DOCUMENT 1
OFFICIAL
For Internal Use Only
National Disability Insurance Agency
Reviews and Information Release Division
Standard Operating Procedure: Resolved by
Consent
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OFFICIAL For Internal Use Only
Document No.
NDIA-ERB-SOP-031
Date October 2025 Status FINAL Version 1.1
Document applicability
National — Reviews and Information Release Division
Owner
Director, Performance, Policy, and Quality
Approval Status Log
Version 1.1
Reviewed by Policy Officer
Endorsed by
Approved by Assistant Director, Policy
Approval date 30 October 2025
Revision History
Revision Date Sections | Summary of Changes
Original 1 19/03/2025 All (formerly NDIA-ART CM-SOP-031) Amended to align with NDIA organisational restructure 1.1 30/10/2025 All Amended to align with NDIA organisational restructure
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Contents
- Introduction 3
1.1 Purpose 31.2 Scope 3
1.3 Roles and Responsibilities 32. Checklist 4
- Procedure 4
3.1 Case Manager develops the offer 43.2 Case Management Leadership endorses the offer 5
3.2.1 Where escalation is required 6
3.3 Recording Approval for Resolution in LEX 7
3.3.1 Updated Position – Approval Required 7
3.3.2 Approving or Declining a Recommendation 9
3.3.3 Updated Position 11
3.4 Case Manager to contact the Participant with the offer 12
3.5 Lawyer files the Terms of Agreement with the ART 12
3.6 Implementing ART Orders 13
3.7 Matter Withdrawn 13
3.8 Process Flowchart 14NDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 2 of 19 Page 3 of 66
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- Introduction
1.1 Purpose
This Standard Operating Procedure will help Case Managers undertake the
necessary steps when an agreement is reached between the Agency and a
participant or prospective participant to resolve a matter which is before the
Administrative Review Tribunal (ART).1.2 Scope
This procedure applies nationally across the External Review Branch (ERB), and
electrode is to be used by:
• Case Managers (CM)1.3 Roles and Responsibilities
The roles and responsibilities set out in the Standard Operating Procedure:
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- Checklist
Topic Checklist
Pre-requisites
- You have reviewed a matter (see Standard Operating Procedure: Reviewing the Matter);
- You consider that the matter can be resolved, based on the available evidence;
- There is no risk to the participant, the Agency, or any other risk associated with resolving the matter by consent; and
- You have obtained legal advice or internal specialist advice.
Actions
- 3.1 Case Manager develops the offer
- 3.2 Case Management Leadership endorses the offer
- The external-facing NDIA position refers to any material which is available in the public domain, such as the NDIA Operational Guidelines; and excludes internal material, such as Case Management Guides and TAPIB Digests (among others).
Case Managers are responsible for recording the relevant approval for resolution in accordance with redacted below.
2.1 Recording Approval for Resolution in LEX
Where a particular approach to resolving a matter has been approved, Case Managers are required to record that approval in LEX as a file note. The type of file note you record is dependent on your delegation to approve resolution.
Each file note must indicate what the decision is, under what authority the decision is made, and what evidence informs that decision (including any existing evidence that was before the Internal Review Officer, and any new evidence obtained after the commencement of the proceedings).
For further guidance around, and examples of, recording a decision as a file note in LEX, please refer to the Case Management Guide: Decision Making.
Note: Case Managers are required to follow the steps set out below whenever the Agency’s position in a particular matter is updated. This may occur multiple times during the course of a matter, and in the lead up to a resolution.
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2.1.1 Updated Position – Approval Required
This section must be used when line manager endorsement is
required to resolve a matter, and mandates a process for requesting
that their recommendation to resolve the matter be approved by the
appropriate person. This file note must be used when recording and
seeking endorsement for all proposals to resolve a matter, unless the
proposed resolution has been endorsed by Pre-ALOC, ALOC or the
Branch Manager, ERB.
1. Open the matter record in LEX, and navigate to the File
Notes tab.
