Participant File Audit Checklist
Periodic participant file review details, compliance tracking, and corrective action records.
Review Details
| First Name: | Last Name: | ||
| NDIS Number: | Date of Birth: |
Audit Checklist
| File Audited | Initial Review “File Open” | 3 Month Review | 6 Month Review | 9 Month Review | 12 Month Review | Follow up notes |
|---|---|---|---|---|---|---|
| Participant Code, Name and File # Recorded on Front Cover or Electronic Folder Name | ||||||
| Participant Intake Form Completed | ||||||
| Intake Assessment Form | ||||||
| Referral Form (where applicable) | ||||||
| NDIS Plan | ||||||
| Service Agreement | ||||||
| Participant Consent Form | ||||||
| Support Plan | ||||||
| Additional Supporting Documentation | ||||||
| Individual Risk Assessment Form | ||||||
| Progress Reports | ||||||
| Incident Reports | ||||||
| Evidence of Critical Incidents Reported | ||||||
| Behaviour Support Plan (where applicable) | ||||||
| Evidence of Required Reporting of Restrictive Practices (where applicable) | ||||||
| Audit Consent Form Evident and Signed (if applicable) | ||||||
| Satisfaction Surveys | ||||||
| Feedback and Complaint Records | ||||||
| Participants Cash Register | ||||||
| Medication Administration Record | ||||||
| Mealtime Management Plan | ||||||
| Progress/File Notes (Evidence of each Support Session) | ||||||
| Authority to Act as an Advocate Form (where applicable) | ||||||
| Invoices | ||||||
| Participant Exit Form | ||||||
| Correspondence | ||||||
Corrective Actions
| Action taken | Who is responsible | Due date | Completed | Notes |
|---|---|---|---|---|
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No | ||||
| ☐ Yes ☐ No |
