Dear University of Warwick,

I am writing to request information on the financial relationships the university holds with the arms trade (specifically, but not limited to BAE Systems, Lockheed Martin, QinetiQ, Rolls Royce, GKN, Smiths Group, Cobham, VT Group, Elbit, Finmeccanica , Halliburton, L3 Communications, Northrup Grumman and Raytheon). Please include the following information:

1) The total amount, in pounds sterling, that the university has received in research funding, industrial consultancy fees, and industrial research fees from arms trade companies in the last five financial years. Details should be broken down for each company, year-by-year for the last five financial years and also broken down for each department, year by year for the last five financial years.

2) The total amount, in pounds sterling, that the university has received in research funding, industrial consultancy and industrial research fees from the Ministry of Defence over the last five financial years. Details should be broken down, year-by-year for the last five financial years.

3) A portfolio statement for the fund(s) the university has investments in. If you do not have a copy of this, please send me a list of the names of the fund(s) and the corresponding management companies. Details should be broken down, year-by-year for the last five financial years.

4) Please also confirm if any shares are held in arms trade companies as part of a pension fund or endowment, either directly or indirectly through an externally managed fund. Details should be broken down, year-by-year for the last five financial years.

Yours faithfully,

Rachel Melly

infocompliance, Resource, University of Warwick



Thank you for your email which has been received by the University Legal
Compliance Officer. 

The University undertakes to respond to Freedom of Information requests
within 20 working days and to Data Protection requests within 40 calendar
days. 

Thank you

Legal Compliance Team

infocompliance, Resource, University of Warwick

Dear Ms Melly,

Thank you for your email dated 6th October 2015 requesting information
about the University of Warwick. Your request is being considered under
the Freedom of Information Act 2000. Please find below your original
request and our response.

I am writing to request information on the financial relationships the
university holds with the arms trade (specifically, but not limited to BAE
Systems, Lockheed Martin, QinetiQ, Rolls Royce, GKN, Smiths Group, Cobham,
VT Group, Elbit, Finmeccanica , Halliburton, L3 Communications, Northrup
Grumman and Raytheon). Please include the following information:

1) The total amount, in pounds sterling, that the university has received
in research funding, industrial consultancy fees, and industrial research
fees from arms trade companies in the last five financial years. Details
should be broken down for each company, year-by-year for the last five
financial years and also broken down for each department, year by year for
the last five financial years.

The University is not able to fully comply with your request for
information as we consider that some information falls under the
exemptions set out at sections 41(1) and 43(2) of the Freedom of
Information Act 2000.

Section 41(1) states:

Information is exempt information if—

(a)it was obtained by the public authority from any other person
(including another public authority), and

(b)the disclosure of the information to the public (otherwise than under
this Act) by the public authority holding it would constitute a breach of
confidence actionable by that or any other person.

Section 43(2) states:

Information is exempt information if its disclosure under this Act would,
or would be likely to, prejudice the commercial interests of any person
(including the public authority holding it).

The University considers that some information in relation to the details
of research funding contracts is provided in confidence and that release
of this would be likely to harm the commercial interests of the University
in relation to the negative impact on the ability to secure
contracts/funding from commercial sources if the confidentiality of such
contracts could not be guaranteed.

When applying these exemptions the University needs to consider whether
the public interest in maintaining the exemption is greater than the
public interest in disclosing the requested information. The University
recognises that there is public interest in promoting transparency in
relation to University finances. Such public-interest requirements are
however already fulfilled by means of the University’s financial reporting
requirements which can be found at
http://www2.warwick.ac.uk/services/finan.... There is
therefore no overriding public interest in the circumstances that would
warrant harming the University’s ability to generate commercial revenue in
order to maintain the quality and impact of the University’s research
activities. In all the circumstances of the case the public interest in
maintaining the exemption outweighs the public interest in disclosing the
information.

The University is however able to provide the following information.

Research funding received from BAE Systems:

2010/11 £117,369

2011/12 -

2012/13 -

2013/14 -

2014/15 - 

During the last five financial years the University has undertaken no
pieces of industrial consultancy for the companies listed.

2) The total amount, in pounds sterling, that the university has received
in research funding, industrial consultancy and industrial research fees
from the Ministry of Defence over the last five financial years. Details
should be broken down, year-by-year for the last five financial years.

Under section 17(4) and section 43(2) the University neither confirms nor
denies whether it holds the information you have requested.

3) A portfolio statement for the fund(s) the university has investments
in. If you do not have a copy of this, please send me a list of the names
of the fund(s) and the corresponding management companies. Details should
be broken down, year-by-year for the last five financial years.

The University of Warwick is committed to ensuring that it makes
investment decisions responsibly and with integrity. The University has
developed a Policy for Socially Responsible Investment which allows the
University to pursue an ethical approach, whilst minimising any negative
impact on its investment returns. A copy of the policy is included on our
website at
http://www2.warwick.ac.uk/services/finan...

The University has an investment portfolio spread across a number of
funds. Our holdings in different funds can vary on a day to day basis as
will the underlying holdings in the funds. Schroders/Rathbones do not
disclose the underlying holdings lists and we are therefore unable to
provide a full disclosure.

4) Please also confirm if any shares are held in arms trade companies as
part of a pension fund or endowment, either directly or indirectly through
an externally managed fund. Details should be broken down, year-by-year
for the last five financial years.

The funds of the University of Warwick pension scheme do not belong to the
University: the investment of these funds is the responsibility of the
Trustees.

If you are unhappy with the way in which your request has been handled by
the University of Warwick, you can request an internal review and in the
first instance you are advised to follow the procedure outlined here:
http://www2.warwick.ac.uk/services/gov/l...

If you remain dissatisfied with the handling of your request or complaint,
you have a right to appeal to the Information Commissioner at:

The Information Commissioner’s Office

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

Phone: 0303 123 1113

Website: www.ico.gov.uk

There is no charge for making an appeal.

Yours sincerely,

Darren Wallis

Darren Wallis | Deputy Registrar’s Office University House | University of
Warwick | Coventry | CV4 8UW

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