Data Quality Assurance Policy.final.update

8/3/2019 Data Quality Assurance Policy.final.update

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Walsall Council

Data Quality Assurance Policy Document

Version: FINAL


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Contents page

1. Introduction 3

2. National Context 3

3. Local Context 3

4. Why is Data Quality so Important? 5

5. Policy Aims 6

6. Applying the Policy 6

7. A Quality Assurance Approach 7

7.1 Clearly understood standards 77.2 Fully applied standards 87.3 Effective management of information quality 97.4 Creation of a quality culture 10

8. Conclusion 11

9. Monitoring and Delivery 11


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1. IntroductionAll effective organisations measure their performance in order to know how

well they are performing and to identify opportunities for improvement. It is avital component in the drive to improve services.

The effective use of performance measurement depends on indicators thatare robust and accurate. There needs to be sufficient operational dataavailable to be sure that performance is on track, and so that early warningcan be given if targets may be missed.

Over recent years there has been an increased emphasis on the use ofpublished performance indicators as the primary means by which publicbodies account for the non-financial aspects of their performance to serviceusers and other stakeholders. Performance information is also used tomonitor and manage performance, aid benchmarking, set targets and allocateresources.

Performance information covers a wide range of quantitative data, includingfinancial and non-financial information. Performance indicators are a means ofreporting performance information.

2. National ContextThe Comprehensive Performance Assessment (CPA) framework applied bythe Audit Commission (AC) depends greatly upon performance indicator datato decide the overall performance category of each authority. If the CPA ratingis to be valid it must be based upon accurate, reliable performance indicators.

The CPA methodology for service assessments is now also less dependenton inspection activity and makes more effective use of performanceinformation, specifically in environment, housing and culture services.

The AC is changing its approach to the review of management arrangements

for data quality. The new approach will enable them to form a judgement onthe adequacy of the arrangements a body has in place to monitor the qualityof its performance information, and to report the results to members. Thisjudgement will form one of the criteria on which the 2005/06 value for moneyconclusion will be based.


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performance management and continuous improvement into our normalbusiness activities. It connects the following:

Community Plan Corporate Plan, vision, pledges and values

Service planning (of all levels) of the council and its partners

Neighbourhood Agreements

Individual Performance Management (IPM)

All of which take place in an environment of stakeholder influence, audit and

inspection, internal control and monitoring in order to develop continuouslyimproving services. The diagram below shows the major components of theCIPPF.

Walsall Councils CIPPF

Communityplan

PartnerPlans

NeighbourhoodAgreements

Corporate plan, vision, priorities,pledges and values

Externalauditandinspection

Financialplanning

Workforceplanning

Directorate Plans Service Plans Team action plans

Individual Performance Management Individual Targets and Development

The Performance Management Framework

Internalmonitorin

g,reviewand

corrective

action


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There are already a range of activities undertaken to ensure data collected,recorded, analysed and reported is accurate, reliable and consistent. This

document and its associated delivery plan seeks to formally set out thecouncils approach to data quality to ensure that high standards are clearlyset, achieved and maintained.

The development of this policy fully supports the vision and priorities of thecouncil by making sure that accurate and trustworthy data is used in thedecision making and planning processes.

Ultimately, the performance culture of the council will have a considerableimpact on the accuracy of the data it produces. As performance measures aremore widely used to help manage performance, greater focus is placed uponhow these figures are produced and the processes employed to producethem. As a result any potential weaknesses in the data process are identifiedand can be addressed accordingly.

4. Why is Data Quality so Important?To maintain strong corporate governance, political and administrative leadersneed to know how effective the council is not just in terms of individualservice delivery but whether it is actually making a positive difference to thequality of life of the citizens of Walsall. Council leadership can only achievethis if it has up to date and accurate information on performance. One of themain ways in which the effectiveness of the council is judged is by measuringperformance and assessing it against desired outcomes.

Good quality information is essential for sound decision making at every leveland is an underpinning element of the CIPPF. It is vital that the performanceinformation used to inform, manage and plan activities is accurate, reliableand comparable, both over time and with different authorities/serviceproviders.

