Explanatory Memorandum to:
The Education (Supply of Information about the School Workforce)
(Wales) Regulations 2017
This Explanatory Memorandum has been prepared by the Department for
Education and Public Services and is laid before the National
Assembly for Wales in conjunction with the above subordinate
legislation and in accordance with Standing Order 27.1.
Cabinet Secretary’s Declaration
In my view, this Explanatory Memorandum gives a fair and reasonable
view of the expected impact of the Education (Supply of Information
about the School Workforce) (Wales) Regulations 2017. I am
satisfied that the benefits justify the likely costs.
Kirsty Williams
Cabinet
Secretary for Education
26
September 2017
1.1.
These Regulations impose a duty on schools and local authorities to
supply items of data about each member of the school workforce to
the Welsh Government when requested to do so. They also specify
which items of information should be provided, how they will be
used and with whom they may be shared.
2.1.
No specific matters identified.
3.1.
This instrument outlines the information that schools and local
authorities are expected to supply to the Welsh Government about
individual members of the school workforce.
3.2.
The instrument states how the data may be used and with whom the
data may be shared.
3.3.
The power to make the regulations is contained in section
114(1)(c),(2)(c), (3), (6) and (8) and 120(2) of the Education Act
2005. Those powers were conferred on the National Assembly for
Wales but are now vested in the Welsh Ministers by virtue of
paragraphs 30 and 32 of Schedule 11 to the Government of Wales Act
2006. The regulations will follow the negative procedure.
3.4.
As the information requested in a school workforce census will be
at individual level and include the collection of personal data
(i.e. name, date of birth and National Insurance number) and
personal sensitive data (e.g. ethnicity, disability, sickness
absence records) the regulations and data requirements has
undertaken a full Privacy Impact Assessment (PIA) to ensure that it complies with the Human Rights Act
1998, the Data Protection Act (DPA) 1998 and the General Data
Protection Regulations (GDPR) which will replace the DPA in May
2018.
3.5.
Welsh Government will issue a ‘Privacy Notice’ to all
members of the school workforce covered by the implementation of
the regulations and data collection. This will summarise what
information is collected, the purposes for which the information will be
processed, how it will be collected, why it is held and
with whom it may be shared.
3.6.
This statutory instrument is subject to annulment in pursuance of a
resolution of the National Assembly for Wales (the negative
procedure).
4.1.
The purpose of these regulations is to provide robust and accurate
data that will inform workforce planning at both a national level
and local level in schools. This will help ensure the provision of
a skilled and motivated workforce that delivers excellence in
teaching for the benefit of learners in Wales.
4.2.
There is currently limited information available on the school
workforce in Wales. What information is collected is done via
various data collections and ad-hoc surveys.
4.3.
The data collected through a School Workforce Data Collection will
enhance the evidence base available to inform policy making,
particularly around the recruitment, retention and turnover of the
workforce, equality and diversity, workforce qualifications and the
deployment of specialist teachers.
4.4.
It will facilitate the provision of detailed analysis to inform
succession planning and identify any recruitment or skills gaps in
the workforce. This information should provide a comprehensive
picture of the workforce in Wales and how it is deployed, aiding
the development of better informed policies.
4.5.
More detailed demographic and pay information of the education
workforce would support the Welsh Government’s Strategic
Equality Plan objective to work with partners to identify and
address the causes of the gender, ethnicity and disability pay and
employment differences within the education sector.
4.6.
The Welsh Government does not collect or hold any individual level
information on the school workforce or any data on teachers’
pay and conditions in Wales. Currently, some aggregated data is
collected on teachers, support staff and recruitment and retention
at school level through the Pupil Level Annual School Census
(PLASC). Aggregated data on teacher sickness absence is collected
separately, directly from local authorities.
4.7.
Based on information from PLASC, as at January 2017, there were
23,910 FTE teachers and 23,559 FTE support staff employed in the
school sector in Wales. The information collected does not provide
a breakdown of the workforce by subjects or the key demographic
characteristics necessary to inform workforce and succession
planning as well as the development of new policies.
4.8.
In addition, separate data collections on other aspects of the
workforce to inform policy development or monitor progress against
objectives are undertaken through ad hoc surveys or data
collections requiring the involvement of schools and local
authorities.
4.9.
This approach to data collection is inefficient and has a
significant impact on the workload of local authorities and
schools. They are often asked to respond to requests for
information at different times of the year and using different
definitions. This piecemeal approach to the collection of
information on the workforce is not sustainable in the long-term. A
School Workforce Data Collection would help streamline the
collection process in schools and local authorities, as well as
providing significant improvements in the quality, timeliness and
utility of school workforce statistics. This data collection also
supports the aim to reduce bureaucracy in schools.
4.10. Following
the successful introduction of the School Workforce Data
Collection, the Welsh Government is
committed to phasing out two existing collections on the school
workforce. These collections are:
·
The workforce elements of the Pupil Level Annual School Census
(PLASC);
·
The annual ‘Teacher Sickness Absence Data
Collection’.
4.11. In
addition, the introduction of the data collection will also help
reduce the need to undertake ad-hoc data collections and surveys on
the school workforce to inform policy development or monitor
progress against objectives.
4.12. No
information is currently collected centrally on the pay and
conditions of teachers in Wales. As a consequence, the Welsh
Government is unable to accurately calculate the cost of changes in
the workforce and the impact of new policies. This leads to a
dependency on the Department for Education (DfE) to inform Welsh
Government of future cost implications for the teaching workforce
in Wales.
4.13. Evidence
currently provided to the School Teachers Review Body (STRB) is
based mainly on information regarding the workforce in England,
with supporting evidence based on aggregated data derived from
PLASC for Wales. With greater divergence in the pay and conditions
of teachers between England and Wales it is vital that the
decisions made are based on relevant and robust evidence which
accurately reflect the composition and real needs of the workforce
in Wales. An annual workforce collection will improve the quality
and diversity of the evidence available, ensuring that the Welsh
perspective is accurately reflected during wider deliberations.
4.14. Analysis
using detailed and robust data from a workforce collection will
help to inform the Welsh Government in developing future policies
to meet the well-being goals in the Future Generations Act.
For a more prosperous Wales, better workforce planning is needed in
order to ensure that a skilled and well-educated population are
fully utilised in employment, allowing people to take advantage of
the wealth generated through securing decent work.
4.15. For a more
equal Wales, the collection of demographic data will increase
understanding of the workforce landscape and enable policy makers
to monitor the extent to which the teaching population represents
the diversity of the population it serves.
4.16. More
detailed information and analysis of the Welsh language skills of
the school workforce and its use will support the Welsh Government
in working to achieve its goal of a ‘Wales of vibrant culture
and thriving Welsh language’.
4.17.
The majority of data items to be collected by the Welsh Government
are items which are already required to be held by local
authorities or schools for their own purposes, for example the pay
and contract details of individuals or information on the subjects
taught for timetabling purposes. Information relating to
individuals’ Qualified Teacher Status (QTS) and relevant
qualifications (if known) as well as specific demographic
information are collected by the Education Workforce Council as
part of the process for registering the school workforce under
Education
Workforce Council (Main Functions) (Wales) Regulations
2015.
4.18.
A single
school workforce data collection on an individual level basis will
help relieve the burden currently placed on schools and local
authorities to provide aggregate data in various ways and at
different points in time. It will also enable a consistent approach
to managing and reporting school workforce information across
schools and local authorities.
