1. Staff Individualised Record (SIR) system, Self-teach tutorial September 2004 Version 2.0

2. Aims and Objectives  To ensure that you, as an FE College, have the knowledge to transmit your staff data using the Provider Batch facility on the Data Collections Website (DCWS). By the end of this tutorial, you will be able to:  Identify the components that enable you to transmit your staff data via the DCWS  Describe the order in which the processing will work  Explain the registration and sign-in process that will grant you access to the DCWS. Aim: Objectives: move on

3. Modules Welcome to the Self-teach tutorial for Staff Individualised Records (SIR) using Provider Batch. The tutorial is divided into eight modules. You can work through all the modules sequentially or select an individual module. If you are new to Provider Batch, you are strongly recommended to work through all the modules in order. You can click on a module title in the index to go directly to the start of the module. Refer also to the SIR User Guide. This can be found on the Data Collections Website at http://providers.lsc.gov.uk, under the Training and Support tab. 1 Module 1 How to Use the Tutorial 2 Module 2 High Level Overview 3 Module 3 Registration and Sign-In 4 Module 4 Preparation of the SIR file 5 Module 5 Preparation of the On-Line Forms 6 Module 6 Transmitting the SIR Batch File 8 Module 8 Your Local LSC move on 7 Module 7 Output from the DCWS

4. Module 1 How to Use the Tutorial move on You can navigate your way through the tutorial by using the forward and backward buttons below. Click on the ‘Home’ button to go back to the list of Modules at any time. You will be prompted to move on at the end of each slide. You will be directed to other sources of information for more detailed instructions.

5. Module 2 High Level Overview This module will identify the components that enable you to submit your returns via the DCWS. The following slides will build up a picture showing the components and their relationships with each other. move on

6. FE College  Before transmitting your Staff Individualised Record (SIR) file, you are advised to validate the file using the LSC’s SIR validation software.  Complete the SIRFFT1, Full Time by Type of Employment, on- line form.  If appropriate, complete the SIRAGG1, Aggregate Return, and SIRETH1, Staff Ethnicity, on-line forms.  Transmit the file to DCWS. 2 High Level Overview FE College LSC move on SIR File SIR Yes – correct entries Data Collection Website Your MIS SIR File No Uploaded SIR File Errors? SIR On-Line Forms

7. SIR File SIR Yes – correct entries Data Collection Website Your MIS SIR File No Uploaded SIR File Errors? 2 High Level Overview FE College Back Office Systems SIR File SIR move on Complete Validation Report Reports Errors? Yes – correct entries No Check the Validation Report LSC Back Office Processing On-Line Forms  The on-line forms are taken from the DCWS and used by the LSC analysts. File  The SIR file is re-validated through SIR on DCWS. This is to ensure that the validation rules have been applied to the data. Reports  The SIR reports, including the Validation report and any Error reports, are placed on the DCWS. When you are satisfied that your return is complete, click the Complete button. LSC SIR On-Line Forms

8. You have completed Module 2, the High Level Overview of the process for transmitting SIR data using DCWS. move on 2 High Level Overview

9. Module 3 Registration and Sign-In This module gives an overview of what is required to be able to start using the DCWS. Sections within this module are:  Prerequisites for Registering Users  Logging On  Registration  Sign-In. move on

10. 3 Registration and Sign-In FE College NDCM Local LSC PIMS generates Authoris- ation Code Mail Merge Sends Authoris- ation Code to provider FE College receives national Authorisation code from the NDCM move on Prerequisites for Registering FE Colleges As an FE College provider, you will automatically receive a national Authorisation Code associated to your organisation. The Authorisation Code is generated using the Provider Information Management System (PIMS). A letter detailing this code is sent to your Principal Head of Institution by the National Data Collections Manager (NDCM). Note: You will not be able to register onto the DCWS without this Authorisation Code. If you have not received it contact your Local Data Manager (LDM).