The council has a statutory responsibility to publish performance informationand to provide assurance that the data is accurate. To achieve this, adequatearrangements for data quality must be in place across the authority.

If guidelines are not followed closely or if data is unreliable then there is morechance that the out-turn itself will be flawed. This could result in the


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essential in monitoring performance against these targets to maximise thelikelihood of achieving them by promptly identifying areas where performance

is off track.

Poor quality data can mean that comparisons and benchmarking fail toproduce useful ideas for improving performance, that the credibility of theinformation is weakened and that corrective action does not occur when itshould.

Initial analysis suggests that the quality of data underlying performanceinformation is variable across the council. Internal controls over the recordingof data and preparation of performance information may not be as welldeveloped as data utilised within financial management processes.

It is not possible to apply a universally accepted process covering thecollection and collation of performance data as each measure is subject to itsown method of counting. However, a standard approach to the principles of

accurate data collection and collation can be applied in order to increase thelevel of confidence in the quality of performance data used.

5. Policy AimsThis policy aims to:

Make Walsall Council a leading authority on the collection, recording,analysis and reporting of accurate, reliable and consistentperformance data to inform the decision making process

Provide council employees with a framework to ensure sufficientaction is being taken to meet the data quality objectives set

Meet external audit standards and requirements

Make a significant impact on the councils path to excellencerequirements in relation to data integrity and decision makingprocesses

6. Applying the PolicyThis policy applies to all employees of Walsall Council as it is clear that allstaff have a responsibility for data quality. It is accepted, however, that certainofficers will have greater lead responsibility for activities to secure a highstandard of data quality and this is outlined within the policy itself.


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7. A Quality Assurance Approach

Data quality assurance involves identifying processes, applying standards,assessing performance and providing guidelines, templates and tools toenable and sustain improvement.

Four core areas have been identified which form the basis of the councilsoverall policy on data quality. This approach will help support a commonstructure to the collection, recording, analysis and reporting of data across theauthority. The four core areas of the approach are;

Clearly understood standards

Fully applied standards

Effective management of information quality

Creation of a quality culture

7.1 Clearly Understood StandardsIn order to be able to produce quality data it is imperative that there is a sound

understanding of what quality data is. Clearly understood standards supportedby guidance and assistance, both corporately and from within the directorates,will ensure that all staff involved in the data process adhere to the appropriateguidelines.

Formal control procedures are being established based upon alreadyidentified good practices within the council to ensure that there is a

documented set of guidelines for the data collection and reporting process.The corporate performance management team will consult with the internalaudit service on how best these procedures can be evaluated.

Confirmation will be required that current performance measure definitionguidelines as produced by the relevant authoritative body are understood andapplied in terms of the collection, calculation and reporting of the measure.This will be addressed through the development of formal procedures and

guidance, which will be communicated to appropriate staff through theperformance improvement group. The corporate performance managementteam will collate a record to verify that current definitions are appliedconsistently.

Local authorities use more than simply best value performance indicators


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When communicating the required standards in relation to performance

indicators, it is important that staff involved in the data process alsounderstand the impact the quality of data they produce has across theirservice, directorate and ultimately the council as a whole including thepotential impact upon CPA scores.

Standards also need to be understood by senior managers and members,recognising the different role of council, cabinet, audit committee in relation tointernal audit service reports and scrutiny panels regarding their role in policydevelopment and also as a critical friend.

In providing services to the people of Walsall the council works in manydifferent ways with various different partner organisations and groups.Information gathered by the council is used to develop the ambitions for thecommunity and its neighbourhoods. It is through data sharing betweenpartners that perhaps one of the biggest threats to data quality exists. It is

essential that the understanding of data standards extends beyond the councilin such circumstances to ensure quality is not compromised. This will requireservice level agreements or shared data protocols to formally establish termsbetween partners.

Each year there are a number of performance indicators which are nationallydeemed as high risk by the Audit Commission. In addition to this the localaudit manager performs a risk assessment and can decide to add to this list ifnecessary. Work is then undertaken to scrutinise data quality standards onthese measures and recommendations are made where appropriate. Thecorporate performance management team works with directorates to ensurerecommendations are implemented and communicated through theperformance improvement group to services and co-ordinates responses backto the Audit Commission.

