Data Quality Action Plan

Transcription

1 Data Quality Action Plan Contents Data Quality Action Plan... 1 Action Plan Objectives... 1 Action Plan Mapped to KLOE Level 3 Requirements GOVERNANCE AND LEADERSHIP POLICIES SYSTEMS AND PROCESSES PEOPLE AND SKILLS DATA USE AND REPORTING...12 Key Documents required by Data Quality Action Plan...14 Data Quality Action Plan Time Line...16 Action Plan Objectives To raise the Council s Data Quality arrangements from level 2 to level 3 as described in the KLOE Data Quality 2008 (with partnership elements of level 4 implemented). This work is to be completed before the external audit of the Council s Data Quality arrangements which is due to be carried out by our external auditors, KPMG, during July The plan will be carried out by the I & D Team as part of the Council s Improvement and Development Plan. Item 6 Appendix Data Quality Action Plan Page 1 of 16

2 Action Plan Mapped to KLOE Level 3 Requirements 1. GOVERNANCE AND LEADERSHIP Has the council put in place a corporate framework for management and accountability of Data Quality, with a commitment to secure a culture of Data Quality throughout the organisation? 1.1 Responsibility for Data Quality is clearly defined An individual at top management level has overall strategic responsibility for Data Quality Issues about Data Quality are considered by and reported to those charged with governance, for example to directors or heads of service The corporate commitment to Data Quality is actively promoted, making clear to relevant staff their responsibility for Data Quality (for example accuracy, completeness, timeliness) Accountability for Data Quality throughout the council is Head of Performance role within OMT Data Quality is explicitly referenced in Quarterly Performance Report to A & P committee and CMT Data Quality Strategy Relevant Staff are named in the Data None required N/A Post created 1 st April 2008 Quarterly Performance Reports contain Data Quality section relating to Data Quality activity in the period A Data Quality Promotion Plan is required within the council Update Data Quality Strategy with roles and responsibilities Update Data Quality Strategy with roles and responsibilities 28/2/09 Standard Template for Quarterly Performance Reports will ensure that Data Quality is not overlooked. See DQA04 31/3/09 Plan should include Team Talk, annual PI and DQ conference for staff with DQ responsibilities, presentation to OMT and A & P committee member training session. See DQA03 31/3/09 See DAQ01 staff will be identified from Performance Indicator Control Sheet 31/3/09 See DAQ01 staff will be identified from Performance Indicator Control Sheet Item 6 Appendix Data Quality Action Plan Page 2 of 16

3 clearly and formally defined for Quality Strategy and Add Data Quality relevant staff and is considered their Personal section to PDR as part of the corporate Development Review documents for selected performance appraisal process documents explicitly staff? for those staff. reference Data Quality 1.2 The council has clear Data Quality objectives and these are formally documented There is evidence of a strategic approach to Data Quality in one or more key council documents. Data Quality Strategy DQA Corporate objectives for Data Quality are formally defined and are linked to business objectives. These have been agreed and adopted at top management level There are plans to deliver quality data, with clearly identified actions, responsibilities and timescales to support improvement. This is reflected in a suitable document, for example, the corporate plan Data Quality objectives are reflected in partnership arrangements. Data Quality Strategy Data Quality Action Plan (this document) Any partnership arrangements made after the new Data Quality Strategy has been published. Update document 31/3/09 Already at level 4 but should have A & P & CMT approve new strategy document. See Update Data Quality Strategy with PRIDE objectives Data Quality Action Plan should form part of the Improvement & Development Plan Add Data Quality as a standard section in partnership arrangements. For existing arrangements a DQ section will need to be added when the partnership agreements come up for renewal. 31/3/09 See DQA01 31/5/09 Evidence of following through the action plan could take us to level 4 30/04/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 Item 6 Appendix Data Quality Action Plan Page 3 of 16

