[Form 16] Applicant's Genuine Steps Statement for the Federal Court of Australia

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When is an Applicant's Genuine Steps Statement [Form 16] required to be filed?

A Genuine Steps Statement [Form 16] MUST be filed by an Applicant who institutes Civil Proceedings in the Federal Court of Australia or the Federal Circuit and Family Court of Australia.

However, a Genuine Steps Statement [Form 16] need not be filed in wholly Excluded Proceedings but MUST be filed where proceedings are partly Excluded Proceedings in relation to the part of the proceedings that are not excluded.

Legal Advice Recommended

If you are an Applicant seeking to file a claim to commence Civil Proceedings with the Federal Court of Australia then the type of claim you seek to make will determine whether a specific Federal Court of Australia Practice Note will apply, and the details of your dispute will assist to determine which Originating Application is to be filed, and what supporting documents are required to be filed in support.

In the majority of matters, an Originating Application [Form 15] will be the correct form to use.

However, care needs to be taken as there are quite a few specific claim types where a different prescribed Originating Application form is required.

For example, in a matter where an Applicant seeks to Register a foreign judgment under the Foreign Judgments Act 1991 (Cth.) the rules require the use of a different prescribed form, the Originating Application [Form 134].

In short, due to the complexities involved in both determining which forms to use, together with the crucial importance of getting the pleadings right to the success of your claim:

We recommend you contact our legal team to obtain legal advice and guidance regarding which:

⚖️ Originating Application to use, a [Form 15] or a different prescribed Originating Application form required due to the type of claim being made; and which

⚖️ Federal Court of Australia Practice Note (if any) applies; and accordingly which

⚖️ Documents MUST or may be filed in support of your Originating Application; and further

⚖️ Determining whether this Applicant's Genuine Steps Statement [Form 16] is also required to be filed pursuant to the Civil Dispute Resolution Act 2011 (Cth.); as well as

✅ To ensure you have the best chance of getting your "all-important" pleadings right.

Alternatively, your matter may be one where your interests are best served by first filing:

⚖️ An Urgent Application before Start of a Proceeding [Form 12];

⚖️ An Application by Parent or Guardian to Settle + Enforce a Claim under an Agreement made by, for or against a Person under a Legal Incapacity [Form 13]; or

⚖️ An Originating Application (by Prospective Applicant) for an Order for Discovery [Form 14].

What Civil Proceedings are Excluded?

Proceedings are Excluded Proceedings that don't require the filing of an Applicant's Genuine Steps Statement to the extent that they are any of the following:

⚖️ Proceedings for an order imposing a pecuniary penalty for a contravention of a civil penalty provision;

⚖️ Proceedings brought by or on behalf of the Commonwealth or a Commonwealth authority for an order connected with:

➲ A criminal offence or the possible commission of a criminal offence; or

➲ A contravention or possible contravention of a civil penalty provision;

⚖️ Proceedings that relate to a decision of, or a decision that has been subject to review by:

➲ The Administrative Appeals Tribunal;

➲ The Australian Competition Tribunal;

➲ The Copyright Tribunal of Australia;

➲ The Veterans' Review Board;

➲ A body prescribed by the regulations*;

⚖️ Proceedings in the appellate jurisdiction of the Federal Court of Australia or the Federal Circuit and Family Court of Australia.

⚖️ Proceedings arising from the exercise of a power to compel a person to answer questions, produce documents or appear before a person or body under a law of the Commonwealth;

⚖️ Proceedings in relation to the exercise of a power to issue a warrant, or the exercise of a power under a warrant;

⚖️ Proceedings that are, or relate to, proceedings in which the applicant or the respondent has been declared a vexatious litigant under a law relating to vexatious litigants (however described);

⚖️ Ex parte proceedings;

⚖️ Proceedings to enforce an enforceable undertaking.

Note: *The Civil Dispute Resolution Regulations 2021 (Cth.) currently specify the following additional categories of Excluded Proceedings (but is set to be repealed at the start of 1 October 2024).

