Dear Department of Finance,

I request a fully unredacted copy of the ‘written confirmation from the Department of Finance, that ASIC was covered by [CDDA] and could receive [CDDA] claims’ referred to at [5.130] of the recent SERC report

Yours faithfully,

Me

FOI Requests, Department of Finance

Thank you for your email, which has been forwarded to the Department’s FOI
Team for their consideration. A member of the FOI Team will respond to
your email in the next couple of days.

 

Kind regards

 

FOI Coordinator

 

FOI Requests, Department of Finance

1 Attachment

OFFICIAL

 

Dear Me

 

Freedom of Information Request – FOI 24-25/006

Thank you for your email to the Department of Finance (Finance) requesting
access to the following documents under the Freedom of Information Act
1982 (FOI Act):

I request a fully unredacted copy of the ‘written confirmation from the
Department of Finance, that ASIC was covered by [CDDA] and could receive
[CDDA] claims’ referred to at [5.130] of the recent SERC report

 

Request for assistance

Finance notes that the footnote [168] to paragraph 5.130 of the Senate
Economics References Committee report titled Australian Securities and
Investments Commission investigation and enforcement, refers to the Prime
Trust Action Group Submission. Page 2 of the Prime Trust Action Group
Submission states that “On 13 March 2018, DoF provided written
confirmation that ASIC was covered by the CDDA Scheme and that claims
could be lodged direct to ASIC (refer Attachment 1).” The referenced
Attachment 1 is not available on the Parliament of Australia website.

 

Finance has conducted searches of Finance records and have not identified
any documents falling within the scope of your request.

 

As Finance does not hold any documents relevant to the scope of your
request, Finance invites you to withdraw your request.

 

We kindly ask that you reply to this email and either:

 1. Withdraw your request, or
 2. Request a formal no documents decision letter.

 

Please note that if we do not receive a response from you, we are required
under the FOI Act to expend additional resources to process your request.

 

We appreciate your assistance in this matter.

 

General FOI matters

Your request was received by Finance on 5 July 2024. The statutory period
for processing your request commences from the day after Finance received
your request and a decision is due on Monday 5 August 2024.

 

The processing period may be extended if we need to consult third parties,
impose a charge or for other reasons. We will advise you if this happens.

 

Liability to pay a charge

You will be notified of any charges in relation to your request as soon as
possible, before we process any requested documents or impose a final
charge.

 

Publication

As required by the FOI Act, any documents provided to you under the FOI
Act will be published on our [1]disclosure log, unless an exemption
applies or the documents are characterised as containing personal
information. Documents will be published the next working day after they
are released to you.

 

Policy to exclude junior officer contact details, signatures and mobile
phone numbers

Finance has adopted a policy to generally exclude from any documents
released under FOI, the names and contact details of junior staff (non-SES
officers) and staff employed under the Members of Parliament (Staff) Act
1984 (adviser level and below). Finance has also adopted a policy to
exclude signatures and mobile phone numbers from any documents released
under FOI (unless publicly available). Finance’s preference is to reach
agreement with FOI applicants to exclude these details from the scope of
the request. Where there is no objection, the names and contact details of
junior officers, as well as any signatures and mobile phone numbers
appearing in identified documents, will be redacted under section 22 of
the FOI Act on the basis that these details are irrelevant to the request.

 

Please contact the FOI Team on the below contact details if you wish to
discuss your request.

 

Kind regards

 

 

FOI Officer | Legal and Assurance Branch

Business Enabling Services

Department of Finance

A: One Canberra Avenue, Forrest ACT 2603

References

Visible links
1. https://www.finance.gov.au/about-us/free...

Dear FOI Requests,

Thanks for getting back to me

Could I request Finance do some further digging and potentially transfer the FOI as appropriate (to anyone other than ASIC).

For example, Finance could ask SERC for a copy of or details of the attachment to enable more effective searching. Or see if Treasury have anything, maybe PTAG said Finance and meant Treasury

That is, the document presumably does exist. A little digging now is more efficient for the Cth than me going department to department with the same FOI for them to re-do the work for nil docs until it eventually turns up (?)