4.19.
Data will be
collected for teachers and school support staff employed in the
maintained sector. It will include information about pay,
contracts, qualifications, curriculum, absences and recruitment and
retention. The data set will include some personal details (i.e.
name, date of birth, national insurance number) which are required
for the purposes of checking and quality assurance of data and for
linking data collected from different systems (i.e. school
Management Information Systems (MIS) and local authority HR and
payroll systems). This will also enable the linking of data over
time to identify trends and changes in the school
workforce.
4.20.
The
information collected by virtue of these regulations by the Welsh
Government will be used solely for statistical analysis and
research for purposes of planning and evaluation, and to support
policy development in relation to the school
workforce.
4.21.
The necessary
work to standardise data items and processes will also be valuable
for schools and local authorities in the longer term, by ensuring
that more complete and accurate information is maintained in their
own systems, enabling more effective workforce management and
planning at a local level.
4.22.
The data collected may be shared with
partner organisations whose responsibilities and permissions are
set out in the regulations. This will include research
relating to qualifying workers or qualifying trainees which may be
expected to be of public benefit. This
data sharing is a key element required to reduce the burden on
schools, as it enables us to move towards the overarching
aspiration of collecting data once and using it many times
in line with the ‘Code
of Practice for Official Statistics’.
However, each case will be determined on its merits and subject to
approval. Data sharing agreements will be used to ensure that data
is only shared where it is compliant with the legislation.
5.1.
Details of the consultation undertaken are detailed in the
Regulatory Impact Assessment at Part 2.
6.1.
A Regulatory Impact Assessment has been conducted, and is included
in Part 2 of this document.
7.1.
Following the publication of recommendations in the Silk Report in
2014, and the subsequent announcement by the First Minister as to
the devolvement of teachers’ pay and conditions to Wales, the
need for a more detailed and robust data collection on the school
workforce to support the new responsibilities has been
emphasised.
7.2.
The
‘Qualified for Life: An Education Improvement
Plan’
sets out the Welsh Government’s vision for education
‘…about creating a system where the learner is the main
focus of everything we do, and to ensure they benefit from
excellent teaching and learning.’. To deliver this, the Welsh
Government has set a strategic objective of an
‘An excellent
professional workforce with strong pedagogy based on an
understanding of what works.’
7.3.
Professor Graham Donaldson’s report, Successful
Futures,
a comprehensive independent review of the curriculum and assessment
arrangements in Wales was published in February 2015. The
recommendations set-out in the report envisaged whole-scale system
reform with an entirely new curriculum focused on four purposes and
fresh approaches to professional learning, leadership and
accountability.
7.4.
In response, the Welsh Government published its plan ‘A
curriculum for Wales: a curriculum for life’
in October 2015. The collection of more detailed information on the
school workforce will enable better workforce planning and help
ensure the workforce receives the support it needs to develop the
capacity and capability to deliver the new
curriculum.
7.5.
The Welsh Specific Equality Duties under the Equality Act 2010
(Statutory Duties) (Wales) Regulations 2011, cover engagement,
equality and employment information, pay differences and
procurement. More detailed demographic and pay information of the
education workforce collected by virtue of these regulations will
support the education sectors contribution to the Welsh
Government’s Strategic Equality Plan objective to work with
partners to identify and address the causes of gender, ethnicity
and disability pay and employment differences.
7.6.
In it’s ‘Is
Wales Fairer?’ report the European
Commission for Human Rights (ECHR) stated that
‘it is clear that
more comprehensive and better quality evidence is needed to enable
us to assess progress’ on the extent to which equality and human rights are
improving. Furthermore, the report states that
‘the Welsh Government andPublic authorities
should take steps to improve
the evidence
collected’. It
sets the challenge
to encourage fair
recruitment,
development
and reward
in employment.
7.7.
The Welsh Government has set out
a strategy on its
long term vision of a million Welsh speakers by
2050. One of the greatest priorities of the strategy is to increase the
system’s capacity to meet the need to expand Welsh-medium
education and training, and to meet the need to improve how Welsh
is taught in English-medium schools. The collection of more detailed information on the Welsh language
skills of the school workforce
in Wales will enable
more effective planning
of the school workforce
to ensure there are enough teachers to teach childrenthrough the medium of
Welsh.
7.8.
Currently, limited information relating to the size, shape and
skills of the school workforce in Wales is collected by the Welsh
Government at an aggregated level through the Pupil Level Annual
School Census (PLASC). Additional information is collected
separately as part of the annual Teacher Sickness Absence data
collection, while various policy areas may undertake ad hoc data
collections or surveys on specific aspects of the workforce in
order to inform the development, implementation and monitoring of
policies.
7.9.
A School Workforce Census was introduced for England in 2010 as a
means to help reduce the burden placed on schools and local
authorities to provide information on teaching. The census which is
based on an individual level collection of data on teachers and
support staff provides comprehensive information on the school
workforce in a single dataset. It has enabled more complex
analyses on key areas including succession planning, teacher supply
and pay bill modelling, demand for teachers, and wastage/turnover
rates and provides an evidence basis for negotiations on teachers
pay.
7.10. There is a
general consensus across stakeholders
with the principle of collecting a greater level of information on
the school workforce in Wales to meet its intended purposes. It
will provide information that is more streamlined, consistent and
better managed as well as reported more effectively.
7.11.
A single
comprehensive source of information on the school workforce will
provide high quality, credible, consistent and timely information
to provide greater understanding of the workforce and better
informed policies.
7.12. Five
options have been considered for the development of a school
workforce data collection and formed the basis of a formal
consultation on these regulations.
7.13. The
continuation of the current process for the management and
collection of school workforce information is represented as
‘Option 1 – do nothing’ at section 8. Options 2
to 5 at section 8 present the different means for collecting the
required information that have been considered.
7.14. Option 2,
an individual level survey but sent to only a proportion of schools
or local authorities, was not considered as a feasible option as it
would not provide a complete view of the school workforce in Wales
and would not provide the required level of information to carry
out the intended purposes. Therefore, this option has not been
considered further for the purposes of this document.
7.15. Enshrining
the collection of individual level data in secondary legislation
will enable the required level of information for understanding the
size and characteristics of the school workforce and promote
effective workforce and succession planning.
7.16. The
development of a school workforce data collection for Wales will
help address the issues associated with uncoordinated data
collections. It will relieve data collection burdens and
duplication of effort and deliver significant improvements in the
quality, timeliness and utility of school workforce data.
7.17. This
Regulatory Impact Assessment presents two options (options 4 and 5)
in relation to the collection of individual level information. The
second of these options looks at the potential to enhance the
information collected as part of the data collection from schools
and local authorities with information collected through other
existing administrative data sources thus avoiding the duplication
of information.
8.1.
Five options have been considered for the development of a school
workforce data collection and formed the basis of the formal
consultation on these regulations. The options considered were:
·
Option
1 - Do
nothing. Maintain existing processes for collecting school
workforce information at an aggregated level from schools and local
authorities.
·
Option
2 –
Bring regulations into force enabling the collection of data for an
Individual level survey but sent to only a proportion of schools or
local authorities.
·
Option
3 –
Bring regulations into force enabling the collection of data for a
single aggregated level census collected by Welsh Government from
schools and local authorities.