In addition to this the council employs a formal risk management processwhich is used to identify, monitor and review risks at all levels within theorganisation. It is the responsibility of each directorate to ensure that anypotential risks which may arise relating to the reliability and accuracy ofperformance data are recorded and managed in accordance with thecorporate process.


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All performance indicators will need to have an accepted chain ofaccountability with nominated owner and data providers being identified and

recorded. Data providers will be responsible for supplying performance figuresfor indicators to the corporate performance management team and also intothe councils Performance Information Management System (PIMS). Dataowners will be the accountable person for that indicator with whom escalatedissues will be resolved.

Any new performance indicators will require a nominated owner and dataprovider. This will be determined by the service area the indicator relates to.

An up-to-date record of all data owners and providers will be maintained at acorporate level by the corporate performance management team and this willbe shared and reviewed through the performance improvement group whichcontains representatives from all directorates.

All final year end out-turn data will be compiled using corporate templates

which are distributed from and returned to the corporate performancemanagement team with associated supporting evidence. The team willmonitor their return, and once received the data templates will be used as partof the provision of figures and evidence to the Audit Commission.

The corporate performance management team will initiate a review of the out-turn data and evidence provision process in conjunction with performanceimprovement group where potential improvements can be discussed and

implemented where appropriate. This will take place once Audit Commissionhas completed their work with the data and evidence.

7.3 Effective Management of Information QualityIn order to maintain high standards of data quality, there needs to be anongoing robust monitoring and review of processes and practices.

Through the use of all published guidance from sources such as the AuditCommission, other Government Departments etc the corporate performancemanagement team will ensure correct processes and practices arecommunicated through the performance improvement group to appropriatemembers of staff.


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reviews. This forum provides a structured opportunity for data issues identifiedto be raised and resolved.

The council is currently reviewing its responsibility to ensure that informationsystems are secure through effective continuity planning. The executivemanagement team have identified 20 essential services which are in theprocess of reviewing their current plans. Three of these services cover theprovision of e-services; e-mail, internet/intranet, and telephony. Althoughresponsibility for electronic continuity rests with the councils informationsystem services (ISS), services will be examining their system continuityrequirements in order to discuss with ISS how they can best be met. Thisprovides protection for records and data which are vital to the continuedeffective functioning of the council.

The councils performance information system (PIMS) contains current andhistoric data on a broad range of performance measures and helpsdirectorates and services perform statistical analysis and produce

performance reports to inform decision making and planning. PIMS is usednot only to monitor performance across the directorates and services, but alsoprovides management and members with accurate and timely performancedata on the Beacon Index. PIMS is also being used to host the scorecard forperformance management of Walsalls Local Area Agreement. Access to thissystem is strictly controlled by an authority administrator based in thecorporate performance management team. All data held within this securesystem is supported by a daily back-up performed by ISS.

7.4 Creation of a Quality CultureThe ultimate aim for the council is to embed a culture of data quality as part ofthe day job across the authority.

The monitoring and review of data quality forms part of the corporateintegrated planning and performance framework. This illustrates the

relationship between the various elements of the organisation that when jointlymanaged ensure continuous improvement and effective service delivery.

Effective leadership and awareness are essential to the development of aquality culture in Walsall. Whilst the drive to improve services must be serviceled, the corporate performance management team will support services in the


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performance improvement group will be used as a sub-group of PMNG toresolve issues relating directly to performance indicators.

It is important that people are appropriately trained to meet data qualitystandards. Such training will take place in awareness sessions or one-to-onesas and when required as opposed to solely providing classroom trainingsessions. This will allow a flexible, prompt and tailored delivery to ensure dataquality is not jeopardised due to lack of knowledge.

Examples of data quality best practice within the authority will becommunicated through the corporate centre via performance improvementgroup.

Once this policy has become more established within the council it will be theresponsibility of the corporate performance management team to review theeffectiveness of monitoring and review arrangements. This can be performedthrough gap analysis of the key lines of enquiry, and benchmarking activity

against other authorities.