Yours sincerely,

Me

FOI Requests, Department of Finance

Thank you for your email, which has been forwarded to the Department’s FOI
Team for their consideration. A member of the FOI Team will respond to
your email in the next couple of days.

 

Kind regards

 

FOI Coordinator

 

FOI Requests, Department of Finance

2 Attachments

OFFICIAL

 

Dear Me

 

Thank you for your prompt response.

 

Finance has sought to transfer the request to Treasury, however, Treasury
have rejected the request noting they are not the responsible agency.

 

Finance is unable to transfer the request to the Senate Economics
References Committee (SERC) as parliamentary committee are excluded from
the application of the FOI Act.

 

As you have flagged, it is open to you to submit another request to a
different Commonwealth department.

 

As previously mentioned, as Finance does not hold any documents relevant
to the scope of your request, Finance invites you to withdraw your
request.

 

We kindly ask that you reply to this email and either:

 

 1. Withdraw your request, or
 2. Request a formal no documents decision letter.

 

Please note that if we do not receive a response from you, we are required
under the FOI Act to expend additional resources to process your request.

 

We appreciate your assistance in this matter.

 

Kind regards

 

FOI Officer | Legal and Assurance Branch

Business Enabling Services

Department of Finance

A: One Canberra Avenue, Forrest ACT 2603

 

 

 

-----Original Message-----
From: Me <[FOI #11635 email]>
Sent: Thursday, July 25, 2024 11:36 AM
To: FOI Requests <[email address]>
Subject: Re: FOI 24-25/006 - Acknowledgement and request for assistance
[SEC=OFFICIAL]

 

Dear FOI Requests,

 

 

 

Thanks for getting back to me

 

 

 

Could I request Finance do some further digging and potentially transfer
the FOI as appropriate (to anyone other than ASIC).

 

 

 

For example, Finance could ask SERC for a copy of or details of the
attachment to enable more effective searching. Or see if Treasury have
anything, maybe PTAG said Finance and meant Treasury

 

 

 

That is, the document presumably does exist. A little digging now is more
efficient for the Cth than me going department to department with the same
FOI for them to re-do the work for nil docs until it eventually turns up
(?)

 

 

 

Yours sincerely,

 

 

 

Me

 

 

 

-----Original Message-----

 

 

 

OFFICIAL

 

 

 

 

 

 

 

Dear Me

 

 

 

 

 

 

 

Freedom of Information Request – FOI 24-25/006

 

 

 

Thank you for your email to the Department of Finance (Finance) requesting

 

access to the following documents under the Freedom of Information Act

 

1982 (FOI Act):

 

 

 

I request a fully unredacted copy of the ‘written confirmation from the

 

Department of Finance, that ASIC was covered by [CDDA] and could receive

 

[CDDA] claims’ referred to at [5.130] of the recent SERC report

 

 

 

 

 

 

 

Request for assistance

 

 

 

Finance notes that the footnote [168] to paragraph 5.130 of the Senate

 

Economics References Committee report titled Australian Securities and

 

Investments Commission investigation and enforcement, refers to the Prime

 

Trust Action Group Submission. Page 2 of the Prime Trust Action Group

 

Submission states that “On 13 March 2018, DoF provided written

 

confirmation that ASIC was covered by the CDDA Scheme and that claims

 

could be lodged direct to ASIC (refer Attachment 1).” The referenced

 

Attachment 1 is not available on the Parliament of Australia website.

 

 

 

 

 

 

 

Finance has conducted searches of Finance records and have not identified

 

any documents falling within the scope of your request.

 

 

 

 

 

 

 

As Finance does not hold any documents relevant to the scope of your

 

request, Finance invites you to withdraw your request.

 

 

 

 

 

 

 

We kindly ask that you reply to this email and either:

 

 

 

  1. Withdraw your request, or

 

  2. Request a formal no documents decision letter.

 

 

 

 

 

 

 

Please note that if we do not receive a response from you, we are required

 

under the FOI Act to expend additional resources to process your request.

