ANU's investments in nuclear weapons companies 2015-17

Angela Chen made this Freedom of Information request to Australian National University

The request was refused by Australian National University.

From: Angela Chen

Delivered

Dear Australian National University,

My FOI request earlier was withdrawn due to my 1 day late reply to your letter of acknowledgement sent on the 10th of March. This was due to some unforeseen technical difficulties regarding email sending, which has now been resolved. I am writing to you again to resubmit my previous revised FOI request under the Freedom of Information Act 1982.

I request access to financial reports or any other reports that contain numerical data for the period 1 January 2015 – 1 December 2017 that record the University’s purchase, sale or ownership of shares or funds (domestic or international) in the following companies:

1. Aecom
2. Aerojet Rocketdyne
3. Airbus Group
4. Babcock International
5. BAE Systems
6. Bechtel
7. Boeing
8. BWX Technologies
9. CH2M Hill
10. Charles Stark Draper Laboratory
11. Engility Holdings
12. European Aeronautic Defence & Space
13. General Dynamics
14. Goodrich Corporation
15. Fluor Corporation
16. Honeywell International
17. Huntington Ingalls Industries
18. ITT Corporation
19. Jacobs Engineering
20. Larsen & Toubro
21. Leonardo-Finmeccanica
22. Lockheed Martin
23. Moog Inc.
24. Northrop Grumman
25. Orbital ATK
26. Raytheon
27. Redhall Group
28. Rockwell Collins Inc
29. Rolls Royce Holdings
30. Safran
31. SAIC Inc
32. Serco Group
33. Textron
34. Thales
35. Thyssenkrupp
36. Walchandnagar Industries

Yours Sincerely,

Angela Chen

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Locutus Sum left an annotation ()

The applicant's earlier request is here https://www.righttoknow.org.au/request/a... .

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From: Angela Chen

Delivered

Dear Australian National University,

You will have accidentally received two identical requests from me within a very short space of time. Please note that the email from which I am now writing is the correct email address for the purposes of s 15(2)(c) of the Act.

Please disregard the other email address and the duplicate request.

Yours Sincerely,

Angela Chen

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From: University Records Manager
Australian National University


Attachment FOI No.201700015 Acknowledgement Charges AC.PDF.pdf
1.9M Download View as HTML


Dear Ms Chen,

 

Regarding your Freedom of Information (FOI) request received by the
University on 18 April 2017, please find attached our letter of
acknowledgement and charges.

 

Yours sincerely,

Sue Clarke

 

 

Sue Clarke

Information Governance and Access Officer

University Records

10A East Road

The Australian National University

Canberra ACT 2601

 

+61 2 6125 6430

[1][email address]

[2]http://universityrecords.anu.edu.au/

References

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1. mailto:[email address]
2. http://universityrecords.anu.edu.au/

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From: Angela Chen

Delivered

Dear Ms Clarke,

Please refer to my letter requesting to waive charges here: https://docs.google.com/document/d/1RZHx...

Please let me know if you would like this sent in another format.

If you have any things that you would like to be clarify, please don't hesitate to contact me.

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University


Attachment FOI No.201500015 FOI notice decision to waive charge.pdf
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Dear Ms Chen,

 

Please find attached our decision concerning your request for a waiver of
charges.

 

Yours sincerely,

Sue Clarke

 

 

Sue Clarke

Information Governance and Access Officer

University Records

10A East Road

The Australian National University

Canberra ACT 2601

 

+61 2 6125 6430

[1][email address]

[2]http://universityrecords.anu.edu.au/

 

 

References

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1. mailto:[email address]
2. http://universityrecords.anu.edu.au/

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From: Angela Chen

Delivered

Dear Ms Clarke and Mr Brumby,

Thank you so much for you email and accepting my request to waive charges. I look forward to hearing from you soon.

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University


Attachment FOI no.201700015 AC Decision letter.pdf
1.1M Download View as HTML


Dear Ms Chen,

 

Please find attached our decision concerning your Freedom of Information
request.

 

Yours sincerely,

Sue Clarke

 

 

Sue Clarke

Information Governance and Access Officer

University Records

10A East Road

The Australian National University

Canberra ACT 2601

 

+61 2 6125 6430

[1][email address]

[2]http://universityrecords.anu.edu.au/

 

References

Visible links
1. mailto:[email address]
2. http://universityrecords.anu.edu.au/

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From: Angela Chen

Delivered

Dear Ms Clarke,

I would like to note the receipt of Mr Brumby's decision letter and also seek further clarification as to whether the finding that there are "no documents relating to my request" is a formal notice that the ANU does not have holdings in the listed companies found in my FOI request.

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University

Dear Ms Chen

The decision letter provided to you by the University only relates to the subject of your FOI request No. 201700015.

Yours sincerely,

Sue Clarke
Information Governance and Access Officer
University Records
10A East Road
The Australian National University
Canberra ACT 2601

+61 2 6125 6430
[email address]
http://universityrecords.anu.edu.au/

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From: Angela Chen

Delivered

Dear Ms Clarke,

Can I make a request to revise my FOI request to remove the term "numerical reports" from the request to broaden the search to any reports that contain the name of any of the companies that I have listed in the request?

