Harborough District Council. Data Quality Strategy

Transcription

1 APPENDIX A Harbrugh District Cuncil Data Quality Strategy Right first time every time Page 1 f 24

2 APPENDIX A June 2007 Page 2 f 24

3 1. Harbrugh District Cuncil s Data Quality Strategy 1.1 What is Data Quality and why is it imprtant? Data will be f high quality if it is: Accurate (in terms f crrectness). Cmprehensive (in terms f all data being captured). Valid (in an agreed frmat which cnfrms t recgnised cuncil and natinal standards). Available when needed. Stred securely and cnfidentially. While inspectin bdies such as the Audit Cmmissin require assurance that perfrmance infrmatin is accurate, it is equally imprtant t ensure that high quality data is available fr managing and imprving ur services and fr prviding t ur partners (e.g. LAA). This is increasing the emphasis n data quality, and the external audit apprach f checking calculatin and systems reprts is develping int a mre challenging scrutiny f systems cntrls. This is likely t entail an examinatin f the systems and prcesses fr the cllectin f data, the skills required and the use f infrmatin. The quality f ur data is crucial fr assessments f cuncil effectiveness, and t give reassurance t ur partners, residents and ther stakehlders. Thus there is a need fr a plicy fr ensuring accurate and reliable data. Additinal backgrund infrmatin n data quality can be fund in Appendix One. 1.2 HDC s Data Quality Strategy Backgrund infrmatin n hw this Data Quality Strategy was develped can be fund in Appendix Tw. This includes identifying where we are with data quality and infrmatin frm the recent Data Quality Audit undertaken by the Audit Cmmissin in which we were classified as Level 2, infrmatin n where we wuld like t be incrprating the recmmendatins made by the Audit Cmmissin fllwing this Inspectin; as well as the key drivers fr change Objectives f the Data Quality Strategy The Cuncil recgnises the imprtance f data quality as reliable, accurate and timely perfrmance infrmatin with which t manage services, infrm users and accunt fr ur perfrmance is essential. We are cmmitted t ensuring that we maintain the highest standards f data quality and as a result get ur perfrmance infrmatin right first time. This will enable us t have the right infrmatin at the right time at the right cst. In rder t achieve this, Harbrugh District Cuncil will: Page 3 f 24

4 Ensure that perfrmance infrmatin in use is f high quality, cnsistent, timely, and cmprehensive and held securely and cnfidentially. Put in place arrangements at senir level t secure the quality f data that we use t manage ur service and demnstrate ur perfrmance. Make clear what is expected frm Officers and cntractrs in terms f the standards f data quality. Put in place systems, plicies and prcedures t enable the highest pssible data quality, particularly where infrmatin is shared with partners. Ensure that we put in place the right resurces, and in particular, have the right peple with the right skills, t ensure we have timely and accurate perfrmance infrmatin. Ensure that we have the right cntrls t ensure that the Cuncil meets what is expected f us. The purpse f the data quality reprting prcess is t ensure that the Cuncil supprts a learning culture s that future mistakes can be avided. All members f staff are encuraged t reprt n any data quality issues Scpe f the Data Quality Strategy In rder t ensure that accurate and dependable infrmatin is available fr all Cuncil functins, all Cuncil systems and prcesses that prduce perfrmance infrmatin are in the scpe f this strategy. The Cuncil believes that cntinued initiatives in relatin t data quality shuld be prprtinate t risk. Please nte that issues relating t the Data Prtectin Act and the Freedm f Infrmatin Act are cvered in the Cuncil s Data Prtectin and Freedm f Infrmatin Plicies. The Cuncil s IT Security Strategy cvers the aspects f electrnic data Principles f the Data Quality Strategy There are a number f principles that underpin gd data quality. It is imprtant t cnsider these sequentially because if any f the principles are nt adhered t, inaccuracies are likely t creep in, and adherence t subsequent principles will nt be able t rectify the psitin. Awareness: everyne recgnises the need fr gd data quality and hw they can cntribute. Definitins: everyne knws which PIs are prduced frm the infrmatin they input and hw they are defined. Statutry perfrmance indicatrs have natinally set definitins. It is imprtant that every detail f the definitin is applied. This ensures that data is recrded cnsistently, allwing fr cmparisn ver time, and natinal benchmarking. Where we are setting lcal PIs, we need t ensure that we have established a clear definitin and that there are systems available t cllect and reprt the data in an agreed frmat. In sme cases, there are a number f similar indicatrs (sme natinal and sme lcal) measuring the same thing in slightly different ways. It is imprtant t ensure that separate figures are calculated and reprted systematically fr each definitin. Page 4 f 24