·
Option
4 –
Bring regulations into force enabling the collection of individual
level school workforce information from all schools and local
authorities.
·
Option
5 – Bring regulations into force
enabling the collection and linking of individual level information
from all schools, local authorities and the EWC
register.
8.2.
In light of the consultation responses (see section 11) it was
agreed that a derivative of options 4 and 5 should be considered as
below and is presented as a revised version of option 5 for the
remainder of this document.
8.3.
Option 5 - Bring regulations into force enabling the collection
and linking of individual level
information from schools and local authorities and supplemented by
the use of other existing administrative data
sources.
8.4.
Option 2, an individual
level survey but sent to only a proportion of schools or local
authorities, was not considered as a feasible option as it would
not provide a complete view of the school workforce in Wales and
provide the required level of information to carry out the intended
purposes. Therefore, this option has not been considered further
for the purposes of this document.
8.5.
The advantages and disadvantages of each option is summarised
briefly below.
Option 1 – Do
nothing. Maintain existing processes for collecting school
workforce information at an aggregated level from schools and local
authorities.
8.6.
This option will continue with existing processes whereby Welsh
Government collect information on the school workforce in Wales at
an aggregated level by various data collections and surveys. The
teacher and support staff headcount and full-time equivalents (FTE)
and recruitment and retention information will continue to be
collected through the Pupil Level Annual School Census (PLASC)
whilst teacher sickness absence data would continue to be collected
through a separate annual data collection exercise. This option
will allow for Welsh Government and other organisations to continue
to undertake ad-hoc surveys and data collections to gather specific
information where no data is currently collected.
8.7.
Maintaining the status quo is deemed to be unsustainable in the
long term with no perceived benefits to workforce planning,
schools, local authorities, Welsh Government and other users of
school workforce statistics.
Advantages:
·
This is the baseline option and as
such there are no additional benefits associated with this
option.
·
Option 1 would incur no additional transitional or implementation
costs as there would be no requirement for training or professional
development associated with implementing new systems or
processes.
·
No requirement for development changes to information management
systems and processes at school and local authority level.
·
Familiarity with requirements and processes means that future data
returns can be completed on same basis as previous returns.
Disadvantages:
·
Information collected on the school workforce will continue to be
collected on a piecemeal basis using inconsistent definitions and
processes.
·
The information collected would not allow for robust and accurate
analysis of the whole school workforce and its associated
costs.
·
Welsh Government would not be able to accurately measure the costs
of teachers in Wales and the impact of changes in the school
workforce and pay arrangements on future pay costs.
·
Welsh Government will not be able to accurately monitor the
effectiveness of policies relating to school workforce.
Option 3
–Collection of data for a single aggregated level census
collected from schools and local authorities
8.8.
Option 3 would involve an annual collection of aggregated level
data on the whole school workforce. This option would involve
electronic data forms sent out to schools and local authorities
requesting information on the number of individuals within
pre-determined categories of information.
Advantages:
·
Aggregated data could be submitted without the need to develop
secure data transfer systems.
·
Extending breadth of information collected would help fill certain
knowledge gaps in school workforce information.
·
Less internal resource requirements for the Welsh Government to
analyse aggregated level data compared to individual level
data.
Disadvantages:
·
Information on the school workforce will continue to be collected
and reported on an inconsistent basis.
·
Significant burden placed on schools and local authorities in the
analysis and aggregation of data reported to Welsh Government. This
may lead to reluctance from schools and local authorities to
complete returns leading to incomplete data.
·
The collection of information at an aggregated level does not
provide the same level of accuracy and granularity as an individual
level collection required to carry out the complex analysis to meet
the intended purposes.
Option 4 - Bring
regulations into force enabling the collection of individual level
school workforce information from all schools and local
authorities
8.9.
Under option 4, Regulations would provide a statutory basis for the
collection of school workforce data from schools and local
authorities. This will enable the collection of individual level
school workforce information relating to pay and other information
such as age profile, ethnicity, qualifications, Welsh language
skills and curriculum taught, as well as information on recruitment
and retention. The collection would require the inclusion of unique
identifiers for each individual to ensure the accuracy and
validation of information and to enable the development of measures
such as progression rates, promotion rates and leaver rates over
time.
8.10. The
regulations will be made under section 114 of the Education Act
2005 which provides that the data collected may only be used for a
qualifying purpose. As noted above section 114 provides that a
qualifying purpose is one where the data is supplied to a person
for use for in evaluation, planning, research or statistical
purposes, or any other purpose prescribed in regulations.
8.11. The
regulations also forbid the further disclosure of information.
8.12. This
option would require the development of a secure data collection
method to transfer the data from schools and local authorities to
the Welsh Government. There would also be some developments
required to school and local authority systems to enable the
extraction of the data in a consistent and standardised format.
Advantages:
·
This legislation would ensure information is collected from all
schools and local authorities on the whole school workforce. This
would provide a complete and comprehensive picture of the school
workforce to enable effective workforce planning.
·
The collection of individual level data will help minimise the
existing burden placed on data providers by following the principle
of ‘collecting information once and using many
times’.
·
An individual level data collection would consolidate and
streamline school workforce data collections. The data currently
collected on the school workforce via the PLASC and teacher
sickness absence returns would be derived from the individual data
collected on the school workforce data collection.
·
The on-going maintenance of information within school and local
authority systems would enable schools to use the data in their
day-to-day business and enable more effective workforce planning at
a local level.
·
Individual level data would allow for linking of information over
time to enable the measuring of trends and informing policy
development, while precisely evaluating the implementation and
impact of policies.
·
Given existing school and local authority management system
processes and governance requirements, significant detail about the
school workforce is already held. Providing information on an
individual level may provide less of a burden for schools and local
authorities compared with providing information in aggregated
form.
·
Greater accuracy from collecting information from source, enabling
analysis of information internally and ensuring data is aggregated
and reported on consistently.
Disadvantages:
·
There may be an initial resource effort required for data
collection and recording of information within their systems.
However, the resource required for on-going information maintenance
is likely to be less than currently required for the various ad-hoc
surveys and data requests.
·
Greater internal resource would be required for the Welsh
Government to analyse individual level data compared to aggregated
data.
·
Individuals’ concerns about the collection and security of
personal information and application of the Data Protection Act and
GDPR which will apply from May 2018.
Option 5 –
Bring regulations into force
enabling the collection and
linking of individual level information from schools and local
authorities and supplemented by the use of other existing
administrative data sources
8.13. Under
option 5, Regulations would provide a statutory basis for the
collection and linking of school workforce data from schools and
local authorities.
8.14. This
option differs to option 4 in that it would not require schools and
local authorities to collate and record information on certain
specific data items that are already collected as part of other
administrative data sources (e.g. qualifications). This will avoid
the duplication of existing data and help minimise the burden
placed on schools and local authorities.
8.15. The
regulations will be made under section 114 of the Education Act
2005 which provides that the data collected may only be used for a
qualifying purpose. As noted section 114 provides that a qualifying
purpose is one where the data is supplied to a person for use for
evaluation, planning, research or statistical purposes, or any
other purpose prescribed in regulations.
8.16. It would
replace some existing aggregated level data collections, such as
the teacher and learner support staff headcount, and recruitment
and retention data collected via the Pupil Level Annual School
Census (PLASC) and the Teacher Sickness Absence data
collection.
