Data Collections Workshop School Workforce return (SWF 2013) 27 th September / 1 st October 2013 Data & Statistics Team (S.P.P.) Education, Social Care & Wellbeing Directorate

What is the SWF census? This statutory annual return is expected by DfE from all Nursery/Infant/Junior/ Primary/Secondary/Special/PRU/Alternative Provision schools (including Free schools & Academies). School Workforce census (SWF) is collected by LA for Department for Education (or directly by DfE). The government (DfE) explain that it is their main source of information on schools’ staff including: (a)teacher and support staff numbers; (b)pay of teachers and support staff; (c)teacher and support staff qualifications (d)teacher deployment; (e)teacher and support staff absences; (f)teacher vacancies. (g) rates of teachers joining and leaving and moving school Extracts from it are also supplied to other government agencies, so a ‘Privacy Notice’ is expected to be issued by schools to staff as they join the school to explain their data will be shared with DfE, etc. This should be part of the new starter pack (LA copy from Sept 2011 is still relevant and available at: 0Workforce%20Census%20September% pdf SWF return is used to provide the workforce data published in the DfE schools performance tables so It is essential that all schools provide good quality information in all relevant modules.

This session of our workshop is an overview of the School Workforce processes that schools will need to follow to: 1. Prepare school Management Information System (MIS) before School Workforce (SWF) census day. (also see ‘SWF Preparation’ info on SWF page of WebFronter) 2. Fix most problems early (weeks before census date) via one or more practice runs (once MIS ready) checking each on Collect Familiarisation 3. Capture census day data and load headcounts into MIS, create SWF return on census date, resolve issues on MIS. (form+info: WebFronter + MIS training) 4. Create ‘School Summary’ report from your MIS (if available in the MIS) keep this to check (if no issues in 5 below) it’s figures with Head Teacher. (see MIS training + if DfE publish any guidance on using SWF School Summary we will put it on WebFronter) 5. Authorise in MIS, Upload to DfE ‘COLLECT LIVE’, (and once validated): open, check, next day report, resolve issues, add notes & submit return. (by following steps of LA’s ‘Collect Process’ document that will be on WebFronter SWF page by mid-October).

Key SWF Dates Collect Familiarisation Site opened: 3 rd Sept 2013 (schools use it to check returns & identify most of their issues before census date) Census date: 07 November 2013 COLLECT LIVE opens for return: from 7:30AM on census day this year. However, given that all schools in England get access at same time, Collect users may need to be very patient as performance could be very slow on first morning. Deadline: School to follow all steps of MIS training + LA’s ‘Collect Process’ guide (available by mid-October) to create a complete, accurate & up-to-date, SWF return data file from MIS, upload it to COLLECT, check it on COLLECT using return status and ‘All Errors’ button, ensure each COLLECT module has suitable number of records, then, at least 1 day after that upload, check COLLECT’s ‘Missing Contracts’ & ‘Missing Payments’ reports, create latest ‘School Summary’, check the figures on it, resolve all issues in data back on MIS (repeating all this as necessary) then, only once the return on COLLECT has no issues except for investigated impossible-to-resolve queries, add notes on each irresolvable query and use Collect’s submit button by 12 November 2013

Structure From School: All data for all relevant staff working for school under a contract + teachers working under agreement with other organisation/agency returned by school. From LA HR: Data on 700+ other staff directly-employed by LA will be returned by LA. (LA’s systems are likely to remain unable to return absence/pay/etc. data for school-employed staff). School Workforce data in each return is arranged in 2 levels: Individual Person (called School Workforce Member) Level: Has details for each person (who is required to have individual data) at this level. School Level data: Vacancies data plus Headcounts only, for specified groups of other people/posts. Each level is then further divided into separate tables (that are called “Modules” in Collect) according to the type of data and each module holds just one type of data records. (For example the “Absence” module, “Qualifications” module, “Contract” module etc.) Later we will see how to check each module within COLLECT to make sure that the modules do have enough data in. Remember: Errors/queries/missing records can occur in any one of these modules… If certain data is missing from within a record it will often cause an error in COLLECT but please beware that there are no errors if a whole record is missing, so although it is not a valid return, an utterly empty module or an empty return won’t give an error in COLLECT: It is vital that you check return (after every upload) to ensure each module has sufficient data in – i.e. that (in COLLECT) the module (still) has expected number of data records in.

