NDIA Accountability Project

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Standard Operating Procedure: Model Litigant Obligation Complaints

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Contents

  1. Introduction 1.1 Purpose 1.2 Scope 1.3 Definitions 1.4 Roles and Responsibilities
  2. Checklist
  3. Procedure 3.1 MLO Complaint Coordination 3.1.1 Receipt of MLO Complaint 3.1.2 Review and Acknowledgement 3.1.3 Escalation Pathways 3.2 Obtaining Information and Evidence 3.3 Internal Review and Consideration 3.4 External Review and Recommendation 3.5 Final Decision 3.5.1 If further information is required 3.6 Finalisation and notification 3.7 Process Flowchart
  4. Annexures 4.1 Annexure A – Actions, timeframes, and responsible persons 4.2 Annexure B – MLO Complaint Threshold Assessment 4.3 Annexure C – Using Legal LEX 4.4 Annexure D – Using GovTeams 4.5 Annexure E – Using PDMS

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

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3.1.2 Review and Acknowledgement

Within 2 business days of receiving the complaint, an MLO Coordinator will review and assess the complaint against the Annexure B – MLO Complaint Threshold Assessment (Annexure B – MLO Complaint Threshold Assessment), to determine whether threshold for further investigation is met.

If the MLO Coordinator considers the threshold is met, they will:

  1. Create a Legal LEX Matter (see Annexure C – Using Legal LEX).
  2. Record the complaint on the MLO Complaint Tracker.
  3. Send an email to the Complaints Branch acknowledging that the complaint (or elements of the complaint) has been received and will be facilitated to an independent, external assessment as an MLO Complaint.
  4. Send correspondence to the MLO complainant, in the manner they have identified they wish to receive correspondence, acknowledging that the complaint has been received and will be assessed.
  5. Proceed to obtain available information and evidence relevant to be considered in the independent, external investigation into the MLO complaint, in accordance with 3.2, below.

If the MLO Coordinator considers the threshold is not met, they will:

  1. Draft a recommendation that the MLO Complaints threshold is not met, for review and determination by the Principal Legal Officer (PLO), IAE.
  2. If the PLO, IAE agrees with the MLO Coordinators’ recommendation that the MLO Complaint Threshold is not met, the MLO Coordinator will:
  3. create Legal LEX Matter (see Annexure C – Using Legal LEX), and close the matter by selecting matter type: IAE – MLO Complaints – Threshold not Met; a. record the complaint on the MLO Complaint Tracker; and b. refer the complaint to the Complaints Branch for processing.
  4. If the PLO, IAE disagrees with the MLO Coordinators’ recommendation and determines that the MLO Complaint Threshold is met, the MLO Coordinator will: a. create a Legal LEX Matter (see Annexure C – Using Legal LEX); b. record the complaint on the MLO Complaint Tracker; c. send an email to the Complaints Branch acknowledging that the complaint (or elements of the complaint) will be referred for

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  • investigation to an independent, external investigator as an MLO Complaint;
  • send correspondence to the MLO complainant, in the manner they have identified they wish to receive correspondence, acknowledging that the complaint has been received and will be assessed and inviting they provide further information about the MLO complaint; and
  • proceed to obtain available information and evidence relevant to be considered in an independent investigation into the complaint, in accordance with 3.2, below.

3.1.3 Escalation Pathways for Priority Investigations

Where appropriate, MLO Complaints will be escalated for priority investigation in shorter-than-ordinary timeframes.

The MLO Coordinator in collaboration with IAE are responsible for identifying high-risk factors which may require that an MLO Complaint be investigated as a priority. High-risk factors include:

  1. a participant or prospective participant is identified as requiring or receiving palliative care;
  2. active media involvement;
  3. multiple active complaints; and/or
  4. Ministerial complaints.

Where escalation is required, the MLO Coordinator, in collaboration with IAE will negotiate a reduction in ordinary investigative timeframes with all relevant stakeholders.

The ILO, IAE is responsible for notifying the Special Counsel, IAE of the escalated complaint as soon as the escalation is identified.

The IAE lawyer will promptly instruct the external law firm, including advising that this matter is a priority investigation, highlighting the high-risk factors, to ensure the investigation is properly conducted and high-risk factors considered, if appropriate.