8.17. The
information collected will require the inclusion of identifiable
data including names, date of birth, teacher unique reference
number and national insurance number which are held within local
authority and school systems. This will enable information to be
linked across the different systems to provide a comprehensive view
of the school workforce and to ensure the accuracy and validity of
the information held.
8.18. As option
4, this option would require the development of a secure data
collection system to transfer the data to be submitted by schools
and local authorities to the Welsh Government. There would also be
some developments required to school and local authority systems to
enable the extraction of the data in a consistent format.
8.19. Under
option 5 Welsh Government will work closely with partners to
identify other administrative data sources to enhance the
information collected from schools and local authorities.
Advantages:
·
This legislation would ensure that information is collected from
all schools and local authorities on the whole school workforce.
This would provide a complete and comprehensive picture of the
school workforce to enable effective workforce planning and inform
policy development.
·
The collection of individual level data will help minimise the
burden placed on data providers by following the principle of
‘collecting information once and using many times’.
·
An individual level data collection would help consolidate and
streamline existing school workforce data collections. The data
currently collected on the school workforce via the PLASC and
teacher sickness absence returns would be derived from the
individual data loaded on the school workforce data collection.
·
The on-going maintenance of information within school and local
authority systems would enable schools to use the data in their
day-to-day business and enable more effective workforce planning at
a local level.
·
Individual level data would allow for linking of information over
time to enable the measuring of trends and precisely evaluating the
impact of different decisions on the workforce.
·
An advantage over option 4 is that it will utilise information from
existing administrative sources which will remove the potential for
duplication of data, and help minimise the burden placed on schools
required to collate new information.
·
Given existing school and local authority management system
processes and governance requirements, significant detail about the
school workforce is already held. Providing information on an
individual level may provide less of a burden for schools and local
authorities compared with providing information in aggregated
form.
·
Greater accuracy from collecting information from source, enabling
analysis of information internally and ensuring data is aggregated
and reported on consistently.
Disadvantages:
·
There may be an initial resource effort required for data
collection and recording of information within some school and
local authority systems. However, the resource
required for on-going information maintenance is likely to be less
than currently required for various data requests.
·
Greater internal resource requirements for the Welsh Government to
analyse individual level data compared to aggregated data.
·
Linking of data from across systems is potentially resource
intensive.
·
Individuals’ concerns about the collection and security of
personal information and application of the Data Protection Act and
GDPR which will apply from May 2018.
9.1.
It is difficult to quantify the costs associated with the
development of information systems within schools and local
authorities as they are negotiated on an individual basis. However,
the following section identifies where direct costs and resource
costs will be incurred. The consultation exercise highlighted that
there may be potential resource costs for data providers however
more detailed costs will be informed through continued engagement
with relevant individuals and organisations.
9.2.
All costs in this section are on an all-Wales basis and represent
the best estimates based on available information.
Option 1 –
Do nothing
Costs
9.3.
As this option proposes no change it is
considered that there are no immediate additional costs associated
with this option. However, policy developments such as curriculum
reform, ITE reform and the devolution of teachers’ pay and
conditions will lead to an increased requirement for relevant data
and consequential “ad hoc” data returns from schools
and local authorities to inform policy development and monitor
their progress.
Benefits
9.4.
The principle benefit of this option is the avoidance of any
implementation and transitional costs of developments to existing
system for the collection and reporting of data.
Option 3 – Bring
regulations into force enabling the collection of data for a single
aggregated level census collected from schools and local
authorities
Costs
Schools:
9.5.
The direct costs of an aggregated level collection to schools
include the development of existing school management information
systems (MIS) to record and report on the required information.
Costs for the development of school MIS and license fees for the
MIS are generally negotiated with software suppliers at a local
authority or school level on a per pupil basis. The cost incurred
by schools and local authorities for the development of their MIS
for the transfer of data as part of existing pupil level data
collections are currently covered through the local government
revenue settlement.
9.6.
The data items requested from schools for an aggregated level
collection would be the same as for an individual level collection.
Therefore, there are not considered to be any cost savings
associated with the development of their MIS for an aggregated
level collection compared to an individual level collection.
9.7.
While the information to be provided by schools is required for the
day-to-day management of the school workforce, different schools
currently adopt different processes for recording the information.
Some schools maintain their information electronically whilst
others keep certain workforce information in paper format. There
will be an initial resource cost associated with the recording of
new, missing or incomplete information into their systems.
9.8.
There will be an on-going cost related to the maintenance of
information as circumstances change. However, this would form part
of the requirements that schools should be undertaking as part of
their day-to-day business of maintaining their workforce data.
9.9.
On census date, schools will be required to submit data to the
Welsh Government and undertake necessary steps to ensure the
completeness and accuracy of the information submitted. Schools
would be required to analyse and aggregate the information to
provide the required level of summary data.
9.10. The
following resource costs to schools have been based on resource
hours information submitted as part of the PLASC returns. The
resource required for the initial PLASC collection was higher than
for subsequent collections.
9.11. Initial
cost of resources in first year of collection for the collation,
recording, analysis and reporting of data are estimated to cost in
total between £84k and £159k with costs for subsequent
years estimated at between £34k and £64k.
9.12. Staff
members responsible for completion of the data collection may
require training prior to implementation of the data collection.
Training is generally provided through the relevant software
houses.
Local
authorities:
9.13. Costs
would be incurred by local authorities to develop their HR and
payroll systems to record and report on the required information in
aggregated form. This would include the rationalisation and mapping
of existing coding structures to streamline the data collection and
ensure consistency in reporting.
9.14. Given that
the information to be captured from local authorities are required
for their existing pay and human resource processes it is likely
that most of the information is already held, and therefore
significant additional costs are unlikely to be accrued. However,
there may be some initial resource cost in recording missing or
incomplete records.
9.15. There
would be an annual ongoing resource requirement for the updating of
data where changes occur, but this should form part of their
day-to-day business of maintaining their workforce data.
9.16. However,
the volume and range of information to be collected under this
legislation is extensive. The resource and effort required from
local authorities in collecting, validating and aggregating the
school and local authority data would be substantial and time
consuming potentially leading to higher costs compared to an
individual level collection.
9.17. Estimated
costs based on staff resource time of between 10 to 20 minutes per
record and the median gross hourly pay of local government
administrative staff provides estimated costs for the initial data
collection of between £114k and £228k in total.
9.18. There
would be an annual ongoing resource requirement for the updating of
data where changes occur, which would form part of their day-to-day
business of maintaining their workforce data. There will be a
resource cost associated with the validation of information from
schools and in extracting and submitting information to the Welsh
Government. The total on-going costs are estimated between
£57k and £171k per annum.
9.19. Staff
members responsible for completion of the data collection may
require training prior to implementation of the data collection.
Training is generally provided by the relevant software houses.
Welsh
Government:
9.20. An
aggregated level data collection would be completed electronically
on pre-formatted templates using excel spreadsheets and submitted
via existing data transfer systems. As no sensitive or personal
information would be transferred, there would not be any associated
costs for the development of a new secure data transfer system for
this collection.
9.21. Existing
WG data transfer systems used for the transfer of aggregated level
data could be re-used for the purposes of transferring aggregated
school workforce information.