SWF 2013 Requirements: Who? ( Next 2 slides are also available in larger format on WebFronter at: )

SWF 2013 Requirements: What?

SWF Preparation If MIS is not web-based, may need to upgrade MIS on all computers (if necessary, via MIS support provider) (not necessary for web-based MIS e.g. e1) Know what data to capture on census day (e.g. use our form on WebFronter) (so school will capture necessary data for the school level headcounts part of the return) Load / update data on staff for example: - Contract changes (new starter/regular agency teacher/promotion/redeployment/contract ended/pay increment/etc.) (items to be updated – e.g. Additional payments, Base Pay figure(s) & Hours for all current staff) (Additional Payment records needed but amounts must be excluded from the ‘Base Pay’ figure) (Current and ended Contracts are needed: those ending in either previous * or current school years) ( * From all schools except PRU: the PRU SWF return, in 2013, needs all current contracts plus any ending since 31/03/2013 ). - Qualifications (review all staff regardless of role to ensure their QTS & HLTA status are accurate; then load any missing and new qualifications choosing subjects from DfE’s spread sheet list) All qualifications NQF level 4+ (higher than ‘A’ Level equivalent) regardless of relevance, all staff. Subject should be available in list in MIS but if (in rare case) it isn’t, DfE bulletin says use ‘best fit’. Class of Degree this year for those joining school on or after 1/8/2013 on any degree qualification. - Absences (previous academic year: Teachers + Support staff if classroom-based for pupil/learning support) (not just sickness but anything that takes these staff away from normal duties, except training) (remember absence end dates for leavers, etc. + on sickness: need number of working days lost) - Curriculum (secondary schools only but not Specials – if timetabling system can transfer it to MIS) Review the ‘include in workforce’ choice both on the person record + on contract record. Find issues weeks before census day: practice run(s) on Collect Familiarisation to test for issues MIS can’t find: Collect’s ‘All Errors’ list + module counts + 2 next day ‘missing…’ reports + Summary.

Base* Pay: must type figure in here for all staff: TAs + support staff + The ‘Regional Pay Spine’ + ‘Spine point’ are needed for all teachers (for SWF) but are only needed for TAs/support staff if the MIS insists (E1 insists on these for TAs/Support staff). Hours that this person works… In E1 if pressing ‘submit’ fails: scroll up to find & fix any red cross Need these for All staff (Teachers, TAs & other support staff) for SWF Inner London Preparation – Pay Base Pay (which used to be known as ‘Total Pay’ in SWF) must exclude any Additional Payments/Allowances, so Base Pay = annual salary rate at census day. Pro rata for part time (and if ‘term time only’ then pro rata only if necessary) but do not adjust down if started mid-year; include any safeguarded pay; exclude allowances/additional payments, which must be loaded as Additional Payment Records. In E1 (MIS) in Contract tab : dropdowns “post or role that pay applied to” and “post or role that hours applies to” must both have the word ‘(POST)’ at end, for any contract with 2+ roles (to apply figures across all roles on the contract not to just 1). Need the current pay & hours of all staff who are expected to work in the post at least 4 weeks if they are either Support staff directly employed by the school or are teachers/leadership (all teachers even agency). it is usually either 32.5 hours (if ‘hours worked’ above is based on ‘directed hours’) or 25 hours (if ‘hours worked’ is based on the ‘school time table week’ instead) … ‘FTE hours per week’ is ‘hours in FULL TIME week’ even if this person is not full time so is usually 35 hours for support staff, (even a midday assistant) but for teachers (even ‘part time’) Additional Payments add/update them below All staff with pay details also need any allowances/additional payments loaded (TLRs, Acting / SEN / Management allowances, Inset, TA/support staff London weighting, etc.) amend it for teachers too, as DfE say look up of a spine point to find standard national base pay figure will not necessarily apply ( even if MIS gives figure ). *Up-to-date ‘Base Pay’ figure please for all staff including teachers too (if MIS allows it in return) SWF Pay Advice ( version 26/09/2013 ) Salary figure exported in SWF census Pay Screenshot (E1) for SWF 2013