5 Every PI shuld have a named fficer wh is respnsible fr cllecting and reprting the infrmatin. This ensures that there is cnsistency in the applicatin f definitins and use f systems fr prviding the data. Each named fficer shuld be kept up-t-date f any changes in definitin that may ccur frm time t time. Input: there are cntrls ver input. The aim shuld be 100% accuracy 100% f the time. It is imprtant that fficers have clear guidelines and prcedures fr using systems and are adequately trained t ensure that infrmatin is being entered cnsistently and crrectly. A key requirement is that data shuld be entered n an nging basis, nt saved up t be entered in a blck at the end f a perid. This reduces the errr rate and the need fr cmplex verificatin prcedures. Cntrls shuld als be in place t avid duble-cunting. These shuld be designed accrding t the nature f the system, in particular where mre than ne persn inputs data. A likely cntrl will be an abslutely clear divisin f respnsibility setting ut wh is respnsible fr what data entry. The systems must als recrd all relevant infrmatin. Verificatin: there are verificatin prcedures in place as clse t the pint f input as pssible. Data requirements shuld be designed alng the principle f getting it right first time in rder t avid waste in the frm f time and mney spent n cleansing data, interfacing between different infrmatin systems, matching and cnslidating data frm multiple databases and maintaining utdated systems. Nevertheless, in cmplex systems, even where there are strng cntrls ver input, errrs can creep in. Where it is needed, a verificatin prcedure shuld exist clse t the pint f data input. The frequency f verificatin checks will need t be aligned with the frequency f data reprting. Respnsibility: Each perfrmance indicatr, whether natinal r lcal, has an assigned Officer wh takes respnsibility f the systems t supprt this PI as well as reprting this infrmatin t the required standards. Officers with respnsibility shuld dcument the prcedures that need t be undertaken t prduce this infrmatin t the required standard in the frm f a prcedures dcument, which is reviewed and updates n a regular basis. Officers with respnsibility shuld wrk clsely with IT in prcuring the systems and the general management f the systems t ensure a rbust cntrl envirnment. These prcedures shuld be reviewed and updated n an annual basis. Officers shuld ensure that they have a deputy t prduce this infrmatin in their absence. Output: perfrmance indicatrs are extracted regularly and efficiently and cmmunicated quickly. Page 5 f 24

6 Any utput prduced shuld have an auditable trail i.e. evidence t supprt the data utput that an Auditr wuld be happy with. Presentatin: annual perfrmance indicatrs are presented, with cnclusive evidence, in such a way as t give an easily understd and accurate picture f ur perfrmance t external inspectrates and the public Standards and Prcedures Harbrugh District Cuncil is cmmitted t cllecting and prcessing data accrding t natinal and lcally defined standards. Standards and prcedures are necessary t ensure that: Data cllectin is cnsistent thrughut the rganisatin and in accrdance with natinal definitins as laid dwn in the statutry perfrmance indicatr guidance where apprpriate. Infrmatin can be meaningfully cmpared / cllated bth acrss the rganisatin and natinally. Where there is n natinal standard t guide prcedures fr data cllectin, prcessing r reprting, the Cuncil will generate its wn lcal standards and prcedures. This will be dne as and when the requirement arises and initial wrk t ensure rganisatin-wide standards and prcedures are in place fr all key data cllectin prcesses. Where prblems are identified, crrective actin and any recmmendatins fr change will be identified. This stage may be cmplex, especially where mre than ne infrmatin system is invlved. The master surce f the data must be identified and the impact n recipient systems evaluated. Where at all pssible data must be crrected at surce and this is the respnsibility f the service managers t ensure that this happens. Shuld areas where issues f incrrect data are nt being put right are identified; the matter will be referred t the relevant Directr Risk Assessment Data quality is embedded in the Cuncil s Risk Register. Areas that can are classified as high risk cnditins include: A high vlume f data transactins. Technically cmplex perfrmance infrmatin definitin / guidance. Prblems identified in previus years. Inexperienced staff invlved in data prcessing / perfrmance infrmatin prductin. A system being used t prduce new perfrmance infrmatin. Knwn gaps in the cntrl envirnment. Results differing significantly frm previus years utturn r target Page 6 f 24

