Appendix 2e DIRECTORATE OF AUDIT, RISK FF AND ASSURANCE Internal Audit Service to the GLA Follow up Review Performance Management Analytical Review
EXECUTIVE SUMMARY 1. Background 1.1 This audit follows up the progress made towards implementing the four agreed recommendations from the audit of Performance Management Analytical Review that was completed in September 2014. 2. Audit Assurance Substantial There is particularly effective management of key risks contributing to the achievement of business objectives. 3. Key Findings 3.1 The overall control framework for Performance Management Analytical Review has improved. Since the original review three recommendations have been fully implemented and one has been partly implemented. 3.2 Functional Bodies KPI leads have been formally reminded by GLA Governance and Performance of the need to provide timely and complete performance data and that where problems arise they should be reported to GLA Governance and Performance so that this information can be included in the quarterly Finance and Performance Monitoring Reports to the Budget Monitoring Sub-Committee. 3.3 Data on Special Constables and Met Volunteers is now being received from MOPAC/MPS for the Number of volunteering opportunities taken up by volunteers through Team London KPI. However, MOPAC/MPS has still not supplied the required data for the Number of jobs created through GLA Group investment and associated spend KPI. GLA Governance and Performance will continue to liaise with MOPAC/MPS to obtain this data. 3.4 Performance and data owners at Functional Bodies have been reminded by GLA Governance and Performance of the need to follow good data quality principles and asked to ensure data providers within their owner organisations are aware of and compliant with the published GLA Data Quality Framework and the Use of Statistics Code of Practice. 3.5 GLA Governance and Performance actively raises awareness of the requirements of the GLA s Data Quality Framework by reviewing and suggesting amendments to the Definition Forms submitted by Performance Leads. In addition, all KPI Information Sheets, which includes detailed definitions and calculation methodologies, have been published on the GLA website. 3.6 Where provisional and estimated data is used instead of actual data, this is clearly flagged up in the commentary to the Quarterly Finance and Performance Reports to the Budget Monitoring Sub-Committee. February 2015 Performance Management Analytical Review Follow Up 1
9.1 Performance data is not always being received from all functional bodies which could undermine the ability to accurately demonstrate performance. 2 All functional bodies are reminded of the requirement to provide timely data to the responsible data owner and any non-compliance is noted in the Finance and Performance Monitoring Report. Ongoing efforts are already being made to secure complete data for KPIs. A reminder will be sent to all data and performance owners asking them to a) remind functional bodies of the need to provide timely and complete data, where relevant; and b) to ensure that where this does not happen the Governance & Resilience Unit is informed and issues are flagged in the Monitoring report. Partly A reminder e-mail was sent to all functional bodies KPI leads by the Corporate Governance Manager in September 2014 reminding them of the need to provide timely and complete performance data. In addition the e-mail requests that KPI leads inform GLA Governance and Performance of data that is not timely and complete so that this information can be included in the quarterly Finance and Performance Monitoring Reports to the Budget Monitoring Sub-Committee. Data on Special Constables and Met Volunteers is now being received from MOPAC/MPS for the Number of volunteering opportunities taken up by volunteers through Team London KPI. However, MOPAC/MPS has still not supplied the required data for the Number of jobs created through GLA Group investment and associated spend KPI. Further Recommendation Governance and Performance should continue to liaise with the MOPAC/MPS KPI lead and MOPAC Chief Operating Officer to ensure that data for the Number of jobs created through GLA Group investment and associated spend KPI is provided. Governance and Performance will continue to liaise with MOPAC/MPS KPI lead and MOPAC Chief Operating Officer to ensure the required data is received. Target Date Ongoing 9.2 It is not clear as to whether all sources of data have been identified. 3 Data sources for all KPIs are reviewed to ensure that all relevant sources of data are being used. A reminder e-mail was sent to all functional bodies KPI leads by February 2015 Performance Management Analytical Review Follow Up 2
9.7 External partners are not always made aware of the GLA s data quality requirements leading to the risk that it is not possible to provide an assurance that all data received is complete and accurate. Work has already taken place to identify data sources, and contacts, to feed into the volunteering KPI. This recommendation is closely linked to that above. The Governance & Resilience unit will therefore at the same time provide a reminder to all data and performance owners of the need to ensure all relevant data sources are being used. 3 All external partners who provide the GLA with performance data are provided with a summary of the requirements of the Data Quality Framework and the Use of Statistics Code of Practice. The Data Quality Framework is clear on the need to ensure partners follow good data quality principles. However, performance and data owners will be reminded of this requirement and asked to in turn ensure partners are compliant with the key aspects of both the the Corporate Governance Manager in September 2014 asking them to make an assessment of the completeness of their data and report any issues identified to GLA Governance and Performance. Governance and Performance report that all data source have now been identified and are, with the exception of MOPAC/MPS data for Number of jobs created through GLA Group investment and associated spend KPI, being provided and incorporated into KPIs. Performance and data owners at Functional Bodies were reminded of the need to follow good data quality principles via e-mail and asked to ensure data providers within their owner organisations are aware and compliant with the GLA Data Quality Framework and the Use of Statistics Code of Practice. In addition, Governance and Performance raises awareness of the requirements of the GLA s Data Quality Framework by reviewing and suggesting amendments to the Definition Forms submitted by Performance February 2015 Performance Management Analytical Review Follow Up 3
framework and the Use of Statistics Code of Practice. Leads. 9.9 By not making it publicly clear the means by which KPI data is generated could undermine confidence in the validity of the performance data which is being produced and reported. 2 The detailed definition behind each KPI is published so it is clear on what basis each KPI is calculated. The Finance & Performance Monitoring Report and the Mayor of London s Annual Report should make it clear when provisional or estimated data is used in the place of what would normally be confirmed data. All KPI Information Sheets have been published on the GLA website. Quarterly Finance and Performance Reports to the Budget Monitoring Sub- Committee make it clear in the commentary when provisional and estimated data are used. KPI Information Sheets will be published. December 2014 February 2015 Performance Management Analytical Review Follow Up 4