4 Selected Guidance Notes: The system and guidance should be comprehensive and cover all departments, and as an example include: (i) officer and member responsibilities and training requirements; (ii) the mechanisms/checks in place to ensure data quality, including data received from third parties; (iii) the role of internal audit; (iv) data security and Data Protection Act (DPA) 1998 arrangements; (v) areas where improvements are needed; and (vi) the relevance of data quality to business objectives. 1.3 The council has effective arrangements for monitoring and review of Data Quality There is a framework in place which has led to action to address the results of internal and external Data Quality reviews Data Quality is embedded in corporate risk management arrangements, with regular assessments of the risks associated with unreliable and inaccurate information Where partnership arrangements exist, there is an agreed framework for monitoring and review of the quality of data shared between Any internal audit recommendations for Data Quality listed in the Consortium Audit Recommendation Tracking Spreadsheet. Any data Quality recommendations listed in Quarterly Performance Reports Corporate Risk Register Any partnership arrangements made after the new Data Quality Strategy has been published. This should form part of the Quarterly Performance Reports process. Ensure Data Quality is explicitly referenced in the Corporate Risk Register Draw up a Data Quality Partnership Policy specifically for partnerships to form a standard appendix to 31/5/09 Not enough just to come from KPMG and Consortium Audit, Quarterly Performance Reports should include the results of any Data Quality Audit Reports carried out during the last quarter. 28/2/09 Consult with Head of Policy to ensure Data Quality is explicitly referenced in the Corporate Risk Register See DQA06 30/4/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 Item 6 Appendix Data Quality Action Plan Page 4 of 16

5 partners. any partnership agreements entered into. Selected Guidance Notes: Internal/external data quality reviews Reviews should not be limited to those of internal audit or external audit; the council should have its own internal review process. Similarly, approval of data should not be limited to any work carried out by external audit. 2. POLICIES Has the council put in place policies and procedures to secure the quality of the data it records and uses for reporting? 2.1 Organisational policy for Data Quality has been defined and is supported by a current set of operational procedures and guidance A comprehensive Data Quality policy has been defined and approved by senior management. This: covers data collection, recording, analysis and reporting; applies to all business areas, including any relevant national standards and requirements; and defines local practices and monitoring arrangements The council s Data Quality policy is supported by a comprehensive and current set of operational procedures Data Quality Strategy and minutes of CMT once approved. Note: existing Data Quality Strategy was approved by CMT. Data Quality Strategy, Data Quality Guidance Notes and intranet. Write new Data Quality Strategy Departmental Data Quality Guidance Notes to be written 31/3/09 Consider appendices for various departments and information types if necessary. See DQA01 30/4/09 A list of these notes should be an appendix of the Data Quality Strategy and should also appear on the intranet cross- Item 6 Appendix Data Quality Action Plan Page 5 of 16

6 and guidance notes that meet referenced to Performance and user needs and are fit for to the department concerned. purpose. See DQA07 Selected Guidance Notes: Validation of third party data/partnership working (see also KLOE 3.4) Examples of satisfactory arrangements which could readily be demonstrated might include a council asking their external LAA partners to sign a data quality proforma which quality assures the performance data when it is submitted to them. There should be a formally agreed quality assurance programme between the parties and there is evidence of what has been checked rather than simply ticking a sheet to state the data had been checked. 2.2 Policies and procedures are followed by staff and applied consistently throughout the organisation All relevant staff are able to access the policies, procedures and guidance. Where possible this is supported by information systems or helpdesk provision The council can demonstrate that it is proactive in informing staff of any policy or procedure updates and required standards on a timely basis Non-compliance within partnerships is pursued and rectified. Data Quality Strategy and associated Data Quality Guidance Notes available on the intranet Copies of all_system s kept as evidence. Any internal audit recommendations for Data Quality relating to partnerships listed in the Consortium Audit Recommendation Tracking Spreadsheet. Any Data Quality recommendations listed in Quarterly Data Quality Strategy and associated Data Quality Guidance Notes should be on the intranet All _systems s when Data Quality Strategy or other Data Quality Documents change with link to changed document on the intranet Request Consortium Audit to add tests for Data Quality compliance in there terms of reference for audits of partnership arrangements. 30/4/09 Need to ensure It is easy to find with Google and crossreferenced to departments. See DQA07 N/A All Data Quality documents should have version control numbers and version histories. 30/4/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 Item 6 Appendix Data Quality Action Plan Page 6 of 16

