Data Quality Framework
V7.0
Last updated by:
Next review date:
Approved by:
Carl Tovey
Silvina Katz
13/04/2015
01/04/2016
15/04/2015
Data Quality Framework
Introduction
Northampton Borough Council is committed to continually seek to improve the quality of
its data to support good decision-making and improved service outcomes. Specific data
quality objectives have been agreed, and will be outlined later in the document
The purpose of this framework is to define how the Council will drive data quality, and
support teams to deliver the objectives, and provide guidance to improve and sustain
performance.
1
Governance, leadership and delivery
1.1
Roles and Responsibilities
Data quality is the responsibility of the whole Council; however there are certain roles
within the Council that will more directly contribute to our approach in improving data
quality. To demonstrate commitment in ensuring that data quality improvement is driven
corporately and within the service areas, a lead Member and Senior Officer have been
assigned specific responsibility for data quality.
Our governance arrangements are:
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Member Lead – Cabinet member with responsibility for Performance
Management (Finance Portfolio)
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Senior Responsible Officer – Borough Secretary, and Monitoring Officer
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Audit Committee
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Overview & Scrutiny Committee
A comprehensive table detailing wider data quality roles and responsibilities within the
Council is contained in Appendix C.
Practical support and guidance is available as follows:
 Governance and data quality
o Corporate Performance and Change Team
 Data protection and sharing, transparency, and FOI
o Information Governance Team
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1.2
Data quality objectives
In view of the importance of data quality the Council has set the following corporate
objectives:
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Achieve 100% accuracy first time, every time
No Corporate Priority or Management Board performance indicators qualified by
external auditors
Ensure adherence to the Roles and Responsibilities specified in Appendix C
Performance data will be collected and reported in an agreed format and to
agreed timescales
Each service area to ensure their own data meets the six characteristics of good
quality data
Annually review and update data quality procedures
2
Systems and processes
2.1
Maintenance and review of systems and processes
Responsibility for maintaining a robust control environment and improving information
systems rests within departments with managers, data collectors, and system users.
The Corporate Performance Team will provide support for implementing and
challenging improvement in this area.
Each system will have a named primary and secondary officer responsible for data
quality issues. The responsible officer(s) are required to ensure that:
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There is security of access/amendment
Periodic tests and sampling of the integrity of data are undertaken in accordance
with the Data Quality Framework
Information management and support is available to users
System upgrades are made where necessary (including to accommodate
amendments to PI definitions)
The system meets managers’ information needs
Feedback from users is acted upon
The system can produce robust audit trails
Actions recommended by system reviews (e.g. by the external auditors and/or
agreed Borough Secretary) are implemented
A set of written definitions and procedures exists for the purpose of extracting
performance information and
A business continuity plan for the system exists to protect vital records and data.
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2.2
InPhase BMS - The Councils Performance Management System.
Through the use of InPhase BMS, controls are in place to ensure data is robust and
reliable, including:
o Dedicated primary and secondary data entry staff for every indicator, trained to
input indicator data into the system
o Procedure notes and defined methodologies for each indicator, ensuring
calculations are the same each time and that business continuity is in place to
cover for absent staff
o Comprehensive data validation processes, including calculation checks for all
indicators and full background checks (undertaken quarterly and at outturn)
o Centralised management and administration of the software
2.3
Target Setting
Performance targets are agreed at the start of each financial year for all indicators as
part of the Service Planning process. The Target Setting guidance document clearly
defines the methods for the setting of targets and the process for the revision of
approved targets during the reporting year.
Target Setting
Procedure v3.pdf
www.northampton.gov.uk/downloads/download/1365/
2.4
Monitoring
Responsibility for checking the accuracy of performance data vests with individual
services.
The overall objective of the data quality checks is to ensure all key measures from each
area’s Service Plan are fully validated at least once in any financial year. This includes
supporting documents (procedures and definitions, Appendix A) along with the evidence
supplied during each reporting period, and the commentaries made against each
measure.
These checks are designed to give structure to managers checking their measures, and
must be carried out by the last day of each month. By undertaking these checks
managers will be able to ensure that data quality and consistency of approach is
achieved and improved where required.
The method by which this is achieved will be determined by each Head of Service;
however it should be noted that all checks should be performed by an individual who
didn’t input them in the first instance. This is to ensure the integrity of the check, and
quality of the definitions.
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The following guidance outlines specific items which should be considered when
determining methodology, and performing the checks required:
Service Area data
quality checks - Guidance.docx
http://www.northampton.gov.uk/downloads/download/1365/
The Borough Secretary Team will support service areas to address any areas of
concern which may be identified during the checks or for general advice.
Corporate-wide measures (Sickness/Absence and invoices etc.) will be quality assured
by the LGSS performance team in line with agreed SLAs. Adherence to this will be
monitored by the Borough Secretary Team as part of their contract management
function.