7 1.2.6 Rles and Respnsibilities Officers Data quality is the respnsibility f every emplyee wh enters, extracts r analyses data frm any f the Cuncil s infrmatin systems and recrds. Every emplyee shuld be aware f his r her respnsibilities fr quality f data. The Head f Crprate Services has senir respnsibility fr data quality with regards t perfrmance infrmatin and is the Officer Data Champin (with delegated authrity frm the Chief Executive). The Head f Crprate Services will reprt t the Strategic and Extended Management Teams n data quality and any data quality issues that arise. The Research and Perfrmance Management Officer will be the Data Quality c-rdinatr with respnsibilities fr prmting the imprtance f data quality thrughut the rganisatin. The Data Quality C-rdinatr will: Advise service areas and Internal Audit f new and amended perfrmance indicatrs s that data quality prcesses can be set up / amended. Check and chase up data returns and ensure that apprpriate explanatins are prvided fr perfrmance exceptins. Maintain links t natinal perfrmance indicatr guidance s that it is readily available t data cllectrs, authrisers and Internal Audit. Develp the perfrmance management framewrk and supprting systems t incrprate data quality prcesses at the pint f cllectin based n recmmendatins frm External and Internal Audit. Heads f Service have the respnsibility fr ensuring that accurate and cmplete recrds are maintained and that perfrmance, appraisal and disciplinary prcesses are in place t maintain and enhance data and infrmatin quality fr their service area. The Extended Management Team are respnsible fr frmulating imprvement measures in the Actin Plan supprting this strategy, as well as mnitring t ensure that prgress again the plan is systematically mnitred and any crrective actin taken, if required. Team Leaders, and Service Managers are respnsible fr ensuring that adequate, safe systems hlding an acceptable standard f infrmatin are develped and maintained and that perfrmance infrmatin they prvide is accurate, timely and meets the relevant guidance. They are als respnsible fr ensuring the implementatin f crprate plicy and prcedures and the develpment f service based plicies and prcedures fr perfrmance infrmatin, and will take particular respnsibility fr data quality and drive imprvements in their service areas. It is the respnsibility f all staff that input, stre, retrieve r therwise manage data t ensure that it is f the highest quality. Everyne in the rganisatin will be respnsible fr cmplying with this Data Quality Strategy. All staff are respnsible fr fllwing plicies and prcedures, and all line managers fr ensuring that this is the case in their respective service teams. Cmmitment t data quality will be clearly stated in jb descriptins fr all relevant rles within the Cuncil, ensuring that directrs, managers, administrative staff and thers recgnise their Page 7 f 24

8 respnsibilities as an integral part f their rle and prfessin. Cuncillrs The Prtfli Hlder fr Finance and Perfrmance Management has respnsibility fr data quality, and is the Member Data Quality Champin. The Scrutiny Panel Plicy Develpment has respnsibility fr ensuring adherence t this plicy Cntracts Harbrugh District Cuncil recgnises that data quality is an imprtant part f any cntract that is utsurced t a third party t manage. This is f particular imprtance t public-facing service cntracts where large amunts f perfrmance data are requested by the Cuncil frm which t judge a cntractr s perfrmance. We will ensure that all apprpriate cntracts where data cllectin and data quality are instrumental t the delivery f the service will have a standard clause inserted int the cntract which defines data quality and hw it shuld be embedded int the cntractr s prcesses. This will apply t cntracts tendered after the adptin f this plicy (date t be agreed). This clause will lay ut ur requirement fr the cntractr t prvide timely and accurate infrmatin and that respnsibilities fr data quality and checking infrmatin are clearly set ut. Respnsibility fr the verificatin f data lies within the service area managing the cntract Partners Sme imprtant infrmatin is prvided by partner rganisatins and ther external agencies e.g. Primary Care Trust, Leicestershire Plice and Leicestershire Cunty Cuncil. It is the intentin t wrk cnstructively with these rganisatins t prvide assurance f the data quality. Any dubts abut data quality shuld be addressed with the rganisatin. Respnsibility fr data verificatin lies within the service area receiving the infrmatin. Internal Audit and the Head f Crprate Services can prvide advice and guidance if needed Output and Reprting Perfrmance data required by external gvernment departments and inspectin bdies nrmally has a timetable fr publicatin. All perfrmance infrmatin shuld be available in time fr management assessment and actin prir t publicatin. It is imprtant that perfrmance infrmatin is subject t scrutiny and challenge befre final reprting. This can be achieved thrugh verificatin f utput reprts, departmental and directrate review. Perfrmance updates are available thrugh the TEN Perfrmance Management System. Scrutiny Panels als play a rle thrugh the mnitring and review f perfrmance. Reprting accurate infrmatin leads t gd decisin-making and imprved perfrmance. Fr many indicatrs that perfrmance will nly be recgnised publicly if it can be substantiated by external bdies. Harbrugh District Cuncil receives external validatin thrugh an audit prcess. During these audits the fficer respnsible fr data cllectin shuld be available t prvide all supprting infrmatin. If that fficer is nt available, there shuld be at least ne ther fficer wh is able t prvide advice and infrmatin n the PI. This is imprtant t ensure Page 8 f 24

