Commonwealth Numbered Acts

DATA-MATCHING PROGRAM (ASSISTANCE AND TAX) ACT 1990 No. 20 of 1991 - SCHEDULE

                       SCHEDULE                         Section 12

DATA-MATCHING PROGRAM (ASSISTANCE AND TAX) GUIDELINES Scope of Operation 1.
These Guidelines apply to, and only to, the matching program referred to in
the Data-matching Program (Assistance and Tax) Act  1990 ("the Act").
Definitions 2.1 Any term used in these Guidelines has:

   (i)  where it is defined in the Act, that meaning; or

   (ii) where it is not defined in the Act but is defined in the
        Privacy Act 1988, that meaning. 2.2 In addition the following terms
        used in these Guidelines have the following meanings:

   (a)  "Program" refers to the data-matching program as defined in the Act;

   (b)  "Discrepancy" refers to a result of the program which warrants further
        action by any relevant data agency for the purposes of giving effect
        to the program;

   (c)  "action" refers to the actions set out in section 10 of the Act. Basis
        of Program 3.1 A program protocol must be prepared by the
        matching agency in consultation with the source agencies before 1
        April 1991 and must -

   (i)  identify the matching agency and the source agencies;

   (ii) in the case of each data agency, set out the legal basis for any
        collection, use or disclosure of personal information involved in the
        program;

   (iii) outline the objectives of the program, the procedures to be employed,
        the nature and frequency of the matching covered by the program, and
        the justifications for the program;

   (iv) explain what methods other than data-matching were available and why
        they were rejected;

   (v)  detail any cost/benefit analysis or other measures of effectiveness
        which were taken into account in deciding to initiate the program;

   (vi) outline the technical controls proposed to ensure data quality,
        integrity and security in the conduct of the program;

   (vii) provide an explanation for any use of identification numbers and, in
        particular, the tax file numbers;

   (viii) outline the nature of the action proposed to be taken in relation to
        the results of the program including the pro formas of any letters to
        be used by source agencies when providing notice under section 11 of
        the Act;

   (ix) indicate what form of notice, if any, of the proposed activities in
        relation to their personal information has been given or is intended
        to be given to affected individuals; and

   (x)  specify any time-limits on the conduct of the program.
The Program Protocol must be filed with the Privacy Commissioner and available
for public inspection unless the Privacy Commissioner is satisfied that to do
so would be or would be likely to be contrary to the public interest (e.g. by
prejudicing the integrity of legitimate investigative methods). 3.2 Agencies
must comply with the Program Protocol. 3.3 Source agencies must take all
reasonable steps to ensure that their clients are informed that a Program
Protocol which outlines the nature and purposes of the data-matching program
is available from the Privacy Commissioner. Technical Standards in relation to
data quality, integrity and security 4.1 Technical Standards Report: Detailed
technical standards must be established by the matching agency to govern the
conduct of the program. They should deal with the following matters:

   (i)  integrity of data supplied by source agencies, referring in particular
        to: key terms and their definition, relevance, timeliness and
        completeness;

   (ii) matching techniques, referring in particular to: the matching
        algorithm, any use of identification numbers especially tax
        file numbers, the nature of the matters being sought to be identified
        by the matching process, the relevant data definitions and the
        procedure for recognising matches;

   (iii) controls being employed to ensure the continued integrity of the
        program including the procedures that have been established to confirm
        the validity of matching results;

   (iv) security features included within the program to minimise and audit
        access to personal information. 4.2 These matters should be dealt with
        in a Technical Standards Report to be held by the matching agency and
        copies held by the source agencies. A draft Report must be finalised
        before 1 April 1991 and the final report before 1 July 1991, taking
        account of initial experience of the operation of the program. Any
        subsequent variations to the technical standards should be the subject
        of a Variation Report appended to the original Report. 4.3 The Privacy
        Commissioner has the power to require that the content of the draft
        and final Technical Standards Reports be varied. Non-compliance with
        the variations will be taken as a breach of the Guidelines and be
        subject to investigation in accordance with section 13 of the Act. 4.4
        Agencies must comply with the Technical Standards Report. Safeguards
        for individuals affected by the results of programs Fairness 5.1 The
        source agencies must establish reasonable procedures for confirming
        the validity of results before relying on them as a basis for
        administrative action against an individual, unless there are
        reasonable grounds to believe that such results are not likely to be
        in error. In forming that view, regard is to be had to the consistency
        in content and context of data being matched. 5.2 Where such
        confirmation procedures do not take the form of checking the results
        against the source data but instead involve direct communication with
        the affected individual, the source agency shall notify the affected
        individual that no check has been made against the records which
        formed the basis for the data supplied for the program. The
        notification must include (either in the letter or by way of an
        attachment) an explanation of the procedures that are involved in the
        examination of a discrepancy as well as the rights of complaint under
        the Privacy Act 1988. 5.3 If there is a dispute as to the accuracy of
        the data or the proposed action which the source agency does not
        concede, it must inform the individual of the rights of complaint
        conferred by the Privacy Act 1988. Any further action taken by the
        agency must, unless otherwise provided by law, not interfere with an
        individual's opportunity to exercise any rights of appeal or review.
        5.4 Wherever data supplied by a person prior to 1 January 1991, is to
        be used, or is likely to be used, in a data-matching program, the
        person who has supplied the data shall be notified in writing either
        before the data is first used or as soon as practicable thereafter
        that the data is likely to be used for this purpose. Record Controls
        6.1 No Discrepancy: Personal information used in a matching cycle that
        does not lead to a discrepancy must be destroyed by the
        matching agency as soon as is practicable after the beginning of Step
        5 in the cycle. In any case, destruction of the information must not
        occur later than 24 hours after the beginning of Step 5 of the cycle
        unless additional time is required because of a computer malfunction
        or industrial action. 6.2 Discrepancy: In cases where a discrepancy
        occurs as a result of Steps 1, 4 and 5 in a data-matching cycle, the
        results must be supplied to the relevant source agency within 7 days
        of completion of the relevant step. Source agencies must deal with the
        results in accordance with section 10 of the Act. If, during the
        period referred to in that section or at any later time, a decision
        not to take further action is made, wherever practicable the
        information must be destroyed within 14 days. 6.3 On final completion
        of the action commenced in accordance with section 10 (1) of the Act,
        all information which gave rise to such action is to be destroyed. For
        the purposes of this guideline "final completion of the action" means:

