Applicant's genuine steps statement (Form 16)

Section 6 of the Civil Dispute Resolution Act 2011 requires an applicant who starts civil proceedings in the Federal Court (or the Federal Circuit and Family Court, Division 2) to file a genuine steps statement when filing the application. It must specify the steps taken to try to resolve the issues in dispute with the respondent, or the reasons no steps were taken, which may include urgency or risk to safety or property. Rule 8.02 of the Federal Court Rules 2011 says the statement must be in accordance with Form 16, comply with section 6 and be no more than 2 pages. Some proceedings are excluded, wholly or in part, by Part 4 of the Act.

When you need it

• You are filing an originating application to start a civil proceeding in the Federal Court to which Part 2 of the Civil Dispute Resolution Act applies (r 8.02(1)).
• The proceeding is only partly excluded. You still file a statement, but it need not cover the excluded parts (s 6(4)).
• Not needed for wholly excluded proceedings, which include appeals, ex parte proceedings, civil penalty proceedings, and proceedings under Acts such as the Fair Work Act 2009, the Migration Act 1958 and the Native Title Act 1993 (ss 6(3), 15, 16).
• A respondent who receives your statement replies with its own statement in Form 11 (r 5.03).

1. 1

   Copy the heading

   Use the same District Registry, Division and party names as the originating application it is filed with.

2. 2

   Choose the right option

   Keep either the paragraph listing the steps that have been taken, or the paragraph saying no steps were taken, and delete the other.

3. 3

   Describe the steps

   List the steps taken to try to resolve the dispute, such as notifying the respondent of the issues and offering to discuss them, exchanging information and documents, considering or attending mediation or another ADR process, and negotiating (examples in s 4(1)).

4. 4

   Or give the reasons

   If no steps were taken, explain why, for example urgency or that taking steps would have compromised the safety or security of a person or property (s 6(2)(b)).

5. 5

   Keep it short, then date and sign

   Keep the statement to 2 pages or fewer (r 8.02(3)). The form's signature block is for the applicant's lawyer.

• File it at the same time as the originating application (s 6(1), r 8.02(1)), usually together in eLodgment.
• Serve it on the respondent with the originating application. The respondent must file its own genuine steps statement before the first directions hearing or hearing, whichever is earlier (r 5.03, s 7).
• No separate filing fee is stated for the statement in the rules. Check the fee schedule for the originating application.

• Be factual and specific: dates of letters, meetings and offers. The Court may take account of whether genuine steps were taken, including when deciding costs (ss 11, 12).
• Failing to file a statement does not invalidate the proceeding (s 10(2)), but it can affect costs.
• Lawyers must advise clients of the requirement and help them comply, and can be ordered to bear costs personally for failing to do so (ss 9, 12(2), (3)).