The Community Justice Centres (CJC) program provides mediation services to resolve disputes across New South Wales. Established in 1980, CJC aims to resolve disputes through mediation as an alternative to the court system. CJC is a division of the NSW Department of Communities and Justice and operates out of a central office in Parramatta, utilizing a network of over 100 panel mediators located throughout the state. Mediation services are provided free of charge and focus on facilitating voluntary and informal dispute resolution.

1. Professor Tania Sourdin
Dean of the Law School

2. Andrew Mills, Second Commissioner of the Australian Taxation Office
2

3. Jeniffer Drennan
Newcastle Professional Development Group

5. Department of Defence
Dispute Resolution Program
Mr Petri Kristian Assistant Director Resolution
Ms Carol Bowen DRP NSW
Directorate of Complaints and Resolution
HR Services Branch
Defence People Group

6. Department of Defence ADR Program
How our program evolved
• A brief history
Our early years:
– Mediation
– Conflict Coaching; and
– Group facilitation

7. Department of Defence ADR Program
What we do:
• Facilitating workplace conflict interventions as a result of:
– Unacceptable behaviour in the workplace,
– Interpersonal conflict,
– Performance management, and
– General conflict and disagreements

8. Department of Defence ADR Program
Our current suite of services:
• Mediation
• Facilitated conversations
• Group facilitation
• Restorative engagement
• Conflict Management Coaching
• Management/commander advice
• Interactive problem solving
• Bespoke dispute resolution
• Training workplace behaviour advisers

9. Department of Defence ADR Program
Facilitating restorative engagements
Focussing on practice
– Intake;
– Scoping; and
– Intervention steps

11. Dispute Resolution within the ATO
Presented by: Damien Browne
Assistant Commissioner, Review & Dispute Resolution
Australian Taxation Office
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
How to use this slide
pack
11

12. 12
Managing disputes
36,572,123
activity statements
and returns
361,107
audit adjustments
24,350
objections
478
appeals lodged
in the AAT or
Federal Court
102
litigation
decisions
2017-18
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

13. 13
Review and Dispute resolution
• RDR is a separate business line responsible for reviews
(e.g. objections and independent review) and litigation
• Reports to a separate Second Commissioner by design to
increase independence from audit areas of the ATO
• Strict communication protocols between RDR and other
business lines.
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

14. The resolution mindset
• Early, transparent and consistent engagement is vital.
• Independence of the dispute resolution function from
compliance activities is crucial.
• Fair and timely resolution of disputes.
• Exercising pragmatic decision making.
• Sensibly managing risks and resources.
• Focussing on outcomes that support willing
participation.
14UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

15. • Prevention
• In-house facilitation
• Dispute Assist
• Tax Clinics
• Independent Review Small and Large Business
• Settlements (reviewed settlement code) (Independent
assurance)
• Test case litigation program
15UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
Dispute resolution innovations / improvements

16. We seek to:
• Impart knowledge and educate clients and tax
practitioners – to encourage compliance and dissuade
incorrect reporting.
• Fine tune our own processes and engage with other areas
of the ATO to address areas of concern - to create an
environment where disputes can be resolved early and
efficiently.
16UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
Prevention

17. 17
• Aimed at disputes with individuals and small business
• ATO facilitators are trained in the mediation process and are
‘independent’ of the dispute
• Requests can be made by the taxpayer or by ATO staff
• Preferably done face to face at a convenient location for the
client
• Feedback is sought following the facilitation
• Estimated to save an average of $50,000 AUD per case.
In-house facilitation service
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

18. 18
• 267 referrals resulted in 69 In-house facilitations
• The majority of other matters were resolved beforehand by the
increasingly popular ‘facilitated conversation’ approach
• 94% of matters facilitated resulted in full or partial resolution
• 88% of referrals were made by taxpayers or their advisors
• Numbers by market segment; 30% individuals, 40% small
business, 29% small to medium enterprise, 1% large business
and 1% not for profit.
In-house facilitation service
(2018-19)
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

19. Dispute Assist
19UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
A service to support
unrepresented individuals
and small business clients
through dispute processes

20. Dispute Assist
20UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
1
2
Ensure all options
have been explored
in resolving your
dispute
3
Provide assurance
that your dispute has
been handled in a
fair manner
4
Assist you in
accessing any processes
moving forward
Connect you with
the right people so that
your dispute can be
resolved as early as
possible