11. Super User receives local Authoris- ation Code from local LSC FE College NDCM Local LSC PIMS generates Authoris- ation Code (1) Mail Merge FE College receives national Authorisation code from NDCM Nominates Super User Super User contacts Local Data Manager at local LSC Creates local Authorisation Code using Data Collections System Approval Letter Sends Authoris- ation code to FE College move on Sends Authoris- ation Code to FE College 3 Registration and Sign-In Prerequisites for Registering FE Colleges (continued) On receipt of the national Authorisation Code, you must nominate a Super User (SU) who should then contact the LDM at your local LSC. The LDM will generate a local Authorisation Code, and send it to the SU. The SU is now ready to register onto the Data Collections Website.

12. move on 3 Registration and Sign-In Logging On  Double Click Internet Explorer from your desktop to access the DCWS.  Type the URL address http://providers.lsc.gov.uk. http://providers.lsc.gov.uk  Click GO.  Click On-Line Data Collections.

13. Registration The registration process must be completed by all SUs and Ordinary Users (OUs) to ensure they are authorised to use the system. In order to register on DCWS an SU must know the following:: 1. National authorisation code supplied by the NDCM 2. Local authorisation code supplied by your LDM 3. User name supplied by the LDM. In order to register on DCWS an OU must know the following:: 1. Local authorisation code supplied by your SU 2. User name supplied by your SU. move on 3 Registration and Sign-In

14. move on 3 Registration and Sign-In Logging On  Click Register to take you to the Registration Steps.

15. Enter your User Logon Enter your local Authorisation Code move on 3 Registration and Sign-In Registration Step 1 This screen is where you enter your local authorisation code as supplied by your LDM. On-line Help text is displayed on the right of the screen. Fields with an * are mandatory and must be completed.  Enter your User Logon.  Enter your local Authorisation Code.

16. Enter your national Authorisation Code move on 3 Registration and Sign-In Registration Step 2 This screen is only displayed if you are a Super User. It is where you enter your national authorisation code. On-line Help text is displayed on the screen.  Enter your national Authorisation Code.

17. Oranges03 move on 3 Registration and Sign-In Registration Step 3 This screen is where you enter your account details. On-line Help text is displayed on the screen. For security reasons, you must enter your chosen password twice in order to verify it. Your password should be between 6 and 11 characters long and contain at least one capital letter and at least one number.  Enter a Password for your user account.  Enter the same password to Confirm Password.

18. Oranges03 Mother’s maiden name Smith fictional.person@casterbridge.ac. uk move on 3 Registration and Sign-In Registration Step 3 (continued) A memorable security question and answer are used to identify you, should you forget your password.  Enter a memorable Security Question.  Enter a memorable Security Answer.  Ensure you enter a valid email address. If you forget your username or password, it will be sent to you via your email.  Enter your valid Email Address.  Click Next.

19. move on 3 Registration and Sign-In Registration Step 4  This screen tells you that the registration process is complete.  You should allow approximately 20 minutes before attempting to sign-in to the DCWS from the On- Line Data Collections System Home page.

20. move on 3 Registration and Sign-In Sign-In  Once you have registered your details through the registration process, you will then be able to Sign-In to the system.  You must sign-in before you can complete any returns.  If you have any problems signing-in, contact your LDM, who will check that your account is active.  Click Sign-In.

21. Enter your User Name Enter your Password move on isp/test123 3 Registration and Sign-In Sign-In  To ensure that you are taken to a secure site, always type in isp/ before your username.  Enter your User Name as isp/.  Enter your Password as set up in the registration process.  Click OK.  Note: You are allowed five attempts to sign-in. After the fifth incorrect attempt, you will be locked out of the DCWS and will need to contact your SU or LDM.

22. move on 3 Registration and Sign-In Sign-In When you have entered a valid user name and password you are taken to your Collections page.

23. move on 3 Registration and Sign-In You have completed Module 3, about registering on to DCWS and signing in to Provider Batch.

