ASIC - SERC enforcement report reactions
Dear Australian Securities and Investments Commission,
May I please request:
- All emails sent by ASIC between 0000 1 July and 2359 5 July 2024, where:
- The author is an ASIC SES (or equivalent), including acting SES, and
- The email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
- The email was not sent outside the Commonwealth (that is, internal emails, or to other Commonwealth entities, or a minister/their office, are all included; emails to journalists, or companies (that are not CCEs), or private citizens are excluded)
Personal information of any SES or equivalent, including a/SES and SES at other departments, is included unless (1) it is sensitive personal information, or (2) it is a non-work contact detail (such as a mobile phone number where the employer didn’t provide the phone)
Duplicates are excluded - one email trail is sufficient if it has all the emails in scope
Attachments to emails, and other documents referred to in emails, are included
Third party personal information, apart from SES as above, is excluded except for first names
All emails domains (‘@asic.gov.au’) are included
All email addresses are included subject to the above. So positional emails and SES names included, other names excluded except first name
Yours faithfully,
Me
Dear Me
Thank you for the FOI request below received on 5 July 2024 (reference number 141-2024).
Please find attached correspondence of today's date.
Kind regards
Dr Rachel Ranjan
Senior Lawyer, FOI, Legal Services
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000
Tel: 9911 5841
Dear Rachel Ranjan,
Thanks for getting back to me
I don’t agree with your assessment. ICT should be able to conduct all the relevant searches. Further, ICT should be able to conduct key word searches across all relevant inboxes (not one at a time). The SES would only need to review documents that had been already compiled.
That doesn’t require no work, but it removes a core basis of your reasoning.
Nonetheless, I am happy to narrow the request to all SES Band 2s and above (incl a/SES)
Yours sincerely,
Me
Dear Me
Thank you for your email.
I have conducted inquiries with our People & Development team and have been informed that while ASIC does not use the APS band taxonomy, roles classified as APS SES Band 2 are generally similar to ASIC's Executive Director level roles.
I would be grateful for your confirmation of the following revised request:
- All emails sent by ASIC between 0000 1 July and 2359 5 July 2024, where:
- The author is an ASIC Executive Director (or equivalent), including acting Executive Director, and
- The email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
- The email was not sent outside the Commonwealth (that is, internal emails, or to other Commonwealth entities, or a minister/their office, are all included; emails to journalists, or companies (that are not CCEs), or private citizens are excluded)
Personal information of any Senior Executive Leader, Senior Executive Specialist or Executive Director or equivalent, including a/SES and SES at other departments, is included unless (1) it is sensitive personal information, or (2) it is a non-work contact detail (such as a mobile phone number where the employer didn’t provide the phone)
Duplicates are excluded - one email trail is sufficient if it has all the emails in scope
Attachments to emails, and other documents referred to in emails, are included
Third party personal information, apart from Senior Executive Leader, Senior Executive Specialist or Executive Director and SES as above, is excluded except for first names
All emails domains (‘@asic.gov.au’) are included
All email addresses are included subject to the above. So positional emails and Senior Executive Leader, Senior Executive Specialist or Executive Director and SES names included, other names excluded except first name
Kind regards
Dr Rachel Ranjan
Senior Lawyer, FOI, Legal Services
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000
Tel: 9911 5841
Dear Me
Please find attached a decision of today's date.
Kind regards
Dr Rachel Ranjan
Senior Lawyer, FOI, Legal Services
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000
Tel: 9911 5841
Dear Australian Securities and Investments Commission,
Please pass this on to the person who conducts Freedom of Information reviews.
I am writing to request an internal review of Australian Securities and Investments Commission's handling of my FOI request 'ASIC - SERC enforcement report reactions'.
Hi - decision pretty good, and timely, thank you. One point of internal review. Section 22 seems to be overused? I get it for third party information. However, it seems unlikely that entire pages are third party information. And/or, that whole pages of an email that is in scope are themselves outside of scope. They would at least, in part, be context for the email that is in scope? For example, pages 1-3 seem unlikely to be totally irrelevant to the SERC inquiry
Thanks
A full history of my FOI request and all correspondence is available on the Internet at this address: https://www.righttoknow.org.au/request/a...
Yours faithfully,
Me
Dear "Me"
I refer to your email below, in which you request an internal review under the Freedom of Information Act 1982 (Cth) (FOI Act). I advise that I have been assigned to conduct the internal review.
The 30 day statutory time period for processing your internal review application commences on the day after the day on which your application was received (s 54C(3) of the FOI Act). The due date to issue a decision on your request is therefore 16 September 2024. You should therefore expect a decision by this date.
Kind regards,
Haydar Tuncer
Acting Senior Manager - Freedom of Information
Legal Services
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 4416
[email address]
Dear "Me",
Please find attached my decision in relation to your internal review request, together with the additional material released pursuant to the decision.
Kind regards,
Haydar Tuncer
Acting Senior Manager - Freedom of Information
Legal Services
Australian Securities and Investments Commission
Level 7, 120 Collins Street, Melbourne, 3000
Tel: +61 3 9280 4416
[email address]