21. • Available to unrepresented taxpayers who are experiencing
some form of difficulty (such as domestic violence, family
breakdown, disability, illness, financial hardship or addiction).
• No other tax jurisdiction in the world offers a similar service.
• Trained Dispute Assist Guides are assigned to support
individual and small business clients during their interactions
with the ATO.
• During the 2018-19 year we supported 247 taxpayers with a
Dispute Assist guide.
21UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
Dispute Assist

22. 22
Settlements
• Revised ATO Code of Settlement issued in 2017
• The findings of the Australian National Audit Office (ANAO)
report released December 2017 show the ATO’s use of
settlements is effective and overall positive.
• The ANAO found in in their review of settlements that the
ATO had the highest level of transparency and public
reporting around settlements when compared to other
national revenue authorities.
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

23. 23UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle
Independent Assurance of Settlements
• Implemented in 2016 and reviews and advises on our largest
and most significant settlements.
• Provides the community with confidence that ATO
settlements and settlement processes are fair and
reasonable and consistent with legal principles.
• Four retired Federal Court judges involved – they provide a
view on whether the settlements are fair and reasonable.
This is post-settlement.

24. Tax Clinics
• Federal Government initiative, funding 10 universities to establish
and operate tax clinics
• The ATO is responsible for administering the grants
• All 10 clinics are operational, assisting clients around Australia
• Initial observations are positive; clients appreciate having
somewhere free and independent from the ATO to seek
assistance
• The ATO has begun an evaluation of the process, working with
Treasury on developing a longer term policy for a National Tax
Clinic Program.
24UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

25. Independent review
• Large market (turnover > 250M)
• Small business
25UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

26. • Established to fund cases that have broader implications
beyond the individual dispute with the ATO
• Seeks to achieve precedential decisions that will clarify
taxation, superannuation and, in some instances, debt-
related issues
• Provides financial assistance to help taxpayers meet some
or all of their reasonable legal costs.
Test case litigation program
26UNCLASSIFIED - Practitioner Connect – 9 May 2019, The Law Society of NSW

27. • The Chair, Jeremy Geale, Deputy Commissioner,
Review and Dispute Resolution
• The Deputy Chair, Grahame Tanna, Assistant
Commissioner, Review and Dispute Resolution
• The Hon Kevin Lindgren AM QC, Former Judge of the
Federal Court of Australia
• Peter Poulos, Partner Tax Controversy, Minter Ellison;
and
• Graeme Wade, Former President of CPA Australia.
27UNCLASSIFIED - Practitioner Connect – 9 May 2019, The Law Society of NSW
Test case litigation panel

28. Cases we fund need to;
• involve issues where there is uncertainty or contention
about how the law operates
• be in the public interest to be litigated.
28UNCLASSIFIED - Practitioner Connect – 9 May 2019, The Law Society of NSW
Test case litigation criterion

29. Complaints
ATO Complaints
https://www.ato.gov.au/about-ato/contact-us/complaints,-
compliments-and-suggestions/complaints/
Inspector-General of Taxation - Taxation
Ombudsman
http://igt.gov.au/making-a-complaint/
29UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle

30. Thank you
UNCLASSIFIED – Government approaches to ADR – 13 September 2019, The University of Newcastle 30

39. Online Learning Centre

57. NSW Fair Trading
Complaints are our business

58. Who is NSW Fair Trading?
We are a consumer protection agency
We work with consumers and traders
We provide:
• complaint handling – receive 50,000 complaints and 1 million
inquiries each year
• Regulation
• community education
• We aim to resolve most complaints with 30 days

59. What type of matters can we assist with?
59
General Buying Products and services
Product Safety
Holiday Parks
Games of Chance
Charitable Fundraising
Trading on Public Holidays
Entertainment
Property Renting
Real Estate, Property Management
Motor Vehicle Motor Vehicle Warranty and Repair
Disputes
Building Building and renovating
Strata Mediation Strata and community disputes

60. What matters we cannot assist with
General Banks, financial service providers,
insurance
Other Government Departments
Local Councils
Electricity, Gas & Water
Lawyers and solicitors
Telephone or internet service providers
Property Public or social housing
Boarding house residents
Retail leases
Termination of Agreements
Contractual disputes

61. Before a complaint is lodged?
We encourage the customer to :
• Talk it over with organisation
• Explain the problems encountered
• Advise what they would like as a resolution
• Provide a reasonable time frame for this to happen
• Provide their details so that the organisation can respond
• For those that do not want to talk face to face we have sample letters they may
use as a guide when writing their complaint letter
• If this fails they are advised to lodge a complaint – the complaint process is
a voluntary process between the parties involved
61

