Dear Australian National University,

On behalf of the International Campaign to Abolish Nuclear Weapons Australia, I am writing to request information under the Freedom of Information Act 1982.

I would like to request all documents held by the University that contains information of:

1) the University’s purchase, sale or ownership of shares or funds (domestic or international) in any company that is directly involved in the nuclear arsenal industry; including but not exclusively:

a. Aecom
b. Aerojet Rocketdyne
c. Airbus Group
d. Babcock International
e. BAE Systems
f. Bechtel
g. Boeing
h. BWX Technologies
i. CH2M Hill
j. Charles Stark Draper Laboratory
k. Engility Holdings
l. European Aeronautic Defence & Space
m. General Dynamics
n. Goodrich Corporation
o. Fluor Corporation
p. Honeywell International
q. Huntington Ingalls Industries
r. ITT Corporation
s. Jacobs Engineering
t. Larsen & Toubro
u. Leonardo-Finmeccanica
v. Lockheed Martin
w. Moog Inc.
x. Northrop Grumman
y. Orbital ATK
z. Raytheon
aa. Redhall Group
bb. Rockwell Collins Inc
cc. Rolls Royce Holdings
dd. Safran
ee. SAIC Inc
ff. Serco Group
gg. Textron
hh. Thales
ii. Thyssenkrupp
jj. Walchandnagar Industries

2) the University’s investments in any company which is directly involved in the nuclear arsenal industry under external listed equity funds.

Please take each request as an individual request and limit the search of the above documents to the period between 1/1/2010 and 1/1/2017.

If clarification is required for any of the above individual requests, please advise me. Furthermore, if any of this information is already in the public domain, please direct me to it, with page references and URLs if necessary.

I look forward to hearing from you.

Yours Sincerely,

Angela Chen

Dear Mr Brumby,

Thank you for your quick reply and action to seek further clarification on this FOI request.

1. clarify what you mean by "directly involved in" and "nuclear arsenal industry"

By “directly involved in”, I mean that the company is “directly involved” in the development, testing, production, maintenance or trade of nuclear weapons related technology, parts, products or services.

By “nuclear arsenal industry”, I mean an industry that specifically develops nuclear warheads or delivery systems (missiles, rockets, missile torpedo launch installations, etc) for nuclear tasks. This includes technology that is designed for ‘dual use’ (military and civilian) but excludes technology that is not designed for, but can be used in nuclear warfare. It does not include delivery platforms (submarines, bombers, fighter planes, etc).

2. is the "ownership of shares" only limited to a document recording the shares owned by the University that are relevant to your request

Yes, the “ownership of shares” is limited to documents that record shares of companies directly involved in the nuclear arsenal industry that is owned by the University.

3. identify the units of the University who may hold documents relevant to your enquiry

I regret that I am not able to identify the specific units of the University that may hold documents relevant to our request. In saying this:

• the investment advisory committee;
• unit(s) that are 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

may hold documents relevant to my enquiry.

4. identify the type of documents you are requesting access to, such as specific types of reports

ICAN would like access to any financial reports that record the University’s purchase, sale or ownership of shares or funds (whether domestic or international) in any company that is directly involved in the nuclear arsenal industry.

ICAN would also like to attain operational information on these financial reports and any investments the University relevant to my request.

5. provide an inclusive list of companies that the University may have investments in that relate to your request

I have provided a comprehensive list of companies discovered in the 2016 Don’t Bank on the Bomb Report that the University may have investments in. This list also defines “any company which is directly involved in the nuclear arsenal industry” in my second request. Please use the list provided in this FOI request as the main guidance to your search.

The purpose of “including but not exclusively” is to cover for any other company not known to ICAN to be directly involved in the nuclear arsenal industry.

6. limit the time frame of you request to a two year period

ICAN understands that the retrieval of documents within a seven-year time period is a voluminous request. In compromising, ICAN will limit the time frame of the request to 1/1/15 to 1/1/17.

Yours Sincerely,

Angela Chen

Dear Mr Brumby,

My response to your most recent email is addressed below.

1. In compromising, ICAN will limit “any company” to the inclusive list of companies provided in my first request. Please use this inclusive list of companies to conduct your search for documents relevant to request.

2. With my request to “operational information” pursuant to s. 8A of the FOI Act, I would like to cancel that request and limit the scope of “documents” to financial reports or any other reports that contain numerical data.

To re-clarify the type of documents I am requesting access to, I note that this is limited to:

(a) financial reports or any other reports that contain numerical data of the University’s purchase, sale or ownership of shares or funds (whether domestic or international) in companies (named in the inclusive list provided), that is directly involved in the nuclear arsenal industry.

3. In attempt to streamline and reduce the wide scope of my original request, I would also like to formally cancel my second request as there is an overlap with the first request.

In your last email, you have requested that I provide you with a refined request that incorporates the clarifications we have provided for each other. The below request also includes the alterations I have specified above.

Refined request:

***

“On behalf of the International Campaign to Abolish Nuclear Weapons Australia, I am writing to request information under the Freedom of Information Act 1982.

