Sample Data Quality Assurance Standard

Operating Procedures (SOPs)

Data quality assurance (QA) Standard Operating Procedures (SOPs) can help your
organization or program put processes in place to monitor data quality and take action to
address possible issues. Developing and following these procedures can help make data
quality assurance part of your culture and routine practices. SOPs can improve your data not
just through having a consistent framework for resolving problems that may arise, but also by
building staff confidence and dedication to quality data.
While your SOPs will vary to meet your organization’s or program’s needs, they should at a
minimum include processes for:
 Checking individual data quality
 Discussing data quality with peer staff
 Data quality audits by supervisors
 Following up on issues in a timely manner

As a starting point, this document provides a sample SOPs document in the context of a case
management program. It is intended to be modified to suit your organizational needs: in some
areas, sample alternatives are indicated in green. To adapt this template, first identify relevant
roles and responsibilities, define your key QA tools, refine QA procedures (including
timeframes), and train participating staff.

A sample case file review checklist is also included at the end of this document, to be adapted
as appropriate.

META is funded through the Department of Health and Human Services, Administration for Children and Families,
Grant # 90RB0051-02. The contents of this publication do not necessarily reflect the views or policies of the
funders, nor does mention of trade names, commercial products or organizations imply endorsement by the U.S.
Department of Health and Human Services. This resource may be duplicated for noncommercial use without
permission.
Data Quality Assurance Standard Operating
Procedures (SOPs)
I. Staff Responsibilities

Direct Service Staff, such as caseworkers, who work directly with clients and have
case file documentation responsibilities:
Direct  Conduct self-review of data and documentation quality.
Service Staff  Correct data and documentation issues after supervisor or peer review.
 Conduct peer review, if applicable.
 Adhere to SOPs and performance objectives.
Supervisors, who manage direct service staff and who have primary responsibility
and accountability for overall case data and documentation quality:
 Train Direct Service Staff on case file documentation, data entry, and data
quality assurance responsibilities.
Supervisor(s)
 Review results of self-review and spot check select cases.
 Communicate findings to team and Executive Director.
 Support Direct Service Staff in meeting SOPs and performance objectives.
 Hold Direct Service Staff accountable for addressing data quality issues.

The Executive Director, who oversees the Supervisor(s):

 Holds direct reports accountable for implementing the SOPs and achieving
Executive
performance objectives.
Director (ED)
 Makes necessary changes to program policies and design based on case
file review results.

II. Quality Assurance (QA) Tools

Spreadsheet following a standardized template, password-protected with data

Caseload validation and conditional formatting where possible, provided to each caseworker
Spreadsheet to track all the clients in his or her caseload. Includes columns for all required
demographic information as well as program benchmarks or key data points.

Spreadsheet that combines all Caseload Spreadsheets into a single document. As

Master
long as all staff use the same, standardized template, separate spreadsheets can
Spreadsheet
be combined into a Master Spreadsheet for aggregate QA, analysis, and reporting.

Database report that lists all clients in the program, along with demographic
Alternative:
information and program benchmarks or key data points. Able to be filtered by
Database
assigned staff (e.g., caseworkers) to allow review by staff individually as well as by
Report
Supervisors or all staff as a group. Enables review of both aggregate and
individual-level client and outcome data as part of the QA process.

Paper form that lists each item required in the case file as well as expectations for
Case File quality of narrative case notes. Mirrors the standardized case file order. May
Review include scoring, for example, by tallying the total number of corrections needed
Checklist (with the goal being a low score). Tracking scores can help Supervisors monitor
staff and motivate healthy competition among team members.
III. Procedures
1. Standardize Data and Documentation Quality Performance Objectives
Frequency: During initial onboarding and biannual performance review periods

Purpose:
 Ensure accountability for case file documentation and data quality among staff.
 Provide a framework for disciplinary action, when needed.
Supervisor(s) and Executive Director
i. Ensure job descriptions include relevant data and documentation responsibilities, incl. QA.
ii. Communicate performance objectives to staff during initial onboarding and performance
review/goal planning periods (e.g., “Direct Service Staff perform data quality self-review
weekly for all files identified”; “Direct Service Staff have data quality issues in fewer than 25%
of case files reviewed”).
iii. After implementation of SOPs for at least 1 year, identify any needed changes in staff
performance objectives.