9 that audit wrk prceeds smthly. The audit will require wrking papers t cnfirm the definitin has been fllwed, the calculatins are crrect and that the indicatr is supprted by a full audit trail. A cmprehensive prcess is already in place fr the cllectin, verificatin and reprting f the statutry natinal perfrmance indicatrs (Best Value Perfrmance Indicatrs) Mnitring and Review The plicy and the cuncil s verall apprach t data quality will be mnitred by the Extended Management Team and the Scrutiny Panel Plicy Develpment. Internal Audit will prvide internal assurance cntrls. A frmal reprting structure fr this will be develped. The mnitring and review prcess will invlve: Regular meetings with PI riginatrs and Divisin Heads, t ensure that the crrect systems and prcedures are in place. Rutine checks. Spt checks. Fllw up f any data quality queries frm members f staff. Liaising with Internal Audit and External Audit regarding any data quality issues they have cme acrss as part f their review / Inspectin prgramme. The Cuncil recgnises the need t achieve a balance between the resurces required t set and meet data quality standards and the relative benefits that flw. We will take this int accunt in develping ur apprach t mnitring and review. It will be necessary t fcus resurces n data that the cuncil regards as critical t its verall business bjectives. Equally, the right balance must be achieved and justified between the dimensins f data quality, fr example, a balance needs t be struck between accuracy and timeliness. 2. The Way Frward: Data Quality Actin Plan 2.1 Actin Plan Implementatin f the Data Quality Strategy is thrugh the actins listed in the Actin Plan. Nne f these actins have any cst implicatins, althugh Officer time is needed t implement them. A detailed Actin Plan can be fund in Appendix Three. 2.2 Anticipated Outcmes The main anticipated utcmes f delivering the Data Quality Actin Plan are: Imprved accuntability fr data quality issues. An increased awareness f data quality and its imprtance. An increased cmmitment t data quality by the Cuncil. A strengthened perfrmance management framewrk. 2.3 Actin Plan Mnitring The delivery f the Data Quality Actin Plan will be mnitred n a quarterly basis by the Extended Management Team and the Prtfli Hlder fr Finance and Perfrmance. An annual reprt will als be prduced and presented t the Strategic Management Team Page 9 f 24

10 and the Prtfli Hlder fr Finance and Perfrmance. Page 10 f 24

11 Appendix One: Backgrund Infrmatin n Data Quality Infrmatin and Data Public services need reliable, accurate and timely infrmatin with which t manage services, infrm users and accunt fr perfrmance. Service prviders make many, ften cmplex, decisins abut their pririties and the use f resurces. Service users, and members f the public mre widely, need accessible infrmatin t make infrmed decisins. Regulatrs and gvernment departments need infrmatin t satisfy their respnsibilities fr making judgements abut perfrmance and gvernance. Much time and mney is spent n the activities and systems invlved in cllecting and analysing the data that underlies perfrmance infrmatin, and the Audit Cmmissin says that natinally despite this, there remains a prevailing lack f cnfidence in much f this data. As increasing reliance is placed n this infrmatin in perfrmance management and assessment regimes, the need fr reliable data has becme mre critical. Gd quality data is the essential ingredient fr reliable perfrmance and financial infrmatin t supprt decisin making. The data used t reprt n perfrmance must be fit fr purpse, represent the Cuncil s activity in an accurate and timely manner. At the same time there must be a balance between the use and imprtance f the infrmatin, and the cst f cllecting the required data t the necessary level f accuracy. Data Requirements fr Harbrugh District Cuncil All infrmatin in the Cuncil is built up frm a variety f surces. These data frm the basis f whatever infrmatin is used in the Cuncil. The infrmatin is used lcally, but als natinally, t infrm planning, perfrmance management and t cntribute t natinal statistics. T ensure cnsistency and cmparability at a natinal level there are numerus rules and prtcls abut hw, when and why certain data shuld be cllected. If these rules are nt fllwed clsely r if the data are missing r unreliable then the infrmatin itself will be mre likely t be flawed (resulting in lw quality data). Cnversely, the higher the quality f the underlying data, the mre likely it is that the resulting infrmatin is accurate and cnsistent between rganisatins. In practice, mst data in the Cuncil is gathered as part f the everyday activity f many frntline and supprt staff wrking in a huge variety f settings. This means that unless we have very well managed systems and prcesses perated by apprpriately supervised staff, errrs can creep in and the quality f data can decline. Frm an external mnitring perspective, the Cuncil requires accurate infrmatin t manage service agreements with partners, alng with data needed t meet natinal reprting requirements listed belw: Natinal Requirements Best Value Perfrmance indicatrs. Statutry returns / data sets (e.g. t the Department fr Wrks & Pensins). Quarterly mnitring returns (e.g. Gvernment Office fr the East Midlands (GOEM)). External inspectins e.g. Audit Cmmissin, Benefit Fraud Inspectrate. Audit Requirements The Cuncil is regularly audited t ensure that: There is cmpliance with applicable legislatin. Page 11 f 24