2. On the right-hand side of the webpage, select Add.
Using the drop-down menu, select the Case
Management – Updated Position – Approval
Required file note type.
3. LEX will then generate a file note template comprising
a series of instructions for you to follow and complete.
4. Once complete, select Save to create the file note.
Diagram 1 – Creating an ‘Updated Position – Approval
Required’ LEX file noteNDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 5 of 19 Page 6 of 66
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5. By following the onscreen prompts, you will then be
redirected to the Reminders tab in LEX.
6. Within the Reminders tab, you will find a reminder
template comprising a series of instructions for you to
follow and complete.
7. Once complete, use the drop-down menu to select the
person with the appropriate authority to approve your
recommendation to resolve the matter. This will ensure
that the reminder is assigned to that person.
Additionally, using the relevant drop-down menu, select
Recommendation for Approval as the reminder type.
Select Save.
Diagram 2 – Creating a Recommendation for Approval LEX
reminder
8. When prompted to send an email to the person with the
appropriate authority to approve your recommendation,
select Yes.
9. An email to the person with authority notifying them that
they have a new approval task will be generated
automatically. This will also automatically generate anNDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 6 of 19 Page 7 of 66
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attachment to LEX. No changes to the email are
necessary, but you are able to make changes to the
standard contents of the email if you choose. Select
Send.
10. You will be notified by email once the person with
authority has approved your recommendation to
resolve the matter. Once you have received that
approval, proceed to 3.4 below.
2.1.2 Approving or Declining a Recommendation
This section is to be used by Line Managers with authority to
approve or decline a recommendation to resolve a matter, and
mandates a process for recording their decision to either approve or
decline that recommendation.
1. Open LEX, and navigate to your list of active reminders
from within your LEX Dashboard. Locate any active
Recommendation for approval reminders which are
allocated to you for approval.
Alternatively, navigate to the Search menu in LEX, and
select the Reminders tab. Using the drop-down menus,
set the following search parameters: Status as Active,
Status (Reminder) as to do, Reminder type (Reminder)
as Recommendation for Approval, and Team/NDIA
staff name (Reminder) as your team, and your name.
Lastly, select Search to locate resolution
recommendations which are allocated to you for
approval.
2. Double click on a particular search result to be
redirected to the individual reminder within the relevant
matter record. The recommended resolution will appear
in the body text of the reminder.
3. After reviewing the recommendation, follow and
complete the Authorising Officer template instructions
within the reminder text, and insert your LEX
username. Once complete, use the relevant drop-down
menu to change the reminder status to Done, and to
select the appropriate reminder type based on your
reasons for either approving or declining the
recommendation). Lastly, select Save.NDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 7 of 19 Page 8 of 66
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Diagram 3 – Authorising a Recommendation for Approval LEX
reminder
4. You will then send an email to the Case Manager who
proposed the recommendation, advising whether you
have approved or rejected their recommendation to
resolve the matter.
2.1.3 Updated Position
This section is to be used when line manager endorsement is not
required to resolve the matter, and mandates a process for recording
the decision to do so. This file note will only be used where the
proposed resolution has been considered and endorsed through
another channel, for example, at Pre-ALOC, ALOC, or by the
Branch Manager, ERB.
1. Open the matter record in LEX, and navigate to the
File Notes tab.NDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 8 of 19 Page 9 of 66
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2. On the right-hand side of the webpage, select Add.
Using the drop-down menu, select the Case
Management – Updated position file note type.
3. LEX will then generate a file note template comprising
a series of instructions for you to follow and complete.
4. Once complete, select Save to create the file note, and
proceed to 3.4 below.
Diagram 4 – Creating an Updated Position LEX file note
❑ Case Manager to contact the Participant with the offer
❑ 3.5 Lawyer files the Terms of Agreement with the ART
❑ 3.6 Implementing ART Orders
❑ 3.7 Matter Withdrawn
❑ 3.8 Process Flowchart3. Procedure
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Case Managers are authorised to resolve matters in accordance with the Decision- Making Authority for ART Case Management.