9.22. An
extended aggregate level data collection would be consolidated with
the separate collections of school workforce information currently
undertaken as part of the annual PLASC returns and the Teacher
Sickness Absence returns. It would also remove the need to
undertake additional ad-hoc requests for information administered
by Welsh Government at different periods throughout the year.
Responsibility for the collection of school workforce data will be
transferred from the School Statistics team within Knowledge
Analytical Services (KAS) to the School Workforce Data Team.
9.23. This
option will require an increase in Welsh Government resource
requirements for the collection, analysis, storage and reporting of
information. However, this would represent less resource
requirement for the Welsh Government in analysing aggregated data
compared to individual level data.
9.24. There will
be additional resource costs associated with dealing with queries
regarding the data collection from data providers and in responding
to requests for information and analysis on the school workforce
information. These costs are expected to be higher in the initial
year as data providers familiarise themselves with the requirements
of a new collection and in resolving issues that may arise.
On-going annual costs are expected to be lower as issues are
resolved and a greater level of information on the school workforce
is published by Welsh Government.
9.25. There
would be an on-going annual resource cost associated with the
drafting of data requirements, guidance documentation and data
collection forms as well as the data collection process itself.
There will be costs which will fall to the Knowledge Analytical
Services (KAS) associated with the removal of school workforce
information from existing data collections (i.e. PLASC).
9.26. The
resource costs for these processes for the initial collection are
estimated to cost approximately £25k. The on-going costs are
estimated to be £16k in 2020-21 and £14k in subsequent
years.
Table 1: Estimated
cost of option 3 (a)
|
|
Initial costs:
|
On-going costs:
|
|
|
2019-20
|
2020-21
|
2021-22
|
|
Schools
|
|
|
|
|
Collation, recording, analysis and
reporting information
|
£84k - £159k
|
£34k - £64k
|
£34k - £64k
|
|
Local authorities
|
|
|
|
|
Collation, recording, analysis,
validation and reporting information
|
£114k -
£228k
|
£57k - £171k
|
£57k - £171k
|
|
Welsh Government
|
|
|
|
|
Development of existing secure data
transfer systems
|
N/A
|
N/A
|
N/A
|
|
Development of technical
documentation (data validation, CBDS, guidance notes), storage,
analysis and reporting
|
£25k
|
£16k
|
£14k
|
|
Development / system testing and
User Acceptance Testing (UAT)
|
N/A
|
N/A
|
N/A
|
|
Total
|
£223k -
£412k
|
£107k -
£251k
|
£105k -
£249k
|
(a) Totals may not
equal sum of individual costs due to rounding.
Benefits
9.27. Local
authorities and schools will be able to use the data in their
day-to-day management of the school workforce enabling more
effective workforce planning.
9.28. Expanding
the breadth of information collected on the school workforce will
enable better analysis to be undertaken and provide for a better
evidence base to inform policy development on school workforce
related matters. However, aggregated data would not provide the
required level of data to accurately model their impact on teacher
pay costs.
9.29. This would
enable a more co-ordinated approach to the analysis of school
workforce information and free up resource within KAS to undertake
work on other areas of school statistics.
Option 4 - Bring
regulations into force enabling the collection of individual level
school workforce information from all schools and local
authorities
Costs
Schools:
9.30. The direct
costs of an individual level survey include the development of
existing school management information systems (MIS) to record and
report on the required information. Costs for the development of
school MIS and license fees for the MIS are generally negotiated
with software suppliers at a local authority or school level on a
per pupil basis. The cost incurred by schools and local authorities
for the development of their MIS for the transfer of data as part
of existing pupil level data collections are currently covered
through the local government revenue settlement.
9.31. The data
items requested from schools for an individual level collection
would be the same as an aggregated level collection. Therefore,
there would not be higher costs incurred for the development of
their MIS for an individual level collection compared to an
aggregated level collection.
9.32. While the
information to be provided by schools is required for the
day-to-day management of the school workforce, different schools
currently adopt different processes for recording the information.
Some schools maintain their information electronically whilst
others keep certain workforce information in paper format (e.g.
sickness absence). There will be an initial resource cost
associated with the recording of new, missing or incomplete
information into their systems.
9.33. There will
be an on-going cost related to the maintenance of information as
circumstances change. However, this would form part of the
requirements that schools should be undertaking as part of their
day-to-day business of maintaining their workforce data.
9.34. On census
date, schools will be required to submit data to the Welsh
Government and undertake necessary steps to ensure the completeness
and accuracy of the information submitted. Information is
collected by WG on the completion of existing data collections. The
information supplied as part of the PLASC returns provides
information on the role of the individual completing the return and
the time taken.
9.35. In the
majority of cases the returns are completed by administrative
staff. However, in some cases the returns are completed by
business managers, teaching staff or head teachers.
9.36. The
following resource costs to schools have been based on resource
hours information submitted as part of the PLASC returns. The
resource required for the initial PLASC collection was higher than
for subsequent collections.
9.37. Initial
cost of resources in first year of collection for the collation,
recording and reporting of data are estimated to cost between
£84k and £159k in total with costs for subsequent years
estimated at between £34k and £64k.
9.38. Staff
members responsible for completion of the data collection may
require training prior to implementation of the data collection.
Training is generally provided through the relevant software
houses.
Local
authorities:
9.39. Costs
would be incurred by local authorities to develop their HR and
payroll systems to record and report on the required information.
This would include the rationalisation and mapping of existing
coding structures to streamline the data collection and ensure
consistency in reporting.
9.40. Given that
the information to be captured from local authorities are required
for their existing pay and human resource processes it is likely
that most of the information is already held, and therefore
significant additional costs are unlikely to be accrued. However,
there may be some initial resource cost in recording missing or
incomplete records and validating information prior to
submission.
9.41. Indicative
resource staff time of between 7 to 15 minutes per record based on
the median gross hourly pay of local government administrative
staff provides estimated total costs for the initial data
collection of between £80k and £171k.
9.42. There
would be an annual ongoing resource requirement for the updating of
data where changes occur, which would form part of their day-to-day
business of maintaining their workforce data. There will be a
resource cost associated with the validation of information from
schools and in extracting and submitting information to the Welsh
Government. The on-going costs are estimated between
£57k and £114k per annum in total.
9.43. Staff
members responsible for completion of the data collection may
require training prior to implementation of the data collection.
Training is generally provided by the relevant software houses.
Welsh
Government:
9.44. There
would be an initial cost to develop and implement the process and
technical infrastructure for the secure transfer of individual
level data from schools and local authorities to Welsh Government.
The intention is to develop on existing systems currently used for
the transfer of pupil level data.
9.45. Based on
costs for existing pupil level data collections the development and
re-use of existing systems are estimated to cost up to £120k.
This includes the development of ‘xslt’ for
transferring data from school and local authority systems,
development of system interface for schools and local authorities
and the transfer of data into WG data systems. On-going maintenance
and support costs for a secure data transfer system are estimated
at £40k per annum.
9.46. The
development of an entirely new secure data transfer system would
cost significantly more, up to £400k. On-going maintenance
and support costs would be the same as through using existing
systems.
9.47. A full
individual level data collection would replace the annual PLASC
returns and the Teacher Sickness Absence returns. It would also
remove the need to undertake additional ad-hoc requests for
information administered by Welsh Government at different periods
throughout the year. Responsibility for the collection of school
workforce data would be transferred from the School Statistics team
within Knowledge Analytical Services (KAS) to the School Workforce
Data Team.