12 Best practice derived frm British and Internatinal standards are implemented. Suitable prcesses are used, and cntrl put in place, t ensure the cmpleteness, relevance, crrectness and security f data. Lcal Requirements Prgress against the Cuncil s Key Pririties and Key Service Pririties. Mnthly perfrmance indicatrs. Quarterly perfrmance indicatrs. Prgress against Actins Plans. Infrmatin Gvernance Gd quality, reliable data enables the sharing and use f infrmatin with partner agencies. Page 12 f 24

13 Appendix Tw: Develping the Data Quality Strategy The Cuncil recgnises that accurate perfrmance data is a crucial element f a rbust and practive perfrmance management system. Accurate data is essential fr bth internal management and external scrutiny f the Cuncil s activities. It is imprtant fr the efficient and effective running f the Cuncil s services t have accurate infrmatin bth abut the vlume and quality f services that we are prviding, which is fit fr purpse and represents an accurate and timely manner fr the Cuncil s activities.. Diagnstic Identifying where we are nw and where we want t be Identifying where we are nw In August 2006 the Audit Cmmissin undertk an inspectin n ur data quality systems as part f a new apprach t the usual annual Best Value Perfrmance Indicatr audit. Stage 1 f this new apprach invlved lking at ur management arrangements fr data quality. The bjective f this stage was t determine whether prper crprate management arrangements fr data quality are in place, and whether these are being applied in practice. The findings cntribute t the auditr s cnclusin under the Cde f Audit Practice n the audited bdy s arrangements t secure value fr mney (VFM Cnclusin). We were assessed t be adequately perfrming fr data quality, at Level 2, against the descriptins in the Audit Cmmissin s Key Lines f Enquiry fr Data Quality. Please nte that the pssible ratings were Level 1 t 4, with 4 being the highest. It is understd that the majrity f lcal authrities have been awarded a Level 2. Areas f strength with regards t HDC s data quality management arrangements, dcumented by the Audit Cmmissin, include: Respnsibility fr the cllectin f all perfrmance data is clearly defined within departments between data wners and data cllectrs and Staff are mstly clear abut data quality respnsibilities Cmmitment t data quality reflected in the TEN PM system Data cllectin fr perfrmance management purpses is part f the day jb The imprtance f the TEN System has been effectively cmmunicated t staff Data quality reviews undertaken by internal audit and acted n e.g. internal audit have adpted data quality KLOEs in their audit manual fllwing a training curse held by the AC. Slid measures in place t review quality and timeliness f perfrmance data prir t reprting thrugh the TEN PMS system Perfrmance management data capture prcedures thrughly reviewed in 2005 when the TEN System was installed. Staff cnsistently cmply t perfrmance reprting prcedures thrugh TEN PMS system Perfrmance infrmatin integrated int business planning. Service plans link t the TEN System All electrnic mdes f accessing data passwrd prtected with authrisatin levels reflecting particular fficers respnsibilities. Internet and firewalls and virus sftware in place. Electrnic back up f infrmatin made daily with tapes/cds stred ff site. There are up t date ntes/manuals fr mst business critical systems Jb descriptins f staff cntain apprpriate elements f data cllectin respnsibilities. Staff are clear abut data respnsibilities Apprpriate training tk place fr the TEN system. All staff have annual appraisal and training plan TEN System is used by Members, service managers and directrs n mnthly basis exceptins highlighted via traffic light system All service heads have mnthly 1:1 meetings with Directrs. Page 13 f 24