24. Module 4 Preparation of the SIR file SIR data consists of detailed information about each of the staff members at an FE College. The information includes general details such as date of birth, ethnicity and level of education, and sensitive information such as salary and employment details. The SIR data enables the LSC to publish an annual SIR analysis. The analysis is used in various ways:  by the DfES  by the LSC, for example to answer Parliamentary questions  for comparison of pay rates between sectors, for example between school sixth forms and sixth form colleges. FE Colleges should transmit their SIR data to the LSC using the Data Collections Website (DCWS) once a year, on the first working day of September. move on

25. Preparation of the SIR File The SIR file is generated via the FE College’s own management information system and the data is extracted to create a data file. Each SIR file must have standards applied to the filename, header and footer.  Filename standard  Header record standard  Footer record standard. The SIR data file is given a nine character filename followed by a three character extension. The filename format is FAAAAAABB.CCC (or DAAAAAABB.CCC for duplicates) as shown below: CodeValue F (or D)A prefix to indicate that the file is either the original data file (F prefix) or a duplicate (D prefix). AAAAAAThis is the Council provider number. BBThis is the serial number of the disk (it is best practice to set this to 01). CCCThis is the survey reference number, and is always 010. 4 Preparation of the SIR file

26. Preparation of the SIR File The SIR file is generated via the FE College’s own management information system and the data is extracted to create a data file. Each SIR file must have standards applied to the filename, header and footer.  Filename standard  Header record standard  Footer record standard. move on The header record has the following reference: AAAAAABBBBBBBBBBBB00CCCCDDMMYYYY CodeValue AAAAAAThis is the Council provider number. BBBBBBB BBBBB 12 spaces for the header record. 00Zero, zero. CCCCThis is the year of the survey (for example, 2004/05 is 0405). DDMMYY YY This Is the date of preparation of the disk (date format). For example, 01 September 2004 would be entered as 01092004. 4 Preparation of the SIR file

27. Preparation of the SIR File The SIR file is generated via the FE College’s own management information system and the data is extracted to create a data file. Each SIR file must have standards applied to the filename, header and footer.  Filename standard  Header record standard  Footer record standard  The format of the SIR data file can be found in detail in the SIR User Guide This can be found on the DCWS at http://providers.lsc.gov.uk, under the Training and Support tab. move on The footer record has the following reference: AAAAAAZZZZZZZZZZZZ99CCCCDDMMYYEEEEEE CodeValue AAAAAAThis is the Council provider number. ZZZZZZZZ ZZZZ 12 Zs for the footer record. 9999. CCCCThis is the year of the survey (for example, 2004/05 is 0405). DDMMYY YY This Is the date of preparation of the disk (date format). For example, 02 September 2004 would be entered as 02092004. EEEEEEThe total count of all records in the file including header and footer records (right justified and zero filled to the left as necessary, where, for example, 472 records would be entered as 000472). 4 Preparation of the SIR file

28. 9 Local validation of your SIR batch file Local Validation move on Local Validation To improve the accuracy of the SIR data you transmit to the LSC, and to reduce the risk that the transmitted file will cause errors when validated by the LSC, you are encouraged to run the data file through the LSC’s SIR validation software (Version 7.0 or later) before transmission. The SIR software will validate the following:  filename  header and footer records  field-level data An Error Report will be produced for any data that fails the validation checks.

29. Local Validation move on STEP 2 LSC Validation STEP 1 Local Validation 9 Local validation of your SIR batch file STEP 3 SIR return complete Local Validation  Local validation enables you to confirm that the filename is in the correct format before you transmit the file.  It will also highlight errors of format in data fields (for example, a date in the wrong format), giving you a chance to correct the data and re-create the file before transmitting it.  Validation at the LSC  When your data file has been transmitted, further validation will be carried out by the SIR system at the LSC (see Module 7). The file must pass LSC validation before your SIR return can be completed.  If you have pre-validated the file locally first, then the chance that it will pass LSC validation will be greatly improved.

30. move on 4 Preparation of the SIR file You have completed Module 4, about preparing the SIR file for transmission.