9.48. An
individual level data collection would require a greater amount of
validation and analysis internally compared with an aggregated data
collection or a survey of a proportion of schools. There would be
an on-going annual resource cost associated with the drafting of
data requirements, technical specifications and guidance
documentation as well as the data collection process.
9.49. This
option will require an increase in Welsh Government resource
requirements for the collection, analysis, storage and reporting of
information.
9.50. There will
be additional resource costs associated with dealing with queries
regarding the data collection from data providers and in responding
to requests for information and analysis on the school workforce
information. These costs are expected to be higher in the initial
year as data providers familiarise themselves with the requirements
of a new collection and in resolving issues that may arise.
On-going annual costs are expected to be lower as issues are
resolved and a greater level of information on the school workforce
is published by Welsh Government.
9.51. There will
be additional resource costs associated with the development
testing, system testing and User Acceptance Testing (UAT) of the
data collection and data transfer system.
9.52. The
internal resource costs for the initial collection are estimated to
cost approximately £40k with on-going maintenance and service
costs of £23k in 2020-21 and £22k in subsequent
years.
Table 2: Estimated
cost of option 4 (a) (b)
|
|
Initial costs:
|
On-going costs:
|
|
|
2019-20
|
2020-21
|
2021-22
|
|
Schools
|
|
|
|
|
Collation, recording, analysis and
reporting information
|
£84k - £159k
|
£34k - £64k
|
£34k - £64k
|
|
Local authorities
|
|
|
|
|
Collation, recording, analysis,
validation and reporting information
|
£80k - £171k
|
£57k -
£114k
|
£57k -
£114k
|
|
Welsh Government
|
|
|
|
|
Development of existing secure data
transfer systems
|
up to £120k
|
up to £40k
|
up to £40k
|
|
Development of technical
documentation (data validation, CBDS, guidance notes), testing,
storage, analysis and reporting
|
£40k
|
£23k
|
£22k
|
|
Total
|
£302k -
£490k
|
£131k -
£230k
|
£130k -
£228k
|
(b) All costs based
on the re-use of existing secure data transfer system.
(c) Totals may not
equal sum of individual costs due to rounding.
Benefits
9.53. While the
initial collation and load of data into school and local authority
systems would have a cost, improved processes for the management of
school workforce data can be seen as a benefit in the longer-term
with less resource and effort required compared with collecting and
analysing information for specific data requests throughout the
year.
9.54. Local
authorities and schools will be able to use the data in their
day-to-day management of the school workforce enabling more
effective workforce planning.
9.55. Capturing
information at source provides more accurate data (i.e. school data
transmitted to local authorities who can validate the data before
transferring to Welsh Government for analysis). This would ensure
that any analysis, aggregation and reporting of data is undertaken
on a consistent basis, ensuring the accuracy and comparability of
information.
9.56. More
robust information will enable more powerful analysis to be
undertaken.
9.57. The
collection of individual level information for the school workforce
would result in more accurate and robust data to inform workforce
and succession planning and for the development, implementation and
monitoring of policies.
9.58. It will
also provide greater accuracy in calculating teacher pay costs and
modelling the impact of changes in pay and conditions and different
pay policies on the school workforce and the total pay bill.
Option 5
- Bring
regulations into force enabling the collection
and
linking of individual level information from schools and local
authorities and supplemented by the use of other existing
administrative data sources
Costs
9.59. The costs
for option 5 are based on the same activities as undertaken for
option 4. However, this option involves the collection of fewer
data items from schools and re-using existing administrative data
sources in an effort to minimise the burden placed on schools. This
is expected to result in lower resource costs for schools and local
authorities than option 4, as reflected below.
9.60. Under this
option Welsh Government will work with other organisations that
collect administrative data on the school workforce in Wales to
identify and agree on information that could be used to enhance the
information collected from schools and local authorities. This will
also help minimise the burden placed on schools and local
authorities by reducing the number of data items they are required
to capture, validate and report.
Schools:
9.61. The direct
costs of an individual level collection include the development of
existing school management information systems (MIS) to record and
report on the required information. Costs for the development of
school MIS and license fees for the MIS are generally negotiated
with software suppliers at a local authority or school level on a
per pupil basis. The cost incurred by schools and local authorities
for the development of their MIS for the transfer of data as part
of existing pupil level data collections are currently covered
through the local government revenue settlement.
9.62. The data
items requested from schools for an individual level collection
would be the same as an aggregated level collection. Therefore,
there would not be higher costs incurred for the development of
their MIS for an individual level collection compared to an
aggregated level collection.
9.63. While the
information to be provided by schools is required for the
day-to-day management of the school workforce, different schools
currently adopt different processes for recording the information.
Some schools maintain their information electronically whilst
others keep certain workforce information in paper format. There
will be an initial resource cost associated with the recording of
new, missing or incomplete information into their systems.
9.64. There will
be an on-going cost related to the maintenance of information as
circumstances change. However, this would form part of the
requirements that schools should be undertaking as part of their
day-to-day business of maintaining their workforce data.
9.65. On census
date, schools will be required to submit data to the Welsh
Government and undertake necessary steps to ensure the completeness
and accuracy of the information submitted. Information is
collected by WG on the completion of existing data collections. The
information supplied as part of the PLASC returns provides
information on the role of the individual completing the return and
the time taken.
9.66. In the
majority of cases the returns are completed by administrative
staff. However, in some cases the returns are completed by
business managers, teaching staff or head teachers.
9.67. The
following resource costs to schools have been based on resource
hours information submitted as part of the PLASC returns. The
resource required for the initial PLASC collection was higher than
for subsequent collections.
9.68. Initial
cost of resources in first year of collection for the collation,
recording and reporting of data is estimated to cost between
£67k and £127k in total with on-going costs for
subsequent years estimated at between £27k and
£51k.
9.69. These
costs will be partly offset by the removal of the school workforce
element of the Pupil Level Annual School Census (PLASC). Therefore,
it is anticipated that this will have minimal impact on school
budgets and will be unfunded.
9.70. Staff
members responsible for completion of the data collection may
require training prior to implementation of the data collection.
Training is generally provided through the relevant software
houses.
Local
authorities:
9.71. Costs
would be incurred by local authorities to develop their HR and
payroll systems to record and report on the required information.
This would include the rationalisation and mapping of existing
coding structures to streamline the data collection and ensure
consistency in reporting.
9.72. Given that
the information to be captured from local authorities is required
for their existing pay and human resource processes it is likely
that most of the information required is already held, and
therefore significant additional costs are unlikely to be accrued.
However, there may be some initial resource cost in recording
missing or incomplete records and validating information prior to
submission.
9.73. Indicative
resource staff time of between 5 to 12 minutes per record based on
the median gross hourly pay of local government administrative
staff provides estimated total costs for the initial data
collection of between £57k and £137k.
9.74. There
would be an annual ongoing resource requirement for the updating of
data where changes occur, which should form part of their
day-to-day business of maintaining their workforce data. There will
be a resource cost associated with the validation of information
from schools and in extracting and submitting information to the
Welsh Government. However, these costs are deemed to be less
than that required for an aggregated level collection. The on-going
costs are estimated between £34k and £80k per annum in
total.