14 TEN System beginning t imprve management due t mre up t date infrmatin e.g. addressing husing vid times As a result f the Data Quality Inspectin,, the Audit Cmmissin has identified areas f imprvement in the Key Lines f Enquiry fr Data Quality where we culd further imprve ur apprach t data quality. These areas include: The Cuncil des nt have a stand alne strategy r plan fr data quality. Cmmitment t data quality nt explicitly reflected in crprate dcuments but implicit within 10 system Incnsistent levels f understanding and engagement frm Members with data issues. Scrutiny has nt specifically lked at data quality Mechanism t imprve data quality are mstly driven departmentally and cnsequently the Cuncil des nt have specific crprate pririties fr data quality The Cuncil has a limited use f benchmarking fr data quality purpses The Cuncil des nt explicitly assess data quality crprately. Limited number f data quality reviews t assess whether any weaknesses have been addressed Sme weaknesses regarding security f paper infrmatin. Paper infrmatin nt cpied and secured in the same way as electrnic data (althugh this is issue is reducing ver time). Sme uncertainties n the imprtance/existence f lder paper based data The Cuncil des nt have access t r wn database infrmatin cllected by the leisure cntractr sme f this is crucial t running the service. The Cuncil des nt ensure that the leisure cntractr is managing its data crrectly in relatin t the cntract and within current legislatin The LSP has nt been regularly mnitring perfrmance targets 10 System des nt prvide a tp level reprt fr the CE/Leader f key indicatrs reflecting pririties The full reprt is available n the Intranet The Cuncil strives t seek cntinuus imprvement in everything that it des, and as such, wishes t prgress with the recmmendatins made by the Audit Cmmissin. We als wish t achieve the status f Level 3, and prgress ver time t be in place t achieve Level 4. In rder t achieve these aims, an actin plan fr addressing these areas f imprvement has been develped and is attached t this plicy. Drivers f Change There are several areas f activity that will have an impact n delivering the actin plan. These drivers fr change are the key areas where we can take actin and create real leverage in shifting us frm current reality t the future pssibility. Recgnising the imprtance f reliable infrmatin fr the delivery and management f excellent services. The Audit Cmmissin s Data Quality agenda thrugh the new Key Lines f Enquiry. Needing t respnd t the recmmendatins made by the Audit Cmmissin fllwing the Data Quality Audit. The change in auditing apprach fr perfrmance indicatrs. The Cmprehensive Perfrmance Assessment framewrk, by which all lcal authrities are assessed and judged n perfrmance. Needing t frmalise the current arrangements fr perfrmance management t explicitly include reference t data quality. Page 14 f 24

15 A = Aim T = Task KLOE 1 Gvernance & leadership 1.1 Respnsibility fr data quality is clearly defined. Ptential Strengths and Weaknesses Harbrugh District Cuncil Data Quality Audit Evidence Surce 1) Jhn Chester; 2) Paul Clarke 3) Apprpriate head f service 4) 10 system 5) Members Overall Scre Fr The Assessment = 2 ACTION PLAN 07/08 Update June 07 Ptential Strengths Ptential Weaknesses Scre Actins t Address Weaknesses Respnsibility fr the cllectin f all perfrmance data is clearly defined within departments between data wners and data cllectrs Staff are mstly clear abut data quality respnsibilities Cmmitment t data quality reflected in the 10 PM system Data cllectin fr perfrmance management purpses is part f the day jb Cmmitment t data quality nt explicitly reflected in crprate dcuments but implicit within 10 system Incnsistent levels f Member engagement with data issues 3 A. Write data Quality Plicy T. At the end f July the firs draft f the Data Quality Strategy EMT August Executive - Sept A. Wrkshp n Perfrmance Management and using perfrmance data being rganised with Audit cmmissin T. JD t cntact David Rushtn abut perfrmance manageme fr Members Page 15 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