31. Module 5 Preparation of the On-Line Forms move on The LSC requires some information to be returned using the On-Line Forms. These have replaced the spreadsheets used previously. Refer to the SIR User Guide for more details. This can be found on the DCWS at http://providers.lsc.gov.uk, under the Training and Support tab.

32. Module 6 Transmitting the SIR Batch File and On-Line Forms This module gives an overview of how to transmit batch files and on- line forms. Sections within this module are:  Creating a New Transmission  Uploading the SIR batch file and on-line forms  Uploading a Nil Return  Software Details  Transmitting files and on-line forms  Reports  Completing the Collection Return. move on

33. 6 Transmitting the Batch File & On-Line Forms Collection Return Reference  Transmitting the Files and On- Line Forms  When you have entered a valid user name and password you are taken to your Collections page.  Click the active collection return reference to make a Provider Batch transmission (see Module 7 for details). Return references will appear with a prefix of PB (Provider Batch) e.g. PBSIR12.  On subsequent returns, previous returns will be shown below the list of active returns.

34. Create New Transmission move on 6 Transmitting the Batch File & On-Line Forms Creating a New Transmission  This screen shows that no transmissions have been made for the current collection.  Click Create New Transmission.

35. move on 6 Transmitting the Batch File & On-Line Forms Transmitting the Elements  When you have selected all the elements to be transmitted, click the Finish button.

36. Transmitting the file and on-line forms The different elements are seen on the Current Active Transmission screen. The output from your transmission can be found in the Reports window (see Module 7 for details). Note: It is estimated it will take approximately 24 hrs to process most SIR returns. You are advised to check your site regularly for feedback from the DCWS. move on 6 Transmitting the Batch File & On-Line Forms

37.  Completing the Collection Return  Once all the elements have been transmitted, you can flag that the collection return is complete by using the Complete button.  Click Complete. Completing a transmission should be done when your return is valid and the Validation Report has been received. move on 6 Transmitting the Batch File & On-Line Forms

38. move on 6 Transmitting the Batch File & On-Line Forms You have completed Module 6, about transmitting the SIR batch file and on-line forms.

39. Module 7 Output from the DCWS As a result of running SIR, the LSC will produce the following reports and files and place them on the DCWS for your use: 1. Error Report 2. Validation Report. Only the FE College that submitted the SIR return and the local LSC will be able to view the reports. This module gives an overview of each report. For detailed information about validation, please refer to the Staff Individualised Record College Support Manual. This can be found at the LSC website, http://www.lsc.gov.uk, in Data Collection/Staff Individualised Record/Support Manuals. move on

40. Output from the DCWS 7 move on Output from the DCWS  After you transmit your SIR return to the DCWS, the SIR system will validate the return. It will first validate the filename and the header and footer records (see Module 4).  Detailed validation will next be carried out on the data in the fields of the data file.  An Error Report will be returned to DCWS if any aspect of the validation fails. If an Error Report is returned, you must correct the errors and re-transmit the data file.  When the data file passes all the validation checks, a Validation Report will be returned to the DCWS.  The Error and Validation reports can be saved and opened using Microsoft Notepad or Word.

41. Error Report 7 Output from the DCWS move on This is an example of an Error Report, providing details of data in the SIR return that failed validation. The report is a.txt file, opened using Notepad.

42. Validation Report 7 Output from the DCWS move on This is an example of a Validation Report, confirming that a SIR data file has passed all validations. The report is a.txt file, opened using Notepad.

43. move on 7 Output from the DCWS You have completed Module 7, about the output from the DCWS after the SIR return has been transmitted.

44. Module 8 Your Local LSC move on If you have any queries or problems with your data collection returns, please contact your local LSC. Telephone numbers of all local LSCs are on the LSC website, www.lsc.gov.uk, under ‘’Contacts”.www.lsc.gov.uk

45. move on 8 Your Local LSC You have completed Module 8, about how to contact your local LSC.

46. You are now equipped to transmit your SIR returns via the DCWS. If you have any problems or queries, please contact your local LSC.