Open Care Connect - Participant File Checklist

Participant File Checklist

Open Care Community Services Pty Ltd t/a Open Care Connect | ABN: 22 668 873 694 | NDIS: 4-JU2I9UJ

PT-PFC-001 | V1.1 | Custodian: Quality & Compliance Manager

Place this checklist at the front of each participant's file. Section B maps directly to NDIS Stage 2 Audit participant file requirements. Sections Cï¿½D are operational readiness checks completed before the first support shift.

Section A: Participant Snapshot

Participant name *

Preferred name

NDIS number

Planned commencement date

Primary contact / nominee

OCC coordinator / lead

Primary support type

Episode / file reference

Section B: NDIS-Required Participant File Documents AUDIT READY

Tick each row when the document is confirmed on file. These items align with NDIS Practice Standards Stage 2 Audit participant file requirements.

Document	Doc Code	On File	Date Filed	Filed By
Participant Intake Form	PT-INT-001
Support Matching Assessment	PP-MAT-001
Individual Risk Profile Assessment	PT-RPF-001
Nutrition & Swallowing Risk Checklist	CI-NSR-001
Personal Emergency Preparation Plan	CI-PEP-001
Participant Orientation Checklist	PT-ORC-001
Privacy Statement (signed)	PT-PS-001
Participant Consent Form (signed)	PT-CON-001
Service Agreement (signed)	CI-SAG-001
Support Plan	PT-SP-001
Safe Environment Checklist: Home (signed)	CI-SEC-001
NDIS Plan copy on file	Participant's plan
Authority to Act as Advocate (if applicable)	PT-AAA-001
Agency Referral Form (if applicable)	PT-ARF-001
Audit opt-out preference recorded (prior to audit only)	QM-OOL-001

Section C: Commencement Readiness PRE-COMMENCE

Item	Done	Notes / N/A
Service agreement is signed or commencement approval is documented
Consent and authority forms are complete for this commencement arrangement
Current support plan or commencement instructions are available to the assigned worker
Key contacts are confirmed, including emergency and after-hours contacts where relevant
Risk profile and emergency information have been reviewed before service starts
Medication, mealtime, behaviour support, or other support-specific instructions are available if those supports will be delivered
Assigned worker has received the participant handover and understands known risks, preferences, and communication needs
Any restrictive practice or specialist instruction has been escalated to the correct lead before commencement

Section D: Admin Follow-Through READY TO START

Item	Done	Notes / N/A
First shift, roster, and responsible worker are confirmed
Funding or claiming pathway is confirmed for the support being delivered
Participant has been added to the internal roster, contact list, or scheduling tool used by the team
Early review date or first check-in has been diarised

Section E: Documents Provided to Participant at Commencement

Document	Offered	Format / Notes
OCC Participant Handbook
Easy Read: Your Rights
NDIS Commission Participant Pack
How to make a complaint (OCC process explained)

Section F: Exceptions and Follow-Up

Outstanding issue or condition before commencement

Section G: Sign-Off

Readiness status

Completed by

Date

0 of 0 items completed

Records Control

Document No.	Version	Created	Review Due	Custodian
PT-PFC-001	V1.1	20 May 2026	May 2027	Quality & Compliance Manager