7 Performance Reports 3. SYSTEMS AND PROCESSES Has the council put in place systems and processes which secure the quality of data as part of the normal business activity of the body? 3.1 There are appropriate systems in place for the collection, recording, analysis and reporting of the data used to monitor performance There are systems in place (which may be stand alone) for the collection, recording, analysis and reporting of corporate performance information which is based on data which is accurate, valid, reliable, timely, relevant and complete Systems and processes operate according to the principle of right first time rather than employing extensive data cleansing or manipulation processes to produce the information required. Arrangements for recording and reporting data are integrated into the council s wider business management processes, and support staff in their day to day work. Each PI should have a completed Data Quality Proforma (see Performance Plus proforma as example) and the spreadsheets currently used for PI data collection and reporting. Data Quality Proformas for each PI should state how the data is collated and thus evidence that there is no need for data cleansing. Complete Data Quality Proforma for each PI Review all completed Data Quality Porformas to see if there is evidence of data cleansing. If so investigate and rectify why this is needed. 31/3/09 Depending on the IT capitalspending programme being approved by full council there is provision for the purchase and installation of a dedicated performance management system (Performance Plus). No date has been set for its roll out as yet. 28/2/09 See DQA09 Item 6 Appendix Data Quality Action Plan Page 7 of 16

8 3.1.8 The council consults with To be stated in a Data 30/4/09 This is a level 4 requirement partners when developing or Quality Partnership but should be done now in light implementing new information Policy appended to of CAA and LAA commitments. systems. any new partnership See DQA05 agreements. Any partnership arrangements made after the new Data Quality Strategy has been published and s between partners if systems have changed. 3.2 The council has controls in place to ensure that information systems produce the quality of data needed to report on performance and to keep top management aware of necessary action in relation to Data Quality Performance information systems are subject to control mapping and testing to prevent and detect data manipulation and error Controls are reviewed at least annually to ensure that they are working effectively. Results of annual reviews are reported to top management. Selected Guidance Notes: Annual Data Quality Audit Cycle Past Data Quality Audit Reports in line with Annual Data Quality Audit Cycle An audit cycle of key systems will need to be drawn up by Performance Dept and carried out on an annual basis An audit cycle of key systems will need to be drawn up by the Performance Dept and carried out on an annual basis Sources of evidence Any IT work carried out at the authority may provide a useful source of assurance for this KLOE. Effectiveness of system controls This may be covered by the council s annual governance statement also mentioned in KLOE /3/09 See DQA08 31/3/09 See DQA Security arrangements for performance information systems are robust, and a business continuity plan is in place. Item 6 Appendix Data Quality Action Plan Page 8 of 16

9 3.3.2 The council regularly Past Data Quality Audit These tests should 31/3/09 See DQA08 tests its business critical Reports being presented form part of the Annual performance information to CMT and A & P Data Quality Audit systems to ensure that Committee as part of the Cycle processes are secure. Reports Quarterly Performance are made to top management Reporting cycle. on outcomes. There are plans which are being implemented to address any identified weaknesses The council has robust assurance from partners that processes, which supply information to the council through partnership arrangements, are secure. Past Data Quality Audit Reports including partnerships Partnerships included in Annual Data Quality Audit Cycle where there is significant use of PI data from partners 3.4 Standards are specified for shared data or data supplied by third parties Quality requirements are specified for all data used by the council which is supplied by another internal department, shared with external partners, or which is provided by a third-party organisation. This includes identifying and complying with all relevant legal, compliance and confidentiality standards The council has systematic arrangements for ensuring that key data supplied by third parties is fit Counter-signed Data Quality Proformas. Internal audit reports or Data Quality Audit Reports Data Quality Proformas should be completed for data shared between departments and partners with the recipient declaring that the level of Data Quality provided is to an acceptable level. Either internal audit or the performance team need to quality assure third party data using 30/4/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 and DQA08 30/4/09 See DQA05, DQA09 and DQA10 28/2/09 See DQA10 Item 6 Appendix Data Quality Action Plan Page 9 of 16

10 for purpose, for example Data Quality proformas through Data Quality plus supporting evidence assessments carried out by where available such as internal audit. copies of the third party s Data Quality policy. 4. PEOPLE AND SKILLS Has the council put in place arrangements to ensure that staff have the knowledge, competencies and capacity for their roles in relation to Data Quality? 4.1 The council has communicated clearly the responsibilities of staff, where applicable, for achieving Data Quality Roles and responsibilities of management and operational staff, in relation to Data Quality, are clearly defined and documented, for example, these may be incorporated into job descriptions Data Quality targets and standards are set for relevant staff who are assessed against these Relevant staff have access to guidelines when inputting data for example classification conventions, online help or quick reference guides to hand. Staff with Data Quality responsibilities listed in the Data Quality Strategy document PDR documents for staff with Data Quality responsibilities Data Quality Proformas and Departmental Data Quality Guidance Notes available on the intranet Add Data Quality responsibilities to job descriptions for staff listed in the policy. Data Quality targets need to be set as part of the PDR process Staff with data input responsibilities have hard copies of Data Quality Proformas relevant to their work. Put all Data Quality Proformas on the intranet. 30/4/09 See DQA01 and DQA02 28/2/09 See DQA02 30/4/09 See DQA07 Item 6 Appendix Data Quality Action Plan Page 10 of 16