 

 

 

 

 

 

 

We appreciate your assistance in this matter.

 

 

 

 

 

 

 

General FOI matters

 

 

 

Your request was received by Finance on 5 July 2024. The statutory period

 

for processing your request commences from the day after Finance received

 

your request and a decision is due on Monday 5 August 2024.

 

 

 

 

 

 

 

The processing period may be extended if we need to consult third parties,

 

impose a charge or for other reasons. We will advise you if this happens.

 

 

 

 

 

 

 

Liability to pay a charge

 

 

 

You will be notified of any charges in relation to your request as soon as

 

possible, before we process any requested documents or impose a final

 

charge.

 

 

 

 

 

 

 

Publication

 

 

 

As required by the FOI Act, any documents provided to you under the FOI

 

Act will be published on our [1]disclosure log, unless an exemption

 

applies or the documents are characterised as containing personal

 

information. Documents will be published the next working day after they

 

are released to you.

 

 

 

 

 

 

 

Policy to exclude junior officer contact details, signatures and mobile

 

phone numbers

 

 

 

Finance has adopted a policy to generally exclude from any documents

 

released under FOI, the names and contact details of junior staff (non-SES

 

officers) and staff employed under the Members of Parliament (Staff) Act

 

1984 (adviser level and below). Finance has also adopted a policy to

 

exclude signatures and mobile phone numbers from any documents released

 

under FOI (unless publicly available). Finance’s preference is to reach

 

agreement with FOI applicants to exclude these details from the scope of

 

the request. Where there is no objection, the names and contact details of

 

junior officers, as well as any signatures and mobile phone numbers

 

appearing in identified documents, will be redacted under section 22 of

 

the FOI Act on the basis that these details are irrelevant to the request.

 

 

 

 

 

 

 

Please contact the FOI Team on the below contact details if you wish to

 

discuss your request.

 

 

 

 

 

 

 

Kind regards

 

 

 

 

 

 

 

 

 

 

 

FOI Officer | Legal and Assurance Branch

 

 

 

Business Enabling Services

 

 

 

Department of Finance

 

 

 

A: One Canberra Avenue, Forrest ACT 2603

 

 

 

References

 

 

 

Visible links

 

1.
[1]https://aus01.safelinks.protection.outlo...

 

 

 

-------------------------------------------------------------------

 

Please use this email address for all replies to this request:

 

[2][FOI #11635 email]

 

 

 

This request has been made by an individual using Right to Know. This
message and any reply that you make will be published on the internet.
More information on how Right to Know works can be found at:

 

[3]https://aus01.safelinks.protection.outlo...

 

 

 

Please note that in some cases publication of requests and responses will
be delayed.

 

 

 

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

 

 

 

-------------------------------------------------------------------

 

 

 

Be careful with this message

External email. Do not click links or open attachments unless you
recognise the sender and know the content is safe.

References

Visible links
1. https://www.finance.gov.au/about-us/free...
2. mailto:[FOI #11635 email]
3. https://www.righttoknow.org.au/help/offi...

hide quoted sections

Dear FOI Requests,

Thanks for checking with Treasury. Sounds like their assistance was less than obsequious

I understand Finance cannot transfer the FOI to SERC

As best as I can tell, nothing prevents Finance asking SERC for a copy, or at least further information about the document

Given SERC have a copy, and Finance is the author, it would be a bit obtuse of SERC not to disclose it (?)

That is, if Finance would be so kind as to discuss with SERC directly, and that still yields nil docs, I will be happy to withdraw the request

Yours sincerely,

Me

FOI Requests, Department of Finance

Thank you for your email, which has been forwarded to the Department’s FOI
Team for their consideration. A member of the FOI Team will respond to
your email in the next couple of days.

 

Kind regards

 

FOI Coordinator

 

FOI Requests, Department of Finance

2 Attachments

OFFICIAL

 

Dear Me,

 

Thank you for your below response. The FOI Act provides a right of access
to documents of an agency. As we have advised, Finance does not hold the
document that you are seeking. Therefore, Finance is unable to process
this request further in accordance with the FOI Act.