62. How is a complaint received?
• Website
• Letter
• Email
• Lodged at Service NSW
• Over the phone
• Social media
62

63. What happens when a complaint is lodge?
A Fair Trading Officer will:
• Assess the issues in dispute
• Look at options to resolve the complaint
• Assess if a breach of law has occurred
• Assess if it would be better handled by another organisation
63

64. Next step
A Fair Trading officer will
• Contact both parties usually by phone
• Explain the relevant matters in the complaint
• Allow all parties to put forward their position
• Confirm that all relevant matters have been discussed
• If mutual resolution reached, advise both parties and close the matter
64

65. If mutual resolution is not met
• The Fair Trading Officer will advise all parties of options
• Other Fair Trading options:
- Refer to another division for further action
- Apply under consumer guarantee direction process
• Other organisation options:
- Tribunals -Other government departments or organisations
- To seek independent legal advice
• Fair Trading will not take sides or represent either party
- Offer any legal advice
- Continue with complaint handling process if either party are unwilling to
reach an agreeable resolution
65

66. Home Building and Motor Vehicle complaints
If mutual agreement is not reached in these matters it may be referred to either a
Home Building Inspector or Motor Vehicle inspector for further assessment. Our
inspectors are fully qualified for inspection matters of a technical nature
• Home Building Inspector
• - May arrange for the home owner and contractor to meet on site
• - Only inspect the defects or incomplete work reported in the complaint
• - Discuss their findings with both parties to try to reach agreement
• - If agreement not reached may issue a rectification order for work to be
completed
• Motor Vehicle Inspector
• Will seek a mutual resolution of the complaint
• May arrange to meet to view the vehicle to assist in resolving the dispute and is
some instances issue a rectification order
66

67. Consumer Guarantee Directions
Eligibility criteria
• Matters lodged with Fair Trading from 28 December 2018
• Is about a product (not service)
• The product has a purchased price between $25 and $3000
• Purchased within 6 months before the complaint was made
• Both consumer and business are in NSW
• Matter is a dispute about an Australian Consumer Law guarantee relating to:
Quality of the product
The product being fit for its disclosed purpose or
The product matching the description, sample or model
67

68. Consumer Guarantee Directions
Assessment
• Identify which of the consumer guarantees is relevant
• Assess where there has been a failure to comply
• Assess whether the failure is a major or minor failure to identify the
appropriate remedy
If a direction is made Fair Trading will direct either a
• Repair
• Replacement
• Refund
68

69. What happens if a law has been broken?
• Trader will be contacted to discuss and seek remedy.
• In some instances it will be referred to our investigation branch who will:
Investigated to determine severity of the conduct and determine
appropriate action
May result in a warning letter or fine being issued
Will be recorded for future reference and traders conduct will be
monitored
• Not all matters are investigated – the breach is a matter between Fair
Trading and the trader. The customer may not be informed of the
decision
• This action does not help to get a resolution to a dispute but is aimed
at preventing future problems.
69

70. Case Managed Traders
• Six complaints in six months or significant detriment to community
• One person deals with all complaints
• One contact point to help Fair Trading identify trends in complaints

71. Complaints Register
• Online register
• Highlight traders attracting most complaints
• 10 or more complaints per month
• Companies and product groups will be named
• Notice to businesses

72. Contacts
• 13 32 20
• www.fairtrading.nsw.gov.au
• Service NSW
• Download free Fair Trading apps:
• My next car
• Fair Trading YouTube Channel – 30+ Videos
• Fair Trading Twitter, Newsfeeds and Facebook
• Sign up online for e-newsletters

73. 73

74. Government approaches to
Alternative Dispute Resolution
University of Newcastle
13.9.2019
Community Justice Centres
& ADR Directorate

75. DCJ – NSW Community Justice Centres Government
Approaches to ADR 13.9.2019
75
CJC was established in 1980 and heralded
as:
'the most promising step taken this century
to provide a system for the settlement of a
class of dispute which the adversary
processes of our courts have never been
able to resolve satisfactorily'
(Hansard, Legislative Assembly, 26 November 1980, at 3147).

