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About ASIC

Privacy Collection Notice for ASIC's Employees and Contractors

The Australian Securities and Investments Commission (ASIC) collects personal information about both prospective and current employees and contractors (employees and contractors).

This Notice and the ASIC Privacy Policy (dated December 2017), in particular paragraphs 1 to 36, form the collection notice, in respect to the engagement, management and support of our employees and contractors, and is issued under Australian Privacy Principle 5.

For more information about how we store or secure collected personal information, or how you can access and correct and lodge complaints about the collected information, please read paragraphs 22 to 31 of the ASIC Privacy Policy located on this website: http://asic.gov.au/about-asic/dealing-with-asic/privacy/asic-privacy-policy/.

The terms 'personal information' and 'sensitive information' used in this Notice have the same meanings as they have under section 6 of the Privacy Act 1988 (Cth).

What we collect

We collect personal information about our employees and contractors, which includes:

  • name, address and contact details
  • information about your identity such as date and country of birth, passport, driver licence details and visa details
  • information about personal circumstances such as gender and marital status
  • financial information such as payment details, bank account details and information about business and financial interests including details of your trading in securities, shareholdings and interests in any superannuation funds
  • information about education and employment such as qualifications, applications for employment, work history and referees comments, or
  • Government identifiers such as your tax file number or Australian Business Number

We may also collect sensitive information including:

  • racial or ethnic background
  • health information such as any medical history, disability or injury
  • any criminal record, or
  • professional or trade associations.

Purposes of collecting your personal information

We only collect personal information from you that is reasonably necessary for, or directly related to, our functions or activities in engaging, managing and supporting our employees and contractors.

Without collecting personal information from our employees and contractors we cannot assess their suitability which could have an adverse effect on our engagement of employees and contractors and on us performing our functions.

Generally, we collect personal information from you to:

  • engage, manage and support your employment or contract
  • assess your suitability for employment
  • assess your ongoing suitability to hold and maintain a security clearance and to access Australian Government official resources, or
  • manage conflicts of interest, professional standards investigations and investigations into suspected misconduct by employees and contractors.

We collect sensitive information from you to ensure that we meet our obligations:

  • under the Public Service Act 1999 (PS Act) in relation to diversity, and
  •  for the security of individuals.

How we collect

Generally, we collect personal information directly from you or your authorised representatives. 

At times, we may also collect personal information from third parties including:

  • past and present employers and referees (if you do not consent to your current employer being contacted, please notify us with the reasons for the denial of consent)
  • other Australian, State or Territory Government entities in relation to any existing or previous employment and security clearances you held or hold
  • agencies, such as the Australian Electoral Commission (AEC), holding information about residential addresses
  • the Department of Immigration and Border Protection and the Department of Foreign Affairs and Trade to check any naturalisation and/or citizenship documents and international movements
  • other service providers, such as contracted vetting providers, medical practitioners or psychologists used during the assessment process
  • the Australian Federal Police (AFP) and other law enforcement agencies
  • the Australian Security Intelligence Organisation (ASIO)
  • State and Territory Registries of Births, Deaths and Marriages
  • Government agencies which have investigated any suspected breaches of law or Australian Government policy
  • financial institutions and financial vetting institutions
  • medical practitioners to clarify medical information, with your consent, or
  • other third parties relevant to assessing and monitoring your ongoing suitability for employment with ASIC and to hold and maintain a security clearance.

Use of information

We use your personal information for the purposes set out above. We may also use your personal information to investigate suspected breach of the law.

Disclosure to other bodies

We may disclose your personal information for the purposes for which we have collected the information. This may include disclosure to:

  • the Australian Government Security Vetting Agency (AGSVA), or any other vetting providers that we engage to conduct security or vetting assessments on our behalf
  • other service providers, such as contracted vetting providers, medical practitioners or psychologists, financial institutions and financial checking agencies used during the assessment process
  • educational institutions in relation to documentation
  • the Australian Tax Office which collects information from employers
  • the Department of Immigration and Border Protection, the Department of Foreign Affairs and Trade and ASIO to verify any naturalisation and/or citizenship documents and international movements
  • the AEC about residential addresses
  • your past, present and future employers including any organisations that you worked for as a contractor (if you do not consent to your current employer or contractor being contacted, please notify us with the reasons for the denial of consent)
  • your referees
  • State and Territory Registries of Births, Deaths and Marriages, or
  • any Government entities which have employed you or engaged you as a contractor

Limited amounts of your personal information may be disclosed to overseas recipients if you are required to access foreign government resources. The information that may be disclosed includes your clearance status, your full name and date of birth, and your position.

We may disclose your personal information where we are required or authorised by law. For example, we may disclose your personal information to:

  • an Australian court or tribunal
  • a Fair Work Inspector or a permit holder such as a union official that may be conducting an investigation into a suspected contravention of the law under the Fair Work Act 2009 (Cth)
  • the Australian Public Service Commission to fulfil its functions under the PS Act, which include, maintaining the APS Employment Database records pursuant to section 41(2)(c) of the PS Act, or to provide reports to the Parliament of Australia under section 44 of the PS Act about the APS, or
  • law enforcement agencies to investigate any suspected breaches of law.

We may also disclose your personal or sensitive information to a third party where:

  • you have consented to the disclosure
  • you would reasonably expect us to disclose the personal information, for example to a future employer in the context of providing a reference, or
  • we reasonably believe the disclosure is necessary for law enforcement activities.