11 Information staff work Performance Analyst Performance Analyst closely with partners to address job description should be a point of data sharing problems. contact for partners 30/4/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 and DQA02 Selected Guidance Notes: Criterion refers to detailed manuals whereas refers to quick/handy/easily accessible information that summarise key points that data entry staff need to know and are linked to However, is more to do with a corporate commitment to data quality accountability, and and are more concerned with the detail of cascading that commitment to lower tier staff. 4.2 The council has arrangements in place to ensure that staff with Data Quality responsibility have the necessary skills There is a formal programme of training (including updates when necessary) on Data Quality issues tailored to the varying needs of all relevant staff. Corporate arrangements are in place to ensure that this training is periodically evaluated and adapted to changing needs Any weaknesses identified through internal or external reviews of Data Quality are adequately addressed through the training programme or debriefing and sharing good practice sessions Data Quality champions or information staff strengthen the feedback loops with partners by identifying and Induction Pack and Data Quality seminar minutes. Updates to Data Quality Strategy document. Data Quality Audit Reports brought to OMT. Agenda of annual Data Quality Seminar Minutes of the annual Data Quality Seminar Add a Data Quality section to induction documents. Annual Data Quality seminar for all staff named in Data Quality Strategy with the purpose of reviewing Data Quality Strategy as a whole. Annual Data Quality Seminar should have a section that looks back over past Data Quality Audit Reports Partners within the LAA should be invited to the Annual Data Quality Seminar. 31/3/09 Data Quality Seminar is part of the Data Quality Promotion Plan See DQA03, DQA02 31/3/09 See DQA03 30/4/09 This is a level 4 requirement but should be done now in light of CAA and LAA commitments. See DQA05 Item 6 Appendix Data Quality Action Plan Page 11 of 16

12 sharing information on potential Data Quality issues. 5. DATA USE AND REPORTING Has the council put in place arrangements that are focused on ensuring that data supporting reported information are actively used in the decision making process, and are subject to a system of internal control and validation? 5.1 The council has put in place arrangements that are focused on ensuring that data supporting performance information is also used to manage and improve the delivery of services Data used for reporting to those charged with governance is also used for day-to-day management and improvement of the council s business Reports relate performance information to specific targets in the business plan and are used to: monitor service delivery forecast year-end achievement identify areas where action is needed. Service plans include service level PIs and Quarterly Performance Reports All service level and LAA level PIs link to PRIDE CMT see service level PIs as well as corporate PIs in Quarterly Performance Reports Explicitly document how all PIs interlink with PRIDE in a Performance Indicator Control Sheet 28/2/09 See DQA04 28/2/09 See DQA09 Selected Guidance Notes: Auditors may wish to refer to their UoR assessment, KLOE 5.2 are there arrangements in place to improve value for money? What work has been specifically done to assess the use of reliable performance monitoring and management that is relevant to data quality? 5.2 The council has effective validation procedures in place to ensure the accuracy of data used in reported performance indicators. Item 6 Appendix Data Quality Action Plan Page 12 of 16

13 5.2.4 Data returns to Performance Plus will Initially clear audit trail 30/4/09 Departmental Data Quality government departments, their maintain a full audit trail. for spreadsheet Guidance Notes and agencies and regulators are reports. Move PIs into Performance Analyst s own supported by a clear and Performance Plus Departmental Data Quality complete audit trail. Guidance Notes will detail how the audit trail should be maintained. See DQA07 and Data underpinning the information which is used for external reporting, for example to AC, IPF, CLG, DH, is subject to departmental verification checks All data is subject to senior management approval before external reporting to regulators and government departments, for example AC, IPF, CLG, DH, DEFRA and is submitted on a timely basis. Verification checks are detailed in the Data Quality Proformas Sign off requirements are detailed in the Data Quality Proformas and evidence of specific items of data being signed off. Create Data Quality Check Sheets for specific data streams to show that quality checks have been applied No data is passed on until signed off by a Head of Service or CMT DQA09 30/4/09 See DQA11 28/2/09 See DQA09 Item 6 Appendix Data Quality Action Plan Page 13 of 16

