PH1 — Participant File & Documentation Checklist
Participant Hub · Pre-Commencement & Active Phase · OCC-PT-ONB-001
Complete this checklist when setting up a new participant file. All mandatory pre-commencement documents must be signed and filed before the first support session begins. Use the generate button at the bottom to create a printable completion record.
Important
When onboarding a new participant: copy all 13 subfolders from the _Document_Templates folder into 04_Participants > Lastname_Firstname_OCCP00X. For clinical care plans (Folder 06), only copy the care plans relevant to this participant — do not copy all 13 plan types. Never save over a master template.
📋 Record: After completing this checklist, enter the
participant's key dates in the Participant Register
(09_Registers/Participant_Register) and set Microsoft 365 calendar reminders at 60 days and 14
days before the NDIS plan end date and service agreement expiry.
Folder 01 — Intake & Identification PRE-COMMENCE
| Participant Intake Form (PAR-FRM-001) — complete all ★ fields carefullyMandatory | ||
| Agency Referral Form (PT-ARF-001) — if referred by an external agencyIf applicable | If applicable | |
| Support Matching Assessment (PP-MAT-001) — match worker skills to participant needsMandatory | ||
| Privacy Statement (PT-PRI-001) — provide to participant to read and keep; no signed copy requiredMandatory | ||
| Participant Orientation Checklist (PT-ORC-001) — completed face-to-face on commencement day; signedMandatory |
Folder 02 — Consent Forms PRE-COMMENCE
| Participant Information and Consent Form (PT-CON-001) — signed by participant or authorised representativeMandatory | ||
| Telehealth Consent — if telehealth will be usedIf applicable | If applicable | |
| Third Party Information Release Consent — if sharing information with other providersIf applicable | If applicable |
Folder 03 — NDIS Plan PRE-COMMENCE
| Current NDIS Plan — copy on file (attach; do not recreate)Mandatory | ||
| Support Plan (PT-SP-001) — developed collaboratively with participant; links NDIS goals to OCC supportsMandatory | ||
| Support Plan Easy Read version — if required for participant's communication needsIf applicable | If applicable | |
| Post-Implementation Plan (PP-IMP-001) — completed after initial support periodMandatory | ||
| Support Coordination Handover Report — if participant is transferring from another providerIf applicable | If applicable |
Folder 04 — Service Agreement PRE-COMMENCE
| Service Agreement — Standard (SA-001) — signed by participant or representative and OCC ManagerMandatory | ||
| Service Agreement — STA / Short Term Accommodation version (SA-STA-001)If applicable | If applicable | |
| Service Agreement renewed — mandatory when NDIS plan is renewed or support type changesMandatory | REVIEW |
Folder 05 — Risk & Emergency Plans PRE-COMMENCE
| Individual Risk Profile Assessment (PT-RPA-001) — covers medical, behavioural and environmental risksMandatory | ||
| Personal Emergency Preparation Plan (PT-EPP-001) — must be tested and signed before services beginMandatory | ||
| Community Access Risk Assessment (PT-CAR-001) — only if community access supports will be providedIf applicable | If applicable | |
| Transport Safety Checklist (PT-TSC-001) — only if OCC will provide transport for this participantIf applicable | If applicable |
Folder 06 — Care Plans & Clinical Documents PRE-COMMENCE
| Generic Care Plan (CP-GEN-001) — mandatory for all participants as a minimum baselineMandatory | ||
| Mealtime Support Plan — if participant requires mealtime support or has swallowing concernsIf applicable | If applicable | |
| Nutrition and Swallowing Risk Checklist — if mealtime support plan is in placeIf applicable | If applicable | |
| Manual Handling Care Plan — if the participant requires physical assistance with movementIf applicable | If applicable | |
| Clinical Care Plan — specific type (Diabetes, Seizure, Wound, Bowel, Catheter, Tracheostomy, etc.) — only copy plans clinically relevant to this participantIf applicable | If applicable | |
