DOCUMENT 4
OFFICIAL
For Internal Use Only
National Disability Insurance Agency
Reviews and Information Release Division
Standard Operating Procedure: Dispute Resolution
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Document Control
| Field | Details |
|---|---|
| Document No. | NDIA-ERB-SOP-029 |
| 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
| Field | Details |
|---|---|
| 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 | Original (formerly NDIA-ART CM-SOP-029) Amended to align with NDIA organisational restructure |
| 1.1 | 30/10/2025 | All | Amended to align with NDIA organisational restructure |
Note: Document uncontrolled in hardcopy
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Contents
- Introduction …………………………………………………………………………………….. 3 1.1 Purpose …………………………………………………………………………………….. 3 1.2 Scope ……………………………………………………………………………………… 3 1.3 Definitions ……………………………………………………………………………….. 3 1.4 Roles and Responsibilities …………………………………………………………………. 5
- Checklist ……………………………………………………………………………………….. 6
- Procedure ……………………………………………………………………………………… 6 3.1 Save copies of all relevant documents ……………………………………………………. 6 3.2 Attend the Case Conference ……………………………………………………………….. 6 3.3 After the Case Conference …………………………………………………………………. 7 3.3.1 Subsequent Case Conferences ……………………………………………………. 7 3.3.2 Tribunal Directions Hearing ………………………………………………………. 7 3.3.3 Conciliation ………………………………………………………………………….. 8 3.3.4 Resolution by Consent ……………………………………………………………. 8 3.3.5 Hearing ………………………………………………………………………………. 8 3.4 Preparing for Conciliation ………………………………………………………………….. 8 3.4.1 Record Pre-Conciliation Observations …………………………………………… 8 3.4.2 Meet with Line Manager ahead of the Conciliation ……………………………… 9 3.4.3 Seek updated advice ahead of the Conciliation …………………………………… 9 3.4.4 Resolve the matter ………………………………………………………………….. 9 3.5 Making a recommendation for Conciliation position ……………………………………. 9 3.6 Attend the Conciliation …………………………………………………………………… 10 3.7 After the Conciliation …………………………………………………………………….. 10 3.7.1 Subsequent Conciliation …………………………………………………………. 10 3.7.2 Hearing …………………………………………………………………………….. 10 3.7.3 Resolution by Consent …………………………………………………………… 11 3.8 Process Flowchart ………………………………………………………………………….. 12
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1. Introduction
1.1 Purpose
This Standard Operating Procedure will guide Case Managers in navigating Dispute Resolution (DR) processes as matters progress before the Administrative Review Tribunal (ART).
1.2 Scope
This SOP applies nationally across the External Review Branch (ERB) and the Information Access and Privacy Branch (IAP), and is to be used by:
- Case Managers (CM); and
- ART Operations Officers.
1.3 Definitions
TABLE 1 — TABLE OF KEY DEFINITIONS
| Term | Definition |
|---|---|
| Dispute Resolution (DR) | DR processes are defined under section 4 of the Administrative Review Tribunal Act 2024 as ‘dispute resolution process[es]’, as the procedures and services for the voluntary resolution of disputes, and relevantly includes Case Conferencing and Conciliation. Dispute resolution processes are further explored in Part 4, Division 6, Subdivision C of the ART Act 2024. DR is intended to be accessible to participants and prospective participants of the Scheme and to enhance participant experience, by promoting the efficient use of resources to deliver outcomes that are lawful and effective, to resolve or limit the issues in dispute before the Tribunal as early as possible. DR processes are facilitated by a Tribunal Member or Conference Registrar. |
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| Term | Definition |
|---|---|
| Case Conference | An informal, private meeting arranged by the ART to discuss a matter. Case Conferences are held in most matters as part of the DR process, and the parties often come to an agreement at this stage. Case Conferences are facilitated by a Conference Registrar. Further information is available on the ART website. |
| Conciliation | An informal, private meeting arranged by the ART to help the parties try to reach an agreement before a substantive hearing. Conciliation is an opportunity to discuss the matter and any information related to the issues in dispute; to consider possible options for resolution; to agree on particular facts or supports to narrow the issues in dispute at the substantive hearing; and to discuss next steps, where the matter cannot be resolved in full at this time. Matters will usually only proceed to the Conciliation stage if an agreement cannot be reached during the Case Conference stage. Conciliation is facilitated by a Conference Registrar or Tribunal Member. Further information is available on the ART website. |
| Directions Hearing | A brief hearing held by an ART Member to talk about a single issue early in the review. Directions hearings may be held at any time to deal with procedural matters or to clarify issues before the Tribunal. Directions hearings may also be held to progress a matter where a party has failed to comply with a requirement under law, or failed to comply with a Direction of the ART. Further information is available on the ART website. |
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| Term | Definition |
|---|---|
| Interlocutory Hearing | A brief hearing held by an ART Member to talk about a single issue early in the review. Interlocutory hearings may be held at any time during the review to deal with such things as whether the Tribunal has the jurisdiction to review an application, extensions of time, questions about the relevant law, and objections to summonses. Further information is available on the ART website. |
1.4 Roles and Responsibilities
The roles and responsibilities set out in the Standard Operating Procedure: Document Control apply also to this procedure.
