# Participant Records Source: https://docs.astalty.com.au/guide/participants/participant-records > Set up and manage Participant documents and track their expiry dates. ## Overview Use Participant Records to keep structured documents on a Participant's profile, track issue and expiry dates, and show when a required Record is missing. Admins first create the Record Types your organisation needs. Team members can then add Records of those types to Participant profiles. > **Deleting a Record cannot be undone** > > Deleting a Record is irreversible. Astalty also deletes any files stored only on that Record. A file that is also saved elsewhere in Astalty remains available there. > > If you don't want to permanently delete a Record, consider [archiving it](#archiving-a-record) instead - this keeps the Record and its documents in Astalty for your audit trail. ## Setting Up a Participant Record Open [**Settings > Participants**](https://app.astalty.com.au/settings/participants). ![The Settings menu with an arrow pointing to the highlighted Participants option, below Users and Permissions, beside the Participant Record Types list.](https://docs.astalty.com.au/assets/screen-shot-2024-02-22-at-5.47.27-am-1708543687.png) ### Create a Participant Record Type Select **Create Participant Record Type**. ![The Participant Record Types list in Settings with an arrow pointing to the Create Participant Record Type button.](https://docs.astalty.com.au/assets/screen-shot-2024-02-22-at-5.49.47-am-1708543735.png) Enter the Record Type name, then choose whether it: - has an expiry date - is required - requires a Document upload ![The Record Type Information form with a Name field and the Has expiry date, Required record and Documents required checkboxes ticked, with Required for some participant tags, Required when a service uses these charge items and Visible to Support Workers unticked.](https://docs.astalty.com.au/assets/screen-shot-2024-02-22-at-5.37.08-am-1708543792.png) Select **Create**. ## Setting Required Records by Participant Tags When a Record Type is required, choose whether it applies to **all Participants** or only to Participants with selected Tags. ### Configuring Required Records by Tag When setting up a Participant Record Type: 1. Navigate to **Settings** and select **Participants**. 2. Click **Create Participant Record Type** or edit an existing record. 3. Locate the **Required Record** option. 4. Choose whether the record should be: - Required for **all Participants**, or - Required only for Participants with **selected tags**. 5. If selecting tags, choose the relevant **Participant Tags** the requirement should apply to. 6. Click **Create** or **Save**. ![The Create Participant Record Type form with Required record unticked, Required for some participant tags ticked and highlighted, and the Required for participant tags dropdown open below it, listing tags such as Non Verbal, Mental Health, SMS Only, Wheelchair, Complex, Risks and Therapy.](https://docs.astalty.com.au/assets/participant-record-tags-guide.png) ### Review and Edit Record Types The Record Type list uses a tick or cross to show whether each type is required, has an expiry date and requires Documents. To change a type, open its 3-dot menu and select **Edit**. ![The Record Type list showing ticks and crosses under Required, Expires, Documents Required and Visible to Support Workers, with the 3-dot menu beside Consent Form open to show Edit and Archive.](https://docs.astalty.com.au/assets/screen-shot-2024-02-22-at-5.38.08-am-1708543830.png) ## Setting Required Records on a Plan Service As well as requiring a Record Type across your whole account (or for selected Participant Tags), you can mark a Record Type as required for **one specific Service** on a Participant's NDIS Plan. This is useful when a document is only needed because of the Service you're delivering - for example a Behaviour Support Plan that's required for a Support Coordination Service, but not for every Participant on your books. Unlike the two options above, this isn't configured in Settings. It's set per Participant, per Service - either manually, as below, or [automatically through the Record Type's Charge Item settings](#required-automatically-through-charge-items). ### Marking a Record Type as Required for a Service 1. Go to [Participants](https://app.astalty.com.au/participants) and open the Participant's profile. 2. Open the **NDIS Plan** page, select the **Plan**, then select the **Service**. 3. On the **Records** card, click **Manage**. 4. In the **Update Required Record Types** drawer, tick the Record Types this Service requires. 5. Click **Update**. The Records card lists the Participant Records that have been attached directly to this Service or marked as required for it. > **Who can set required Records on a Service?