All policy and procedures will be reviewed at least annually and updated whenrequired.

8 ConclusionIn order to reach a high standard of data quality the council must be able tosatisfy the Audit Commission that processes and practices are in place and

are sufficiently incorporated into every day business.

Improving data quality is a complex issue as poor data quality often stemsfrom a number of factors and it is unlikely that one single intervention willaddress all issues. By setting and communicating clear standards, supportingservices in their delivery, and monitoring and reviewing their application,improvements can be made and high levels of data quality can be secured.

This policy and the delivery plan will be regularly reviewed to ensure any newissues are included and the ultimate aim of embedding a data quality cultureis achieved, making the council a leading authority on data quality.

9 Monitoring and Delivery


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Data Quality Assurance Delivery Plan

Clearly Understood Standards

Ref Requirement Action By Whom By When Comments/Status1 Confirm that current performance

measure definition guidelines areunderstood and applied correctly

Check that all staff applying guidelinesuse and understand most recent version

PIG Ongoing Checks performed by PIGreps on an ongoing basis

2 Ensure that staff involved in the data

process understand the role theirwork plays through their service,directorate and council, includingimpact upon CPA scores

Awareness sessions to be held in all

directorates to be delivered to all staffinvolved in the data process

CPM Performance

Team andPerformanceManagementAccount Managers

Ongoing Corporate Services event

held 23/5/06PIG reps event held 04/7/06LAA event held 26/6/06Neighbourhoods & librariessessions previously held

3 Relevant staff are informed of anypolicy or procedure updates on atimely basis

Formal communications process to bedrawn up and applied

CPM PerformanceTeam and PIG

Ongoing Although process already inplace, requires formalguidelines document

4 Adequate support is provided for all

staff

Accountabilities framework to be

communicated to all appropriate staff.Corporate contact point to be set up andincorporated into responsibilities table

Andy Field CPM

Performance Team

30/09/06

5 A formal set of quality requirements isapplied to all third party data used bythe organisation

Service level agreements or datasharing protocol to be established withall partners providing data

Service area ordirectorate leading /involved inestablishing thepartnership

Ongoing Policy issued to partnersthrough WBSP 14/8/06.Follow-up activity tocommence late September 06

Fully Applied Standards

6 Accountability for data qualitythroughout the organisation is clearlyand formally defined

Accountabilities framework to be drafteddetailing where data qualityresponsibilities lie

Andy Field CPMPerformance Team

30/09/06

7 Accountability for data quality is partof IPM for those defined asresponsible for data quality

Check job descriptions of appropriatestaff and amend as necessary

CPM 30/06/06 COMPLETED MAY 06.Agreement also reached withHR to ensure a data accuracy


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clause is inserted in job

description of all Head ofService posts and above

8 All performance indicators will need tohave an accepted chain ofaccountability with nominated ownerand data providers being identifiedand recorded

A comprehensive and up-to-date list ofdata providers and owners to becompiled and maintained

Angela Slattery CPM PerformanceTeam

Ongoing Initial list of all BVPI ownersand providers alreadycompiled. To be expanded toinclude all other datameasures

Templates to be distributed, monitoredfor return and checked for accuracy. All

inaccuracies to be resolved promptly

CPM PerformanceTeam

23/06/06 COMPLETED9 All final year out-turn data will becompiled using corporate templates

A formal review of out-turn process to beundertaken, with lessons learnt, bestpractice etc to be shared throughoutperformance community

CPM PerformanceTeam

31/10/06 Review pending reportedfindings from AuditCommission on out-turn data

Effective Management of Information Quality

10 There is a framework for monitoringdata quality, with regular formalreporting on key measures

Data quality to be included as a standingagenda item on all performance boards,PMNG and PIG meetings

PMNG/PIGPerformanceaccount managers(re performanceboards)

30/06/06 COMPLETED

11 The authority undertakesbenchmarking exercises to review theeffectiveness of its own monitoringand review arrangements

Other authorities contacted to compareprocesses as a means of identifyingpotential improvements