3.2 Obtaining Information and Evidence

The MLO Coordinator will obtain relevant information and evidence to be considered in the independent review of the complaints that meet the MLO Complaint Threshold.

Within 2 business days of determining that a complaint meets the threshold, the MLO Coordinator will:

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the MLO Coordinator to obtain that additional information from the LWC and/or CM.

Following their review, the ILO, IAE will send the Investigation Pack to the Independent Reviewer (External Law Firm) to conduct the investigation of the complaint – which includes:

  1. A Letter of Instruction to the Independent Reviewer (External Law Firm)
  2. A request for fee estimate for the work
  3. A copy of the original MLO Complaint
  4. The information and evidence collected in 3.2, including the responses received from the LWC, the Case Manager, their Director, the appropriate DR&L PLO, and the relevant Complaint Champion.

The ILO, IAE will provide the Independent Reviewer (External Law Firm) with the Investigation Pack using GovTeams (see Annexure D – Using GovTeams), and will update LEX accordingly. The MLO inbox should be cc’d for tracking purposes.

The Independent Reviewer will provide a quote for the work required, using rates determined in the Legal Services Panel Work Order. This should be reviewed and approved by the Principal Legal Officer (IAE).

3.4 External Review and Recommendation

The ILO, IAE is responsible for Instructing the External Investigator (External Law Firm) and coordinating an independent external review of the MLO Complaint, and will be the primary point of contact between the Independent Reviewer and the Agency.

Within 10 business days of receiving the Investigation Pack, the Independent Reviewer will provide to the ILO, IAE:

  1. Confirmation of receipt of the investigation pack and Letter of Instruction.
  2. A draft Recommendation Report which details the review and the recommendation, regarding whether a breach of the Agency’s MLO is substantiated.

The draft Recommendation Report where possible, should also include recommendations to the Agency on ways in which it can improve processes and procedures, which may be used to inform future continuous improvement initiatives.

  1. Draft notification to the Office of Legal Services Coordination (OLSC) outlining the complaint and the outcome.
  2. Draft MLO Complaint Outcome Letter for review by IAE and, signature by the MLO Decision Maker.

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

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3.6 Finalisation and notification

Within 2 business days of the final decision being made, the ILO, IAE will notify the MLO Coordinator of the MLO Complaint Outcome by providing the signed MLO Complaint Outcome Letter to the MLO inbox.

Within 2 business days of being notified of the MLO Complaint outcome, the MLO Coordinator will finalise the MLO Complaint by: 5. Sending the signed outcome letter to the MLO Complainant. 6. Ensuring that all relevant documents are uploaded in LEX, including the signed outcome letter (see Annexure C – Using Legal LEX). 7. Updating the MLO Complaint Tracker. 8. Notifying OLSC of the complaint outcome by email under section 66(1)(b) of the [National Disability Insurance Scheme Act 2013](https://www.legislation.gov.au/Details/C2023C00331) – with attached copies of: a. an approved OLSC Agency notification, in the approved template; b. a copy of the Independent Reviewer’s Recommendation Report; and 9. a copy of the signed MLO Complaint Outcome Letter which was provided to the complainant. 10. Finalise the LEX file. 11. Provide a copy to the IRPLO Director of Continuous Improvement to enable the team to identifying key themes and recommendations arising from MLO Complaints which may inform future training and continuous improvement.

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

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4.2 Annexure B – MLO Complaint Threshold Assessment

This annexure is to be used when reviewing an MLO Complaint, to determine whether the complaint meets the established threshold for further investigation.

LEX No: Complainant: Date of complaint: Tribunal / Court Proceeding Number:

Checklist for determining whether the MLO Complaint Threshold is met

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

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Matrix of identified themes / complaint elements requiring investigation

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

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4.3 Annexure C – Using Legal LEX

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

OFFICIAL:SENSITIVE

redacted: s47E(d) - certain operations of agencies, s22(1)(a)(ii) - irrelevant material

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

OFFICIAL:SENSITIVE

4.4 Annexure D – Using GovTeams

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.

OFFICIAL:SENSITIVE

4.5 Annexure E – Using PDMS

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In confidence and subject to legal professional privilege (and may be subject to common interest privilege, where applicable). It is recommended that the Legal Services Branch be conferred with prior to any intended distribution, to ensure that privilege is not waived.

This document is uncontrolled in hard copy.