        (i)    in the situation where, at the expiration of twelve months from
               the commencement of action in accordance with section 10 (1),
               the case is under the control of the Australian Federal Police
               and is proceeding to the satisfaction of the source agency -
               when all investigation action, legal proceedings and repayment
               of debts due to the Commonwealth is finalised;

        (ii)   in the situation where, at the expiration of twelve months from
               the commencement of action in accordance with section 10 (1),
               the case is under the control of the Director of Public
               Prosecutions and is proceeding to the satisfaction of the
               source agency - when all legal proceedings and repayment of
               debts due to the Commonwealth are finalised;

        (iii)  in the situation where, at the expiration of twelve months from
               commencement of action in accordance with section 10 (1), a
               debt due to the Commonwealth remains outstanding and action is
               being taken to recover it - when the debt is fully recovered,
               waived or written off; and

        (iv)   in all other situations, within twelve months from the date of
               commencement of action in accordance with section 10 (1). No
               New Databank 7.1 Subject to paragraph 7.2 below, source
               agencies must not permit the information used in the program to
               be linked or merged in such a way that a new separate permanent
               register (or databank) of information is created about any, or
               all of the individuals whose information has been subject to
               the program. 7.2 Paragraph 7.1 does not prevent a source agency
               from maintaining a register of individuals in respect of whom
               further inquiries are warranted following the decision required
               by section 10 of the Act. 7.3 After the completion of action in
               relation to an individual that is taken in accordance with
               clause 10, the source agency must delete any information that
               relates to that action from any register of the type described
               in paragraph 7.2. Reports and Monitoring by the Privacy
               Commissioner 8. The Privacy Commissioner is to be responsible
               for monitoring the compliance with these Guidelines and giving
               advice to the relevant matching and source agencies as to their
               responsibilities under the Guidelines. 9. The matching and
               source agencies must report to the Privacy Commissioner on a
               periodic basis as agreed with the Privacy Commissioner. The
               Commissioner may require an agency to report on any relevant
               matter, including any of the following matters:

   (i)  actual costs and benefits flowing from the program;

   (ii) any non-financial factors that are considered relevant;

   (iii) difficulties in the operation of the program and how these have been
        overcome;

   (iv) the extent to which internal audits or other forms of assessment have
        been undertaken by agencies and their outcome;

   (v)  examples of circumstances in which the giving of notice under
        section 11 would prejudice the effectiveness of an investigation into
        the possible Commission of an offence; and

   (vi) such other matters as: the total number of matches undertaken, the
        proportion of matches that result in discrepancies, the number of
        discrepancies, proportion of discrepancies which resulted in action
        being taken, the number of instances of subsequent action being taken,
        the number of cases in which action proceeded despite a challenge as
        to the accuracy of the data, the proportion of discrepancies which did
        not proceed to action after the individual was contacted; and the
        number of cases where successful recovery action occurred. 10.1 The
        Privacy Commissioner must include in his annual report an assessment
        of the extent of the program's compliance with the Act, these
        Guidelines and the Privacy Act 1988; and to that end, may exercise any
        of the powers as to investigation and audit contained in the
        Privacy Act 1988. 10.2 Agencies must report their data-matching
        activities under this Act in their annual entry for the Personal
        Information Digest of the Privacy Commissioner. 11. These Guidelines
        are additional to provisions of the Privacy  Act 1988 including the
        Information Privacy Principles. 12. The matching agency and each
        source agency must table a comprehensive report in both Houses of
        Parliament six months after the commencement of the first
        data-matching cycle. These reports are to include all of the following
        details:

        (i)    actual cost and benefits flowing from the program;

        (ii)   any non-financial factors that are considered relevant;

        (iii)  difficulties in the operation of the program and how these have
               been overcome;

        (iv)   the extent to which internal audits or other forms of
assessment have been undertaken by agencies and their outcome; and    (v)
such other matters as: the total number of matches undertaken, the proportion
of matches that result in discrepancies, the number of discrepancies, the
proportion of discrepancies which resulted in action being taken, the number
of instances of subsequent action being taken, the number of cases in which
action proceeded despite a challenge as to the accuracy of the data, the
proportion of discrepancies which did not proceed to action after the
individual was contacted; and the number of cases where successful recovery
action occurred.