1. 2014-15 Data Collections Workshop School Workforce return (SWF 2014) 29 th & 30 th September 2014 Performance & Data Team (SPP) Previously Data & Statistics Team Education, Social Care & Wellbeing Directorate

2. 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: http://webfronter.com/towerhamlets/dataandstatistics/other/Privacy%20Notice%20(as%20pdf)%20for%20School%2 0Workforce%20Census%20September%202011.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.

3. This session of our workshop is an overview of the School Workforce (SWF) 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 issues early, once the MIS is compliant, before Oct. half term break, via 1+ practice run(s) 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 from the MIS) keep it, to check (if no issues in 5 below) it’s tables with the Headteacher. (see MIS training + if DfE publish any guidance on using SWF School Summary we will put it on WebFronter) 5. Check & authorise in MIS, Upload to ‘COLLECT’, (and once validated): open, check, next day report, resolve issues, add notes & submit return. (by following steps of LA’s ‘Process’ document that, by mid-October, will be on WebFronter SWF page).

4. Key SWF Dates Collect Familiarisation Site opened: 2 nd Sept 2014 (schools advised to use it to check returns & find most issues before half term break) Census date: 06 November 2014 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 might be very slow on the first morning. Deadline: School to follow all steps of MIS training + LA’s ‘ Process ’ guide (available by mid-Oct) to create a complete, accurate & up-to-date, SWF return data file from MIS, upload it to COLLECT, check it on COLLECT using ‘status’ and the ‘All Errors’ button, check 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 figures on it, resolve all issues in data back on the MIS (repeating all this as necessary) then, only once your return on COLLECT has no issues except for investigated impossible-to-solve queries, add suitable note only on each irresolvable query & use Collect “submit” button by 11 November 2014

5. 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 may give no 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.

6. SWF 2014 Requirements: Who? ( Next 2 slides are also available in larger format on WebFronter at: ) http://webfronter.com/towerhamlets/dataandstatistics/other/SWF%20Requirements(2014).pdf

7. SWF 2014 Requirements: What?

8. 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 a hosted web-based MIS) 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: a small part of the return) Load / update data on staff for example: - Contract changes (+ a change this year needed to ‘Post’ needed on almost all teachers) (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) - 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) http://webfronter.com/towerhamlets/dataandstatistics/other/Qualifications%20for%20School%20Workforce%20return.doc 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 needed for only staff joining school on/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. Update QTS Route: also needed for qualified teachers who are in their first role since qualifying. 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.

9. Post for teachers There are some new Post options that will apply to some teachers and the ‘classroom teacher’ post has now been split into two possibilities, so... For all of your current teachers’ contracts, you will need to review and amend their POST to the most suitable available value in this list... Important, for Integris Users: before changing the POST, make a careful note of the ROLE(S) that particular contract has (as it might perhaps have several Roles) just in case they vanish when post is changed: re-enter role(s) again if necessary Executive Head Teacher - only if in direct control of more than one school within a federation. Head Teacher - suitable even if a Principal or an interim head or acting-up head. Deputy Head Assistant Head Leading Practitioner - newly available option so please use this where relevant. Classroom Teacher, main pay range - newly available option so please use this where relevant. Classroom Teacher, upper pay range - newly available option so please use this where relevant. Teaching Assistant - Use for all non-teaching support staff who provide pupil or learning support (so typically are based in classroom) not just "Teaching Assistant" job titles. Support Staff - only support staff not employed as classroom-based pupil/learning support. Advisory Teacher - to only be used for teaching staff who train the teaching staff (not pupils).