16 KLOE 1.2 The bdy has clear data quality bjectives. 1.3 The bdy has effective arrangements fr the mnitring and review f data quality. Evidence Surce 1) Jhn Chester; 2) Paul Clarke 3) Apprpriate head f service 4) 10 system 5) Staff fcus grup 1) Jhn Chester 2) Paul Clarke 3) Tm Perry 4) Audit dcuments 5) 10 PMS System Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness Organisatin is wrking t imprve data quality thrugh key areas such as the 10 PMS System, use f the Gazetteer and develpment f the CRM system The imprtance f the 10 System has been effectively cmmunicated t staff Slid measures in place t review quality and timeliness f perfrmance data prir t reprting thrugh the 10 PMS system Data quality has been cnsidered in sme aspects f the authrity s apprach t risk management e.g. disaster recvery Data quality reviews undertaken by internal audit and acted n e.g. The Cuncil des nt have a stand alne strategy r plan fr data quality Mechanism t imprve data quality are mstly driven departmentally and cnsequently the Cuncil des nt have specific crprate pririties fr data quality The Cuncil has a limited use f benchmarking fr data quality purpses The Cuncil des nt explicitly assess data quality crprately Scrutiny has nt specifically lked at data quality Limited testing f PIs in services utside husing There have been sme capacity shrtfalls within internal audit 2 Data Quality plicy t be written Once written write priritised acti plan that supprts new plicy. (JD/PC/JC) 2 A. Wrk with HOS t ensure knwledge abut is used t cmpare EMT) T. Wrk with Welland Interna Audit t address shrtfalls (PC) T T Once plicy and actin are adpted put n Scrutiny Actin Plan 08/09 Wrkpla By end f July Wrkshp needs t be brught tgeth fr Page 16 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

17 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness internal audit have adpted data quality KLOEs in their audit manual fllwing a training curse held by the AC The Cuncil is gd at cmmunicating gd practice in cllecting perfrmance data The cmparatively small size f HBC enables fficers t pick up data issues infrmally and quickly Sme testing f PIs thrugh audit particularly thrugh husing Slid prcesses in place t secure cre data such as the electral register and prperty infrmatin thrugh the Gazetteer cllectrs f data t share gd practice n testing PIs (JC) Page 17 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

18 KLOE 2 Plicies & prcedures 2.1 A plicy fr data quality is in place, supprted by a current set f peratinal prcedures and guidance. Evidence Surce 1) Jhn Chester 2) Heads f service 3) Sample peratinal manuals Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness There are peratinal prcedures in place with regard t many aspects f data quality within services: Planning (Gazetteer, GIS) Husing Develpment cntrl (CAPS, GIS) Perfrmance management data capture prcedures thrughly reviewed in 2005 when the 10 System was installed The authrity des nt have a stand alne crprate data quality plicy 2 Write plicy t be dne by July 07 (JC). Page 18 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

19 KLOE 2.2 Plicies and prcedures are fllwed by staff and applied cnsistently thrughut the rganisatin. Evidence Surce Tm Perry/Andy Clarke Staff fcus grup Sample jb descriptins Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness Staff cnsistently cmply t perfrmance reprting prcedures thrugh 10 PMS system Perfrmance mnitring cmpliance mnitred n a mnthly basis Departments have clear data wners and cllectrs Clear data cllectin prcedures in key services such as husing and waste cllectin Crprate training undertaken fr Freedm f Infrmatin and Data Prtectin Staff have mnthly meetings in which where necessary data issues can be raised Limited number f data quality reviews t assess whether any weaknesses have been addressed 3 Page 19 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

20 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness 3 Systems & prcesses 3.1 There are apprpriate systems in place fr the cllectin, recrding, analysis and reprting f the data used t mnitr perfrmance, and staff are supprted in their use f these systems. 3.2 The bdy has apprpriate cntrls in place t ensure that infrmatin systems 1) Jhn Chester 2) Fcus grup 3) 10 System reality check 1) Beverley Jlly 2) Head f Service 3) 10 System reality check 4) Extracts frm disaster recvery Cllectin, recrding and analysis f perfrmance infrmatin thrugh 10 system embedded int the rganisatin generally part f the day jb Perfrmance infrmatin cllected mnthly with few exceptins Perfrmance infrmatin integrated int business planning Supprt available t staff n 10 System Clear prtcls fr the 10 system data cllectrs can nly input specific spreadsheets Limited external reviewing f data cllectin Staff cnsulted n implementing but nt develping systems Limited external checks n 10 System 3 4 Sharing the gd practice that already exists thrugh the wrksh will reinfrce the quality f the dat this is inputted int TEN. Page 20 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

