Standard Operating Procedure: Closing an ART Matter | FOI document library

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National Disability Insurance Agency

Legal, Reviews, Actuarial and Data Group

Standard Operating

Procedure: Closing an ART Matter

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Document Control

OFFICIAL For Internal Use Only

Document No.

NDIA-ERB-SOP-036

Date October 2025 Status FINAL Version 1.1

Document applicability

National — Reviews and Information Release Division

Owner

Director, Performance, Policy, and Quality

Approval Status Log

Version 1.1

Reviewed by Policy Officer

Endorsed by

Approved by Assistant Director, Policy

Approval date

30 October 2025

Revision History

Revision Date Sections | Summary of Changes Original 1 19/03/2025 All (formerly NDIA-ART CM-SOP-036) Amended to align with NDIA organisational restructure. 1.1 30/10/2025 All Amended to align with NDIA organisational restructure.

Note: Document uncontrolled in hardcopy

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Contents

Introduction 3

1.1   Purpose                                                         3

1.2   Scope                                                          3

1.3   Roles and Responsibilities                                          3

2. Checklist 4

Procedure 4

3.1  When to use CRM and PACE                                        4

3.2  ART Review Outcome Letters                                        4

   3.2.1    Prepare the ART Review Outcome Letter                          5

   3.2.2    Send the ART Review Outcome Letter                            5

   3.2.3    Upload the ART Review Outcome Letter to PACE                   5

   3.2.4    Upload the ART Review Outcome Letter to CRM                    5

3.3   End-Date the ART Alert                                             6

   3.3.1    End-date an ART Alert in PACE                                 6

   3.3.2    End-date an ART Alert in CRM                                  6

3.4   Close the matter in LEX                                             7

   3.4.1    Enter the date of the ART Document in LEX                        7

   3.4.2    Close the matter in LEX                                        7

4. Annexures A – Closure Checklist 8

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1. Introduction

1.1 Purpose

This Standard Operating Procedure will help you close matters in LEX, once an application to the Administrative Review Tribunal (ART) has been finalised and after the ART Decision, Order or Notice has been implemented.

For further procedural guidance relating to the implementation of an ART Decision, Order, or Notice, refer to the Standard Operating Procedure: Implementing an ART Decision, Order or Notice. The NDIA has a statutory obligation to implement the Decision, Order, or Notice of the ART within 28 calendar days of the date on which a copy is received by the Agency.

1.2 Scope

This procedure applies nationally across the External Review Branch (ERB) and the Information Access and Privacy Branch (IAP), and is to be used by:

Case Managers (CM);
Business Support Officers (BSO); and
ART Operations Officers.

1.3 Roles and Responsibilities

The roles and responsibilities set out in the Standard Operating Procedure: Document Control apply also to this procedure.

Business Support Officers are only responsible for completing the relevant steps set out in this procedure, under the supervision of a Case Manager. It is ultimately the Case Manager’s responsibility to ensure compliance with this procedure.

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2. Checklist

Topic	Checklist
Pre-requisites	🧰 You have received an ART Decision, Order or Notice
	🧰 You have successfully implemented the Decision, Order or Notice in accordance with the Standard Operating Procedure: Implementing an ART Decision, Order or Notice
Actions	🧰 3.2 ART Review Outcome Letters
	🧰 3.2.1 Prepare the ART Review Outcome Letter
	🧰 3.2.2 Send the ART Review Outcome Letter
	🧰 3.2.3 Upload the ART Review Outcome Letter to PACE
	🧰 3.2.4 Upload the ART Review Outcome Letter to CRM
	🧰 3.3 End-Date the ART Alert
	🧰 3.3.1 End-date an ART Alert in PACE
	🧰 3.3.2 End-date an ART Alert in CRM
	🧰 3.4 Close the matter in LEX
	🧰 3.4.1 Enter the date of the ART Document in LEX
	🧰 3.4.2 Close the matter in LEX

3. Procedure

3.1 When to use CRM and PACE

The NDIA is phasing out the CRM business system. The guidance in this procedure around the use of CRM is to be followed only in planning matters, where the internal review process was initiated in CRM and where National Delivery have not initiated in a plan change process in PACE.

PACE is the business system intended to replace CRM. The guidance in this procedure around the use of PACE is to be followed at all times.

To support the gradual transition from CRM to PACE, it may be necessary for certain actions to be performed in both CRM and PACE.

3.2 ART Review Outcome Letters

It will only be necessary to prepare an ART Review Outcome Letter where the decision under review has been varied or set aside by agreement, or by an Order

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or Decision of the ART. If the matter has been dismissed or withdrawn, or if the decision under review has been affirmed, proceed from 3.3.

3.2.1 Prepare the ART Review Outcome Letter

Prepare an ART Review Outcome Letter by inserting details of the particular matter and by selecting the most appropriate option, where required. A template letter is available from the External Review Branch Guidance Library and Directory.

Once complete, save a copy of the letter to your desktop.

3.2.2 Send the ART Review Outcome Letter

Email a copy of the letter to the participant or prospective participant (and/or their representative), together with any other relevant documents (such as a copy of their approved plan, for example).

3.2.3 Upload the ART Review Outcome Letter to PACE

Navigate to the Documents tab of the participant’s or prospective participant’s record, and select Add Documents. Complete the pop-up Document Details window as below, and then select Next.