10. Pay in 2014: once MIS is compliant MIS must allow Base Pay figure to be edited for all staff on current contracts*, (school to update it and pro rata it suitably: details in Sept Bulletin & next slide) MIS unlikely to give automatic looked-up pay figures from region & spine point. Pay Scale is needed for all staff, Regional Spine is needed for Teachers (incl. agency), Spine point is needed for Leadership Teachers (but for rest see below) [ To refer MIS suppliers to if MIS will not store spine point for a non-leadership scale: The DfE SWF expert Gerard Hassett emailed Tower Hamlets LA in Sept 2014 saying the MIS suppliers have been told (since DfE’s March issue of the 2014 SWF Tech. Spec.), that while 2014 SWF export is expected to have only Leadership spine points in it, that MIS should not limit other teacher’s/staff’s spine points to merely either blank or Leadership ones. Gerard agreed that recording a relevant ‘point’ will, for many schools, allow them to record the basis on which a base pay figure was calculated, and so spine point will be useful for the school’s own reference (given a base pay figure, once adjusted pro rata, is not so easily converted back to the spine point). Gerard explained that DfE expect MIS suppliers should still allow schools to be able to keep non-leadership staff’s spine points and/or discretionary reference points up-to-date in the MIS, as schools may wish to do this (optionally). Gerard’s emails said it was not the intention of DfE, for MIS to enforce spine point validation on non-leadership staff, against 2014’s smaller Common Basic Data Set (CBDS) set of (just leadership) spine point codes, as it must be recognised that doing so, will force users to delete all non-leadership teacher spine points unnecessarily, if MIS wrongly applies SWF error 4520 across any non-leadership staff calling their spine point ‘invalid’ simply for not being in the CBDS code set for (leadership staff’s) valid spine points. ]. * Staff expected to be in that post at least 4 weeks

11. Base Pay = annual pre-tax salary rate at census day. Pro rata for part time (and if ‘term time only’ pro rata if NJC payscale) 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. Preparation – Pay & Hours Pay & hours needed for all staff expected to work at least 4 weeks in a post if: Support staff directly- Allowances/additional payments to be loaded TLRs, Acting/SEN /Management allowances, Inset,TA/support staff London weighting, etc.) Pay Screenshot SWF 2014 (Integris shown but comments here apply equally to any MIS) SWF Pay Advice ( version 26/09/2014 ) -employed by school or teachers/leadership (all teachers/leadership even agency/etc.).

12. 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_211LL14_001.xml (not …SWE… nor …SC3...)(year)(attempt no.) (in MIS keep all modules selected for inclusion in the return) (in MIS ignore any “make available for LA”) 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 minutes to do) Full check of the summary by the Head comes later) Upload return file to COLLECT (via Secure Access) at https://sa.education.gov.uk Familiarisation site OPEN NOW until Oct Half term break: for schools to test returns, also in Secure Access: https://sa.education.gov.uk 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

13. You are likely to have several collections listed in COLLECT, you must remember to click on the correct collection line before clicking the “Select data Collection” button... In particular now that School Workforce Familiarisation (for testing your return before half term) and School Workforce (from census day onwards for actual submission) may both be shown and October’s School Census will still be there: check collection must be BOLD + say “2014” + say “Workforce” (and, once census day comes, the collection you choose should NOT say “Familiarisation”) (2014) School deadline for returns is 11 November 2014 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 after 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 our LA deadline for getting further work done for DfE. 

14.  1 2 3 4 5 7 6 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 then 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 some other collection? 1 Testing or Live blade? (2014)

15. Collect Uploading: finding the right file SWF data file is the one already named following (named by MIS): 211xxxx_SW3_211LL14_001.xml (year)(attempt no.)(SW3:not … SWE … nor … SC3... ) Tip: if you cannot find the data file then look “one level up” e.g. using this button..

16. 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 (peak times) and screen hasn’t changed, beware that the screen won’t ever change if it hasn’t done so within 15 minutes: log in to Collect again. But when uploading you should wait until the following message appears (unless over 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.

17. Collect: ‘Awaiting Validation’ Once you see that message, your file is fully uploaded but 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 press 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, but if return status is not “ … Validated” log off … Log in again after 10 minutes, but if return status is not “ … Validated” log off … Log in again after 1/2 an hour, but if return status is not “ … Validated ” log off… Log in again after 2 hours, but if return status is not “…Validated” log off… Log in again Next morning, but 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 auto- -matic validation checks 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 your return status shows as “loaded” but does not become “…validated” overnight: Repeat the upload, (but if you have already done that, and your second attempt won’t validate overnight, please report this to Data & Stats team 020 7 364 49 42 and to DfE using their data collection help form: https://www.education.gov.uk/form/data-collection-request-form Choose ‘data collection enquiry’ + ‘collection’ of ‘School Workforce’ (you’ll need school’s 7 digit DfE number).