3.1 Case Manager develops the offer
The Agency adopts a participant-centric, resolution-focused approach which ensures matters are resolved in a transparent and timely manner.
This approach is informed by NDIA Guiding Principles: NDIA Dispute Resolution Policy, the Participant Service Charter, and the Commonwealth Model Litigant Obligations set out in Appendix B of the Legal Services Directions 2017.
In line with Agency principles and our commitment to participants and prospective participants of the Scheme, Case Managers will:
- engage in evidence-based decision making;
- think critically about the available advice received in a particular matter; and
- adopt a participant-centric approach to drive lifetime outcomes for participants and prospective participants of the Scheme.
For further guidance around best practice in decision making, please refer to the Decision-Making Authority for Administrative Review Tribunal Case Management and to the Case Management Guide: Decision Making.
Offers to resolve a matter before the ART may be made in one of four ways:
TABLE 1 — TYPES OF OFFERS WHICH CAN BE MADE
| Type of Offer | Description |
|---|---|
| Full offer | All of the issues in dispute can be resolved. All of the requested supports are reasonable and necessary and will be funded by the NDIA. |
| Partial offer | Some, but not all, of the issues in dispute can be resolved. The NDIA will fund all reasonable and necessary supports. |
| Step-down offer | The requested supports are reasonable and necessary (either in full or on a pro-rata basis), however, there is an agreed, gradual reduction in supports over the course of the new plan in line with the expectation of a reduced requirement for funding. For example, the NDIA will agree to fund requested weekly psychology for the first six months, reduced to fortnightly sessions for the remaining six months. |
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| Alternate offer | The requested supports do not meet the reasonable and necessary criteria, however there are suitable alternative supports available which are agreed to.
For example, the Agency is unable to fund the requested 12 hours of Equine Therapy as it is not a reasonable and necessary support, but is able to offer to fund 12 hours of Psychology as an alternative. |
3.2 Case Management Leadership endorses the offer
Case Managers are authorised to resolve access and planning matters, where their decision to do so:
- is supported by legal advice or internal expert advice from TAPIB (as appropriate); and
- has been reviewed by their line manager.
This means for decisions made by:
- Case Managers, that their Assistant Director has minimum oversight;
- Assistant Directors, that their Director has minimum oversight; and
- Directors, that the Branch Manager has minimum oversight.
The importance of minimum oversight ensures that all decisions can be reviewed objectively, by someone who has not been involved in the daily management of the matter. This minimises risk and promotes transparency in decision-making processes, in keeping with the Agency’s Dispute Resolution Policy and Model Litigant Obligations.
Case Managers must record their approval in accordance with redacted below.
3.2.1 Where escalation is required
Case Managers are not authorised to resolve matters in the following circumstances, without prior escalation through the appropriate channel identified below:
TABLE 2 — ESCALATION PATHWAYS TO RESOLVE A MATTER
| Scenario | Escalation Pathway |
|---|---|
| If legal advice and internal specialist advice are aligned in their recommendations, but you disagree | Director — Pre-ALOC — Appeals and Litigation Oversight Committee (ALOC) |
| If legal advice is to resolve a matter and their advice reflects the external-facing NDIA position,* | Line Manager → Pre-ALOC → ALOC |
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but internal specialist advice is not to resolve the
matter
If legal advice is to resolve a matter and their Line Manager → Pre-
advice does not reflect the external-facing NDIA ALOC → ALOC
position,* but internal specialist advice is not to
resolve the matter
If legal advice is that it is not open to the Agency Principal Legal Officer
to resolve a matter, but internal specialist advice (PLO) / Deputy Chief
is to resolve the matter Counsel (DCC) → Pre-
ALOC → ALOC
If legal advice is either that the ART does, or does Branch Manager, ERB
not, have jurisdiction to consider the matter, but
you disagree
* The external-facing NDIA position refers to any material which
available in the public domain, such as the NDIA Operational
Guidelines; and excludes internal material, such as Case
Management Guides and TAPIB Digests (among others).
