PH1 - Participant File Setup & Pre-Commence Control
Participant File Checklist | Participant folder setup | Pre-commence and active controls
Source Basis
This page is rebuilt from Participant_File_Checklist.docx. It is a workflow control for organising, reviewing, and verifying the participant file. It is not the participant record itself.
File Setup Rules
| Copy folders 01–13 and this checklist into 04_Participants > Lastname_Firstname_OCCP00X. Do not copy the _Document_Templates folder.Mandatory | ||
| Use _Document_Templates only to obtain blank forms, then save completed documents into the participant folder. Never overwrite the master template.Mandatory | ||
| For folder 06 Care Plans Clinical, copy only the care plans relevant to this participant's specific needs. Do not copy all care plans wholesale.Mandatory | ||
| Use underscores in filenames. No spaces or brackets. Include the participant's name and date where relevant.Mandatory | Example: Support_Plan_Smith_John_2026-07.docx |
Folder 01 - Intake Identification PRE-COMMENCE
| Participant Intake Form — PAR-FRM-001 (full intake, Quick Parts enabled)Mandatory | ||
| Agency Referral FormIf applicable | If referred by agency | |
| Participant Orientation Checklist (signed by participant or nominee)Mandatory | ||
| Privacy Statement (signed)Mandatory | ||
| Support Matching AssessmentMandatory |
Folder 02 - Consent Forms PRE-COMMENCE
| Participant Information and Consent Form (signed)Mandatory | ||
| Telehealth Consent FormIf applicable | If telehealth used | |
| Third Party Information Release ConsentIf applicable | If sharing with other providers |
Folder 03 - NDIS Plan PRE-COMMENCE
| Current NDIS Plan — copy on fileMandatory | ||
| Support Plan (signed and current)Mandatory | ACTIVE | |
| Support Plan Easy Read versionIf applicable | If required | |
| Post-Implementation PlanMandatory | ACTIVE | |
| Support Coordination Handover ReportIf applicable | ||
| Support Plan Review Report (annual)Mandatory | REVIEW | |
| Support Plan Progress Report (quarterly)Mandatory | ACTIVE |
Folder 04 - Service Agreement PRE-COMMENCE
| Service Agreement — Standard (signed and current)Mandatory | ||
| Service Agreement — STA / Short Term AccommodationIf applicable | ||
| Service Agreement renewed when NDIS plan is renewedMandatory | REVIEW |
Folder 05 - Risk Emergency Plans PRE-COMMENCE
| Individual Risk Profile AssessmentMandatory | ||
| Personal Emergency Preparation Plan (tested and signed)Mandatory | ||
| Community Access Risk AssessmentIf applicable | If community access supports provided | |
| Transport Safety ChecklistIf applicable | If transport provided |
Folder 06 - Care Plans Clinical PRE-COMMENCE
| Generic Care PlanMandatory | ||
| Mealtime Support PlanIf applicable | ||
| Nutrition and Swallowing Risk ChecklistIf applicable | ||
| Manual Handling Care PlanIf applicable | ||
| Clinical Care Plan — specific type (Diabetes / Wound / Bowel / Seizure / etc.)If applicable | ||
| Practice Guidelines — Choking / Food PreparationIf applicable | ||
| All relevant care plans reviewed annually and when the participant's condition changesMandatory | REVIEW |
PH2 - Active File Controls, Key Dates & Metadata
Participant File Checklist | Active, review, and metadata controls
Folder 07 - Progress Notes ACTIVE
| Daily Support Progress Notes — ongoing entriesMandatory | ||
| Support Management File NotesMandatory | ||
| Periodic Progress Report (quarterly)Mandatory | ||
| Support Plan Progress ReportMandatory | ||
| Support Plan Review Report (annual)Mandatory | REVIEW | |
| Participant Home Monitoring Visit ReportIf applicable | If home visits conducted | |
| After ShiftCare is live, shift notes are exported from ShiftCare and filed hereMandatory | ACTIVE |
Folder 08 - Incidents Complaints ACTIVE
| Participant-specific incident report copies (originals stored in 06_Incidents_Complaints at root)If applicable | ||
| Participant-specific complaint copies (originals stored in 06_Incidents_Complaints at root)If applicable | ||
| Original incident reports are not filed here — only participant copies are kept in this folderMandatory |
Folder 09 - Advocate Representative PRE-COMMENCE
| Authority to Act as Advocate Form (signed)If applicable | ||
| Authority to Hold Key (signed)If applicable | ||
| Participant Money and Property ConsentIf applicable | ||
| Withdrawal of Authority to Hold KeyIf applicable | ACTIVE |
Folder 10 - Medication ACTIVE
| Participant Medication Plan and Consent (signed by prescriber and participant/nominee)If applicable | ||
| Medication Administration Chart (current)If applicable | ACTIVE | |
| PRN Care Plan and ProtocolsIf applicable | ||
| PRN Intake ChecklistIf applicable | ACTIVE | |
| Self-Medication AssessmentIf applicable | ||
| Doctors Medication Order FormIf applicable | ACTIVE | |
| Drug Register — Controlled DrugsIf applicable | ACTIVE | |
| Medication Risk Indemnity FormIf applicable | ||
| Medication Administration Competency Assessment (for staff administering)If applicable |
Folder 11 - Exit Transition ACTIVE
| Transition and Exit PlanIf applicable | When participant is exiting or transferring | |
| Service Change NotificationIf applicable | If support type changes | |
| Exit Summary ReportIf applicable | ||
| Clearance Checklist (signed by manager)If applicable |
Folder 12 - Safe Environment ACTIVE
| Safe Environment Checklist — HomeMandatory | ||
| Participant Safe Environment Risk AssessmentMandatory | ||
| Environmental Cleaning ScheduleMandatory | ACTIVE | |
| Food Hygiene CheckIf applicable | ACTIVE | |
| Safe Food Storage CheckIf applicable | ACTIVE | |
| Emergency Plan — Waste DisposalIf applicable | ACTIVE | |
| Waste Removal Records RegisterIf applicable | ACTIVE | |
| Staff PPE Provision RecordMandatory | ACTIVE |
Key Dates Tracker
| Document | Signed / Issued | Next Review / Expiry | Action Required |
|---|---|---|---|
| NDIS Plan start and end dates | |||
| Service Agreement signed and expiry | |||
| Support Plan last reviewed | |||
| Risk Assessment last reviewed | |||
| Emergency Plan last tested | |||
| Consent Forms last reviewed | |||
| Care Plans last reviewed | |||
| Medication Plan last reviewed (if applicable) |
SharePoint Metadata Columns
| Participant_ID | unique participant identifier | |
| NDIS_Number | ||
| Plan_Management | ||
| Plan_Start_Date | ||
| Plan_End_Date | ||
| Document_Status | ||
| Participant_Status | ||
| Support_Coordinator | ||
| Review_Date | ||
| Behaviour_Support_Plan | ||
| Medication_Support | Yes = trained staff only | |
| Communication_Needs |
PH3 - Verification & File Sign-Off
Participant File Checklist | Verification and sign-off
Verification Rule
Use this section only after the participant file has been reviewed against the folder checklist and the key review dates have been recorded in SharePoint metadata.
Verification
| Participant file has been reviewed and organised to Open Care Connect standardsMandatory | ||
| All mandatory documents are present, current, and properly signedMandatory | ||
| Key review dates have been recorded in SharePoint metadataMandatory |