18. 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 seen 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 ‘School ‘Summary’ report (if it is available on Collect: unlikely) otherwise… run latest Summary from MIS: 9 quick checks, then Head 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 button on Collect to sign off as complete & correct. Our LA ‘Process’ published mid Oct. details step-by-step on how to do above. But broadly…

19. 2013) …front page (if ‘status’ says validated) is the place to see a total for errors & queries 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 only some of errors/queries but… From Use To get to module view As follows… Curriculum is required for Secondary schools only Key:

20. 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 Can click on a red box to see an error but (be aware boxes can also be beside correct data) Read error message

21. 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 (that we will see 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 BE AWARE that these ‘Return level’ errors are NOT all errors in return ! We also update our SWF list of ‘Common errors...’ with their best solutions & advice shown, available on WebFronter from mid Oct.

22. In Collect’s Error/Query listing… (To get to the 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 represents 1 case of 1 type of error or query) Read the ‘error message’ for what is wrong then to find out whose records have this error click relevant “Details” button then in value, click blue link: any blue link except ‘reference date’. You will then be taken to the relevant person’s affected record(s); Look at the top table there 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 – don’t change a field’s value, just because it has a red box next to it: some fields with red boxes will be correct). To return to the page of the errors list you were on, the ‘Error’ button at top right often works. Investigate to find what needs fixing. Errors & Queries must be resolved suitably in school MIS. If data changed in MIS, then save, regenerate SWF return, upload it & re-check it in COLLECT You must expect that fixing one error will often reveal others, so can cause new errors to arise. } …but don’t choose ‘reference date’ Click a link …  6 2014 

23. 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 to ‘missing… details’ 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 the 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 its value on all their roles. *Serco CMIS users: it is vital that you edit while in suitable academic year: if something ended during previous academic year you must edit it while in that academic year’s dataset in 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’; Integris excludes staff via their ‘SWF census category’ but contracts via tickbox at bottom of contract edit). Review the ‘include in/exclude from workforce’ status at both person level & contract(s) level. Collect SWF 2014 familiarisation may have the ‘missing’ reports; Collect SWF 2014 collection will have them.

24. 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 pages of errors & resolvable queries on COLLECT have been fixed in 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 latest upload) (and they have headings but no one 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 (then click on ‘return’ link shown in red frame here, to go back to modules view)

25. Steps in MIS…

26. COLLECT steps…

27. SWF 2014: New Date changes: School deadline (is 11 Nov. 2014: valid&submitted), census day (is 6 Nov. 2014 but schools can already work on resolving errors, etc. using the Collect familiarisation site open until Oct. half term), absence period (absences starting or ending between 01/09/2013 and 31/08/2014), additional payment record period (all paid between 8/11/13-6/11/14) ended contracts period (contracts ended from 1/9/13 to 6/11/14) POST changes – see slide 9 here ( All teachers’ post values to be re-chosen ) Ignore the error “Post is missing” if seen and post is actually on that contract. Reminder: All support staff based in classroom for pupil/learning support need ‘Post’ (in MIS) of ‘Teaching Assistant’ – it is not just for those with the ‘Teaching Assistant’ role or job title. ‘Base Pay’ & ‘Hours’ still need to be up-to-date (all staff): see slide 10 & 11 Ignore error 4520 “spine point invalid” (don’t clear spine points in MIS, update them as the school’s record of basis of base pay useful for pro rata part-timers. DfE say intention is that MIS should still allow schools to record non-leadership spine/discretionary reference points in the MIS, but DfE only want MIS to export the leadership spine points, so the non-leadership spine points are still valid in school, but were unnecessary in Common Basic Data Set codeset). QTS Route: also for qualified teachers in their first role since qualifying. Any Post ‘A’ level qualifications (for all staff) + Class of Degree needed for staff joining (or getting a degree) after 1/8/13. Additional Payments (for all staff) as separate records.

28. Support and advice: SWF Support contact details + further guidance is available on WebFronter: http://webfronter.com/towerhamlets/dataandstatistics 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.