| Behaviour Support Plan (BSP) — supplied by registered NDIS behaviour support practitioner; OCC does not create this documentIf applicable | If applicable | |
| Practice Guidelines — Choking / Food Preparation — if mealtime risk identifiedIf applicable | If applicable |
Folder 07 — Progress Notes ACTIVE
| Daily Support Progress Notes (PT-DSN-001) — completed after every shift by the support workerMandatory | ||
| Support Management File Notes — for coordinator communications and case notesMandatory | ||
| Periodic Progress Report — quarterly; due every 3 months from commencement dateMandatory | ||
| Support Plan Progress Report — linked to active support planMandatory | ||
| Participant Home Monitoring Visit Report — if home monitoring visits are conductedIf applicable | If applicable |
Folder 09 — Advocate & Representative PRE-COMMENCE
| Authority to Act as Advocate Form — if participant has a formal advocateIf applicable | If applicable | |
| Authority to Hold Key — if OCC staff will hold a key to the participant's homeIf applicable | If applicable | |
| Participant Money and Property Consent — if OCC will handle any money or property on behalf of participantIf applicable | If applicable |
Folder 10 — Medication PRE-COMMENCE
| Participant Medication Plan and Consent (MM-MPC-001) — signed by prescriber and participant/representative; trained staff onlyIf applicable | If applicable | |
| Medication Administration Chart — current and signed by prescriberIf applicable | If applicable | |
| PRN Care Plan and Protocols — if PRN (as-needed) medication will be administeredIf applicable | If applicable | |
| Self-Medication Assessment — if participant self-medicates and OCC needs to monitorIf applicable | If applicable | |
| Medication Administration Competency Assessment — for each staff member who will administer medication to this participantIf applicable | If applicable | |
| Medication Risk Indemnity Form — signed before any medication administration beginsIf applicable | If applicable |
Folder 12 — Safe Environment PRE-COMMENCE
| Safe Environment Checklist — Home (SE-CHK-001) — completed at or before the first home visitMandatory | ||
| Participant Safe Environment Risk Assessment (SE-RAS-001) — completed at or before the first visitMandatory | ||
| Environmental Cleaning Schedule — set up for the participant's home environmentMandatory | ||
| Staff PPE Provision Record — confirm PPE has been issued to staff supporting this participantMandatory | ||
| Food Hygiene Check — if OCC staff prepare or handle food in the participant's homeIf applicable | If applicable | |
| Emergency Plan — Waste Disposal — if clinical waste is generated in the homeIf applicable | If applicable |
Folder 13 — Restrictive Practices ACTIVE
| Restrictive Practice Usage Record (RP-001) — only if regulated restrictive practices are authorised in the Behaviour Support PlanIf applicable | If applicable |
PH2 — Participant Onboarding Sequence
Participant Hub · All Phases · OCC-PT-ONB-001 V1.0
Work through these steps in order for every new participant. Phase 1 must be fully complete before the first support session. Phase 2 is completed on commencement day. Phase 3 is established within the first two weeks and maintained throughout the service relationship.
Important
The Participant Intake Form (Step 2) must be completed first — all ★ fields in that form auto-populate into other participant documents via SharePoint Quick Parts. If you skip the intake form or fill it in after other documents, the auto-population will not work.
📋 Record: After completing Steps 1–7, enter the
participant's key dates in the Participant Register
(09_Registers/Participant_Register): NDIS plan start/end dates, service agreement expiry, and
next review date. Set Microsoft 365 calendar reminders.
Phase 1 — Pre-Commencement
Complete before services begin. All mandatory items in this phase must be signed and filed before the first support session.