Case Managers are responsible for recording the relevant approval for
resolution in accordance with `redacted`, below.3.3 Recording Approval for Resolution in LEX
Where a particular approach to resolving a matter has been approved, Case
Managers are required to record that approval in LEX as a file note. The type of
file note you record is dependent on your delegation to approve resolution.
Each file note must indicate what the decision is, under what authority the
decision is made, and what evidence informs that decision (including any existing
evidence that was before the Internal Review Officer, and any new evidence
obtained after the commencement of the proceedings).
For further guidance around, and examples of, recording a decision as a file note
in LEX, please refer to the Case Management Guide: Decision Making.
Note: Case Managers are required to follow the steps set out below
whenever the Agency’s position in a particular matter is updated. This
may occur multiple times during the course of a matter, and in the lead
up to a resolution.
3.3.1 Updated Position – Approval Required
This section must be used when line manager endorsement is required to
resolve a matter, and mandates a process for requesting that their
recommendation to resolve the matter be approved by the appropriate
person. This file note must be used when recording and seeking endorsementNDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 12 of 19 Page 13 of 66
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for all proposals to resolve a matter, unless the proposed resolution has been
endorsed by Pre-ALOC, ALOC or the Branch Manager, ERB.
11. Open the matter record in LEX, and navigate to the File Notes tab.
12. On the right-hand side of the webpage, select Add. Using the drop-
down menu, select the Case Management – Updated Position –
Approval Required file note type.
13. LEX will then generate a file note template comprising a series of
instructions for you to follow and complete.
14. Once complete, select Save to create the file note.
Diagram 1 – Creating an ‘Updated Position – Approval Required’ LEX file note
15. By following the onscreen prompts, you will then be redirected to the
Reminders tab in LEX.
16. Within the Reminders tab, you will find a reminder template
comprising a series of instructions for you to follow and complete.
17. Once complete, use the drop-down menu to select the person with
the appropriate authority to approve your recommendation to resolve
the matter. This will ensure that the reminder is assigned to that
person. Additionally, using the relevant drop-down menu, select
Recommendation for Approval as the reminder type. Select Save.NDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 13 of 19 Page 14 of 66
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Diagram 2 – Creating a Recommendation for Approval LEX reminder
18. When prompted to send an email to the person with the appropriate
authority to approve your recommendation, select Yes.
19. An email to the person with authority notifying them that they have a
new approval task will be generated automatically. This will also
automatically generate an attachment to LEX. No changes to the
email are necessary, but you are able to make changes to the
standard contents of the email if you choose. Select Send.
20. You will be notified by email once the person with authority has
approved your recommendation to resolve the matter. Once you have
received that approval, proceed to 3.4 below.
3.3.2 Approving or Declining a Recommendation
This section is to be used by Line Managers with authority to approve or
decline a recommendation to resolve a matter, and mandates a process for
recording their decision to either approve or decline that recommendation.
5. Open LEX, and navigate to your list of active reminders from within
your LEX Dashboard. Locate any active Recommendation for
approval reminders which are allocated to you for approval.NDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 14 of 19 Page 15 of 66
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Alternatively, navigate to the Search menu in LEX, and select the
Reminders tab. Using the drop-down menus, set the following search
parameters: Status as Active, Status (Reminder) as to do, Reminder
type (Reminder) as Recommendation for Approval, and Team/NDIA
staff name (Reminder) as your team, and your name. Lastly, select
Search to locate resolution recommendations which are allocated to
you for approval.
6. Double click on a particular search result to be redirected to the
individual reminder within the relevant matter record. The
recommended resolution will appear in the body text of the reminder.
7. After reviewing the recommendation, follow and complete the
Authorising Officer template instructions within the reminder text,
and insert your LEX username. Once complete, use the relevant
drop-down menu to change the reminder status to Done, and to
select the appropriate reminder type based on your reasons for either
approving or declining the recommendation). Lastly, select Save.