9.75. These
costs will be partly offset by the removal of the school workforce
element of the Pupil Level Annual School Census (PLASC) and Teacher
Sickness Absence Data Collection. Therefore, it is anticipated that
this will have minimal impact on local authority budgets and will
be unfunded.
Welsh
Government:
9.76. There
would be an initial cost to develop and implement the process and
technical infrastructure for the secure transfer of individual
level data from schools and local authorities to Welsh Government.
The intention is to develop on existing systems currently used for
the transfer of pupil level data.
9.77. Based on
costs for existing pupil level data collections the development and
re-use of existing systems are estimated to cost up to £120k.
This includes the development of ‘xslt’ for
transferring data from school and local authority systems,
development of system interface for schools and local authorities
and the transfer of data into WG data systems. On-going maintenance
and support costs for a secure data transfer system are estimated
at £40k per annum.
9.78. The
development of an entirely new secure data transfer system would
cost significantly more, up to £400k.
9.79. A full
individual level data collection would replace the annual PLASC
returns and the Teacher Sickness Absence returns. It would also
remove the need to undertake additional ad-hoc requests for
information administered by Welsh Government at different periods
throughout the year. Responsibility for the collection of school
workforce data would be transferred from the School Statistics team
within Knowledge Analytical Services (KAS) to the School Workforce
Data Team.
9.80. An
individual level data collection would require a greater amount of
validation and analysis internally compared with an aggregated data
collection or a survey of a proportion of schools. There would be
an on-going annual resource cost associated with the drafting of
data requirements, technical specifications and guidance
documentation as well as the data collection process itself.
9.81. There will
be additional resource costs associated with dealing with queries
regarding the data collection from data providers and in responding
to requests for information and analysis on the school workforce
information. These costs are expected to be higher in the initial
year as data providers familiarise themselves with the requirements
of a new collection and in resolving issues that may arise.
On-going annual costs are expected to be lower as issues are
resolved and a greater level of information on the school workforce
is published by Welsh Government.
9.82. There will
be additional resource costs associated with the development
testing, system testing and User Acceptance Testing (UAT) of the
data collection and data transfer system.
9.83. The
internal resource costs for the initial collection are estimated to
cost approximately £40k with on-going maintenance and service
costs of £23k in 2020-21 and £22k in subsequent
years
9.84.
Additionally, individual record level linkage to other
administrative data sources can be a resource intensive procedure.
The linking process could be contracted to an external supplier
which would involve costs up to £40k.
Other
administrative data sources:
9.85. Welsh
Government will work with organisations that hold administrative
data relating to the school workforce to identify information to
enrich and enhance the data collected and provide greater
intelligence on the school workforce. As this would involve
information already held by other organisations the associated
costs are deemed to be negligible.
Table 3: Estimated
cost of option 5 (a) (b)
|
|
Initial costs:
|
On-going costs:
|
|
|
2019-20
|
2020-21
|
2021-22
|
|
Schools
|
|
|
|
|
Collation, recording, analysis and
reporting information
|
£67k - £127k
|
£27k - £51k
|
£27k - £51k
|
|
Local authorities
|
|
|
|
|
Collation, recording, analysis,
validation and reporting information
|
£57k - £137k
|
£34k - £80k
|
£34k - £80k
|
|
Welsh Government
|
|
|
|
|
Development of exiting secure data
transfer systems
|
up to £120k
|
up to £40k
|
up to £40k
|
|
Development of technical
documentation (data validation, CBDS, guidance notes), testing,
storage, analysis and reporting
|
£40k
|
£23k
|
£22k
|
|
Data linking to other
administrative data sources
|
up to £40k
|
up to £40k
|
up to £40k
|
|
Total
|
£285k -
£424k
|
£125k -
£194k
|
£123k -
£193k
|
(d) All costs based
on the re-use of existing secure data transfer system.
(e) Totals may not
equal sum of individual costs due to rounding.
Benefits
9.86. While the
initial collation and load of data into school and local authority
systems would have a cost, improved processes for the management of
school workforce data can be seen as a benefit in the longer term
with less resource and effort required compared with collecting and
analysing information for specific data requests throughout the
year.
9.87. Local
authorities and schools will be able to use the data in their
day-to-day management of the school workforce enabling more
effective workforce planning.
9.88. Capturing
information at source provides more accurate data (i.e. school data
transmitted to local authorities who can validate the data before
transferring to Welsh Government for analysis). This would ensure
that any analysis, aggregation and reporting is undertaken on a
consistent basis, ensuring the accuracy and comparability of
information.
9.89. More
robust information will enable more powerful analysis to be
undertaken, providing a better evidence base to inform and
accurately model the costs of policies related to the school
workforce.
9.90. The use of
existing administrative data on the school workforce would minimise
the burden placed on schools and local authorities by reducing the
number of data items they are required to capture, verify and
report.
Conclusion
9.91. Option
5 to bring regulations into
force enabling the collection and
linking of individual level information from schools and local
authorities and supplemented by the use of other existing
administrative data sources is considered as the preferred
method for collection. Information from other sources will only be
used where do so is compliant with the DPA and the GDPR.
9.92. An
individual level data collection is vital in providing the level of
detail necessary to ensure the quality and accuracy of information
submitted to support the development, implementation and monitoring
of policies relating to the school workforce. The information
collected will enable the required complex analysis to be
undertaken on issues such as workforce and succession planning,
teacher supply and demand, pay costs, recruitment and
retention.
9.93. The
collection of more comprehensive information will also support
Welsh Ministers duties under section 11 of the Education Act 1996
to exercise their education functions to improve standards,
encourage diversity and increase opportunities for choice.
9.94. There may
be an initial impact placed on some schools and local authorities
to populate systems with missing or incomplete information and in
ensuring consistency in how information is recorded. However, there
are potential long-term benefits as the resource requirements for
on-going maintenance of information will be reduced compared to
that required for meeting the variety of information requests
currently serviced.
9.95. Exploring
the potential use of other existing administrative data on the
school workforce would help minimise the burden placed on schools
and local authorities by reducing the number of data items they are
required to capture, verify and report.
Schools and Local
Government:
10.1. There will
be development requirements to school management information
systems and local authority payroll and HR systems for the
collection and reporting contained in the regulations. There will
be a requirement for local authorities to ensure that existing
systems are developed to report information to Welsh Government
consistently across local authorities.
10.2. However,
the majority of the information to be collected is necessary for
the current day-to-day management of the workforce and should
already be held by local authorities and therefore it is unlikely
that significant additional costs will be incurred. There will be a
requirement for schools and local authorities to ensure the
accuracy and completeness of information provided to Welsh
Government on the school workforce
Individuals of the
school workforce:
10.3. These
regulations enable the collection of individual level information
on the school workforce in Wales. The information includes
identifiable data items including name, date of birth, teacher
reference number and national insurance number.
10.4. The
collection of more comprehensive information will support Welsh
Ministers duties under section 11 of the Education Act 1996 to
exercise their education functions to improve standards, encourage
diversity and increase opportunities for choice.
10.5. The
collection of more detailed information on pay related issues will
ensure that decisions made are based on relevant and robust
evidence which accurately reflect the composition and real needs of
the workforce in Wales. An annual workforce collection will improve
the quality and diversity of the evidence available, ensuring that
the Welsh perspective is accurately reflected during wider
deliberations to ensure fair and equitable treatment for the
workforce.
10.6.
