Worksheets
Participant file checklist: what an auditor looks for in a sampled file
Auditors sample participant files. This checklist lists what the held Core 19 (support planning), Core 20 (service agreements) and Module 3 (the family, outcome based approach) indicators expect a participant file to show, one line each, cited. It holds no client data: it is a blank list to check a file against.
Practice StandardsNDIS Practice Standards
Edition held
Rules Schedules 1 to 8, Compilation No. 6 (F2026C00527) and Quality Indicators Guidelines Compilation No. 3 (F2026C00528), in force 1 July 2026
Checked current
6 October 2026
Under review, not in force
under review, not in force The NDIS Commission's review of the Practice Standards (a proposed quality framework and changes to the standards and how they are assessed) is still being considered; nothing from it is in force.
| Ref | What the file should show (evidence asked for) | In the file (yes, partly, no) |
|---|---|---|
| Core 19.1 | Completed intake assessment and support plan in a sample of participant files; Signed consent for assessment and for involving the support network; Reports from other practitioners or the NDIS plan used to inform the assessment; Support planning procedure Support planning: assessment and plan developed with the participant | |
| Core 19.2 | Individual risk assessments filed with the support plan and dated; Risk treatment strategies linked to each identified risk; Records of participant involvement in the risk assessment; Risk assessment review schedule Support planning: regular risk assessment and risk treatment strategies | |
| Core 19.2A | Risk assessments with a reliance or criticality rating for each participant; Register of participants who would be at high risk if services stopped; Individual plans for backup workers or alternative supports in a disruption; Link between the reliance rating and the emergency and disaster management plan Support planning: risk of reliance on supports and disruption | |
| Core 19.3 | Dated risk strategy reviews in participant files; Progress notes recording discussion of what is and is not working; Updated risk assessments after incidents or changes in circumstances Support planning: periodic review of risk strategies with the participant | |
| Core 19.4 | Support plans showing review dates within twelve months; Plan review records signed or acknowledged by the participant; Goal progress reports or outcome tracking notes; Triggers for early review recorded after hospitalisation or change in needs Support planning: annual or earlier plan review and progress assessment | |
| Core 19.5 | Revised support plans with a change history; Case notes showing the participant was consulted about the change; Outcome reviews identifying goals not being met and the agreed response Support planning: updating the plan when progress differs from goals | |
| Core 19.6 | Participant copy of the plan in Easy Read, translated or visual form where needed; Record of plan provided to the participant; Client management system access logs or on-site plan folders available to rostered workers; Worker interviews showing they know where the plan is kept Support planning: plan given in accessible form and available to workers | |
| Core 19.7 | Consent to share the support plan, naming recipients; Correspondence or handover records sending the plan to other providers; Contact list of the participant's support network and involved agencies Support planning: sharing the plan with the network, providers and agencies | |
| Core 19.8 | Support plans with a preventative health section; Records of supported vaccination, dental and annual health assessment appointments; Health appointment tracker or calendar for each participant; Referrals to allied health services Support planning: preventative health supports in the plan | |
| Core 19.9 | Individual emergency and disaster plans or plan sections for each participant; Person-centred emergency preparedness tool or equivalent completed with the participant; Worker sign-off or briefing records for the emergency section of the plan; Drill or scenario records involving participants Support planning: emergency and disaster responses in the plan | |
| Core 20.1 | Signed service agreements in a sample of participant files; Service agreement template showing supports, conditions and reasons; Meeting notes from the agreement discussion Service agreements: developed with the participant, with conditions explained | |
| Core 20.2 | Easy Read or translated service agreement versions; Records of interpreter or advocate use during agreement discussions; Participant feedback or interview notes confirming understanding Service agreements: helping the participant understand the agreement | |
| Core 20.3 | Agreements signed by both parties with the participant's copy noted as given; File notes recording why an agreement was not signed or not wanted; Agreement register tracking status for each participant Service agreements: signed copies or a record of why none was given | |
| Core 20.5 | Service agreement clause on supports during emergencies and disasters; Cross-reference from the agreement to the participant's emergency plan; Communication sent to participants on changes to supports during a past emergency Service agreements: supports to be provided in an emergency or disaster | |
| Module 3 4.1 | Family-centred support plans signed or acknowledged by the family; Planning meeting notes showing the family's choices recorded; Family feedback on the planning process The family: support plans based on child and family choice and control | |
| Module 3 4.2 | Intake and assessment records capturing the family's knowledge of the child; Plan reviews showing family observations used to adjust strategies; Family satisfaction survey results on being listened to The family: family expertise about their child recognised and respected | |
| Module 3 4.3 | Family strengths and priorities assessment or ecomap; Support plans linking goals to the priorities the family named; Partnership meeting records The family: strengths, needs and priorities identified in partnership | |
| Module 3 4.4 | Support plans recording how the child and family members prefer to learn; Records of plan changes made in response to family preferences; Varied delivery modes in session notes (coaching, modelling, written or video guidance) The family: plans flexible and individualised to preferences and learning styles | |
| Module 3 4.5 | Cultural information captured at intake (language, cultural practices, community connections); Records of interpreter or cultural liaison use; Cultural responsiveness training records for early childhood workers The family: plans culturally responsive to family beliefs and community | |
| Module 3 4.6 | Routine-based intervention plans (mealtime, bath time, play, getting dressed); Plain-language or translated information resources given to families; Session notes from home or other everyday settings The family: information and supports clear and built into everyday routines | |
| Module 3 4.7 | Records of referrals or links to playgroups, parent groups and community services; Plans with goals for the family's own network and resources; Progress notes on the family's confidence and strengths The family: family strengths built and own support network developed | |
| Module 3 4.8 | Coaching records showing parents practising strategies with feedback; Family learning resources provided and reviewed; Review notes on the family's contribution to progress The family: family participation in the child's learning strengthened | |
| Module 3 9.1 | Support plans with functional outcomes stated in the family's words; Goal-setting records showing the child's and family's input; Skills analysis linked to each outcome Outcome based approach: functional outcomes set with the child and family | |
| Module 3 9.2 | Current documented support plan in each child's file; Plan listing interventions against each functional outcome; Plan version and review date control Outcome based approach: documented plan describing interventions and outcomes | |
| Module 3 9.3 | Assessment records showing family participation; Plan review meeting notes with family attendance; Family sign-off on reviewed plans Outcome based approach: family actively involved in assessment and plan review | |
| Module 3 9.4 | Record of the plan copy provided to the family and the date; Translated or plain-language versions of plans where needed; Family confirmation that the plan was understood Outcome based approach: plan copy given to the family in accessible form | |
| Module 3 9.5 | Plan outcomes framed as participation in named family or community activities; Progress reports describing participation gained; Family feedback on changes in daily life Outcome based approach: outcomes support participation in family and community | |
| Module 3 9.6 | Outcome measurement records using a stated tool at baseline and review; Progress reports written for the family; Records of discussing results with the family Outcome based approach: outcomes measured and reported meaningfully to the family |
Completing this worksheet records what your practice holds and where. It does not make a practice compliant or ready for audit, and it is not legal advice.
Core 19 and Core 20 apply under certification; a verification-only practice is audited against Module 6, which does not set these indicators, though the files still carry the plans and agreements the practice keeps. Module 3 applies to early childhood supports.
See every requirement for your practiceSee the specimen practice