** > > You need the *Can edit Participant plan services* permission to save changes in the **Update Required Record Types** drawer. ### Required Automatically Through Charge Items A Record Type can also become required on a Service without anyone setting it there directly. On the [Record Type](https://docs.astalty.com.au/guide/settings/participants-settings/participant-record-types#creating-record-types) itself, turning on **Required when a service uses these charge items** and selecting one or more Charge Item Sets or Charge Items makes the Record Type required on every current or upcoming Service that uses any of them. This shows on the Service's **Records** card the same way as a manually required Record Type - as a **Missing** row until a Record is added - but its **Required because** column names the Charge Item Set or Charge Item that triggered it, for example *Uses Supported Independent Living*. Unlike a Record Type added with **Manage**, one required this way can be [exempted](#exempting-a-record-required-by-charge-items) on that Service. ### Exempting a Record Required by Charge Items If a Record required through Charge Items genuinely doesn't apply to a Service - for example the Participant's agreement for it is already covered by a Record held against a different Service - mark it exempt instead of adding a Record. 1. On the Service's **Records** card, find the Missing row and select **Exempt**. 2. Enter a **Reason**. 3. Select **Mark as Exempt**. ![The Records card on a Participant's Supported Independent Living Service, with a Missing row for SIL Service Agreement showing 'Uses Supported Independent Living' under Required because, and an orange box around the Exempt button beside Add Record.](https://docs.astalty.com.au/assets/participant-record-required-by-charge-item-exempt-button.png) ![The Mark as Exempt drawer for SIL Service Agreement on the Supported Independent Living Service, explaining it will no longer require that Record unless another service or rule needs it, with 'Covered in another record' typed into the highlighted Reason field above the Mark as Exempt button.](https://docs.astalty.com.au/assets/participant-record-mark-as-exempt-reason.png) Exempting only clears the requirement that this Service's Charge Items created. If the same Record Type is still required for the Participant some other way - required for all Participants, required by a Tag they hold, or required through Charge Items on another Service - it still shows **Missing** there. The row then shows an **Exempt** chip, and its **Required because** column names the reason and who set it, when that person is available. To reverse it, select **Undo** on the same row - the requirement returns and shows as Missing again. > **Who can exempt a Record?** > > Exempting and undoing an exemption need the same *Can edit Participant plan services* permission as **Manage**. The option only appears on the Service's **Records** card - the Participant's own **Missing Records** card doesn't offer it, only **Add Record**. ### What "Required" Does on a Service Marking a Record Type as required for a Service is for **tracking and reporting only**. It does not stop anyone from working - it won't prevent a Support Worker clocking out or ending a shift, block a note from being completed, or hold up invoicing. Until a Record of that type is attached to the Service, it shows as **Missing** in: - the Service's **Records** card - the Participant's **Missing Records** card on their Records page, with a **Service** column naming the Service - the [Participant Records Report](https://docs.astalty.com.au/guide/reports/participant-records-report) and its export, as a Missing row > **The report and export can identify the Service** > > The Participant Records Report names the **Service** below the Record Type. It also shows an exempt requirement's reason and who set the exemption when that person is available. The export adds separate **Service** and **Exemption Reason** columns with the same details. ### Adding a Record for a Service A Participant Record can only be attached to a Service at the moment you create it - there's no Service picker on the **Add Participant Record** drawer, so the Service is taken from wherever you started. To create a Record that's attached to a Service, use one of these two starting points: - the **Add Record** button on the missing Record row in the Service's **Records** card, or - the **Add Record** button on that Service's row in the Participant's **Missing Records** card. The general **Create Participant Record** button on the Participant's Records page doesn't pass a Service, so it always creates a Record that isn't attached to one. > **You can't change the Service afterwards** > > The Service is set when the Record is created and can't be edited later. If you create a Record from the wrong place, you'll need to delete it and add it again from the Service. Deleting a Record cannot be undone, and files stored only on that Record are deleted with it. ### How Service Requirements Work With Profile and Tag Requirements If the same Record Type is required both at the Participant level (across your account or via a Tag) **and** on a Service, the relationship only works in one direction: - A Record added **from the Service** satisfies **both** requirements. One Record clears both Missing entries. - A Record added at the Participant