I would like to request all documents held by the University that contains information of:

1) the University’s purchase, sale or ownership of shares or funds (domestic or international) in companies that is directly involved in the nuclear arsenal industry; this is exclusive of;

a. Aecom
b. Aerojet Rocketdyne
c. Airbus Group
d. Babcock International
e. BAE Systems
f. Bechtel
g. Boeing
h. BWX Technologies
i. CH2M Hill
j. Charles Stark Draper Laboratory
k. Engility Holdings
l. European Aeronautic Defence & Space
m. General Dynamics
n. Goodrich Corporation
o. Fluor Corporation
p. Honeywell International
q. Huntington Ingalls Industries
r. ITT Corporation
s. Jacobs Engineering
t. Larsen & Toubro
u. Leonardo-Finmeccanica
v. Lockheed Martin
w. Moog Inc.
x. Northrop Grumman
y. Orbital ATK
z. Raytheon
aa. Redhall Group
bb. Rockwell Collins Inc
cc. Rolls Royce Holdings
dd. Safran
ee. SAIC Inc
ff. Serco Group
gg. Textron
hh. Thales
ii. Thyssenkrupp
jj. Walchandnagar Industries

FURTHER CLARIFICATION OF THE ABOVE REQUESTS:

1) DEFINITION OF “DIRECTLY INVOLVED”

By companies “directly involved” in the nuclear arsenal industry, this points to any company directly involved in the development, testing, production, maintenance or trade of nuclear weapons related technology, parts, products or services.

2) DEFINITION OF “NUCLEAR ARSENAL INDUSTRY”

By “nuclear arsenal industry”, I mean an industry that specifically develops nuclear warheads or delivery systems (missiles, rockets, missile torpedo launch installations, etc) for nuclear tasks. This includes technology that is designed for ‘dual use’ (military and civilian) but excludes technology that is not designed for, but can be used in nuclear warfare. It does not include delivery platforms (submarines, bombers, fighter planes, etc).

3) DEFINITION OF “OWNERSHIP OF SHARES”:

‘Ownership of shares” is limited to documents that record shares of companies directly involved in the nuclear arsenal industry that is owned by the University.

4) UNITS THAT THE UNIVERSITY MAY HOLD DOCUMENTS RELEVANT TO MY REQUEST:

I regret that I am not able to identify the specific units of the University that may hold documents relevant to our request. In saying this:

(a) the investment advisory committee;
(b) unit(s) that manage external listed equity funds including but not exclusive to: the Platinum International Fund (managed by Platinum Asset Management), Templeton World Fund (managed by Franklin Templeton Institutional) and Perennial Global Shares High Alpha Trust;
(c) unit(s) that manage the University’s Long Term Investment Pool and;
(d) unit(s) that manage the University’s domestic and international investment.

may hold documents relevant to my enquiry. Please note that this list is not inclusive.

5) TYPES OF DOCUMENTS I AM REQUESTING ACCESS TO:

ICAN would like to gain access to ONLY:

(a) financial reports or any other reports that contain numerical data that record the University’s purchase, sale or ownership of shares or funds (whether domestic or international) in companies (mentioned in the inclusive list provided) directly involved in the nuclear arsenal industry and;

6) TIME-FRAME OF REQUEST:

Please limit the search of the above documents to the period between 1/1/2015 and 1/1/2017. "

***
Finally, I acknowledge that information provided by me about why ICAN or I are making this FOI request to the University is not required under the FOI Act (1982) and will not be considered during the processing of my request and will be irrelevant to the making of any decisions concerning my request.

If further clarification is required, please advise me and I will try to get back to you as soon as possible.

Yours sincerely,

Angela Chen

Dear Mr Brumby,

Thank you for your quick reply.

My response to your most recent email is addressed below.

1) I accept that information about the companies I have listed may cause uncertainty. To streamline the request, I want to alter my request to read:

“On behalf of the International Campaign to Abolish Nuclear Weapons Australia, I am writing to request information 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"

2) I accept that mentioning ICAN may create some ambiguities as to who is requesting access to documents under the FOI Act so I will be using “I” throughout the remainder of my correspondence with you.

You also state that Section 5 of the FOI Act does not allow an organization to make an FOI request. Firstly there is nothing in s. 5 that suggests this. Secondly, I would like to clarify that it is not the organization that is making the FOI request but rather I, on behalf of ICAN Australia, is forwarding this request.

An FOI request can be made on behalf of another person as acknowledged in s 29 (5)(a) of the FOI Act which mentions that the “financial hardship to the applicant, or to a person on whose behalf the application was made”
must be taken into consideration when payment of charge is determined.

‘Person’ is defined by s 2C (1) of the Acts Interpretation Act 1901 to be:

(1) In any Act, expressions used to denote persons generally (such as "person", "party", "someone", "anyone", "no-one", "one", "another" and "whoever"), include a body politic or corporate as well as an individual.

ICAN falls into the category of a body politic and thus has the right to get a representative to make an application on their behalf, let alone make a FOI request as an organization allowed by s 11 (1) of the Act. This is further supported by the Office of the Australian Information Commissioner website in:

- Section 3.42: https://www.oaic.gov.au/freedom-of-infor... and;
- Who can make a FOI request section: https://www.oaic.gov.au/freedom-of-infor....

An extra point that I would like to note is, although it was not necessary for me to reveal my identity, I did so considering that: 1) it will assist you with your later decision on payment of charges and 2) that the chronology of when I inform you on this matter will not affect my request.

Yours Sincerely,

Angela Chen

Dear Mr Brumby,

I'm not sure if you received my last email sent on the 6th of April and I understand that my last message may have been a bit confusing so I am sending you this email again. I am getting notifications saying that you want to clarify my response but I can't see what you want me to clarify.

This is the link to my request to waive charges: https://drive.google.com/file/d/0B_EQDYB...

If there is anything you want me to clarify, please don't hesitate to contact me.

Yours sincerely,

Angela Chen