➲ Proceedings for a sequestration order under section 43 of the Bankruptcy Act 1966, if the act of bankruptcy relied on arose under paragraph 40(1)(g) of that Act;

➲ Proceedings for an order under section 459A of the Corporations Act 2001 to wind up a company in insolvency, if the application for the order relies on a failure by the company to comply with a statutory demand (within the meaning of that Act);

➲ Proceedings for review of a decision of a Registrar of the Federal Court of Australia or the Federal Circuit and Family Court of Australia.

Proceedings are Excluded Proceedings that don't require the filing of an Applicant's Genuine Steps Statement to the extent they are proceedings under (or under regulations made under) any of the following Acts:

⚖️ The Australian Citizenship Act 2007;

⚖️ The Child Support (Registration and Collection) Act 1988;

⚖️ The Fair Work Act 2009;

⚖️ The Fair Work (Transitional Provisions and Consequential Amendments) Act 2009;

⚖️ The Family Law Act 1975^;

⚖️ The Migration Act 1958;

⚖️ The National Security Information (Criminal and Civil Proceedings) Act 2004;

⚖️ The Native Title Act 1993;

⚖️ The Proceeds of Crime Act 1987;

⚖️ The Proceeds of Crime Act 2002.

⚖️ Proceedings falling within the original or appellate jurisdiction of the Federal Circuit and Family Court of Australia (Division 1) (see Part 2 of Chapter 3 of the Federal Circuit and Family Court of Australia Act 2021 ); or

⚖️ Proceedings falling within the original jurisdiction of the Federal Circuit and Family Court of Australia (Division 2) under section 132 of that Act.

Note^In parental or property Family Law Proceedings (where there is still a dispute, and an exemption does not apply) commenced in the Federal Circuit and Family Court of Australia require a different form to be filed called a Genuine Steps Certificate.

What constitutes Genuine Steps?

Section 4 (1A) of the Civil Dispute Resolution Act 2011 (Cth.) provides that:

A person takes genuine steps to resolve a dispute if the steps taken by the person in relation to the dispute constitute a sincere and genuine attempt to resolve the dispute, having regard to the person's circumstances and the nature and circumstances of the dispute.

Examples of steps that could be taken by a person as part of taking genuine steps to resolve a dispute with another person, include the following:

✅ Notifying the other person of the issues that are, or may be in dispute, and offering to discuss them, with a view to resolving the dispute;

✅ Responding appropriately to any such notification;

✅ Providing relevant information and documents to the other person to enable the other person to understand the issues involved and how the dispute might be resolved;

✅ Considering whether the dispute could be resolved by a process facilitated by another person, including an alternative dispute resolution process;

If such a process is agreed to:

✅ Agreeing on a particular person to facilitate the process; and

✅ Attending the process;

If such a process is conducted but does not result in resolution of the dispute--

✅ Considering a different process;

✅ Attempting to negotiate with the other person, with a view to resolving some or all the issues in dispute, or authorising a representative to do so.

The above list of example steps does not limit the steps that may constitute taking genuine steps to resolve a dispute.

What constitutes valid reasons why no Genuine Steps have been taken?

Reasons why no genuine steps have been taken may relate to, but are not limited to the following:

⚖️ The urgency of the proceedings;

⚖️ Whether, and the extent to which, the safety or security of any person or property would have been compromised by taking such steps.

When is a Respondent's Genuine Steps Statement [Form 11] required to be filed?

A Respondent in Civil Proceedings who is given a copy of this Applicant's Genuine Steps Statement [Form 16] filed by an Applicant in the proceedings must file a Respondent's Genuine Steps Statement [Form 11] before the hearing date specified in the Application.

Credits:

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What clients say

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James has been great to work with. I called him on a Monday and by Tuesday he had a formal [19-Page] Concerns Notice sent to a person defaming me and my business. He stayed in touch throughout the day, kept me updated regularly and was diligent to ensure we were exercising all of my rights under the law. Thanks, James!

Crystal Polson | Defamation & Injurious Falsehood [Vic]

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May 2023

James was great, going above and beyond to help me with my enquiry. He provided detailed explanations with references to the appropriate regulations and case examples.