level with **no Service attached** only clears the Participant-level entry. The Service will **still** show that Record Type as Missing. > **Add the Record once, from the Service** > > When a Record Type is required both on the Participant and on a Service, don't create two Records. Create it **once** from the Service and it will clear both. If the same Record Type is required on **more than one Service**, you do need a separate Record for each one. A Record can only be attached to a single Service, so two Services each requiring a Service Agreement means two Records. ## Adding Records to Participant Profiles Open the Participant's profile, select **Records**, then select **Create Participant Record**. Choose the appropriate **Record Type**. Fill in additional details such as: - **Issue Date** - **Expiry Date** (if applicable) - **Reference Number** (if applicable) - **Record Description** (e.g., Allergy Information) **Documents** can be added by dragging and dropping files into the designated area. There is also an option to add existing documents. Videos can be attached here too - see [File Types and Size Limits](#file-types-and-size-limits) for the formats Astalty accepts. If the Record settings allow **Support Worker Acknowledgement**, you can require Support Workers to acknowledge the Record. See [Record Acknowledgement](https://docs.astalty.com.au/guide/scheduling/setup/what-support-workers-see/record-acknowledgement). You can select whether the Record needs to be signed, and can send the request within the Record itself. For more information on this, see the next section. ![The Add Participant Record drawer with Medication List as the Record Type, Issue Date, Reference Number and Record Description entered, Medication List.pdf uploaded below the option to select an existing document, Requires Support Worker Acknowledgement ticked, and the signing question set to No.](https://docs.astalty.com.au/assets/participant-record-1a.png) Choose an existing Document when you need to track an expiry date for a file that is already in Astalty. Select **Create Record** to save it. ### File Types and Size Limits As well as documents, you can attach **video** to a Participant Record. Astalty accepts **MP4**, **WebM** and **MOV** video files, alongside the usual PDF, Word, spreadsheet and image formats. Every file on a Record - video or document - can be up to **500 MB**. A larger file is rejected with *File exceeds the 500MB size limit* and a format Astalty doesn't accept is rejected with *Invalid file type*, both before the Record is saved. Attaching a video is worth it where a document can't carry the same information - a demonstration of how a Participant communicates, or a recorded consent conversation - because it sits on the Record with the rest of that Participant's paperwork rather than somewhere separate. Once the Record is saved, select the video to play it in Astalty, the same way you'd open an attached PDF. Support Workers can play it on their device too, if the Record Type is [visible to Support Workers](https://docs.astalty.com.au/guide/scheduling/setup/what-support-workers-see/making-records-visible-to-support-workers) - see [Participant Details App View](https://docs.astalty.com.au/guide/scheduling/support-worker-app/participant-details-app-view#records-and-documents). ### Records Containing Video and eSignatures Only **PDF** and **Word (DOCX)** files can be signed, so a video never goes out in an eSignature request. This changes what you see when you create the Record: - If the only files you attach are videos, the **Does this Participant Record need to be signed?** question doesn't appear at all - there is nothing on the Record that could be signed. - Add a PDF or Word document to the same Record and the question appears, because that file can be signed. - When you send the Record for signing, only its PDF and Word documents are offered. Videos aren't listed. > **A Record can be marked for signing before its document is attached** > > The signing question is driven by the files attached at the time, so a Record created with a PDF can be set to require a signature and then have that PDF removed. If you later try to send a Record that has only videos left on it, Astalty rejects the document with *The selected Document is not eligible for signature*. Check the Record still holds a PDF or Word document before sending it. ## Sending Participant Records for eSignature To send the Record for signing, you have two options: 1. Send the request **immediately** after being created 2. Send the request later Choosing the first option opens the eSignature preparation flow immediately. See [Requesting Signatures](https://docs.astalty.com.au/guide/esignatures/requesting-signatures). ![The Add Participant Record drawer with the signing questions highlighted. Does this Participant Record need to be signed is set to Yes, and sending it to be signed immediately after being created is set to No.](https://docs.astalty.com.au/assets/participant-record-2a.png) If you choose to send it later, use **Sending Multiple Participant Records for