Document Category: Participant Communication
Document Sub-Category: General Communication
Personal Identifiable Information: Yes
Description: ART Review Outcome Letter 20__/____

Select Upload Files, and using the file explorer pop-up window, locate a copy of the relevant ART Review Outcome Letter and select Open.

Make sure that all documents are marked Ready for Upload, and select Save. If documents are not ready for upload, or if you encounter an error in uploading the document, select Retry.

The document is now uploaded to PACE. You may now select Close.

3.2.4 Upload the ART Review Outcome Letter to CRM

Refer to 3.1 for guidance around when to use CRM.

Navigate to the Documents tab of the participant’s or prospective participant’s record, and expand the Inbound Documents sub-tab. Locate and select the entry that was created when you uploaded a copy of the ART Document(s) in section 3.3.2 of the Standard Operating Procedure: Implementing an ART Decision, Order or Notice, and select Edit in the bottom right-hand corner of the window. Update the entry as follows:

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Description: ART Order 20__/____ and Review Outcome Letter

To upload the Review Outcome Letter, select Upload File in the bottom right-hand corner of the window. Using the file explorer pop-up window, locate a copy of the ART Review Outcome Letter and select Open. Make sure that the document is listed as an attachment.

To complete the document upload, select Save.

3.3 End-Date the ART Alert

The purpose of end-dating an ART Alert is to inform other business areas that the ART review process is complete, and that any further planning enquiries or requests are to be directed to National Delivery.

ART Alerts can only be end-dated after:

❑ a plan has been built and approved; or
❑ the Scheme Eligibility Branch (SEB) have granted access to the Scheme; and
❑ the ART Review Outcome Letter has been uploaded to PACE and/or CRM; or
❑ a Dismissal or Withdrawal Notice has been uploaded to PACE and/or CRM.

3.3.1 End-date an ART Alert in PACE

Navigate to the Activity tab of the participant’s or prospective participant’s record, and select the Alerts History sub-tab. Expand the group of Active alerts, and locate and select the ART Alert titled, Administrative Review Tribunal (ART) Plan.

To end-date the ART Alert, edit the End Date field by selecting the pencil icon that appears next to the End Date field under the alert Details tab. Use the drop-down calendar menu to select the date on which the AAT Decision or Order was made, or the effective date of dismissal as it appears in any Withdrawal or Dismissal Notice, and then select Save.

The ART Alert will no longer appear under the group of Active alerts, and can instead be located by expanding the Inactive group of alerts.

3.3.2 End-date an ART Alert in CRM

Refer to 3.1 for guidance around when to use CRM. Please note that it will be necessary to end-date ART Alerts in both CRM and PACE.

Navigate to the Internal Use tab of the participant’s or prospective participant’s record, and expand the Plan Alerts sub-tab. Locate and select the relevant ART Alert titled, ‘Do not proceed: ART application in progress’, with an End Date of ‘12.12.9999’.

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To end-date the ART Alert, use the drop-down calendar menu to select the date which appears on the ART Order, Notice or Decision, and select Submit (in the bottom right-hand corner of the window).

3.4 Close the matter in LEX

Before the matter can be closed in LEX, you must ensure that you have uploaded copies of the following to LEX, PACE, and (if required) CRM:

❑ ART Document(s);
❑ ART Review Outcome Letter; and
❑ A copy of the participant’s latest plan (if applicable).

It is important that documents uploaded to LEX are appropriately named and categorised, in keeping with the Standard Operating Procedure: Records Management – Naming of Selected Records.

3.4.1 Enter the date of the ART Document in LEX

Use the drop-down calendar menu to select the Date on ART Orders in the Main Details tab of the matter in LEX. The date to be entered is the date on which the AAT Decision or Order was made, or the effective date of dismissal as it appears in any Withdrawal or Dismissal Notice.

3.4.2 Close the matter in LEX

Use the drop-down menu to select the most appropriate Outcome from the available options in the Main Details tab of the matter in LEX.

The Status field should automatically populate when you select an appropriate matter Outcome. If this does not occur, select Closed from the available drop-down menu.

Lastly, use the drop-down calendar menu and select the current date as the Date Closed. The matter is now closed in LEX.

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4. Annexures A — Closure Checklist

No.	Action	Complete
1.	I have uploaded to LEX as a separate document and appropriately categorised: a. a copy of the ART Decision, Order or Notice b. a copy of the ART Review Outcome Letter c. a copy of the participant’s latest plan (if applicable)	🧰 🧰 🧰
2.	I have updated the Date of ART Order as at appears on the Main Details tab of the matter in LEX.	🧰
3.	I have uploaded the following to PACE: a. a copy of the ART Decision, Order or Notice b. a copy of the ART Review Outcome Letter c. a copy of the participant’s latest plan (if applicable)	🧰 🧰 🧰
4.	I have uploaded the following to CRM (if required): a. a copy of the ART Decision, Order or Notice b. a copy of the ART Review Outcome Letter c. a copy of the participant’s latest plan (if applicable)	🧰 🧰 🧰
5.	(for planning matters) I have created and completed an ART Order Implementation interaction in CRM.	🧰
6.	(for planning matters) The participant’s plan has been built and approved, and has been appropriately referred to National Delivery in PACE for implementation.	🧰
7.	(for access matters) An Enquiry has been created in PACE and referred to the Scheme Eligibility Branch.	🧰
8.	I have end-dated the ART Alert in PACE and CRM.	🧰

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