Siyuan W. | Landlord (NSW)

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May 2023

We needed a really good lawyer and after doing our research we decided to contact Blue Ocean Law Group. James runs a very efficient service and has extensive knowledge of Defamation Law. Nothing was a problem. James would follow up with me regarding issues that had arisen. He dealt with each issue in a professional and ethical manner. James would explain every detail on the phone and the process could not have been easier!

Lake Macquarie Coastal Glass | Defamation Concerns Notice (NSW) [1 of 2]

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Mar 2023

Blue Ocean Law Group's website has plenty of information in easy, layman's language that explains how Defamation Law works in Australia and from there, it was really easy to book an appointment online. James is a thoroughly professional Lawyer and it was a pleasure dealing with him. Keep up the good work, James! Cheers! ⭐️⭐️⭐️⭐️⭐️

Lake Macquarie Coastal Glass | Defamation Concerns Notice (NSW) [2 of 2]

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Mar 2023

(Translated by Google) Lawyer James Ford was the best. He assisted me all the way through a dispute with a tenant who tried his best to extort money from the landlord due to a conflict with another tenant. James is reliable in his profession amongst lawyers in this field ... James patiently guided me, a landlord whose English is my second language, throughout the whole process ... It was because of his command that my case was turned from a disadvantage to an advantage. His charges are also very reasonable. So if you are a landlord I would highly recommend 'James Ford' to you.

Carol Ma | NCAT Landlord Tenant Dispute (NSW)

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Feb 2023

Very helpful and thorough advice. James was able to explain the options available to us in detail, and the implications involved. He was knowledgeable and very professional. Would definitely go to him again.

Haim Zagroon

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Jan 2023

James was very patient and understood my legal issues. He gave me the most detailed answer he could and extended the time as he wanted to give me the answers I needed. He was very knowledgeable in his area and was able to offer me insightful advice. Would highly recommend.

Wenyi

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Dec 2022

Our case was unique. My client was based in Thailand and we needed a lawyer in Australia. After searching several firms in NSW we found Blue Ocean Law Group. James was very helpful. He explained the matter in detail via emails and on several occasions over the phone to us in Thailand. The resources on the firm's website were also very helpful in providing additional information for us. I would highly recommend James and will use him again if we need a lawyer in Australia.

Samram Laepong

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Great Service and very professional!

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General FAQ

How do I negotiate my civil dispute whilst protecting myself?

You have the right to remain silent … in your civil legal dispute

By the time you approach a lawyer to assist with your civil legal dispute you may have already discussed the matter in detail or sent text messages/emails to the other party, their agent, insurance company or lawyers.

Whilst you might think you are progressing the matter:

➲ This is generally a mistake!

Most people [unless they are experienced in litigation or legal dispute resolution] will unknowingly proceed to make these communications with the other side on an "open” basis.

This means that everything that is said or written might be capable of being used by the other parties in any subsequent legal proceedings.

We recommend you don't say or write anything until you have spoken to your lawyer

It is generally known that in any criminal matter, you have the “right to remain silent …” as this is well-covered territory on TV/Movie Legal Dramas and in the media.

When it comes to civil disputes we recommend you adopt the same position.

Our advice may be spot on when it comes to large $$ civil disputes.

Proceeding without your lawyer

When the matter is only a minor one, you may not want to go to the time and/or expense of engaging legal advice specific to your situation.

Q: How then can you proceed?

A: Very carefully, and with the assistance of some very specific legal phraseology which you may or may not have seen before.

Please refer to our blog article “How to cast a magic legal spell? The protection afforded by Without Prejudice Settlement Negotiations." for more information.

Credits:

This FAQ was written by James D. Ford GAICD | Principal Solicitor, Blue Ocean Law Group℠.

Important Notice:

This FAQ is intended for general interest + information only.

It is not legal advice, nor should it be relied upon or used as such.

We recommend you always consult a lawyer for legal advice specifically tailored to your needs & circumstances.

How do I ensure I get the pre-litigation steps right?

How do I ensure I get the pre-litigation steps right?

If you have a written agreement with the Debtor/standard terms of trade

The identity of the Debtor and their address for service (incl. email +/or fax) should already be clearly specified in the agreement, or provided by the Debtor as part of your standard business processes.