eSigning** below or follow [Requesting Signatures](https://docs.astalty.com.au/guide/esignatures/requesting-signatures). ### Signature Status Every Participant Record carries a **Signature Status**. It shows as a chip next to the Record's status on the Participant's Records page, and it's a field in the **Signature** section of the **Edit Participant Record** drawer. ![The Edit Participant Record drawer with the Signature Status dropdown open, listing Not Sent, Awaiting Signatures, Signed and Not Required.](https://docs.astalty.com.au/assets/participant-record-signature-status-dropdown.png) | Status | When it applies | | ----------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | | **Not Sent** | The Record can be signed, but no signature request has gone out yet - or every request that did go out was cancelled, declined or expired. | | **Awaiting Signatures** | A signature request is out and Astalty is still waiting on at least one signer. | | **Signed** | Every signer on a request has signed. A Record stays **Signed** even if a later request is raised against it, so a completed signature is never lost - unless it's [changed back by hand](#changing-a-fully-signed-records-status). | | **Not Required** | The Record doesn't need a signature. This is also the status Astalty falls back to when the [Record Type](https://docs.astalty.com.au/guide/settings/participants-settings/participant-record-types) can't be sent for signing. | Records set to **Not Required** don't show a signature chip on the Records page, so the list stays focused on the Records still waiting on someone. > **Astalty keeps the status up to date for you** > > While a signature request is in progress, **Signature Status** is read-only and a note on the drawer explains why. Astalty moves the Record to **Awaiting Signatures** when the request is finalised and to **Signed** once every signer has signed. > > The field unlocks again once the request is cancelled, declined or expires. If that was the Record's only request, the Record goes back to **Not Sent** and can be sent again. ### Changing a Fully Signed Record's Status If only some signers sign through eSignatures and someone else signs on paper, a Record can show **Signed** while a signature is still outstanding. Once every eSignature signer has signed and no request on the Record is still in progress, **Signature Status** unlocks and offers **Awaiting Signatures** alongside **Signed**, so you can flag that a paper signature hasn't come in yet. Choosing **Awaiting Signatures** shows a warning in place of the usual hint: ![The Edit Participant Record drawer's Signature section with Awaiting Signatures selected over a completed request, showing the warning 'Everyone on the signature request has signed, so this status won't update on its own. Set it back to Signed once the remaining signatures are in.'](https://docs.astalty.com.au/assets/participant-record-signature-status-override-warning.png) Set the status back to **Signed** once the paper signature is in. While the override stands, a repeated completion on the same request, or a change to another request on the Record, no longer flips the status back on its own - only setting it to **Signed** by hand clears it. The Record's details show a muted **Set manually** note under **Signature Status** as a reminder. > **Deleting the request clears the override too** > > Deleting the Record's completed signature request returns **Signature Status** to **Not Sent**, the same as deleting any other request, and clears the override. ### When a Record Type Can't Be Sent for Signing A Participant Record can only be sent for signature when **Documents required** is ticked on its [Record Type](https://docs.astalty.com.au/guide/settings/participants-settings/participant-record-types). A Record Type that doesn't require documents has no document to sign in the first place, so Astalty leaves the signing option out and tells you why, rather than offering something that could never be completed. On these Records, the **Signature Status** dropdown offers only the status the Record already has plus **Not Required**, and a short note underneath names the Record Type and explains that it doesn't require documents. **Send for Signing** isn't available on them either, and they aren't offered when you send [multiple Records in one eSignature request](#sending-multiple-participant-records-for-esigning). > **Clearing a Record stuck on Not Sent** > > **Documents required** can be unticked on a Record Type that already has Records against it. If a Record was sitting on **Not Sent** when that happened, it can no longer be sent - but you can clear it. Open the Record and set **Signature Status** to **Not Required**, which is offered alongside **Not Sent** for exactly this reason. > > Records already **Awaiting Signatures** or **Signed** keep the status they have, so a signature that is already underway isn't lost when the Record Type changes. ## Viewing Participant Records In the record screen, you can view each Participant Record with details such as its status (current, expired or archived), whether