3
People and Skills
Those employees detailed as having roles and responsibilities for managing and
improving data quality (Appendix C) will be provided with appropriate training and
ongoing support to carry out such responsibilities.
Training needs for data quality will be identified through the employee bi-annual
development reviews but should also be raised on an ad-hoc basis as need arises (e.g.
the arrival of new staff).
Training and support is provided through the Borough Secretary Team and
supplemented by the corporate and directorate training programmes on issues such as:
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Data Protection
Freedom of information
Customer Service
Data Transparency
Where dedicated systems are used, software suppliers and in house specialists will be
used to provide specific training where necessary.
Service Areas must assign an officer to undertake regular sample and test checks on
the data used to ensure accuracy.
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4
Data Use
The purpose of collecting and reporting robust, good quality data is to inform
management, make improvements to service delivery and to promote accountability to
customers, stakeholders, local residents and Government.
Key aspects;
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Data means all data, whether on computer systems, on paper or data coming into
the council or from other organisations that inform some of our measures, for
example contracted functions information from partners.
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Compliance with the Data Protection Act 1998 and the Freedom of Information Act
2000 is a legal requirement for all Service areas and Directorates. The Council has
various policies which support this, and should be referred to when required
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Data that is used as supporting evidence for a report, or performance measure
must be to the standard outlined in the strategy and this framework. It must also be
in a format that is easily understood. Procedure Notes and Definitions are required
of each measure.
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Government returns are required to comply with statutory requirements and
deadlines.
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Data collected must be secure and should only be used for authorised purposes.
Changes should only be made where necessary and such changes must be fully
auditable.
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Business continuity arrangements should be in place to restore data in the event of
IT failure or a wider catastrophe. The Council’s Disaster Recovery Plan for IT
systems is supported by an off-site real-time backup of key business data for
recovery purposes. Daily backup procedures are in place to protect the integrity of
corporate systems. Service areas and Directorates must ensure that any relevant
systems are included in these high level systems.
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Business continuity arrangements should also be in place to protect locally
developed and maintained systems and supporting processes. Service recovery
frameworks should identify critical documents and managers have a responsibility
for ensuring their protection.
Data collected will be used to inform and make decisions at all levels within the Council
and clear ‘smart’ actions identified to address issues. These will be monitored and
progress reported on a regular basis to team leaders and managers to ensure Data
Quality issues are addressed in a timely manner.
Data issues will be discussed at departmental team meetings as appropriate and
proportional. Individual 1 to 1’s and Annual Appraisal meetings will involve discussions
regarding data collected and reported as relevant.
Government returns are required to comply with statutory requirements and deadlines.
Arrangements are put into place by Service Areas to check data prior to submission.
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5
Data security and sharing protocols
5.1
Data Security
Data collected must be secure and should only be used for authorised purposes.
Changes should only be made where necessary and such changes must be fully
auditable.
A Data Protection Policy is in place to ensure that personal information is processed
legitimately and is only used for specified purposes.
Security controls should be in place on all key systems to prevent unauthorised data
changes. Controls should be reviewed regularly to ensure protocols and policies are
adhered to.
Business continuity arrangements should be in place to restore data in the event of IT
failure or a wider catastrophe. The Council’s has a Disaster Recovery Plan for IT
systems supported by off-site real-time backup of key business data for recovery
purposes. Daily backup procedures are in place to protect the integrity of corporate
systems.
Business continuity arrangements should also be in place to protect locally developed
and maintained systems and supporting processes. Service recovery frameworks
should identify critical documents and managers have a responsibility for ensuring their
protection.
5.2
Partnerships and data sharing
The Council must ensure data that is shared with, and received from, partners is
accurate and appropriate. When entering into partnerships it is vital that the spirit of this
strategy is followed and that the responsibilities for ensuring data quality are clearly
identified in partnership documentation or agreements.
6
Publication and review
The Data Quality Framework will published on the Internet and reviewed on an annual
basis
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APPENDIX A. Procedure and definition notes
Each measure must have a definition which includes what is being measured, and how
to collect any data needed to calculate it. The purpose is to facilitate business
continuity, i.e. to enable others to view them and then be able to add the information
onto the InPhase BMS system.
Procedure notes and definition notes should be;
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Clear
Brief
Understandable to all
Up to date
Follow any relevant guidance e.g. Housemark
Uncomplicated
Tested
Information should be recorded on a template which is included below;
PI Definition and
Process template.doc
www.northampton.gov.uk/downloads/download/1365/
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APPENDIX B - What does good quality data look like?
The table below outlines the six characteristics of good quality data.
Dimension
Accuracy
Data should be sufficiently accurate for their intended purposes, representing
clearly and in enough detail the interaction provided at the point of activity.
Data should be captured once only, although they may have multiple uses.