We also assume that the terms of your agreement will provide permission to serve notices via email or fax (if required).

If there is no written agreement

You will need to consider whether you already know the actual identity of the Debtor/Defendant and their address for notices/Service.

The Debtor/Defendant may not be the person with whom you made the original agreement, or the person who actually published the defamatory statement.

The person you might consider is the Debtor/Defendant may have been acting/dealing as an agent or employee of another person, the actual owner/s of the business, a sole trader, partnership, unincorporated association, company, etc.

If you only have the name of the business, you can start by conducting a free ASIC business names index + business names holder organisation/person searches to determine the owner of the business name, followed by a paid ASIC search to determine a valid + current address for Service.

connectonline.asic.gov.au

If the Debtor/Defendant is a Company

Before sending a Letter of Demand/Statutory Demand/Concerns Notice to a Debtor company, we strongly recommend you conduct a paid current ASIC Company Search (min. cost $9) to confirm that:

✅ The Debtor/Defendant company is not currently under administration/in liquidation; and to

✅ Ascertain the companies current registered office address for service.

Legal Assistance

If you have any questions regarding the above please contact our legal team to discuss.

Credits:

This FAQ was written by James D. Ford GAICD | Principal Solicitor, Blue Ocean Law Group℠.

Important Notice:

This FAQ is intended for general interest + information only.

It is not legal advice, nor should it be relied upon or used as such.

We recommend you always consult a lawyer for legal advice specifically tailored to your needs & circumstances.

What are the downsides if you delay claiming legal rights?

Generally speaking, to help ensure you obtain the best possible outcome, it is recommended that as soon as practical you:

1️⃣ Proceed to obtain legal advice;

2️⃣ Instruct your lawyer to inform the other side that you have a claim against them, and attempt to settle the matter; and if this is not successful

3️⃣ Proceed to take steps to enforce your legal rights without any further delay.

Apart from the risk of the lapse of any Statute of Limitations Period, if your claim seeks equitable relief, failure to provide notice to the defendant that you have a claim and intend to enforce it, may open the door to allow the defendant to seek reliance on the equitable defence of laches, or more generally estoppel with the circumstances of the case unfolding in support of these defences the longer the defendant is able to show inaction on your part.

What is the equitable defence of laches?

Laches is a defence only available to a defendant in equity, where a plaintiff's lack of diligence and activity in making a legal claim, or moving forward with legal enforcement of a right, is viewed as conduct which allows the defendant to develop a belief that the plaintiff will not be seeking to make any claim and to continue about their life dealing with their affairs in reliance on this belief. Wikipedia

In Streeter v Western Areas Exploration Pty Ltd (No 2) (2011) 278 ALR 291 at para. [635] per McLure P considered:

"Whether the conduct of the plaintiff amounted to an acquiescence or caused the defendant to alter their position in reliance on the plaintiff’s acceptance of their actions”.

Consequently, a defendant may be able to argue the equitable defence of laches on a much shorter time frame than the relevant statutory limitation period.

In Hourigan v Trustees Executors and Agency Co Ltd (1934) 51 CLR 619 per Rich J:

The Court will not “disregard the election of the party not to institute his claim and treat as unimportant the length of time during which he has slept upon his rights and induced the common assumption that he does not possess any”.

In Gillespie & Ors v Gillespie [2013] QCA 99 MARGARET WILSON J (with whom MARGARET McMURDO P & WHITE JA agreed) at para. [79] of her judgment provided a summary of the applicable law regarding the equitable defence of Laches:

"Laches is an equitable doctrine, under which delay can bar a claim to equitable relief."
Deane J (with whom Mason CJ agreed) observed in Orr v Ford that the ultimate test is that enunciated by the Privy Council in Lindsay Petroleum Co v Hurd
“… whether the plaintiff has, by his inaction and standing by, placed the defendant or a third party in a situation in which it would be inequitable and unreasonable ‘to place him if the remedy were afterwards to be asserted’: see Erlanger v New Sombrero Phosphate Co, and also, per Rich J, Hourigan.”
The learned authors of Meagher, Gummow and Lehane’s Equity Doctrines and Remedies posit that there are two types of laches –
(i)         delay with acquiescence, where prejudice to others need not be shown; and
(ii)        more commonly, delay with prejudice to others.
However, in Fisher v Brooker Lord Neuberger said –
“Although I would not suggest that it is an immutable requirement, some sort of detrimental reliance is usually an essential ingredient of laches, in my opinion. In Lindsay Petroleum Co v Hurd (1874) LR 5 PC 221, 239-240, Lord Selborne LC, giving the opinion of the Board, said that laches applied where ‘it would be practically unjust to give a remedy’, and that, in every case where a defence ‘is founded upon mere delay… the validity of that defence must be tried upon principles substantially equitable’.
He went on to state that what had to be considered were ‘the length of the delay and the nature of the acts done during the interval, which might affect either party, and cause a balance of justice or injustice in taking the one course or the other, so far as relates to the remedy’.”
Trying the validity of the defence on equitable principles involves the balancing of equities.  
In Erlanger v New Sombrero Phosphate Co Lord Blackburn said –
“…it must always be a question of more or less, depending on the degree of diligence which might reasonably be required, and the degree of change which has occurred, whether the balance of justice or injustice is in favour of granting the remedy or withholding it.
The determination of such a question must largely depend on the turn of mind of those who have to decide, and must therefore be subject to uncertainty; but that, I think, is inherent in the nature of the inquiry.”
And in Fysh v Page Dixon CJ, Webb and Kitto JJ said –
“If a plaintiff establishes prima-facie grounds for relief the question whether he is defeated by delay must itself be governed by the kind of considerations upon which the principles of equity proceed.
If the delay means that to grant relief would place the party whose title might otherwise be voidable on equitable grounds in an unreasonable situation, or if, because of change of circumstances, it would give the party claiming relief an unjust advantage or would impose an unfair prejudice on the opposite party, these are matters which may suffice to answer the prima-facie grounds for relief.”

Credits:

This FAQ was written by James D. Ford GAICD | Principal Solicitor, Blue Ocean Law Group℠.

Important Notice:

This FAQ is intended for general interest + information only.

It is not legal advice, nor should it be relied upon or used as such.

We recommend you always consult a lawyer for legal advice specifically tailored to your needs & circumstances.

What to consider before commencing legal proceedings?

Prior to deciding whether to commence Legal Proceedings

Laches + Limitation Periods

Please read our FAQ: What are the downsides to delaying 1️⃣ Informing the other side of my claim against them; or 2️⃣ Filing my claim with the Court?

Litigation Risk

We strongly recommend you obtain legal advice + assistance regarding:

✅ Determining whether the Debtor has the potential financial means to ultimately pay the debt + interest + legal costs should you be successful in your claim;

✅ If the Debtor is an individual, conducting a Bankruptcy Search;

✅ If the Debtor is a company, conducting a Bankruptcy Search;

✅ Determining whether the Debtor has been or is currently involved in other legal proceedings;

✅ The legal merits of your claim; and

✅ Ensuring you understand that it is extremely rare to recover your legal costs in litigation; and

✅ The inherent Litigation Risk of potential liability for the Debtor's legal costs in commencing legal proceedings in a Court, as opposed to a Tribunal;

✅ The cost + availability of litigation funding, +/or litigation insurance.

Valid + Effective Service

The requirements for valid + effective Service of a Filed Application or Statement of Claim vary depending on the relevant Court or Tribunal.

We strongly recommend you obtain legal advice + assistance regarding:

✅ The selection of the appropriate Court or Tribunal to bring suit; as well as

✅ The drafting of the required Application/Statement of Claim; and

✅ The compliant Service of same on the Debtor once legal proceedings have been filed.

Credits:

This FAQ was written by James D. Ford GAICD | Principal Solicitor, Blue Ocean Law Group℠.

Important Notice:

This FAQ is intended for general interest + information only.

It is not legal advice, nor should it be relied upon or used as such.

We recommend you always consult a lawyer for legal advice specifically tailored to your needs & circumstances.