 

We kindly ask that you reply to this email by COB 31 July 2024 and either:

1. Withdraw your request, or

2. Request a formal no documents decision letter.

 

Kind regards,

FOI Team

 

FOI Officer | Legal and Assurance Branch

Business Enabling Services

Department of Finance

A: One Canberra Avenue, Forrest ACT 2603

 

 

 

-----Original Message-----
From: Me <[FOI #11635 email]>
Sent: Thursday, July 25, 2024 7:28 PM
To: FOI Requests <[email address]>
Subject: RE: FOI 24-25/006 - Acknowledgement and request for assistance
[SEC=OFFICIAL]

 

Dear FOI Requests,

 

 

 

Thanks for checking with Treasury. Sounds like their assistance was less
than obsequious

 

 

 

I understand Finance cannot transfer the FOI to SERC

 

 

 

As best as I can tell, nothing prevents Finance asking SERC for a copy, or
at least further information about the document

 

 

 

Given SERC have a copy, and Finance is the author, it would be a bit
obtuse of SERC not to disclose it (?)

 

 

 

That is, if Finance would be so kind as to discuss with SERC directly, and
that still yields nil docs, I will be happy to withdraw the request

 

 

 

Yours sincerely,

 

 

 

Me

 

 

 

-----Original Message-----

 

 

 

OFFICIAL

 

 

 

 

 

 

 

Dear Me

 

 

 

 

 

 

 

Thank you for your prompt response.

 

 

 

 

 

 

 

Finance has sought to transfer the request to Treasury, however, Treasury

 

have rejected the request noting they are not the responsible agency.

 

 

 

 

 

 

 

Finance is unable to transfer the request to the Senate Economics

 

References Committee (SERC) as parliamentary committee are excluded from

 

the application of the FOI Act.

 

 

 

 

 

 

 

As you have flagged, it is open to you to submit another request to a

 

different Commonwealth department.

 

 

 

 

 

 

 

As previously mentioned, as Finance does not hold any documents relevant

 

to the scope of your request, Finance invites you to withdraw your

 

request.

 

 

 

 

 

 

 

We kindly ask that you reply to this email and either:

 

 

 

 

 

 

 

  1. Withdraw your request, or

 

  2. Request a formal no documents decision letter.

 

 

 

 

 

 

 

Please note that if we do not receive a response from you, we are required

 

under the FOI Act to expend additional resources to process your request.

 

 

 

 

 

 

 

We appreciate your assistance in this matter.

 

 

 

 

 

 

 

Kind regards

 

 

 

 

 

 

 

FOI Officer | Legal and Assurance Branch

 

 

 

Business Enabling Services

 

 

 

Department of Finance

 

 

 

A: One Canberra Avenue, Forrest ACT 2603

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

-------------------------------------------------------------------

 

Please use this email address for all replies to this request:

 

[1][FOI #11635 email]

 

 

 

This request has been made by an individual using Right to Know. This
message and any reply that you make will be published on the internet.
More information on how Right to Know works can be found at:

 

[2]https://aus01.safelinks.protection.outlo...

 

 

 

Please note that in some cases publication of requests and responses will
be delayed.

 

 

 

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

 

 

 

-------------------------------------------------------------------

 

 

 

Be careful with this message

External email. Do not click links or open attachments unless you
recognise the sender and know the content is safe.

References

Visible links
1. mailto:[FOI #11635 email]
2. https://www.righttoknow.org.au/help/offi...

hide quoted sections

Dear FOI Requests,

Finance can’t find the document I’m seeking. That’s not quite the same thing as not having it

Nonetheless, thank you / harrumph, I withdraw the request

Yours sincerely,

Me

FOI Requests, Department of Finance

Thank you for your email, which has been forwarded to the Department’s FOI
Team for their consideration. A member of the FOI Team will respond to
your email in the next couple of days.

 

Kind regards

 

FOI Coordinator