The two documents reviewers reach for first live in Service Planning: the current support plan and the quarterly service authorizations. Both expire on their own schedules, and a lapsed one is the fastest way to turn a routine record review into a finding. Everything else in the file exists to show the consumer was informed, consented, and served the way the plan says.
Here is the full index, in filing order. Items marked Expires need a tracked date; If applicable items depend on which services you deliver to that consumer.
Consumer Information
3 documents- Personal historical information
- Choice / preference inventory
- Personal goals
Service Planning
2 documents- Current support planExpires — track the date
- Quarterly service authorization(s)Expires — track the date
Consents & Authorizations
10 documents- Transportation & travel authorization
- Authorization to release information
- Consent for agency services
- Parent / guardian consent
- Mutual agreement consent
- Medication safe handling agreement
- Consumer monetary funds policy
- Photo, video & electronic media consent
- HIPAA Notice of Privacy Practices & acknowledgment
- Confidentiality acknowledgment
Rights, Policies & Safety
12 documents- Client's rights
- Client's responsibilities
- Client Bill of Rights training
- Civil & human rights acknowledgment
- Grievance procedure
- Abuse, neglect & exploitation reporting procedure
- Free choice of provider
- A Credo for Support
- Person-centered service delivery
- Hurricane preparedness
- Client safety checklist
- Transition / discharge policy
Service Documentation
2 documents- Service logs
- Progress notes
Orientation & Training
3 documents- Consumer / parent / guardian orientation
- Educational materials
- Additional orientation documents
Quality Assurance
1 documents- Annual satisfaction survey
Medical & Other Documents
6 documents- Health & safety reports
- Medication list
- Physician information
- Emergency contacts
- Disclaimer
- Other documents of interest
Staff Information
3 documents- Job description — Companion (LSD-1)If applicable
- Job description — Personal SupportsIf applicable
- Job description — RespiteIf applicable
Keeping 42 slots green per client
Multiply this index by a caseload of consumers and the real problem appears: not building the file, but knowing at any moment which slots are empty, which are stale, and which quarterly authorization runs out mid-month. APDHQ ships this exact index as a built-in checklist — each client shows a red/amber/green readiness state, expirations roll up to a 30/60/90 dashboard, and a survey packet exports in one click.
Pair it with the employee file checklist and the survey-readiness guide.