Data file from MIS Remember to load school level headcounts & vacancies in MIS first then generate a school workforce return data file (following guidance from MIS provider) and note which folder you create the file in so you can find it again once you are uploading to COLLECT: SWF Data file: 211xxxx_SW3_211LL13_001.xml (not …SWE… nor …SC3...)(year)(attempt no.) (in MIS keep all modules selected for inclusion in the return) (in E1 ignore “make available for LA” option) Use SWF School Summary report from MIS (check it yourself* for obvious problems and keep it to check fully with head much later: after all COLLECT checks are passed). If DfE publish any advice on the school summary report in MIS, we will add it on WebFronter. (WebFronter address given at end of presentation) *Check the figures shown on your latest SWF School Summary (without involving the Head teacher until all other checks on COLLECT have been passed) to see if the return seems to be complete. SWF page on WebFronter has “9 Quick checks” list (takes under 2 min.s to do) The full check of summary by your Head comes later) Upload return file to COLLECT (via Secure Access) at Familiarisation site is OPEN NOW (until census) for schools to test returns early, also in Secure Access: The Compatibility mode icon seen in top toolbar of Internet Explorer 8 (or later) = If Using Internet Explorer 8 or later version: having Compatibility Mode ‘on’ ensures COLLECT buttons ‘work’. Can only log in once this box is ticked News e.g. downtime + DfE Support Form

If you have several collections listed in COLLECT, you must remember to click on the right line before clicking the “Select data Collection” button... In particular now that School Workforce Familiarisation (for testing) and School Workforce (from census day onwards for actual submission) may both be shown (in addition to the October pupil School Census still being here). (2013) School deadline for returns is 12/11/2013 it is not the ‘due date’ seen on COLLECT. The due date shown above is the DfE’s deadline for LA to get further credibility work done for the DfE (which we have to do once all schools returns are validated). Getting Started in COLLECT ! Choose correct line from list (when selected the writing on that line is bold), then push the blue button: Note the deadline seen on this page in COLLECT is not deadline for schools but is LA’s deadline for getting further work done for the DfE. 

 SWF collection page: return not ‘open’ yet It is here, school must: 4 Upload, 5 Open return & check modules + errors 6a (day after last upload) Launch reports for ‘Missing…’ checks, (and once all issues resolved on COLLECT) 6b (Get Head teacher to check MIS summary) 6c (Only add notes to a query if irresolvable) 7 Press Submit to complete return. Don’t use browser’s back button: use links on screen to go to other pages. Remember: Internet Explorer 8 users: may have to use compatibility mode. ! 3 Return Status & total errors/queries 2 In SWF blade or in another collection? 1 Testing or Live blade? (2013)

Collect Uploading: finding the right file SWF data file is the one already named following (named by MIS): 211xxxx_SW3_211LL13_001.xml (not …SWE… nor …SC3...)(year)(attempt no.) Tip: if you cannot find the data file then look “one level up” using this button e.g.. using.

Collect upload in progress… Collect will ‘time out’ after 15 minutes of inactivity (even if it was busy uploading your return!) so beware when it ‘times out’ it does not change what is on screen. The longest wait you are likely to have in Collect is when Uploading a return file. If Collect is slow (in peak periods) and the screen has not changed beware that the screen won’t ever change if it hasn’t done so within 15 minutes (log in again) But when uploading you should wait until the following message appears (unless 15 minutes has passed without anything happening): … if you have ok’ed this message (or 15 minutes have passed) it is safe to close COLLECT then immediately re-open it and log back in again. However, if Collect is behaving itself then (as soon as you ok the message above) Collect’s front page should appear showing you the “status of return” (either “Loaded awaiting Validation” or “Loaded & Validated”). There is more work you need to do in COLLECT, once the return status is “…validated”. If return status is not “…validated” yet then log off and log back in again immediately.

Collect: ‘Awaiting Validation’ Once you see that message, your return is uploaded and awaiting Validation. You will need to wait until COLLECT has “validated” your uploaded return before you can continue… (There are further checks the school must do before you can submit) Do not stay logged into COLLECT when waiting for return status to change, instead log off and check back on return status immediately then periodically: Log in again Immediately, if return status is not “…Validated” log off… Log in again after 10 minutes, if return status is not “…Validated” log off… Log in again after 1/2 an hour, if return status is not “…Validated” log off… Log in again after 2 hours, if return status is not “…Validated” log off… Log in again Next morning, if status is still not “…Validated” use DfE form (below): Returns usually ‘validate’ instantly, but at peak times (e.g. most of census day) the validation by Collect may need anything from a few minutes to overnight. All returns that have loaded successfully ought to get validated by the next morning at the latest, so if return status shows as “loaded” but will not become “…validated” overnight: Repeat the upload, (but if you haveve already done that, and your second attempt won’t validate overnight, please report this to Data & Stats team and to DfE using their data collection help form: You will need to choose ‘collection’ of ‘School Workforce’ and know your school’s 7 digit DfE number.

