addition to financial details, financial statements, financial models, credit assessments, credit references, details of contracts, corporate structures, asset holdings, valuations etc. Purpose of Retention [IPP 5.3(b)]: imart is a database that allows the CEFC organisation to track individual investment applications and transactions in order to allow the Corporation to fulfil both its object and the investment function required of it under the Clean Energy Finance Corporation Act (c)]: Business contacts, applicants, prospective applicants, finance recipients, commercial partners, referral partners, allied industries and government departments and authorities with a strong alignment to the CEFC s object and functions. Investment Team Portfolio Management Team Legal Finance Executive Officers Other staff from time to time on a need to know basis. This information is not usually disclosed, but parts may be disclosed to counter parties or co-financiers (or prospective counter parties or co-financiers) with the permission of the principal. ARENA Commonwealth Ombudsman. Access for People to whom the Records Relate [IPP 5.3(f)]: Approved individuals can obtain access to their personal information by contacting the Director Portfolio Management on Statutory rights of access under the Freedom of Information Act 1982 may apply. Other Matters: No. of Individuals about whom information is kept: This database relates to approximately 1500 records. There are an unknown number of individuals associated with those records. electronically in a password protected and limited access environment.

12 Appendix 1 Personnel 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 that agency. 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 an agency. 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) 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) records relating to personal welfare matters; (15) contracts and conditions of employment; (16) EEO Data; and (17) 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 relocation of staff and removals of personal effects; and (3) records relating to character checks and security clearances. 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. 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 and employment history.

13 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. The following agency staff have access to personnel records: executive and senior personnel management staff, Payroll Department, Office Manager and the individual to whom the record relates. The CEFC was established 3 August 2012 and stood up on 15 April 2013 and is still in the process of establishing and rolling out initial systems and processes to comply with disposal requirements under the Archives Act At present, and until an appropriate Records Disposal Authority is granted, the records are kept for an indefinite period of time. Information held in personnel records may be disclosed, as appropriate, to: Comcare, Commonwealth Medical Officers, Attorney-General's Department, Australian Public Service Commission, ComSuper and other superannuation administrators, Australian Taxation Office, and the receiving agency following movement or reengagement of an employee. Individuals can obtain information regarding access to their personal information by contacting the personnel section of the employing agency. Records relate to all current and former employees of an agency and are kept electronically in a password protected and limited access environment and in hard copy which are stored in locked cabinets. Location: Level 8, 140 Ann Street, Brisbane, Qld 4001.