2. Conduct Individual Data QA (Self-Review)

Frequency: Weekly, during time set aside for case data and documentation review (e.g., Thursdays
from 1-5pm. No walk-in appointments are accepted during this time.)

Purpose:
 Ensure quality data and documentation practices early in service period.
 Facilitate communication between Direct Service Staff and Supervisor(s) regarding both data and
documentation quality.
 Reduce the number of cases requiring second-level data QA.
Supervisor(s)
i. Using Caseload Spreadsheet (Alternative: Database Report), send Direct Service Staff list
of clients reaching first benchmark period (e.g. 30 days from enrollment in program) for data
QA self-review.
ii. Discuss self-review with Direct Service Staff during next supervision meeting, identifying
trends and training needs.
iii. Track Direct Service staff QA results or “scores” in a central location, identifying training
needs and performance issues.
Direct Service Staff
i. Using list from Supervisor, review client data on Caseload Spreadsheet to identify gaps or
errors in data entry (e.g., blank columns in demographics or program benchmarks). Enter
missing data in spreadsheet.
ii. Using list from Supervisor, review physical case file, including case notes, against Case File
Review Checklist. Use checklist as a guide to update case notes and other required
documentation. Identify items missing client signatures so that they can be prepared for
signature during next meeting with client.

iii. Notify Supervisor when self-review is complete. Provide Supervisor with completed Case File
Review Checklist for each case under review.
3. Conduct Team Data QA
Frequency: During Weekly (Alternative: Biweekly) Team Meeting

Purpose:
 Connect data and documentation quality to quality of service delivery.
 Support team approach to data quality; highlight examples of quality data.
 Show areas where we may still need to improve.
 Inform data and documentation quality performance objectives.

Supervisor(s)
i. Using Master Spreadsheet (Alternative: Database Report) on projector, review data for
clients reaching second benchmark period (e.g., 60 days from program enrollment).
ii. Discuss each case’s data and documentation quality. Identify actions needed to address
gaps or errors (such as blank columns for demographics or outcome data).
iii. Discuss overall team trends, scores, and goals for upcoming period. Email summary to ED.
Alternative: Make item iii a standing agenda item in the monthly staff meeting attended by the
Executive Director, rather raising during the team-only meeting.

Direct Service Staff

i. Email individual Caseload Spreadsheets to Supervisor prior to meeting so they can be
compiled into single document and sorted/filtered.
ii. Compete follow-up actions identified above.
iii. During the next meeting, provide updates on actions taken for each case.

4. Spot Check Select Cases for Data Quality

Frequency: Every other week during time set aside for case data and documentation review

Purpose:
 Spot check data and documentation quality before the end of the service period.
 Inform data and documentation quality performance objectives.
 Show areas where we may still need to improve.

Supervisor(s)
i. Review Master Spreadsheet for cases nearing end of service period (e.g. 15 days prior to
end of service period) and selects 25% (Alternative: 20%, 30%, etc.) for review, including:
 At least 1 file from each Direct Service Staff member
 50% of any new (<6 months in role) Direct Service Staff’s case files
ii. Review case data using Master Spreadsheet and files using Case File Review Checklist;
record scores.
iii. Provide Direct Service Staff with completed/scored Case File Review Checklist, highlighting
any urgent issues.
Alternative: Rather than checking cases themselves, Supervisors select cases and assign them to
peer reviewers, who return completed and scored Case File Review Checklists to Supervisors.
Direct Service Staff
i. Make corrections to case files within 2 weeks of receipt of Case File Review Checklist; share
corrections with Supervisor(s) during next supervision meeting.
Sample Case File Review Checklist
Client Name:

Not Applicable
Arrival Date:

Required?
Complete

Complete
Comments

Partially

Absent
Case Number:

Action
Enrollment Date:

Required Forms

Eligibility Documentation

Intake Form

Case Note Log

Pre-Assessment

Post-Assessment

Service Plan

Release Form
Form A
Form B
Form C
Form D
Form E

Case Notes

Notes in chronological order

Notes are clear and concise

Notes indicate if interpretation provided

Service X is case noted

Service Y is case noted

Service Z is case noted

Total Corrections Required: