FOI 24.25 1119 Decision Document.pdf

FOI 24/25-1119
OFFICIAL:SENSITIVE

Contents
1.  Introduction
3
1.1
Purpose
3
1.2
Scope
3
1.3
Definitions
3
1.4
Roles and Responsibilities
4
2.  Checklist
7
3.  Procedure
8
3.1
MLO Complaint Coordination
8
3.1.1  Receipt of MLO Complaint
8
3.1.2  Review and Acknowledgement
9
3.1.3  Escalation Pathways
10
3.2
Obtaining Information and Evidence
10
3.3
Internal Review and Consideration
10
3.4
External Review and Recommendation
12
3.5
Final Decision
13
3.5.1  If further information is required
13
3.6
Finalisation and notification
14
3.7
Process Flowchart
15
4.  Annexures
16
4.1
Annexure A – Actions, timeframes, and responsible persons
16
4.2
Annexure B – MLO Complaint Threshold Assessment
18
4.3
Annexure C – Using Legal LEX
20
4.4
Annexure D – Using GovTeams
22
4.5
Annexure E – Using PDMS
23

NDIA-IRPLO-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

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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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3.1.2  Review and Acknowledgement
Within 2 business days of receiving the complaint, an MLO Coordinator wil
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 wil :
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 wil  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 wil  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 wil :
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 wil :
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 wil :
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) wil  be referred for
NDIA-IRPLO-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

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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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investigation  to an independent,  external investigator as an MLO
Complaint;
d.  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 wil  be assessed  and
inviting they provide further information about the MLO complaint;
and
e.  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 wil  be escalated for priority investigation
in shorter-than-ordinary  timeframes.
The MLO Coordinator in col aboration  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 pal iative care;
2.  active media involvement;
3.  multiple active complaints; and/or
4.  Ministerial complaints.
Where escalation is required, the MLO Coordinator, in col aboration with IAE
wil  negotiate  a reduction in ordinary investigative timeframes with al  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 wil  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 wil  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 wil :
NDIA-IRPLO-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

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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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the MLO Coordinator to obtain that additional  information from the LWC and/or
CM.
Fol owing their review, the ILO, IAE wil  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 col ected 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 wil  provide the Independent  Reviewer (External Law Firm) with the
Investigation Pack using GovTeams (see Annexure D – Using GovTeams), and
wil  update LEX accordingly. The MLO inbox should be cc’d for tracking purposes.
The Independent  Reviewer wil  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
wil  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 wil  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.
3.  Draft notification to the Office of Legal Services Coordination (OLSC)
outlining  the complaint and the outcome.
4.  Draft MLO Complaint Outcome Letter for review by IAE and, signature by
the MLO Decision Maker.
NDIA-IRPLO-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

Page 12 of 23
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 wil
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 wil  finalise the MLO Complaint by:
5.  Sending the signed  outcome letter to the MLO Complainant.
6.  Ensuring that al  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 – 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.
NDIA-IRPLO-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

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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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3.7  Process Flowchart

NDIA-LPC-SOP-013-V001-FINAL



SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE


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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
1.  Log in to Legal LEX
2.  Select Add Matter
3.  Title the matter as fol ows: MLO Complaint – [Name/Pseudonym] and NDIA
([Proceeding Number]) – AAB LEX ID [insert]
4.  Fil  in the fol owing fields with the required information:
a.  Participant NDIS number: [as per AAB LEX]
b.  Client (Group/Branch): Other – MLO Complaints
c.  Matter Type: Releases and Resolutions – MLO Complaints – [Breach,
No Breach or Threshold Not Met] (this field is to be left blank and
completed at the end of the investigation,  after OLSC has been
notified)
d.  External Firm: [as per AAB LEX]
e.  Status: Active (this wil  be set to Closed at the end of the investigation,
after OLSC has been notified)
f.  Date Received: [date of complaint]
g.  Date Closed: [to be entered on date of closure]
h.  Snapshot / Matter Summary: [Complete the template available once
OLSC has been notified]
5.  Upload copies of al  correspondence and supporting  evidence relevant to the
complaint under the Documents tab in LEX, ensuring that documents uploaded
adhere to the fol owing naming conventions:
a.  Complaint: This is the first email received by
@
s47E(d) - c
n

dis. g ov.au which
includes relevant complainant details
12. Request to LWC: This is the email sent by the MLO Coordinator to the
LWC requesting their response to the complaint
b.  Response from LWC: This is the response  provided by the LWC in
relation to the complaint, including supporting  evidence
c.  Response from CM/Complaint Champion: This is the response
provided by the CM/Complaint Champion in relation to the complaint,
including supporting  evidence (if applicable).
d.  Legal Advice: This is the response provided by the Independent
Reviewer, which includes their recommendation, draft MLO outcome
letter, and draft OLSC notification form

NDIA-LPC-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

Page 20 of 23
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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13. Final Determination: This is the endorsement email from the Releases and
Resolution team, and/or the MLO Complaint Decision Maker
e.  Outcome Letter: Bcc email received from Complaints Branch sent to
the complainant with the Outcome Letter.

NDIA-LPC-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

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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.
Page 22 of 24

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4.4  Annexure D – Using GovTeams
GovTeams is the way in which the Agency securely shares sensitive information
and evidence with an external party (including an Independent  Reviewer), which
cannot be sent by email due to file size limitations.
To workflow the MLO Complaint investigation pack to the Independent Reviewer:
1.  Log in to GovTeams
2.  Select the correct firm
3.  Select ‘SharePoint’
4.  Select ‘Documents’ tab
5.  Create a new folder titled: [Legal LEX ID] [Name/Pseudonym] and NDIA
([Proceeding Number])
6.  Upload copies of al  documents received during the investigation,  including:
a.  the original  complaint email;
14. the MLO Coordinator’s request(s) for information, which articulates the
alleged breach or breaches under Appendix B to the Legal Services
Directions 2017;
b.  the response  provided by the LWC;
c.  any supporting documents provided by the LWC; and
d.  additional  information or evidence provided by the Case Manager,
Complaints Champion, CM Director.
7.  Send a folder link to the Independent  Reviewer via email.

NDIA-LPC-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

Page 22 of 23
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.
Page 23 of 24

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4.5  Annexure E – Using PDMS
1.  Log in to PDMS
2.  Select Create PDR, and then select Executive Communications
3.  Title the record as fol ows: MLO Complaint | [Name or Pseudonym] and NDIA
([Proceeding Number])
4.  Select responsible  area and responsible  person
5.  Select Requested Action/Decision/Signature (as appropriate)
6.  Select reason for creation as Executive Request
7.  Within Milestones, select set by critical date: [7 days from date of request]
8.  Within the Document Package section, prepare the MLO Outcome Letter using
the response  letter drafted by the Independent Reviewer, and insert as
Response Document
9.  Insert additional  documents, inclusive of clearance of documents by the final
decision maker, as Excluded from Package
15. Assign the PDR for clearance to the MLO Complaint Decision Maker
10. Once cleared and signed, the PDR case wil  be assigned  to a team member
within the Complaints team for dispatch.
11. To upload a copy of the email dispatching the MLO Outcome Letter, select the
relevant PDR, then select Attachments, and then drag and drop the email. This
wil  al ow the DSO to publish and close the PDR.

NDIA-LPC-SOP-013-V001-FINAL

SOP: Model Litigant Obligation Complaints
OFFICIAL:SENSITIVE

Page 23 of 23
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.
Page 24 of 24