| # | Document | Phase | Who Signs | Done |
|---|---|---|---|---|
| 1 | Agency Referral Form If
applicable PT-ARF-001 |
PRE-COMMENCE | Referrer | |
| 2 | Participant Intake Form — fill all ★ fields; these auto-populate
other documents Mandatory PAR-FRM-001 |
PRE-COMMENCE | Coordinator + Participant/Rep | |
| 3 | Support Matching Assessment — match worker skills to participant
needs Mandatory PP-MAT-001 |
PRE-COMMENCE | Service Manager | |
| 4 | Privacy Statement — provide to participant; no signed copy required
Mandatory PT-PRI-001 |
PRE-COMMENCE | Provide to participant | |
| 5 | Participant Consent Form — covers general consent, telehealth,
third-party information Mandatory PT-CON-001 |
PRE-COMMENCE | Participant or Authorised Rep | |
| 6 | Service Agreement — Standard or STA version Mandatory SA-001 / SA-STA-001 |
PRE-COMMENCE | Participant/Rep + OCC Manager | |
| 7 | Current NDIS Plan — copy on file; attach, do not recreate Mandatory — |
PRE-COMMENCE | N/A — copy only | |
| 8 | Individual Risk Profile Assessment — medical, behavioural and
environmental risks Mandatory PT-RPA-001 |
PRE-COMMENCE | Coordinator + Participant/Rep | |
| 9 | Personal Emergency Preparation Plan — must be tested and signed
before services begin Mandatory PT-EPP-001 |
PRE-COMMENCE | Coordinator + Participant/Rep | |
| 10 | Community Access Risk Assessment — only if community access
supports will be provided If
applicable PT-CAR-001 |
PRE-COMMENCE | Coordinator | |
| 11 | Transport Safety Checklist — only if OCC provides transport If applicable PT-TSC-001 |
PRE-COMMENCE | Coordinator |
Phase 2 — Commencement Day
Complete on or before the participant's first support session.
| # | Document | Phase | Who Signs | Done |
|---|---|---|---|---|
| 12 | Participant Orientation Checklist — go through each section
face-to-face with participant and/or representative; sign and file Mandatory PT-ORC-001 |
DAY 1 | Participant/Rep + OCC Staff | |
| 13 | Generic Care Plan — mandatory baseline for all participants; only
add clinical care plans that are specifically relevant Mandatory CP-GEN-001 |
DAY 1 | Coordinator | |
| 14 | Safe Environment Checklist — Home — complete at or before first
home visit Mandatory SE-CHK-001 |
DAY 1 | Coordinator | |
| 15 | Participant Safe Environment Risk Assessment Mandatory SE-RAS-001 |
DAY 1 | Coordinator |
Phase 3 — Active Phase
Establish within the first two weeks. Maintained and reviewed throughout the service relationship.
| # | Document | Phase | Who Signs | Done |
|---|---|---|---|---|
| 16 | Support Plan — developed collaboratively with participant; links
NDIS goals to OCC supports; review at least annually Mandatory PT-SP-001 |
ACTIVE | Participant/Rep + Coordinator | |
| 17 | Post-Implementation Plan — completed after initial support period
(typically 2–4 weeks) Mandatory PP-IMP-001 |
ACTIVE | Coordinator | |
| 18 | Daily Support Progress Notes — completed after every shift by the
support worker Mandatory PT-DSN-001 |
ACTIVE | Support Worker | |
| 19 | Medication Plan and Consent — only if participant takes medication
requiring OCC involvement; trained staff only If
applicable MM-MPC-001 |
ACTIVE | Prescriber + Participant/Rep | |
| 20 | Clinical Care Plans — only the types relevant to this participant
(Diabetes, Seizure, Mealtime, Manual Handling, Wound, etc.) If applicable CP-[TYPE]-001 |
ACTIVE | Clinician / Coordinator | |
| 21 | Behaviour Support Plan — supplied by registered NDIS behaviour
support practitioner; OCC does not create this document If applicable — |
ACTIVE | BSP Practitioner | |
| 22 | Restrictive Practice Usage Record — only if regulated restrictive
practices are authorised in the BSP If
applicable RP-001 |
ACTIVE | Support Worker + Supervisor |
PH3 — Participant Orientation Sign-Off
Participant Hub · Commencement Day · PT-ORC-001 V1.1
Complete this checklist face-to-face with the new participant and/or their representative on or before the first support session. Each item must be genuinely covered as a conversation, not just read aloud. Use Easy Read versions or an interpreter where needed. The generated completion record is signed by both OCC staff and the participant or representative, then filed in the participant's 01_Intake_Identification folder.
Important
If an interpreter is used, record the interpreter's name and language in the participant details below. If an Easy Read version of any document is provided, note this against the relevant item.