Diagram 3 – Authorising a Recommendation for Approval LEX reminderNDIA-ERB-SOP-031-V1.1-FINAL SOP: Resolved by Consent OFFICIAL This document is uncontrolled in hardcopy. Page 15 of 19 Page 16 of 66
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8. You will then send an email to the Case Manager who proposed the
recommendation, advising whether you have approved or rejected
their recommendation to resolve the matter.
3.3.3 Updated Position
This section is to be used when line manager endorsement is not required
to resolve the matter, and mandates a process for recording the decision to
do so. This file note will only be used where the proposed resolution has been
considered and endorsed through another channel, for example, at Pre-ALOC
or ALOC, or by the Branch Manager, ERB.
5. Open the matter record in LEX, and navigate to the File Notes tab.
6. On the right-hand side of the webpage, select Add. Using the drop-
down menu, select the Case Management – Updated position file
note type.
7. LEX will then generate a file note template comprising a series of
instructions for you to follow and complete.
8. Once complete, select Save to create the file note, and proceed to 3.4
below.
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3.4 Case Manager to contact the Participant with the offer
The Case Manager should contact the participant or their representative using
their preferred method of communication (e.g., by phone), followed by written
communication which details the offer presented by the Agency (e.g., by email).
Contact is to be made by the most appropriate person to do so. If the participant or
prospective participant has legal representation (that is, they are represented by a
lawyer), DR&L or the Lawyer assigned are to present the offer to their
representative. Where the participant or prospective participant is not legally
represented, the Case Manager is best placed to make direct contact with the
participant or their non-legal representative (that is, a representative who is not a
lawyer) to present the Agency’s offer to resolve the matter.
If the offer is rejected and no alternate agreement can be negotiated
successfully, that offer forms the NDIA’s updated position in the ART proceeding.
If the offer is initially rejected, it can be accepted by the participant at a later date.
Further approval is not required unless there has been a change of circumstances
or additional information has been received which could alter the Agency’s position
in relation to that offer.
If the offer is accepted, the relevant party (being the participant’s representative
or the Lawyer acting on behalf of the NDIA) in the matter will draft the Terms of
Agreement for review by a Case Manager to ensure their accuracy.
If the participant wishes to alter the Terms of Agreement, all changes must be
reviewed by the Case Manager and the Lawyer with carriage prior to Agency
acceptance. Any significant changes to the Terms of Agreement which alter the
effect of the Agreement must be endorsed in accordance with 3.2 (above).3.5 Lawyer files the Terms of Agreement with the ART
Once cleared by the Case Manager, the Terms of Agreement will need to be
signed by both parties – that is, the Agency (by the Lawyer representing the
Agency), and the participant or prospective participant (or their representative).
Ensure that a copy of the signed Terms of Agreement is saved to LEX, and that
the outcome of the matter is updated to ‘Awaiting substantive decision’ from within
the ‘Main Details’ tab in LEX.
The participant’s representative or the Lawyer acting on behalf of the NDIA will file
a copy of the signed Terms of Agreement with the ART.
The ART will then review the signed Terms of Agreement, and issue Orders
pursuant to section 103 or section 85 of the Administrative Review Tribunal Act
2024. The ART will provide a copy of the Order to the parties to the proceeding,
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3.6 Implementing ART Orders
Once the Order is received, the Case Manager is responsible for implementing the
Order in accordance with the Standard Operating Procedure: Implementing an
ART Decision, Order, or Notice.
If necessary, the Case Manager is also responsible for closing the matter,
in accordance with the Standard Operating Procedure: Closing an ART Matter.3.7 Matter Withdrawn
In some instances, once an agreement to resolve the matter has been reached,
a participant may withdraw their application to the ART without the need to prepare
and file any Terms of Agreement with the ART.
It remains the Case Manager’s responsibility to ensure that the necessary action is
taken to give effect to the agreement reached with the participant, even if formal
Terms of Agreement are not drafted and filed with the ART. This may include, for
example, ensuring that a section 48 plan reassessment is conducted.
Note: Only an applicant to the ART is able to withdraw their application.
For detailed procedural guidance concerning the withdrawal of matters, please see
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3.8 Process Flowchart
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