it has been sent for signing, the record name, and the expiry date on the far right-hand side. **Handy Hint:** You can check the status of all documents across the organisation and or based on a staff member's caseload via the reports section. ## Archiving a Record When a Record is no longer relevant - for example a Service Agreement that has been replaced by a newer one - you can archive it rather than delete it. Archiving keeps the Record and its documents in Astalty for your audit trail, but takes the Record out of your day-to-day compliance tracking. To archive a Record, open it from the Participant's Records page and click **Edit**. ![A Participant Record opened from the Records page, showing its Record Details and Documents, with an arrow pointing to the Edit button in the top right.](https://docs.astalty.com.au/assets/participant-record-archive-1-guide.png) At the bottom of the **Edit Participant Record** screen, click **Archive**. You'll be asked to confirm, and if the Record is still active and hasn't expired yet, Astalty will point that out before you go ahead. ![The Edit Participant Record drawer with an arrow pointing to the Archive button at the bottom, beside Delete.](https://docs.astalty.com.au/assets/participant-record-archive-2.png) To restore an archived Record, open it, select **Edit**, then select **Unarchive**. ### What Happens When You Archive a Record The Record's status changes to **Archived**. It stays on the Participant's Records page, so you keep the history, but the Records table hides archived Records until you add the **Status** filter and choose **Archived**. ![A Participant's Records page with the Status is Archived filter applied and the archived Medication List Record highlighted in the Records table, below the Missing Records list.](https://docs.astalty.com.au/assets/participant-record-archive-3.png) Astalty treats an archived Record as no longer in force, which means: - It **no longer satisfies a required Record**. If the [Record Type](https://docs.astalty.com.au/guide/settings/participants-settings/participant-record-types) is required for that Participant, it will reappear under **Missing Records** until a new Record is created. - It **won't trigger** [Participant Record Notifications](https://docs.astalty.com.au/guide/notifications/participant-record-notifications) for upcoming or overdue expiry. - It **won't appear** in outstanding [Record Acknowledgements](https://docs.astalty.com.au/guide/scheduling/setup/what-support-workers-see/record-acknowledgement) for Support Workers. - Its active attached documents are archived too, but they are **not** deleted. When the Record is unarchived, Astalty restores the documents that were archived at the same time as the Record. A document that had already been archived separately stays archived. - It still appears in the [Participant Records Report](https://docs.astalty.com.au/guide/reports/participant-records-report) with an **Archived** status, so use the report's Status filter if you want to leave archived Records out. > **Who can archive Records?** > > The **Admin**, **Manager** and **Team Member** roles can archive Participant Records. Support Workers cannot. Records are archived one at a time - there's no option to archive several Records at once. ## Sending Participant Records You can send records from within the Record by selecting the 'Actions' button and then select the 'Send' option. You will then have to enter the email address for the recipient. ![A Participant Record with step 1 marked on the Actions button and step 2 marked on Send in its menu, above Email History.](https://docs.astalty.com.au/assets/rs.png) ## Sending Multiple Participant Records for eSigning You may wish to send multiple Participant Records at once, such as a Service Agreement and Consent Form. We've created a helpful video guide that walks through this process. Video walkthrough: signing multiple records at once. ## Record Sending Log You can now view the history of sent records from within the relevant records. This will help with identifying which documents have been sent. ![A Participant Record with its Actions menu open and an arrow pointing to Email History, below Send.](https://docs.astalty.com.au/assets/rl-guide.png) ## Deleting Documents from Records Open **Edit Participant Record**, then use the Document's action menu to delete it. Deleting the Document here also deletes it from the Participant's Documents page. If the Record Type requires documents, Astalty prevents you from deleting the final Document. Record Types that do not require documents can be saved without an attached Document. Deleting the entire Record is also blocked while it has pending signature requests. Resolve or cancel the listed requests, then try again. ![The Edit Participant Record drawer with step 1 marked on the 3-dot menu beside a Document and step 2 on its greyed-out Delete option, with the highlighted message This Record requires at least one Document.](https://docs.astalty.com.au/assets/der.png) ## Video Walkthrough For Creating Records Video walkthrough: participant records in action.