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2. Checklist
| Topic | Checklist |
|---|---|
| Pre-Requisites | 🧰 A matter has been listed for a Case Conference or Conciliation For Case Conferences only: 🧰 A Statement of Issues (SOI) has been lodged with the ART |
| Actions | For Case Conferences: 🧰 3.1 Save copies of all relevant documents 🧰 3.2 Attend the Case Conference 🧰 3.3 After the Case Conference For Conciliation: 🧰 3.4 Preparing for Conciliation 🧰 3.5 Making a recommendation for Conciliation position 🧰 3.6 Attend the Conciliation 🧰 3.7 After the Conciliation |
3. Procedure
3.1 Save copies of all relevant documents
Locate and ensure that copies of the documents relevant to the Case Conference are saved in LEX. This includes, but is not limited to:
- the Agency’s Statement of Issues (SOI);
- the T-Documents lodged on behalf of the Agency under section 23 of the Administrative Review Tribunal Act 2024;
- any additional information or evidence which has been provided in support of the application for review, which are not otherwise included in the T-Documents;
- email(s) to the Lawyer with carriage providing instructions, and any legal advice received to date; and
- any internal specialist advice obtained during the course of the matter.
3.2 Attend the Case Conference
The Listing Notice will specify a date and time for the Case Conference. The ART, either in the Listing Notice or by email, will advise their preferred mode of attendance (for example, attendance by telephone).
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The CM will attend the Case Conference on the date and at the time specified in the Listing Notice. The role of a CM at a Case Conference is to actively engage where appropriate, take notes which can be entered on to LEX as a file note, instruct the Lawyer with carriage in response to issues which arise at the Case Conference, and to be mindful of and open to potential settlement opportunities.
3.3 After the Case Conference
Set any Case Conference reminders in LEX to Done.
The Lawyer with carriage will prepare a report on the Case Conference, which will be sent to the CM within one week of the Case Conference. Once received, save the Lawyer’s report on the Case Conference to LEX, together with any notes taken during the Case Conference.
Update the Reminders tab in LEX to reflect the Directions made by the ART at the Case Conference, and to reflect details of any future listings (if known). The ART will sometimes issue Directions a few days after the Case Conference, which will be sent to the ART Correspondence inbox. Once received, ART Operations Officers will upload a copy of the Directions and update LEX.
There are five likely outcomes following a Case Conference:
- ❑ 3.3.1 Subsequent Case Conferences
- ❑ 3.3.2 Tribunal Directions Hearing
- ❑ 3.3.3 Conciliation
- ❑ 3.3.4 Resolution by Consent
- ❑ 3.3.5 Hearing
3.3.1 Subsequent Case Conferences
Sometimes, the ART will direct that the matter proceed to a further Case Conference. The CM will instruct the Lawyer with carriage to prepare and, once cleared by the CM, to lodge an updated SOI ahead of each subsequent Case Conference.
For each subsequent Case Conference, refer to the Standard Operating Procedure: Reviewing the Matter for procedural guidance on reviewing the available evidence (including any new evidence), seeking updated legal advice, preparing the Agency’s SOI, and instructing the Lawyer acting; and repeat procedural 3.1 – 3.3 of this procedure (above).
3.3.2 Tribunal Directions Hearing
Occasionally, the ART will list the matter for a Directions Hearing, where timetabling Directions are not made at or immediately after the Case Conference. Matters may also be listed for a Directions Hearing in place of a Case Conference, where an issue is identified which means the matter must
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be prioritised and progressed urgently (for example, matters in which a participant or prospective participant requires palliative care).
When this happens, refer to the Standard Operating Procedure: Reviewing the Matter for procedural guidance on reviewing the available evidence, seeking the appropriate advice, and formulating the Agency’s position going into the Directions Hearing.
Note: It is not necessary to file a SOI ahead of the Directions Hearing; instead, the CM will work with the Lawyer acting to formulate the Agency’s position going into the Directions Hearing, and will have that position cleared by their Line Manager.
To prepare for and attend the Directions Hearing, repeat procedural 3.1 – 3.3 of this procedure (above).
3.3.3 Conciliation
Generally, planning matters will be listed for Conciliation as the next step in the DR pathway, while the Agency and the participant negotiate issues in dispute and consider possible options to reach an agreement before a hearing. Access matters are rarely listed for Conciliation. When a matter is listed for Conciliation, proceed from 3.4 (below).
3.3.4 Resolution by Consent
It may be possible to resolve a matter on the basis of the available evidence, during or after the Case Conference. Refer to the Standard Operating Procedure: Resolved by Consent for further procedural guidance.