How to Check return once status is “…Validated” Once the return on COLLECT is “…validated”… School must look on the front page (the page showing the status of your return) for the error count and the query count (the count called ‘ok errors’ can be ignored) … … but even if validated and there are no errors & no queries, school must still: Open return and check each module ensuring each module has sufficient data. Open return and Check for Errors & Queries using “All Errors” button (resolving issues in MIS then creating new return file, repeating the upload & these checks again). Next day (once the latest return has been on COLLECT overnight)… Launch the ‘Missing Contracts’ report on COLLECT and the ‘Missing Payments’ report on COLLECT. Anyone on Collect “missing” reports must be resolved (back in your MIS), then regenerate a new SWF return, re-authorise it, reupload it and in COLLECT recheck it. Check the ‘School ‘Summary’ report (if one is available on Collect) otherwise run latest ‘School Summary’ from MIS: Head teacher to check & approve it. Once all other issues are resolved in MIS (and no longer seen on Collect) add notes on only impossible to resolve queries, after investigating each, to ensure data is correct. Submit return using submit button on Collect to sign off as complete & correct. This is how to do those steps…

2013) …front page is the place to see total count of all errors/queries in return For every return uploaded Schools must check each of the modules (circled in red dotted lines here) as each must have sufficient data. Collect: how to check modules? One line is one module: Click on each item on grey menu to see that module bold numbers here are some errors/queries but… From Use To get to module view As follows… Curriculum required for Secondary schools only Key:

Areas of screen in ‘Opened’ return The total number of records in this module is shown here (if there are more than ten records: if ten or less, then count those visible on screen) up to 10 records at a time shown on the screen Navigate between pages of table using these small arrows Sorting by column: click on the column header once or click twice = descending “Open Return” and check total number of records in each module: 63 records page 7 of 7 Find a person by typing Surname here, and clicking ‘Go’ button on right (in SWF member module only) } Use ‘All Errors’ button at top to see list of all errors but for errors in just this one module: sort (click) ‘rule errors’ twice 3 Records here This data is for just one record (the one selected in blue in table above) (with one field per line) } Other module’s can be drilled into here } ‘ View All’ shows all records in that other module that are attached to the record being viewed in current module e.g. all contracts for the selected person record or all absences attached to this person. Module List Click on red error box (warning they can also be next to correct data) then read error message

COLLECT validation errors On Collect’s front screen you have seen the summary count of errors and queries that have been generated, but to investigate these errors and queries “Open” the return and use button shown here for “All Errors”. errors/queries list screen shown on next slide There may be several page of errors: since only 10 errors/queries are shown at a time. If you have more than 10 errors + queries then to get to subsequent pages of errors you click on one of the (page) numbers listed on the right of the blue bar at the bottom of the error list (seen on next slide). Although you can sort the errors list by the ‘rule number’ (also known as ‘error code’) to put all cases of one type of error together, beware if you sort the list before you work down it one-by-one, remember you will have to repeat the sort every time you return to the error list view in order to find the next error). Looking at errors and queries in detail… Schools must click on ‘ALL ERRORS’ button to open & view the list of ‘errors & queries’ in your return (showing 10 per page) and then must investigate each error & query (a query has a code ending ‘Q’) (on all pages of the list) and resolve them all in the MIS appropriately. If an error does not seem to make sense when you have investigated, call for support ‘Return level’ errors are NOT all errors in return !

In Collect’s Error/Query listing… (To get to error list above we had already clicked on ‘Open Return’ and ‘All Errors’ button) In this list click on a line to highlight it in blue (it is one case of one type of error or query) Read the ‘error message’ for what is wrong then to find out whose records have this error click “Details” button then click a blue underlined link (any blue link except ‘reference date’). You have been taken to the appropriate person’s affected record(s); Look at the top table here to see one person listed (often greyed out). You are seeing only one record of theirs. (some errors – e.g. overlapping absences for the same person – involve a set of records. (beware red shaded boxes at the bottom do not necessarily indicate where the issues are.) To return to the page of the errors list you were on, ‘Error’ button at top right often works. Investigate to establish what needs fixing. Errors & Queries must be resolved appropriately in the schools MIS. If a change is necessary then after saving changes on MIS generate a new return, upload it, re-check on COLLECT (as fixes can often cause other errors to arise). } …but don’t choose reference date Click a link …  