21 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness secure the quality f data used t reprt n perfrmance plan Crprate check fr cmpliance n 10 system befre reprting The Cuncil has been pr-active in strengthening its perfrmance data reprting by investing in the 10 system 3.3 Security arrangements fr perfrmance infrmatin systems are rbust, and business cntinuity plans are in place. 1) Beverley Jlly 2) Back up prcedures All electrnic mdes f accessing data passwrd prtected with authrisatin levels reflecting particular fficers respnsibilities Internet and firewalls and virus sftware in place Electrnic back up f infrmatin made daily with tapes/cds stred ff site Sme weaknesses regarding security f paper infrmatin Paper infrmatin nt cpied and secured in the same way as electrnic data (althugh this is issue is reducing ver time) Sme uncertainties n the imprtance/existence f lder paper based data 2 Dcument Management prject w deal with these issues, ver a prtracted length f time. Page 21 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

22 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness There are up t date ntes/manuals fr mst business critical systems 3.4 An effective management framewrk fr data sharing is in place (wrking with partners) 1) Beverley Jlly 2) Head f service 3) Staff fcus grup 4) Extracts frm leisure cntract 5) Waste and recycling data prcedures Slid mechanisms in place fr data sharing with partners within waste management and husing The Cuncil des nt have access t r wn database infrmatin cllected by the leisure cntractr sme f this is crucial t running the service 1 A. Matthew Bradfrd t crrect thrugh Leisure Trust negtiatins. T PIs are being negtiated, these will frm part f the perfrmance management system f 07/08. Matthew arrange fr Jhn t accmpany Jayne t lk systems held be SERCO As abve The Cuncil des nt ensure that the leisure cntractr is managing its data crrectly in relatin t the cntract and within current legislatin Phil Wilsn t pick up n re- Page 22 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

23 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness The LSP has nt been regularly write f the Cmmunity Strategy. mnitring perfrmance targets 4 Peple & skills 4.1 The bdy has cmmunicated clearly the respnsibilities f staff, where applicable, fr achieving data quality. Fcus grup f service based fficers with sme data quality respnsibilities Heads f service Jb descriptins Jb descriptins f staff cntain apprpriate elements f data cllectin respnsibilities Staff are clear abut data respnsibilities N data quality targets set ther than deadlines fr 10 2 T be picked up as part f actin plan t supprt the plicy. 4.2 The rganisatin has arrangements in place t ensure that staff with data quality respnsibilities have the necessary skills. Fcus grup f service based fficers (as abve) Apprpriate head f service Apprpriate training tk place fr the 10 system All staff have annual appraisal and training plan Training usually tailred t individuals due t the small size f the Cuncil Training fr data quality nt infrmed by data quality reviews r frmal prcess 2 T be picked up by actin plan t supprt the plicy. Training need will be evaluated after wrkshp/training has been carrie ut. Page 23 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc

24 KLOE Evidence Surce Ptential Strengths Ptential Weaknesses Scre Actins t Address Weakness 5 Data use 5.1 The bdy has put in place arrangements that are fcussed n ensuring that data supprting perfrmance infrmatin is als used t manage and imprve the delivery f services. 1) Jhn Chester 2) Member/s with prtflis 3) Janet Dran, Strategic Directr 4) Sample 1:1 meeting 5) 10 System reality check 5.2 The bdy has effective cntrls in place fr data reprting. 10 System is used by Members, service managers and directrs n mnthly basis exceptins highlighted via traffic light system All service heads have mnthly 1:1 meetings in rder Service plans link t the 10 System 10 System beginning t imprve management due t mre up t date infrmatin e.g. addressing husing vid times Sme evidence f imprved infrmatin fr scrutiny 1) Apprpriate head f service 2) Member invlved with scrutiny 10 System des nt prvide a tp level reprt fr the CE/Leader f key indicatrs reflecting pririties Incnsistent levels f understanding and engagement frm Members 10 System enables effective mnthly perfrmance data reprting 10 System cnsistently applied 3 Build new system t ensure it prvides tp level infrmatin. (JC Undertake training with members arund data quality and using perfrmance data t manage the Cuncil. Page 24 f 24 C:\Prgram Files\neevia.cm\dcCnverterPr\temp\NVDC\BD71089F-5B7B-4CE0-846E-10222FB096F9\836ccefe-edef ede- 873dc3ca9e9c.dc