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

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

2. Aims and Objectives Aim: 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). Objectives: 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. move on

3. Modules Module 8 Your Local LSC 8 Module 4 Preparation of the SIR file 4 Module 7 Output from the DCWS 7 Module 3 Registration and Sign-In 3 Module 5 Preparation of the On-Line Forms 5 Module 6 Transmitting the SIR Batch File 6 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 move on

4. Module 1How to Use the Tutorial 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. move on

5. Module 2High 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. High Level Overview 2 YourMIS SIR File Errors? SIR File SIR LSC FE College 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. Data Collection Website SIR On-Line Forms Uploaded SIR File No Yes – correct entries move on

7. High Level Overview 2 YourMIS SIR File Errors? SIR File SIR Reports Validation Report No Check theValidationReport LSC FE College 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. Data Collection Website Back Office Systems SIR On-Line Forms SIR File Uploaded SIR File SIR No Yes – correct entries Yes – correct entries Errors? Complete move on

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

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. Registration and Sign-In 3 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). FE College receives national Authorisation code from the NDCM FE College Sends Authoris-ation Code to provider PIMS generates Authoris-ation Code Mail Merge NDCM Local LSC move on

11. Registration and Sign-In 3 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. FE College receives national Authorisation code from NDCM Super User receives local Authoris-ation Code from local LSC Super User contacts Local Data Manager at local LSC Nominates Super User FE College Sends Authoris-ation Code to FE College PIMS generates Authoris-ation Code (1) Mail Merge NDCM Creates local Authorisation Code using Data Collections System Sends Authoris-ation code to FE College Local LSC Approval Letter move on

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

13. Registration and Sign-In 3 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:: • National authorisation code supplied by the NDCM • Local authorisation code supplied by your LDM • User name supplied by the LDM. In order to register on DCWS an OU must know the following:: • Local authorisation code supplied by your SU • User name supplied by your SU. Register NOW move on

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

15. Registration and Sign-In 3 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. Enter your User Logon Enter your local Authorisation Code move on

16. Registration and Sign-In 3 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. Enter your national Authorisation Code move on

17. Registration and Sign-In 3 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. Oranges03 Oranges03 move on

18. Registration and Sign-In 3 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. Oranges03 Oranges03 Mother’s maiden name Smith fictional.person@casterbridge.ac.uk move on

19. Registration and Sign-In 3 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. move on

20. Registration and Sign-In 3 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. move on

21. Registration and Sign-In 3 Sign-In • To ensure that you are taken to a secure site, always type in isp/ before your username. • Enter your User Name asisp/<user name>. • 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. Enter your User Name isp/test123 Enter your Password move on

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

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

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 4 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

26. Preparation of the SIR file 4 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

27. Preparation of the SIR file 4 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

28. Local validation of your SIR batch file 9 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. Local Validation move on

29. Local validation of your SIR batch file 9 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. Local Validation STEP 1 Local Validation STEP 2 LSC Validation STEP 3 SIR return complete move on

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

31. Module 5Preparation of the On-Line Forms 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. move on

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. Transmitting the Batch File & On-Line Forms 6 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. Collection Return Reference move on

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

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

36. Transmitting the Batch File & On-Line Forms 6 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

37. Transmitting the Batch File & On-Line Forms 6 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

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

39. Module 7Output from theDCWS 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 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. Output from the DCWS move on

41. Output from the DCWS 7 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. Error Report move on

42. Output from the DCWS 7 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. Validation Report move on

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

44. Module 8Your Local LSC 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”. move on

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

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