Check Collect’s next day reports Use the “Launch report” button on front page of COLLECT LIVE (next day) which allows school to launch a ‘MISSING CONTRACTS’ report, a ‘MISSING PAYMENTS’ report (and if available a ‘School Summary’ that is also in MIS) Reports are not up-to-date on the same day as your latest upload to Collect Schools must run these reports next day (or as soon as possible after that, if running the next day is not possible) launch reports only once your latest return has been on COLLECT overnight: if you uploaded before 7pm previous evening) Records for anyone shown on ‘MISSING…’ reports must be investigated on MIS and any contract(s) details fixed: e.g. contract end dates* (if relevant) and whether their person record or their contract records have been set ** to ‘exclude from workforce’ in the MIS are both particular areas to look at. If your MIS stores a ‘role’ end date then for affected people check this value on all their roles. *Serco CMIS users: edit while in suitable academic year: if something ended during previous academic year you need to edit it while in that academic year’s dataset in Serco CMIS. **In the MIS, there is likely to be ‘exclude from SWF’ option (e.g. a tick box or similar) in both the person and contract screens (SIMS MIS excludes contract by allocating ‘role’ of ‘do not include in statutory return’). Review the ‘include in/exclude from workforce’ status at both person level & contract(s) level. Collect SWF 2013 familiarisation may have the “missing” reports: Collect SWF 2013 collection will have them

Adding notes to Queries Each upload deletes all notes added to a previous upload so… Only add notes (in the errors list page) once: All errors & resolvable queries on COLLECT have been fixed in the MIS, the revised data has been uploaded to COLLECT (& rechecked) and issues are no longer in Collect. All relevant modules on COLLECT have been checked and have suitable record counts. The overnight ‘Missing Contracts’ & ‘Missing Payments’ reports on COLLECT have been run and checked (the day after the latest upload) (and there are no issues shown). School Summary has been fully checked (by head) (all of it, not just the ‘9 Quick Checks’) and there are no remaining issues on return: the data is complete, accurate & up-to-date. Queries that have been investigated and are impossible to resolve need a note attached… In Collect, ‘open return’, use “All errors” button to list errors/queries, then use ‘pencil’ on the correct error line to leave a note on each query that is impossible to resolve. (Remember to click ‘create’ after typing in each note). Finally back on the Collect front page… Push “Submit return” button to ‘sign off’ your SWF return as done (Thanks)! Workforce Click pencil on the query to open a notes box press ‘add new note’ and leave a suitable note (click create) to put note on each query that’s unresolvable (click ‘return’ to go to modules)

Steps in MIS…

COLLECT steps…

SWF 2013: New Date changes: School deadline (is 12 Nov. 2013), census day (is 7 Nov but schools can work on resolving errors, etc. weeks early on Collect familiarisation already open), absence period (absences starting or ending between 01/09/2012* and 31/08/2013), additional payment records period (additional payments paid between 7/11/2012 & 7/11/2013, even for PRU), ended contracts period (is the contracts ended between 01/09/2012* and 07/11/2013). * These marked dates above vary for the PRU only, who use “…from 1/4/2013…” instead for ‘Base Pay’ figure amended for all staff (if MIS allows this – E1 & WS both confirm they do) Class of Degree needed for staff joining (or getting a degree) after 1/8/13. All the changes from previous two years (2011 & 2012 returns) still apply: Pay, Hours & any post ‘A’ level qualifications are needed for all staff Any Additional Payments are needed (for all staff) as separate records, Dfe expect these additional amounts to be excluded from the ‘Base Pay’ figure. An ‘Improved’ school summary in MIS (if DfE publish a ‘summary’ guide, we will put it on WebFronter) Missing Contracts & Missing Payments (Next day) reports improved on Collect. Reminder: All support staff based in classroom for pupil/learning support need (in MIS) ‘Post’ of ‘Teaching Assistant’ – it is not just for those with the ‘Teaching Assistant’ role.

Support and advice: SWF Support contact details + further guidance is available on WebFronter: then use the ‘Census’ menu at top and then ‘School Workforce’ on left-hand menu. Best of luck and thank you in advance for all your efforts on this collection.