14 Key Documents required by Data Quality Action Plan Document Due Notes Date Annual Data Quality Audit Cycle 30/4/09 An annual action plan that details which areas are to be audited by Performance staff to ensure high standards of data quality. This should also include any partnerships where performance data is exchanged. See DQA08 Corporate Risk Register 28/2/09 Held by Head of Policy. See DQA06 Data Quality Action Plan 17/2/09 This document Data Quality Audit Report 30/4/09 These should be similar to an internal audit report where the terms of reference are detailed and recommendations are made and responded to with a deadline. These should also be drawn up for partnerships where performance data is exchanged. See DQA08 Data Quality Check Sheets 30/4/09 Needed to show regular checks on data quality are being carried out at the departmental level. See DQA11 Data Quality Partnership Policy 30/4/09 This should be discussed with Legal and with Neighbourhood Development as well as anyone else who works with partners. See DQA10 Data Quality Proforma 28/2/09 Using existing Performance Plus proforma document but modified to meet additional local requirements. This should include forecast data for the coming year. See DQA09 Data Quality Promotion Plan 31/3/09 As part of the Data Quality action plan there must be a sub-plan to promote Data Quality See DQA03 Data Quality Strategy 31/3/09 Existing strategy document to be redrafted in line with observed best practice and requirements of Data Quality action plan See DQA01 Departmental Data Quality Guidance Notes 30/4/09 These will need to be written to a standard format for consistency but could form part of a department s work instructions etc. See DQA07 Improvement & Development 17/2/09 Performance culture is already an action item, the DQAP should be explicitly Plan referenced. Induction Pack 28/2/09 Needs to be altered to include section on data quality. See DQA02 Performance Indicator Control Sheet 28/2/09 A spreadsheet that lists all performance indicators currently being monitored. See DQA09 Item 6 Appendix Data Quality Action Plan Page 14 of 16

15 Personal Development Review 28/2/09 Need an optional section for staff named in Data Quality strategy document. See DQA02 Quarterly Performance Reports 28/2/09 The format of these needs to be finalised but will have a strong link to our PRIDE objectives. See DQA04 Item 6 Appendix Data Quality Action Plan Page 15 of 16

16 Data Quality Action Plan Time Line Action Code Due Date Action Description DQA02 28/2/09 Consult with HR department to update personnel documents in. Namely: PDR template, Induction Pack and Job Descriptions of relevant staff. DQA04 28/2/09 Create standard template for Quarterly Performance Reports to CMT & A & P committee. DQA06 28/2/09 Consult with Head of Policy to ensure Data Quality is explicitly referenced in the Corporate Risk Register DQA10 28/2/09 Consult with Head of Consortium Audit regarding Data Quality requirements for the audit of partnership agreements. Head of Neighbourhood Development should also be consulted regarding funding arrangements for third sector organisations plus data sharing with other partners such as Northants Police. DQA01 31/3/09 Update the Data Quality Strategy and gain approval of CMT and A& P committee once complete. DQA03 31/3/09 Prepare Data Quality Promotion Plan this should include an annual Data Quality Seminar to review the Data Quality Strategy. DQA09 28/2/09 Data Quality Proforma documents need to be drawn up for all Performance Indicators listed in the Performance Indicator Control Sheet. Particular note needs to be made of any data cleansing arrangements that are required before publication of data. DQA05 30/4/09 Prepare Data Quality Partnership Policy in consultation with LAA partners. This may also need to apply to LSP partners if there is an exchange of performance data. This will definitely need to apply to any organisations we provide funding to and receive performance information from such as third sector organisations and other commercial partners such as DC Leisure. Should consult with Connect Law to ensure a standard section for DQ is included in all new partnership agreements. DQA07 30/4/09 Work with services to ensure Departmental Data Quality Guidance Notes are written for each department. These should cross reference back to the Performance Indicator Control Sheet and be appended to the Data Quality Strategy and uploaded onto the intranet. DQA08 30/4/09 An Annual Data Quality Audit Cycle document needs to be drawn up that details where Data Quality Audit Reports need to be carried out and when they will take place throughout the year. The Annual Data Quality Audit Cycle should also cross-reference to which Quarterly Performance Reports each Data Quality Audit Report's results will be reported. DQA11 30/4/09 Draw up Data Quality Check Sheets and cross-reference to Data Quality Proformas Item 6 Appendix Data Quality Action Plan Page 16 of 16