Information on disability and ethnicity will also be collected to
help to identify and address the causes of the ethnicity and
disability pay and employment differences.
10.7. Under the
GDPR (which will apply from 25 May 2018), ethnicity and disability
information is classified as special category data. This category
of data can only be processed if it falls within one of the
exceptions set out in Article 9 of the GDPR. One such exception is
where processing is necessary for archiving purposes in the public
interest, scientific or historical research purposes or statistical
purposes in accordance with Article 89(1) based on EU or UK law
which must be proportionate to the aim pursued, respect the essence
of the right to data protection and provide for suitable and
specific measures to safeguard the fundamental rights and the
interests of the data subject.
10.8. For
effective workforce planning of the future workforce in terms of
addressing diversity in the school workforce and having a workforce
that reflects communities of Wales, data on protected
characteristics, including ethnicity needs to be linked to
progression, recruitment and retention information collected from
school MIS systems.
10.9. The
information collected by virtue of
these regulations will be used solely for statistical analysis and
research for purposes of planning and evaluation, and to support
policy development in relation to the school workforce.
In line with EU GDPR recital 162,
the personal data collected will not be used in support of measures
or decisions regarding any particular individual.
10.10. Welsh Government will issue a ‘Privacy Notice’
to all members of the school workforce covered by the regulations
and data collection. This will summarise what information is
collected, the purposes for which the information will be processed,
how it will be collected, why it is held and
with whom it may be shared with as stated in law.
10.11. The ‘Privacy Notice’ will provide details of
individual’s rights under the GDPR including their rights to
access to the information held about them and their rights to
rectification if the information held is inaccurate or
incomplete.
10.12. A full Privacy Impact Assessment (PIA) has been undertaken
to analyse how personal information will
be collected, stored, protected, shared and managed. The PIA
addresses the risk posed to individuals from the processing of
individuals information and the measures in place to address these
risks including the security of information in transit and within
internal systems.
Policy Impact
Assessments:
Equality of
opportunities
10.13. This legislation and the information to be collected will
help the Welsh Government meet the Welsh Specific Equality Duties
under the Equality Act 2010 (Statutory Duties) (Wales) Regulations
2011 which cover engagement, equality and employment information,
pay differences and procurement. Greater detail on the demographic
characteristics and pay information of the school workforce from
this collection will support the education sectors contribution to
the Welsh Government’s Strategic Equality Plan objective to
work with partners to identify and address the causes of the
gender, ethnicity and disability pay and employment differences.
Therefore, it is considered that this legislation will have a
positive impact on the relevant protected characteristics in the
school workforce.
The Welsh
language
10.14. The collection of information on the ability of the
workforce to teach Welsh, and the provision of teaching through the
medium of Welsh, will provide supportive analysis for the Welsh
Language Strategy’s aim of one million Welsh speakers by
2050. In order to achieve this aim, there needs to be a significant
increase in the number of people receiving Welsh-medium education
and who have Welsh language skills, as it is only through enabling
more people to learn Welsh that this aim will be achieved. Ensuring
there is a workforce that meets these criteria enables an increase
in the delivery of Welsh-medium education. The information
collected will support Welsh Government in meeting its strategic
aims of ensuring a sufficient workforce for Welsh-medium education
and the targeting of appropriate training to deliver the Welsh
language curriculum.
The
Tackling Poverty Agenda
10.15. The introduction of a workforce collection will not have a
direct impact on the Welsh Government’s statutory
requirements in relation to the Tacking Poverty Agenda. Data from
this collection may provide additional supportive evidence to the
Welsh Government commitment to work with education unions,
employers and other stakeholders to explore ways of ensuring a
living wage for every worker in Wales.
Equality and Human
Rights
10.16. The Welsh Specific Equality Duties under the Equality Act
2010 (Statutory Duties) (Wales) Regulations 2011, cover engagement,
equality and employment information, pay differences and
procurement. More detailed demographic and pay information of the
education workforce from this collection will support the education
sectors contribution to the Welsh Government’s Strategic
Equality Plan objective to work with partners to identify and
address the causes of gender, ethnicity and disability pay and
employment differences. Therefore, any impacts on equality issues
are expected to be positive.
10.17. It is intended to collect individual data on ethnicity and
disability which is considered to carry some risk of criticism and
challenge in terms of compliance with article 8 of the European
Convention of human Rights (ECHR). The Welsh Specific Equality
Duties under the Equality Act 2010 (Statutory Duties) (Wales)
Regulations 2011, cover engagement, equality and employment
information, pay differences and procurement.
10.18. Under the terms of the GDPR – which will come into
force in May 2018 - ethnicity and disability information is
regarded as ‘special category’ data. The GDPR is based
on the concept of ‘privacy by default’ which
requires that controllers implement
appropriate technical and organisational measures to ensure that,
by default, only personal data which are necessary for each
specific purpose of the processing are processed.
11.1. Prior to
the formal consultation process, various interested organisations
were consulted to discuss the implementation of a data collection
and review the potential data items identified within the
collection. Organisations and individuals engaged included:
·
A selection of
schools and local authorities;
·
Welsh Local
Government Association (WLGA);
·
ESTYN;
·
Education Workforce
Council (EWC); and
·
Education Workforce
unions.
11.2. These
initial discussions proved positive, with a general consensus that
greater intelligence on the school workforce in Wales needs to be
developed. These discussions confirmed that the majority of the
information identified is already available, although it is held
across various information management, HR and payroll systems.
11.3. Policy
colleagues within Welsh Government have been consulted with regard
to their data and policy requirements, and to identify any other
data collections or surveys on the school workforce currently
undertaken or planned for consideration in the project.
11.4. A formal
consultation on the draft regulations took place from 13 January to
3 March 2017. A total of 34 responses were received, with four
respondents requesting to remain anonymous. The breakdown of
respondents was as follows:
Table 4: Number of
responses to consultation
11.5. The need
for a comprehensive data collection on the school workforce was
welcomed by the majority of respondents. It was acknowledged that
an individual level data collection was the most appropriate means
of collecting the necessary information to meet the intended
purposes. However, some aspects of the proposal, such as the use of
EWC registrant data, were questioned as well as some seeking
further assurance regarding the privacy and confidentiality of such
a data collection.
11.6. Following
the consultation, the draft regulations were reviewed in light of
responses and some amendments made which are reflected in the
options presented at section 8.
11.7. A full
summary of the responses to the formal consultation undertaken is
available at:
https://consultations.gov.wales/consultations/school-workforce-data-collection
12.1. A
competition assessment has been undertaken and it is deemed that
there would not be any adverse effects on competition from the
introduction of this legislation as this would not impose
additional costs on businesses. For this
reason, there is no requirement to undertake a full competition
assessment of this proposal.
13.1. The school
workforce data collection will be subject to post implementation
review in years one and three after implementation. The reviews
will consider how far the anticipated benefits have been
realised.
13.2. Feedback
will be sought from local authority and school representatives to
assess the benefits delivered in terms of reduced burden and
provision of better quality information. The views of Welsh
Government colleagues will be sought on the impact of the
collection on the development and evaluation of policies.
13.3. All data
items included within the school workforce data collection will be
reviewed for each cycle of the annual data collection to ensure its
continued justification.
Include
a selection of schools and local authorities; Welsh Local
Government Association (WLGA); ESTYN; Education Workforce Unions;
Data Unit - Wales.