Yours sincerely,

Angela Chen

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Locutus Sum left an annotation ()

Ms Chen: Although your last email is about revising your request, for a simple adminstrative reason, I I suggest that you do something different. From my reading of the Act, your most recent email is effectively, a new request. There is no real mechanism in the Act to revise a request after a decision has been made. Yes, you can ask for a review but that would be on the terms of the original request and you already have a plain answer for that.

It is true that the Act also does not explain how one request must be distinguished from another of similar terms and the ANU officer could be very reasonable simply read your last email as a new request with words edited from the old request ... but I think that it is not the way that FOI officers like to work! I would like to suggest that you write to withdraw the "revision" request, and in the withdrawal email also to say that you will lodge a new request. On a new Right to Know page (new request), write a new email with a revised version of the old request. This way it will (a) be clear that the request is new, and therefore also has newly enlivened review rights, and (b) be clear exactly what the terms of the new request are.

I wish you "held og lykke".

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From: University Records Manager
Australian National University

Dear Ms Chen,

Thank you for your email.

As you have already been provided with a decision concerning your FOI request you will need to submit a new request if you wish to seek access to additional documents.

Yours sincerely,
Sue Clarke

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From: Angela Chen

Delivered

Dear Ms Clarke,

Thank you for clarifying that.

I would like to raise another issue.

Part 3.84 on on the OAIC website states that "The statement of reasons given to the applicant should sufficiently identify the document, explain why it cannot be found or is known not to exist or to be in the agency’s possession, describe the steps the agency took to search for the document, and note the limitations of any search." (https://www.oaic.gov.au/freedom-of-infor...

I believe that statement of reason for refusal in the decision letter that you sent me on the 22nd of May was not sufficient and I would like to get more information as to:

1) why documents pertaining to my request could not be found and;
2) whether my search for "financial reports or any other reports containing numerical data" limited this search and
3) what were the relevant areas of the University that were contacted and;
4) can you please expand and provide more detail as to the steps you took to search for relevant documents

Yours sincerely,

Angela Chen

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From: Angela Chen

Delivered

Dear Ms Clarke,

Just following up on my recent email to you. Is it possible if you could give me a response as soon as possible before the 22nd of June? I would like to know soon so can determine whether an internal review is necessary in this case.

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University

Dear Ms Chen,

Regarding the questions contained in your attached email message immediately below, I can provide you with the following information:

1) Why documents pertaining to your request could not be found

Our office contacted the University's Investment Office within the Division of Finance & Business Services who it was believed may hold documents relevant to your request. The Investment Office was unable to locate any documents related to the subject of your request.

2) Whether my search for "financial reports or any other reports containing numerical data" limited this search

Your request for "financial reports or any other reports containing numerical data" and other search criteria provided by you, such as date range and company names, formed the scope of the search undertaken for documents relevant to your request.

3) What were the relevant areas of the University that were contacted

The Investment Office within the Division of Finance & Business Services.

4) Can you please expand and provide more detail as to the steps you took to search for relevant documents

Our office took the following actions to search for documents relevant to your FOI request:
(i) Our office contacted the ANU Investment Office to determine if the ANU Investment Office held documents related to the subject of your request i.e. 'Financial reports or any other reports that contain numerical data for the period 1 January 2015 – 31 January 2017 that record the University’s purchase, sale or ownership of shares or funds (domestic or international)' regarding the list of companies you provided.
(ii) The ANU Investment Office advised that the records of the University Finance Committee or Investment Advisory Committee may contain documents related to the subject of your request.
(iii) Our office requested that the Investment Office conduct a search for documents related to the subject of your request.
(vii) The Investment Office performed a search for documents within the scope of your request and informed our office that they were unable to locate any documents related to the subject of your request.

Yours sincerely,
Sue Clarke

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From: Angela Chen

Delivered

Dear Ms Clarke,

Thank you so much for your email addressing my enquiries.

I would like to ask some more follow up questions to specify the information you have provided me.

1) Did the Investment Office, actually look at records of the University Finance Committee and Investment Advisory Committee?
2) Did the Investment Office, when they performed a search for documents relevant to my request, look at records from unit(s)in charge of external listed equity funds, unit(s) that manage the University’s Long Term Investment Pool and unit(s) that manage the University’s domestic and international investments?

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University

Dear Ms Chen,

Thank you for your email.

I will respond to your questions as soon as practicable.

Yours sincerely,
Sue Clarke

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From: Angela Chen

Delivered

Dear Ms Clarke,

Thank you for being so helpful!

Looking forward to hear from you soon - best before the 22nd of June.

Yours sincerely,

Angela Chen

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From: University Records Manager
Australian National University

Dear Ms Chen,

Regarding the questions contained in your attached email message immediately below, I can provide you with the following information:

1) Did the Investment Office, actually look at records of the University Finance Committee and Investment Advisory Committee?

The Investment Office reviewed all papers provided by the Investment Office to the Finance Committee, and the Investment Advisory Committee for the period 1 January 2015 to 1 January 2017.

2) Did the Investment Office, when they performed a search for documents relevant to my request, look at records from unit(s)in charge of external listed equity funds, unit(s) that manage the University’s Long Term Investment Pool and unit(s) that manage the University’s domestic and international investments?

All documents from all sources that were provided to the Finance Committee and Investment Advisory Committee were reviewed. To the best of our knowledge the Investment Office is the business unit that holds records relating to external listed equity funds, the management of the University’s Long Term Investment Pool and management of the University’s domestic and international investments.

Yours sincerely,
Sue Clarke

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