76. About CJC
Division: NSW Department of Communities and Justice
Legislation: Community Justice Centres Act (1983)
Catchment: All of NSW
Main office: Central Office in Parramatta (case co-ordination activities conducted)
Outreach: 100 Panel Mediators located throughout NSW (sessional)
Hours: Case co-ordination standard business hours
Pre-mediation and mediation conducted 7 days & afterhours.
Cost: Free
ADR Model: Facilitative mediation for majority of matters. Solo and comediation
Our people: All Case Coordinators are trained mediators.
All panel mediators are NMAS, some are also FDRPs
80% of head office staff are all trained mediators
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 76

77. ADR Directorate
Established in 2009 in response to recommendations from
NSW ADR Blueprint, to support the NSW government focus on
ADR and proportional dispute resolution
The ADRD is a Recognised Mediator Accreditation Body and
provides accreditation under the Australian National Mediator
Accreditation System for CJC mediators and other mediators
engaged by the Department of Communities and Justice.
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 77

78. Community Justice Centres Act 1983
s5 Appointment of mediators: Mediators must be appointed under the Act in order to
work for CJC
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 78
s23 Mediation to be voluntary: Conducted with minimal formality. Rules of evidence do
not apply. Agreements not enforceable unless parties agree to enforceability in writing
s27 Exoneration from liability: Mediators and staff - if action was done in good faith in
accordance with the Act
s28 Privilege: Evidence of anything said or of any admission made in mediation session is
not admissible in any proceedings before any court, tribunal or body.
s29 Secrecy: May disclose where there is reasonable grounds to prevent or minimise
harm to person or property

79. Community Justice Centres Act 1983
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 79
s20A Provision of mandatory mediation
(eg APVOs, small claims etc)
•Court and Tribunal referred matters to CJC.
•Parties must engage with CJC
•CJC not compelled to provide mediation.
•CJC still undertakes screening and assessment for suitability
•CJC must provide report back to the Court/Tribunal on outcome of party
engagement, mediation etc (but not the content of the mediation).

80. CJCs frequency of disputes
1. Neighbourhood
2. Business/Consumer
3. Social/Friends
4. Family
5. Spouse/Partner
6. Workplace
7. Clubs/Associations
8. Tenant/Landlord
80
Other types of disputes
• Care of Elderly
• Guardianship
• Group homes
• Community Groups
• Clubs & Associations
• Body Corporate
• Parent/Young Person
• Separated Couples
• Contracts/commercial
• Wills/Estates
DCJ – NSW Community Justice Centres Government Approaches to ADR
13.9.2019
Relationships...fertile ground for
disputes!

81. Most frequent referrers (highest to lowest)
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 81
1. Private citizen
2. Courts
3. Local Council
4. Legal practitioners and services
5. Police

82. Entry Point to
CJC
Direct Contact
Referrer
Contact
Intake
(admin)
Parties
History
Issues
Admin
Screening
(dispute)
Suitability of
dispute?
Other
processes?
Goals?
Timeline
Assessment
(context &
personality)
Capacity to
participate
Capacity to
resolve
Good faith
Goodwill
Special Needs
Mediation
Structured
Facilitated
Process
Talk,
listen,
educate,
understand,
negotiate,
Outcome
Follow-up:
- Feedback
- Further
sessions
Close
CJC service delivery model
Mediators
CCCase Co-ordination
Ongoing: Information, Conflict Coaching, Referrals, Welfare & Wellbeing,
Legal

83. CJC Facts and Figures
Resolution rates for 2017-18
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 83
83% resolution rate for non-court
referred matters
70% resolution rate for court referred
matters, of which
Of which…
77% resolution rate for APVO
matters
Resolution rate by dispute type
• Neighbourhood disputes = 81%
• Family disputes = 68%
• Separated couple = 66%
• Landlord/tenant disputes = 72%
• Workplace disputes = 74%
• Organisations, clubs, associations = 71%
• Other business/commercial disputes =
60%

84. 88% would use CJC again
89% would recommend CJC to others
94% overall very satisfied or satisfied
98% found the staff/mediators either very
helpful or helpful
98% CJC mediation helped with situation
95% agreed the mediators understood
their concerns
98% agreed the mediators let them have
their say.
DCJ – NSW Community Justice Centres Government Approaches to ADR
13.9.2019
84
CJC

85. What clients say about their time with
CJC
85
Getting
parties
together to
talk Cleared
my mind
Time spent
to reach an
agreement
We both got to
speak about
affects on us
Understanding
both sides of
the situation
Preparation
and how to
deal with
others
Understanding
of situation
with direct
guidance
https://www.iparq.com
Balance and
helping with
different
perspectives
Empathy
and
fairness
Knowledgeabl
e and
supportive
Created an
atmosphere
for
discussion
rather than
argument
Patience &
understanding
offered
Coming together
neutrally to discuss
outcomes
Plan of situation
on the table with a
future written into
it
Easy to
follow,
polite and
helpful
Being
objective is
better
atmosphere
for resolution
Better than
having
solicitors and
quicker
Created an
atmosphere
for
discussion
rather than
argument
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019

86. CJC key contacts
DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 86

87. DCJ – NSW Community Justice Centres Government Approaches to ADR 13.9.2019 87