Accuracy is most likely to be secured if data are captured as close to the point
of activity as possible. Reported information that is based on accurate data
provides a fair picture of performance and should enable informed decisionmaking.
The need for accuracy must be balanced with the importance of the uses for
the data, and the costs and effort of collection. For example, it may be
appropriate to accept some degree of inaccuracy where timeliness is
important. Where compromises are made on accuracy, the resulting limitations
of the data should be clear to their users. This must be a judgement
determined by local circumstances, and is unlikely to be appropriate in the
case of the data supporting published performance indicators.
Validity
Data should be recorded and used in compliance with relevant requirements,
including the correct application of any rules or definitions. This will ensure
consistency between periods and with similar organisations, measuring what is
intended to be measured.
Where proxy data are used to compensate for an absence of actual data,
bodies must consider how well these data are able to satisfy the intended
purpose.
Reliability
Data should reflect stable and consistent data collection processes across
collection points and over time, whether using manual or computer based
systems, or a combination. Managers and stakeholders should be confident
that progress toward performance targets reflects real changes rather than
variations in data collection approaches or methods.
Timeliness
Data should be captured as quickly as possible after the event or activity and
must be available for the intended use within a reasonable time period. Data
must be available quickly and frequently enough to support information needs
and to influence service or management decisions.
Relevance
Data captured should be relevant to the purposes for which they are used. This
entails periodic review of requirements to reflect changing needs.
It may be necessary to capture data at the point of activity which is relevant
only for other purposes, rather than for the current intervention. Quality
assurance and feedback processes are needed to ensure the quality of such
data.
Completeness
Data requirements should be clearly specified based on the information needs
of the body and data collection processes matched to these requirements.
Monitoring missing, incomplete, or invalid records can provide an indication of
data quality and can also point to problems in the recording of certain data
items.
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APPENDIX C – Data quality roles and responsibilities
ROLES
ACCOUNTABILITIES/RESPONSIBILITES
Performance
Owners and
Collectors
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Borough
Secretary
Team
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Owners and
Operational
Managers /
Team
Leaders
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To understand the Council's Performance Management Framework and the
significance of their role in collating/inputting performance data
To be aware of the Council's data quality objectives
To recognise the importance of data quality and report data quality issues to
line manager
To maintain up-to-date procedure notes and definitions for all data collection
processes
To maintain up-to-date knowledge of the definitions of performance
indicators
To input data and commentary in line within agreed timescales
To provide qualitative information on the PI result and provide all necessary
background papers, attached to the Council's performance management
software system, InPhase BMS
To have an understanding of any performance indicators affected by the
data they contribute. Ensure access to technical guidelines, including
nationally set definitions. These definitions must be applied consistently to
allow for comparison over time and with other authorities
To use a two staff member check / verify process to ensure the quality of
Government data submissions
Validate monthly team Data Quality check
Monitor and challenge data quality in the service area
Provide support and guidance to service area
Attend relevant training sessions
Champion data quality within the service area
Conduct sampling and testing spot checks on performance data processes
To check using InPhase BMS, the accuracy of PI data entry, qualitative
information and all necessary background papers
To liaise with collectors/owners and operational managers/team leaders on
any changes in definition in a timely manner
To ensure regular, accurate and efficient extraction and presentation of
information
To ensure those involved in the data collection process are aware of the
impact that the quality of the data they produce has across the Council and
externally
To provide clear guidelines and training for using corporate data collection
systems
Provide advice and guidance regarding collection and calculation of PI’s
To oversee the operation and maintenance of InPhase BMS
To ensure relevant staff are trained in data quality requirements
To report corporate overview of data quality issues to senior management,
councillors and staff
Conduct sampling and testing spot checks on performance data
To provide challenge during target setting
To ensure responsible officers are aware of and comply with their data
quality responsibilities/accountabilities
To investigate with and without Internal Audit, instances of inaccuracy with
data
To verify and sign off PI’s (based on internal sign off process, agreed within
service area)
Monitor and challenge progress made against corporate data quality
objectives and service area data quality action plans
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Director /
Heads of
service
Internal
Audit
Cabinet
Members
Overview &
Scrutiny and
Audit
Committee
Members
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Manage system upgrades
Review Data Quality issues, track actions and report issues
Sign up to the Data Quality strategy objectives (Charter)
Review DQ issues as they arise via DMTs, and take appropriate action to
correct
 To undertake audit risk assessment of Corporate DQ arrangements
 To review data quality across service area audit work
 To challenge data quality within their portfolio areas, or personal areas of
expertise
 To discuss data quality issues with Directors and Heads of Service at
DMTs
 Review data quality issues highlighted in the monthly Cabinet
Performance Report
 To regularly review performance data (inc Financial) from Cabinet
agendas, and identify areas of concern
 Request reports/analysis from individual service areas and challenge low
performance
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