3.3.5 Hearing
The ART may list a matter for Hearing after the Case Conference or Directions Hearing (3.3.2), without proceeding to Conciliation. When this happens, refer to the Standard Operating Procedure: Resolved by Hearing.
3.4 Preparing for Conciliation
The ART will issue a Listing Notice once a matter is listed, which will set out the date and time of the Conciliation.
3.4.1 Record Pre-Conciliation Observations
No later than two weeks ahead of the Conciliation, the CM will review the matter and record their pre-conciliation observations as a file note in LEX.
The relevant factors for consideration include, but are not limited to:
- ❑ the progress of the matter;
- ❑ internal specialist advice received;
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- ❑ updated legal advice, including any pre-Conciliation discussion with the Lawyer with carriage or Counsel (if engaged); and
-
- who will attend the Conciliation, including a representative from the Technical Advice or Practice Improvement Branch (TAPIB) (where applicable).
3.4.2 Meet with Line Manager ahead of the Conciliation
The CM should schedule a meeting with their Line Manager no later than two weeks ahead of the Conciliation. During the meeting, the CM will arrange with their Line Manager for the relevant people to be available to attend the Conciliation, or to be on stand-by to enable the provision of timely and meaningful instructions to the Lawyer with carriage. This may include an advisor from TAPIB.
The CM will record the action items raised during the meeting, as well as any necessary or recommended next steps, as a file note in LEX.
3.4.3 Seek updated advice ahead of the Conciliation
No later than one week ahead of the Conciliation, the CM will seek updated advice from the Lawyer with carriage and/or Counsel (if engaged).
The CM will, after the meeting with their Line Manager, seek updated advice from internal specialist team(s) as discussed during the meeting, especially in relation to new evidence which was not considered in any previous advice.
For procedural guidance on how to seek advice from internal specialist teams, see the Standard Operating Procedure: Reviewing the Matter.
3.4.4 Resolve the matter
Where a settlement opportunity is identified during the meeting with their Line Manager, the CM will proceed to formulate and present an offer to the participant or prospective participant. For further procedural guidance, please see the Standard Operating Procedure: Resolved by Consent.
3.5 Making a recommendation for Conciliation position
The CM will formulate a recommendation in relation to the Agency’s Statement of Position, which the CM will record in LEX as a file note: Recommendation conciliation preauthorisation. The CM will base their recommendation on their review of the available evidence, their discussion with their Line Manager at 3.4.2, and any updated advice, if applicable.
The CM’s recommendation will then be reviewed and cleared by their Line Manager.
No later than one week before the Conciliation, the CM will relay their recommendation, as cleared by their Line Manager, to the Lawyer with carriage for input, and to enable them to prepare the Agency’s Statement of Position. At the same time, the CM will confirm who from the Agency will attend the Conciliation.
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Once drafted, the Agency’s Statement of Position will be cleared by the CM.
3.6 Attend the Conciliation
The Listing Notice will specify a date and time for the Conciliation. The ART, either in the Listing Notice or by email, will advise their preferred mode of attendance (for example, attendance by Microsoft Teams).
The CM will attend the Conciliation on the date and at the time specified in the Listing Notice. The role of a CM at the Conciliation is to take notes, to instruct the Lawyer with carriage in response to issues which arise at the Conciliation, and to be mindful of and open to potential settlement opportunities.
3.7 After the Conciliation
Set any Conciliation reminders in LEX to Done.
The Lawyer with carriage will prepare a report on the Conciliation, which will be sent to the CM within one week of the Conciliation. Once received, save the Lawyer’s report on the Conciliation to LEX, together with any notes taken during the Conciliation.
Update the Reminders tab in LEX to reflect the Directions made by the ART following the Conciliation, and to reflect details of any future listings (if known). The ART will sometimes issue Directions a few days after the Conciliation, which will be sent to the ART Applications and Decisions inbox. Once received, ART Operations Officers will upload a copy of the Directions and update LEX.
There are three likely outcomes following Conciliation:
- ❑ 3.7.1 Subsequent Conciliation
- ❑ 3.7.2 Hearing
- ❑ 3.7.3 Resolution by Consent
3.7.1 Subsequent Conciliation
Sometimes, the ART will direct that the matter proceeds to a further Conciliation. When this happens, proceed again from 3.4 of this procedure on wards (above) for each subsequent Conciliation.
3.7.2 Hearing
In general terms, Conciliation is the last step in the DR pathway. Once the DR pathway has been exhaustively navigated, the ART will direct that the matter be listed for Hearing. When this happens, refer to the Standard Operating Procedure: Resolved by Hearing for further procedural guidance.
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3.7.3 Resolution by Consent
It may be possible to resolve a matter on the basis of the available evidence, during or shortly after the Conciliation. Refer to the Standard Operating Procedure: Resolved by Consent for further procedural guidance
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3.8 Process Flowchart
[Flowchart diagram depicting Dispute Resolution workflow from 3.1 through 3.8]
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