27/10/06 To be performed in advanceof formal review of policy andprocedures in Walsall due by30/11/06

12 Each directorate has been assigned adata quality champion

Data quality champions to be agreed foreach directorate through PMN/PIG

PIG 30/06/06 PIG reps assigned aschampions

13 Directorate data quality championsregularly review compliance with therelevant policies and procedures

Champions to ensure data quality formspart of agenda for performance boards

Directorate DataQuality Champions

30/09/06

14 There are systems in place for the Framework to be developed to record Andy Field CPM 30/09/06 Framework will need to be

Quality Assurance Policy Document

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collection, recording, analysis and

reporting of data which is accurate,valid, reliable, timely, relevant andcomplete

information for each performance

measure

Performance Team populated by directorates and

services via PIG

15 Data is subject to service checks andmanagement review before beingreported to EMT

Out-turn proforma to be completed for allindicators with appropriate check pointsand sign offs built into process

CPM PerformanceTeam

Ongoing Proforma has already beendeveloped and distributed.Checks will be performed byPerformance Team to ensurecompliance

16 Reported data for external reporting issigned off by senior management

Out-turn proforma to be completed for allindicators with appropriate check pointsand sign offs built into process

CPM PerformanceTeam

Ongoing Proforma has already beendeveloped and distributed.Checks will be performed byPerformance Team to ensurecompliance

17 Data returns are supported by a clearand complete audit trail

Out-turn proforma to be completed for allindicators which incorporates signatoriesconfirming all appropriate data has beenprovided

The nominated dataowner and dataprovider

Ongoing COMPLETED JUNE for 05/06as part of BVPI out-turnprocess

Creation of a Quality Culture

18 A formal strategy is in place and hasbeen approved by the EMT andCabinet

Obtain EMT and Cabinet approval fordata quality strategy

Rob Flinter 14/06/06 COMPLETED

19 A senior individual at board level hasoverall strategic responsibility for dataquality

Agree with Executive Director forCorporate Services that they takestrategic responsibility

Rob Flinter 14/06/06 COMPLETED Carole Evans

20 There is a member champion for dataquality issues

Identify and agree member lead for dataquality

EMT Tbc

21 Members have received data qualityawareness training

Deliver data quality overviewpresentation to members

CPM PerformanceTeam

Tbc

22 The authority clearly communicates Communicate update on data quality to Andy Field CPM Ongoing PM News May and August


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its commitment to data quality to staff

at all levels

staff through Team Spirit, CPM

newsletter, news and views etc.

Performance Team editions contained updates

and a link to the policy23 The authority has undertaken a

review of staff awareness of dataquality issues

Investigate possibilities of integratingreview into existing staff surveys


30/09/06

24 Examples of good practice in securingdata quality are publicised to all staff

Performance Boards, PMNG, PIG, CPMnewsletter etc. to be used tocommunicate best practice and goodexamples

PIG/Andy Field Ongoing

25 The policy and procedures arereviewed at least annually andupdated when needed

Policy and procedures documents to beformally reviewed and amended asappropriate

CPM PerformanceTeam

30/11/06

26 Appropriate training given to relevantstaff to ensure they have thenecessary skills to ensure theeffective collection, recording,

analysis and reporting of data

Awareness sessions to be held in alldirectorates (see point 9 above) withadditional training delivered in the mosteffective way where appropriate.

CPM PerformanceTeam andPerformanceManagement

Account Managers

Ongoing Corporate PM training beingdeveloped to include dataquality

27 Weaknesses identified throughinternal or external reviews of dataquality are adequately addressed

Formal review process implemented forall review findings

CPM PerformanceTeam

Asrequired

28 Instances of data not being submittedon a timely basis are reported tomanagement

Updates provided as part an annual out-turn review process

CPM PerformanceTeam

31/10/06 As part of the formal review ofthe out-turn process

29 Corporate assessment KLOE provideguidance on data qualityrequirements

Corporate assessment KLOE to beanalysed with actions relating to dataquality assurance being identified

Kam Mavi CPMPerformance Team

Ongoing


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Data Quality Assurance Policy.final.update