A — Welcome & Introduction to OCC DAY 1
| Welcomed participant and representative to OCC; introductions madeMandatory | ||
| Explained OCC's mission, values, and NDIS registration (Provider 4-JU2I9UJ)Mandatory | ||
| Provided OCC contact details: phone 0435 335 444, after-hours procedure explainedMandatory | ||
| Explained how to identify OCC staff — ID cards, expected conduct, what to do if unsureMandatory | ||
| Introduced the key OCC staff member(s) who will be regularly involved in the participant's supportMandatory |
B — Participant Rights DAY 1
| Explained participant's rights under the NDIS Act 2013 and the NDIS Code of ConductMandatory | ||
| Explained the right to dignity, respect, and to be treated as an individual at all timesMandatory | ||
| Explained the right to make their own decisions, including the right to take reasonable risks (dignity of risk)Mandatory | ||
| Explained the right to privacy and confidentiality of their personal informationMandatory | ||
| Explained the right to have an advocate or support person present at any time, including all dealings with OCCMandatory | ||
| Explained the right to access their own records held by OCCMandatory | ||
| Explained the right to make a complaint without fear of consequences or loss of serviceMandatory | ||
| Explained the right to withdraw from OCC services at any time with appropriate noticeMandatory | ||
| Provided a copy of the OCC Rights and Responsibilities Statement — Easy Read version provided if applicableMandatory |
C — How Support is Delivered DAY 1
| Explained how the participant's NDIS plan goals inform their OCC Support PlanMandatory | ||
| Discussed the participant's preferred support style and communication preferencesMandatory | ||
| Explained the rostering process — how shifts are allocated and communicated to the participantMandatory | ||
| Explained what happens if a regular worker is unavailable — backup cover process and who to contactMandatory | ||
| Explained how to contact OCC to request changes to supports or raise concerns about service deliveryMandatory | ||
| Discussed cultural, spiritual, and other identity needs — how OCC will respect and support theseMandatory |
D — Safety & Emergency Procedures DAY 1
| Reviewed the Personal Emergency Preparation Plan with the participant — confirmed they understand their roleMandatory | ||
| Explained what to do in an emergency during a support session — who to call and in what orderMandatory | ||
| Explained OCC's duty of care obligations — what staff must do and what they cannot doMandatory | ||
| Discussed any home safety considerations — hot water safety, environmental risks, visitor proceduresMandatory | ||
| Explained infection control practices — handwashing, PPE use, illness protocolsMandatory |
E — Incidents, Feedback & Complaints DAY 1
| Explained what an incident is and what the participant should do if one occursMandatory | ||
| Explained OCC's obligation to report certain incidents to the NDIS Commission within specific timeframesMandatory | ||
| Explained the complaint and feedback process — how to make a complaint, formal and informal pathwaysMandatory | ||
| Confirmed participant knows they can complain directly to the NDIS Quality and Safeguards Commission: 1800 035 544 | ndiscommission.gov.auMandatory | ||
| Confirmed participant knows they can contact the NDIS Commission without OCC's involvement if they preferMandatory | ||
| Explained how anonymous feedback can be providedMandatory |
F — Documentation & Privacy DAY 1
| Explained that OCC keeps records of supports delivered (progress notes) after each sessionMandatory | ||
| Explained what information OCC collects and why — consistent with the Privacy Act 1988 (Cth)Mandatory | ||
| Explained who can access the participant's information within OCC and the circumstances for sharing with othersMandatory | ||
| Explained the photo and social media policy — no images without explicit written consentMandatory | ||
| Confirmed the participant has received and understood the OCC Privacy StatementMandatory |
G — Consents & Agreements Completed DAY 1
| Participant Consent Form signed and explainedMandatory | ||
| Service Agreement signed and key terms explained in plain languageMandatory | ||
| Participant understands they can ask questions about or request changes to the Service Agreement at any timeMandatory | ||
| Consent position for information sharing, photography, and telehealth recorded in Intake FormMandatory | ||
| Any outstanding consents noted and scheduled for completionIf applicable | If applicable |
H — Outstanding Items DAY 1
| Any documents not yet signed are listed and a follow-up date agreedIf applicable | If applicable | |
| Any outstanding assessments or referrals have been actioned or scheduledIf applicable | If applicable |
Declaration
By generating the completion record below, the OCC staff member confirms that this orientation was conducted face-to-face and each item was genuinely covered to a satisfactory standard. The participant or their representative has had the opportunity to ask questions and all items marked complete were understood.