DOCUMENT 2 FOI 24/25-1246 OFFICIAL For Internal Use Only
National Disability Insurance Agency
AAT Case Management Branch
Standard Operating Procedure: Resolved by Hearing
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Document Control Document No NDIA-AAT CM-SOP-032 HPRM Document No Date August 2023 Status FINAL Version 004 Document applicability National – AAT Case Management Branch Owner Director, Quality, Reporting, Strategy and Training
Approval Status Log Version 004 Reviewed by AAT CM SOP Working Group Endorsed by Assistant Director, Strategy Approved by Director, Quality, Reporting, Strategy and Training Approval date 30 November 2023
Revision History Summary of Revision 1 Date 07/12/2022 Sections All Original Changes Summary of Amended after Revision 2 Date 09/01/2023 Sections All Changes consultation Summary of Updated SOP Revision 3 Date 12/01/2023 Sections All Changes formatting Summary of Amended to replace Revision 4 Date 26/08/2023 Sections All Changes HOC with ALOC
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FOI 24/25-1246 OFFICIAL For Internal Use Only Contents
- Introduction 4 1.1 Purpose 4 1.2 Scope 4 1.3 Roles and Responsibilities 4
- Considerations for Hearing 5
- Procedure 5 3.1 Identify when a matter is listed for Hearing 5 3.2 Preparation for the Hearing 6 3.3 Requesting TAPIB Advice 6 3.4 Independent Medical Expert (IME) Report/Assessment 6 3.5 Engaging Counsel 7 3.6 Statement of Facts, Issues and Contentions (SFIC) 8 3.7 Hearing Certificates 8 3.8 Requesting an Internal Legal Officer (ILO) 8 3.9 Listing on the Pre-ALOC Agenda 8 3.10 Pre-ALOC Meeting 8 3.10.1 What is Pre-ALOC? 8 3.10.2 Who attends Pre-ALOC meetings? 8 3.10.3 What information do I need? 9 3.10.4 What happens after your presentation? 9 3.11 ALOC Meeting 9 3.11.1 Who are the ALOC members? 9 3.11.2 How do I prepare for ALOC? 9 3.12 Attend the Hearing 10 3.13 After the Hearing 10 3.13.1 Verbal and/or Written Closing Submissions 10 3.13.2 Hearing Report 10 3.13.3 AAT Decision 10 3.13.4 Appealing an AAT Decision 11 3.13.5 Closing the Matter 11 3.14 Process Flowchart 12
- Annexures 13
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4.1 Annexure A – Technical Advice Request Form 13 4.2 Annexure B – Allocating an ILO Email Template 16 4.3 Annexure C – Pre- ALOC Template Summary and Example 17 4.3.1 Template 17 4.3.2 Example 18
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- Introduction
1.1 Purpose This Standard Operating Procedure (SOP) will help you to complete the necessary steps to progress a matter to Hearing before the Administrative Appeals Tribunal (AAT), including preparation for the Appeals and Litigation Oversight Committee (ALOC) and pre-ALOC meetings.
1.2 Scope This SOP applies nationally across the AAT Case Management Branch, and is to be used by: • AAT Case Managers
1.3 Roles and Responsibilities The roles and responsibilities set out in the Standard Operating Procedure: Document Control apply also to this SOP.
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FOI 24/25-1246 OFFICIAL For Internal Use Only 3.2 Preparation for the Hearing To prepare for the Hearing, you will need to ensure you have the following: s22(1)(a)(ii) - irrelevant material
Independent Medical Expert (IME) report/assessment (if applicable) s22(1)(a)(ii) - irrelevant material
s22(1)(a)(ii) - irrelevant material
3.4 Independent Medical Expert (IME) Report/Assessment An IME may be required if you need independent information in relation to a participant’s or prospective participant’s impairments and functional capacity, or to identify whether the requested supports are reasonable and necessary. The lawyer acting will generally advise whether an IME report or assessment is required. TAPIB may also make a recommendation to engage an IME. You will need to seek written approval via email from your EL2 Director to engage an IME. You will need to include a summary of the matter and whether the recommendation to engage an IME was made by the lawyer acting or TAPIB. The IME will either complete a report on the evidence available (‘on the papers’), or conduct an in-person assessment and report. The lawyer acting will recommend 2 – 3 IMEs with relevant experience and qualifications. You will need to review these recommendations and select an IME. The lawyer acting will then draft a brief to the IME, which you will need to review. You will need to forward the brief to your EL1 Assistant Director for clearance. When the IME report/assessment is completed, you will need to review their recommendations and consider whether an offer can be made to settle the matter. The IME may be required to give expert evidence at the hearing as a witness.
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FOI 24/25-1246 OFFICIAL For Internal Use Only s22(1)(a)(ii) - irrelevant material
3.7 Hearing Certificates Hearing Certificates provide your availability and the availability of the Lawyer acting, Counsel and witnesses (including IMEs, where applicable). The Lawyer acting will draft the Hearing Certificate. You will need to review and clear the Hearing Certificate and instruct the lawyer acting to lodge a copy with the AAT. s22(1)(a)(ii) - irrelevant material
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3.14 Process Flowchart
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