Preparing for a File Audit: Quality Assurance for Homeless Service Providers

Funders and oversight agencies review client files to confirm that services were delivered and documented as the contract requires. Problems found in a review can affect funding. The best preparation is not a scramble the week before. It is a routine.

What reviewers commonly look for

Requirements depend on your contracts. Reviews often check for:

• Complete intake forms, signed and dated
• Eligibility and homelessness documentation
• Signed consents and releases of information
• Assessments completed on time
• A current service or housing plan
• Case notes that are timely and match the plan
• Records in the data system that match the paper file
• Incident reports, where relevant
• Complete discharge or exit paperwork

Build a file checklist

Create a one-page checklist for each program based on its contract requirements, and keep it at the front of every file.

Review files regularly

• Review a sample of files every month.
• Have staff or supervisors review files that are not their own.
• Track the most common errors.
• Feed what you find back into training.

Common findings

• Missing signatures or dates
• Expired releases
• Gaps in case notes
• Plans that were never updated
• Data entered late or inconsistently
• Missing exit documentation

Fix it the right way

Follow your agency's and funder's rules for corrections. Late entries should be clearly marked as late. Never backdate or alter a record.

Make it about quality, not blame

Staff who fear audits hide problems. Staff who understand that documentation protects clients and funding fix them.

Get outside eyes

An independent review catches what an internal team has stopped seeing. Be Shepherd provides Quality Assurance for homeless service providers, checking everything from intake forms to discharge papers so you can be confident your organization is meeting the necessary standards.