Hscic data quality_data_standards_workshop_manchester_2016

HSCIC / ESR Data Quality and Data
Standards Roadshow
Bruntwood City Tower, Manchester, Tuesday 1st March 2016
Presented by Nick Armitage, Kieron Walsh, Stuart Jones, Mike Burgess & Mike Winstanley

• Please can you all ensure that you have signed in and if not, please can you do so at some point in the
day. Thank you!
• Guest Wi-fi is available - Connection: City Tower Red Rooms Password: redrooms
• There are currently no scheduled fire drills or works for today, so if the alarm sounds, please leave by the
nearest exit and the reception staff will help us to evacuate the building.
• Toilets are located straight out in the foyer near the reception
• Smoking is not permitted within the building, however you can smoke in the designated areas outside
where ashtrays are provided.
• Lunch and refreshments at break times will be provided in the room at the end of the corridor.
• Agendas and Feedback forms have been provided – please do fill them in, leave them on your chairs or
hand them to a member of the team at the end - all comments welcomed to make future sessions as
useful as possible!
• Please use the Post-It Notes to write questions, pass them to a member of the team before lunch or
attach them to the feedback form so we can pick-up any after the session we cannot answer on the day.
• Please hand back name badges at the end, or leave them on your chairs so that they can be reused in
future. Thanks!
Housekeeping Arrangements
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Today’s Agenda
• 10:00 Coffee and Networking
• 10:30 Welcome, Introduction - the importance of data quality, objectives of the day (Nick Armitage);
• 10:45 Recent and future developments in data quality and data standards (Kieron Walsh / Nick Armitage);
• 11:25 Break
• 11:30 Data quality tools and guidance:
– WOVEN and HSCIC Guidance (Nick Armitage);
– ESR Business Intelligence Reporting Tools and Guidance (Stuart Jones);
• 12:30 Lunch and Networking;
• 13:00 Your questions – feedback from questions received from the floor (All);
• 13:15 Improving Data Quality in the North West (Mike Burgess);
• 13:30 The importance of good data quality, how workforce data is put to use by regional and national bodies and the implications of
poor data quality for you (Kieron Walsh/Nick Armitage);
• 14:05 Break
• 14:10 ESR Data quality and your own organisation (Mike Winstanley);
• 14:25 NHS Jobs data quality / Healthcare recruitment information development (Nick Armitage);
• 14:45 Plenary, questions and answers – next steps (Nick Armitage/All);
• 15:00 Finish

10:30 Welcome, Introduction - the importance of data quality, objectives
of the day (Nick Armitage);
• Why are we here?
– The importance of Data Quality and consistent Data Standards
– To consider how attendees could implement what is discussed in the
meeting
– What individuals can do themselves
– How we all need to involve others and what we can do to help each
other
– DQ is part of everyone's responsibility - help is there, but opportunities
must be acted upon and choices taken to maximise the rich data
available.
– To make ESR the one source of truth…
– Part of the HSCIC corporate role for Data Quality

10:30 Welcome, Introduction - the importance of data quality, objectives
of the day (Nick Armitage);
• Data quality is all about collaborative working with a shared purpose –
hence getting you all here today.
• Please speak to each other – the greatest data quality resource we
have is you!
• Any efforts should have mutual benefits and should provide a platform
for discourse between all involved.
• The purpose is to improve the data that is used at all stages, to inform
decisions about the workforce at local, regional and national levels.
• Good data quality can’t guarantee good decisions are made, but poor
data quality will definitely increase the likelihood of poor decisions and
poor outcomes.
• We welcome your feedback to improve future events!

Importance of Data Quality
Better Data Quality = Better Management Decisions
but only when data is captured - for example in
Managers
• Scrutinise and use the data in Business Intelligence
• Ensure errors are corrected in Manager Self Service
Employees
• View, review, validate and correct errors in Employee Self Service
• It is YOUR data!
Core ESR
Users
• Use HR Best Practice Guidance
• Use interfaces including NHSJobs and auto IAT
Workforce
Specialists
• Use ESR Business Intelligence Validation tools
•NHS Workforce Information Verifier Dashboard
•NHS Data Quality Dashboard
• WOVEN validation tool

HSCIC corporate data quality role
• A new strategy for the delivery of the HSCIC’s corporate responsibility
for data quality across all health and social care information (as set
out in the HaSC Act 2012) has recently been published.
• An element of that strategy will be an expert reference group, on
which the workforce information community will have representation.
• Therefore workforce information is very much part of the remit of this
strategy and the additional scrutiny / guidance and reporting it may
bring.
• Anyone who is interested can look at previous corporate DQ reports
on our website for information, though the new work is likely to take a
slightly different direction.
• The corporate DQ section of HSCIC website:
http://www.hscic.gov.uk/dq

Objectives of the day
• The Objectives today are therefore to:
– provide a platform to encourage collaborative
working;
– to highlight the tools and guidance available;
– to promote the importance of data quality and
consistent data standards;
– to communicate important developments; and
– to learn from your experiences and expertise

Barriers to Data Quality?
1. What stands in the way of good data quality?
2. How can we lower or remove those barriers?
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Bear in mind throughout the day.
Feed back during sessions or at end.

Kieron Walsh
ESR NHS Development Team
kieron.walsh@nhs.net
Recent and future
developments in Data
Quality and Data
Standards

Previously on the Data Quality Roadshow…
The road to August 2014…
… and beyond!
The road to August
2014…
… and beyond!
ESR
Reprocurement

• How did we get here?
• December 2013 Tender Notice in
Official Journal of the European Union
(OJEU) to supply ESR
• December 2014 DH award contract to
IBM
• Initial contract term 5 years:
o Initial term 2015 to 2020
o Extension Term 2 years 2020 to
2022
• June 2015 IBM take full responsibility
for delivery of the ESR Service
ESR Reprocurement and beyond… (1)

Where are we now?
•Transition
Seamless transfer of service provision: McKesson >>> IBM
•Enhance
16 Work Packages originally agreed following user-review
1st 3 WP’s include:
o Portal for OLM & SS
o Streamlined task-driven forms
o Mobile access
Timescales to be confirmed
•Operate (aka Service Delivery)
Continue to run and develop ESR in line with legal and NHS
requirements, including user-driven changes

Where are we going?
Transition Bulletins
URL and email address changes
Enhance Bulletins
Progress on the development of new
functionality
Solution Development
Content of recent and planned Releases
https://www.infopoint.esr
.nhs.uk
https://www.electronicstaffrecord.nhs.uk
/kbase/78/

LOV’s Input Mask
Error / Prompt
Improving Data Quality through design
• Build into new forms as standard
• Enhance existing forms by request
Mandation of data
entry?
No data v Made up
data

Improving ESR Data Quality
Under-utilised ESR functionality:
• Establishment Control
o Establishment WTE v Staff in Post WTE
o Effective control of the recruitment process and planned
v actual staffing levels
 Check Estab WTE values!
 ESR-NHS0058 ESR Finance User Guide
 Case Study: Royal Liverpool and Broadgreen University
Hospitals NHS Trust (https://www.ewin.nhs.uk/)
• Vacancies
o Control over recruitment (process and reports)
o ESR Vacancies >>> NHS Jobs Adverts
o NHS Jobs Applicants >>> ESR
 Housekeeping: Close down vacancies!

https://www.electronicstaffrecord
.nhs.uk/esr-benefits/benefits-
calculator/
• Removal of data duplication
• Improved data quality
• Streamline back-office
• Manage training and development and
associated costs
• Manage competency recording,
reporting
and compliance
• Potential to reduce clinical and
corporate risk
• Maximise workforce efficiency - do
more with the same or less
• Evidenced delivery of safe care
ESR Benefits Calculator

10:45 Recent and future developments in data quality and data standards
(Kieron Walsh / Nick Armitage);
NHS Jobs data quality:
• The second provisional experimental NHS Vacancy Statistics report, based upon
administrative data extracted from NHS Jobs was published last week.
• Based on Job Adverts, not Vacancies directly – saves a burdensome direct data collection,
but…
• Includes a change in methodology, moving from a count of vacancy adverts to advertised
vacancy full-time equivalents, an improvement in data quality and closer to what users want
form the publication, but still DQ issues.
• This publication provides figures which are an insight to recruitment in the NHS but which
should be treated with caution, and users have been discouraged from attempting to draw
any conclusions from this data at this time.
• The publication high-lights a range of DQ issues including:
– Completeness of Occ Code - improving;
– Apparent contradiction between fields;
– Differences in approach – fte field includes genuine fte; hours and default values;
– Difficulties of producing ‘rates’ and considering long-term or hard to fill vacancies;
– Level of use of the system varies – loss of information along the recruitment journey

NHS Jobs data quality:
• One of the main functions of this publication is to provide a summary of
feedback received in response to the first publication, related to the information
available, on what should be published and whether the tables provided are
potentially useful.
• Feedback was and is particularly welcomed from users regarding their own
practical experience of recruitment in the NHS (including other potential sources
of information to supplement NHS Jobs) and we will use this information to
refine and focus further statistics.
• This afternoon there is a session which will look in more detail at this
development, and remember;
– Vacancies information is part of the workforce Minimum Data Set;
– Information on vacancies exists in ESR (and elsewhere) but in need of work…
20

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• Add graph from new publication here
Notes: The figures contained in theses graphs are intended to provide an insight to recruitment in the NHS but should be treated with caution, and users are discouraged from attempting to draw any conclusions from this data at this time.
Due to a change in methodology these figures are not directly comparable to those included in the first publication, therefore this data should not be used to extend that time series. For further details on the change in
methodology, moving from a count of vacancy adverts to advertised vacancy full-time equivalents, please refer to the 'Points to note' section of the publication bulletin.
As one vacancy advert can be used to fill multiple vacancies it is still not possible to accurately state the number of vacancies within a specific time period. Therefore the only accurate statement remains that the number of
advertised vacancy full-time equivalents shows the minimum number of vacancies advertised. It is not possible to state the precise level of undercounting, but it is possible to say that it will vary for different staff groups –
for example the undercount for nurses is likely to be greater than for other staff groups because of a number of issues including the high-level of rolling adverts used for that staff group.
Number of advertised vacancy full-time equivalents are based on adverts for Fixed term and Permanent Job Types only, with a published date within the time period specified.
Advertised vacancy full-time equivalent figures are rounded to the nearest whole number.
The HSCIC has sought some direct input from users of the system and corrected those advertised vacancy full-time equivalent values where it has gained additional information. Based upon this information, the feedback to the
consultation and cross comparison of different fields within the data, it has also been necessary to undertake some additional cleansing of the advertised vacancy full-time equivalent data as received.
Data Quality: The data has undergone some quality assurance and cleansing, however, given the fact that we are still in the early stages of analyses, all findings in this report should be treated as experimental and provisional.
As expected with provisional data, some figures may be revised prior to the next publication as issues are uncovered and resolved.
Source: NHS Jobs.
Copyright: © 2016 Health and Social Care Information Centre. All rights reserved.
This work remains the sole and exclusive property of the Health and Social Care Information Centre and may only be reproduced where there is explicit reference to the ownership of the Health and Social Care Information Centre.

NWD2.8 and NHS Occupation Codes Version 14 – proposed changes
• At the end of January the Information Standards Notice for NWD2.8 was published on the
Standardisation Committee for Care Information (SCCI) pages of our website
• The update includes a number of changes:
– Additional Job Roles, Occupation Codes and Nationalities;
– Amended Job Roles and Occupation Codes;
– Removal of Job roles and Occupation Codes
• When implementing NWD2.8 ESR are to introduce a new Position Workplace Organisation code of
‘GenGP’ for staff working in General Practice, especially for lead employers to use in ESR for trainee
GPs
• Now that the Information Standards Notice has been published, more detail regarding the uplift to the
data standard will be made available soon.
• Precise date for the values going live in ESR will be confirmed shortly and there will be more
communications / guidance updates soon
• Future proposals being developed for:
– Ambulance staff;
– Public Health (including HCS updates and Bioinformatics);
– Psychological Therapies Workforce / IAPT (other adult and child elements of mental health workforce?)
• Starting soon – a sub-group to look at Nurses, Nurse Learners, Support Staff and Nursing Assistants
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10:45 Recent and future developments – the workforce Minimum Data Set (wMDS)
• Workforce Information Architecture recommendations published on DH website here and
guidance documentation on the workforce Minimum Data Set (wMDS) will continue to be
regularly updated on the HSCIC website here
• First data (as at 31st March 2015) based on the wMDS published on the 2nd of September.
• Included separate information for Independent Sector Healthcare Providers and much more
detail for GPs and Practice staff.
• There has been no Census collection for 2015 – the September 30th 2015 wMDS collection will
be published on 30th March in its place.
• DQ implications for organisations using ESR; for Chesterfield and Moorfields Foundation Trusts;
for General Practice and for Independent Sector Healthcare Providers…
• wMDS – expansion of fields of interest, DQ related to Primary care / GP staff on ESR and how
to code GPs/Registrars etc. correctly
• GPs paid by secondary care organisations - use code 921, use 921 for GP Registrars on
placements in GP Practices and differentiate trainees with Payscale, use Position Workplace
Organisation code of Gen05 (Other) then GenGP when available
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The wMDS continued…..
• Data quality will be a focus – for ESR and beyond, the wMDS its capture and promulgation will be a
developing process for years to come for all sectors but particularly for new elements not previously
covered by the census
• Already the development of the wMDS is highlighting lots of issues to feedback into the data
standards and guidance – for example updating the definitional information within the NWD
• Shining a light on the elements of the data standards which have not been focused upon at a national
level previously – likely to link to future DQ push as issues are discovered
• WOVEN tests to be refined to meet the needs of wMDS extract from ESR – also ESR BI data quality
reporting
• Implementation of wMDS is leading to requests for new values to ensure the NWD is fit for the new
areas it is to cover (e.g. Primary Care, Independent Sector),
• Increasing the scope of the Workforce Information Review Group (WIRG) to cover more sectors
• How to handle DQ initiatives outside of ESR – validation elements of wMDS Collection Vehicle,
Primary Care Web Tool, other focused tests?
• Other sectors also need workforce information – a Public Health Minimum Data Set on the horizon, a
subset of the wMDS and beyond?

Hospital and Community Health Service Workforce Consultation
• The final response from the HSCIC to the consultation was published
in mid-February – lots of useful responses received to the
consultation and the team are busy acting upon that feedback in
developing the publication for the end of March and reworking the
time series of data on the new basis.
• There are a lot of references to workforce data quality in the
responses – a key theme being that it is crucial to get the data quality
issues resolved at source rather than trying to accommodate them
within subsequent data processing
• A mixture of relatively straight forward data quality issues, e.g. Chief
Execs with Z codes or Chairpersons with G codes, and grade
mismatches;
• with more complex issues – for example, although use of Job Role
and AoW are wanted by many responders, some, particularly trusts,
question its accuracy and usefulness.
25

HCHS Workforce Consultation Continued…
• The response below from the National Audit Office has some
pertinent observations:
– As the HSCIC’s data show, there are some 1.2 million Hospital and
Community Health Service staff, accounting for around two-thirds of
providers’ expenditure. Given the scale of the workforce, we would
expect providers, commissioners, regulators and other national
bodies involved in oversight of health services and workforce
planning to have adequate data to support their role, and a good
flow of data around the health system in order to exploit the possible
insights…….More generally, we have previously highlighted that
there is often a lack of common data definitions across health and
social care, and we are concerned that the importance of data
quality is not communicated effectively to frontline staff: often little or
no information is given about why data is collected, how it will be
used, or the impact of poor data quality.
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HCS and Informatics re-coding feedback.
• At the last Roadshows we provided a considerable focus on the Healthcare Science
recoding and the drive to use the new Areas of Work for Informatics staff
• What have been the lessons learnt? What feedback have we received?
• Positives of involving the clinical / service managers – need to provide clear and timely
communications and guidance
• Timing is importance – clash with Equivalence process and confusion caused
• To be unambiguous and to take on-board issues that are high-lighted – pan-Pathology.
• In general, for HCS changes the Occupation Code changes have been made and look
consistent, though issues remain – especially for staff with BMS / CS registration…
• Job Role and Area of Work need to be looked at further
• Still getting feedback from Trusts about validations of Job Roles versus Occ Codes etc.
27

Prepared by Stuart Jones of
the NHS ESR Central Team
Feedback on Healthcare Science re-
coding to ‘U’ Matrix.

Implementation of ‘U Matrix’ in ESR (England only)
Occ Code/Job Role/Pay Band (November 2015).
Job Role/ Pay Band Combinations Occ Code/ Pay Band Combinations Occ Code/ Job Role Combinations

‘U Matrix’ Occ Code vs Area of Work (England
Only – November 2015). AoW General Issues.
• The ‘catch all’ AoW of
‘Pathology’ accounts for
around a 1/5th of all the
errors.
• An AoW related to a
different HCS theme has
been selected.
• An AoW not listed within
the ‘U’ matrix has been
selected, in many cases, the
Medical AoW.

11:25 Break
• Five minutes break before we start the final
session before lunch…
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11:30 Data quality tools and guidance: WOVEN Background
• The Workforce Validation Engine (WOVEN) reports are now a familiar feature of the NHS workforce
landscape.
• Still many organisations not choosing to open / action their reports despite attempts to increase
participation.
• A number of organisations use their WOVEN scores and rankings as part of their Board reporting process
on a monthly basis.
• Used regionally as part of workforce DQ efforts – e.g. North West, Yorks and Humber, East Mids, Kent,
Surrey and Sussex etc.
• Highlights data inconsistencies and provides detail for correction directly in ESR
• Reduced the need for burdensome DQ efforts associated with the HSCIC data collections and improves
the utility of the data at a local and regional level
• The concept is just as relevant to the wMDS as it was to the census - additional DQ efforts more focused
– e.g. issues with position workplace organisation, issues with unusual assignment status information
• Ability to override genuine inconsistencies and focus on issues

WOVEN hints and tips
• The key is to ensure that practices and processes are in place to capture the
information at source and input the data in an accurate and timely fashion
• Work with clinical / functional teams
• Share best practice across teams – Recruitment, HR, Payroll and Finance and
beyond!
• Make use of recently updated guidance materials and tools available
• Acting on your ESRBI DQ reports will help to improve WOVEN scores
• ESR Self Service / Manager Self Service should help
• Some means by which people can maximise the impact of their efforts:
– How to best handle large numbers of errors – ESR mass update facility?
– Deal with inconstancies against the lowest record count first to have the biggest impact
on your overall score
– Quick-wins e.g. equality if you have asked the questions and staff have not responded
after a sensible length of time, then it is appropriate to complete the field as ‘not stated’.

WOVEN The Future
• Focus on Items of national importance in WOVEN – for strategic /
workforce planning purposes
• HCS implementation and the workforce Minimum Data Set (wMDS) are
likely to influence further WOVEN developments, with possible
suggestions:
– Providing a means of testing use of new occupation codes / JR and
AoW values and their combinations for the correct identification of HCS
roles including link to registration information?
– Informatics Area of Work checking (to avoid use of catch-all
‘Informatics’ value rather than detailed values)?
– Considering fields or combinations of fields which have not been
heavily validated previously but which are essential for the wMDS
• ESR Business Intelligence DQ reports (and collection mechanisms for
the wMDS) are likely to lead to refocusing of WOVEN DQ reports away
from ‘validity’ and towards ‘accuracy’

WOVEN The Future – what next?
• The updated WoVEn reports went live for the August run, including the Restrictive Date change (to
01/04/2013) and clear guidance regarding the Restrictive Date change has been circulated to users.
• All other proposed changes previously discussed are currently on hold, pending… Drumroll… Trumpet
Fanfare… the full redevelopment of the system and make it fit for purpose with support from a technical
team within the HSCIC!
• The redevelopment has begun, the proposed updates went out for two weeks consultation and the
responses are being summarised by the team – if you have did not see the consultation, but would like
to be included in the response, please contact Janice: wip.queries@hscic.gov.uk
• In future WOVEN more flexible and more easily configurable by HSCIC workforce team – more
reactive to change, more targeted DQ and testing implementation of data standards updates
• This is the first stage in gaining input to the proposed updates from the WOVEN user community so that
we can develop a proposal to take WIRG and the ESR HR SIG before we can make changes to the
specific validation rules
• We have requested feedback on 3 particular elements of the development:
– Existing WoVEn validations – any changes required, any tests to be dropped?
– Minimum changes which have already been agreed by the HR SIG – are these proposals still valid?
– Suggested additional changes for consideration – any additions, changes, comments (including Priority)?
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ESR
Reporting, Tools, and Guidance.
Stuart Jones
NHS ESR Central Team

As mentioned earlier, a
number of data items have
seen a general increase in the
quality of the information held
in ESR.
Introduction - Positives

Sickness Reasons - Improvement
November 2009
– over 30% of
all Lost WTE
days “Unknown
causes / Not
specified”.
November
2015 approx.
8%

Sickness Reasons – what is hidden in the
unknown?
November 2009 – 10% of all Lost
WTE Days “S10
Anxiety/stress/depression/other
psychiatric illnesses”.
November 2015
around 20%

Introduction - Negatives
• Missing Data – Recruitment Source, Destination on Leaving,
Equality and Diversity information.
• Certain Assignment combinations of Job Role/Occ Code and
Area of Work.
• Inactive Bank Assignments and unclosed vacancies in ESR.
…..and the mildly interesting!
• AfC with Contracted WTE > 1.00
• A number of records where people exist in two organisations,
but with different dates of birth.
• Person age - 116 years old, one person aged 954 and a
person age 8 months.

• 7000+ records overall (excluding Maternity
Leave, Career Break, Suspended Assignments)
• Of these,
• Excluding Bank and other registration (Role either
requires NMC or HCPC registration, but still assigned
to Nursing Occ Code), around 3000+ records where
registration has expired or no details in ESR
• Dummy registration details - 00N0000N, 00O0000O
• Non EU – EU nurses
• Newly qualified awaiting registration details
Nursing Occ Code with an expired
registration status or no NMC details entered
into ESR.

Gauging the quality of your
data

Gauging the quality of your
data.
• Data quality assessment - exposing data errors in order to plan
strategies to rectify issues.
• Data quality issues are generally easy to discover, but maybe more
difficult and time-consuming to correct, generally, they can be
traced to one of the following causes:
 Inconsistent in structure, format/ values (Job Role/Occ
Code/AoW)
 Missing data, default values, NULL values (E&D, SoR)
 Typing/spelling errors, data in wrong fields (Date of Birth,
Names)
 Business processes, training, guidance

ESR Reporting, Tools, and
Guidance.
• ESR NHS0078 - ESR HR Best Practice Guide.
• ESR Business Intelligence (BI).

ESR NHS0078 - HR Best
Practice Guide.
Available via Kbase.
Informs users on how to best utilise ESR functionality.
Reviewed and revised after every major ESR release.
An aid to understanding the flow of processes and system
interaction helping to drive the most effective and efficient use
of ESR.
Underpinning ESR best practice is an understanding of the
necessary data requirements and when, where, and how they
should be populated within ESR.

Practice Guide
Establishment Control via Workstructures.
Recruitment processes, including use of 3rd party
e-recruitment systems.
Inter Authority Transfer (IAT) process and
Occupational Health Details.
New Starters
Changes to Person and Assignment records.
Terminations.
Re-hires.
Reporting that supports each process.
Data Standards.
Interfaces that can be used to enhance the core
ESR functionality and streamline business
processes.

Practice Guide
• One key aspect of ESR is the ability to report on a wide range
of workforce information, at a local, regional, and national
level.
• This reporting will be more straightforward and useful, if by
following best practice, the data quality of the information can
be relied upon.

ESR Business Intelligence (BI)
• Key to using ESR data to support decision making.
• Available to managers and central functions.
• Full suite of standard reports provided.

• Documentation / Captivates.
• ESR-NHS0151 Guide to ESR BI Dashboards.
(available on Kbase)

Available
Dashboards.

Data Quality Dashboard.
• Dashboard released in June 2013.
• The majority of the tests mirror and support the HSCIC WoVEn
checks, but there are a number of additional measures.
• These additional tests within the Dashboard are designed to
assess key data quality tests agreed by NSIG chairs.
• It has been designed to provide the user with a summary of all
available tests, and then a detailed analysis of each individual
test.

Data Quality Dashboard.
Summary ↓
Detail ↑

Workforce Information Verifier
Dashboard
• References guidance from HSCIC – NWD &
Occupation Code Manual.
• Describes a Position data set by:
Occ Code/Pay Band
Job Role / Pay Band
Occ Code/Job Role
Occ Code vs Area Of Work (Healthcare Scientists ‘U’ Matrix
Only)
• Compares these against Assignments/ Positions,
giving a Red/Amber/Green rating.
• Reports at both summary and detailed level.

Workforce Information Verifier
Dashboard
Summary ↓
Detail ↑

WoVEn in relation to overall
data quality
A little unscientific research:
Top Ten WoVEn Scoring Organisation in comparison to Bottom Ten (excluding
very small organisations).
Occ Code / Job Role Combinations
 Top Ten: 11% of Assignments have a invalid combination
 Bottom Ten: 18% of Assignments have a invalid combination
Sickness Absence Reason
 Top Ten: just over 7% of the sickness classified as “Not known or not elsewhere specified”
 Bottom Ten: nearly 23% of sickness classified as “Not known or not elsewhere specified”
Recruitment Source Not Entered
 Top Ten: 0.25% of New Starters
 Bottom Ten: 63% of New Starters
Sexual Orientation and Religious Belief either “Do not wish to disclose” or “Not entered”
 Top 10: 35%
 Bottom 10: 53%

Question to consider/discuss
By attempting to become a high scorer in
the WoVEn process, can an organisation
give themselves a better insight into their
data issues, using this to improve the
quality of all the information they capture
within ESR?

Further Information
• ESR Website : http://www.esr.nhs.uk
• ESR Account Manager
• ESR Transition & Enhance
• Kbase: http://www.esr.nhs.uk/kbase
• Guide to National Dashboards
• Captivates

Data Quality Roadshow
Mike Burgess
Head of Workforce Strategy and Planning

Overview
• HEE’s Primary Purpose;
• Comprehensive Spend Review;
• 5 Year Forward;
• Lord Carter Review;
• Data Quality and Workforce Planning;
• Data Quality Position;
• Summary
@NHS_HealthEdEng #insertcampaignhashtag

HEE’s Primary Purpose
HEE’s primary purpose of ensuring the NHS has the
right staff with the right skills, values and behaviours
in the right place at the right time in the right numbers
remains unchanged

Comprehensive Spending Review
In Summary - The Government’s spending intentions up to 2020
includes;
• a commitment to protect the NHS and fund the Five Year Forward View;
• the investment in education and training that HEE will receive is flat
cash;
• that from 2017;
• nurse and AHP undergraduate courses would be treated the same as other
university courses (HEE currently pays tuition fees and provides students
with bursaries);
• we will gradually lose that proportion of our income that pays for
undergraduate nurse and AHP courses, the money moving to the Students
Loans Company for the new system.

CSR Cont.
• that whilst the system of commissioning and funding is changing, HEE’s
statutory duty to ensure the NHS has a ready supply of suitably
qualified professionals aligned to its service needs remains unchanged;
• that we will still be responsible for workforce planning through our
continued responsibility for clinical placements which every
undergraduate nurse and AHP course requires.

CSR Cont.
• We will need to ensure that we continue to focus on the highest
priorities and invest specifically in areas such as primary care,
emergency care, workforce transformation and new professions;
• How we fulfil some of those responsibilities in a different way from 2017
onwards is still being discussed and may mean that our 2017 Workforce
Plan will look different.
• It is therefore really important that the information we work with,
including data from a range of data systems like ESR is of the highest
quality

The CSR has
already had an
impact on our
investment plans for
2016/17 reigning
back our planned
intentions for
education
commissions.

Five Year Forward View
• two separate but interconnected plans are required:
• a one year organisational “Operational Plan” for 2016/17 - to be completed
by April 2016
• a local health and care system, five year, ‘Sustainability and Transformation
Plan’, which will cover the period October 2016 to March 2021 – to be
completed by June 2016
• this will require system leadership including;
• local leaders coming together as a team;
• the developing of a shared vision with the local community and government
government as appropriate;
• a coherent set of activities to make it happen;
• execution against plan; and
• learning and adapting
• Access to future transformation funding (£8.4 billion) for five year period

Lord Carter Review (Feb 2016)
Lord Carter States:
“During our visits to trusts we realised that despite the national
electronic staff record (ESR), many trusts did not have a full picture
of where all their staff are and what they are doing – which is critical
if trusts are to optimise their resource.”
“Trusts must get a tighter grip of their coding to the ESR
database and use the data in their daily management of staff
…”

Data Quality and Workforce Planning
Data Quality is essential in order that HEE are able to make
informed decisions on your behalf. Your data will help us
understand the current workforce dynamics incl.;
• Staff movement across the health system, for example;
– Starters incl. newly qualified, EU and Non EU employment;
– Leavers incl. retirements, internal and external movement
• Establishment, Staff in post, participation rates, vacancies etc.
• Populating WRaPT
This will all help inform workforce plans, transformation plans,
understand Vanguard and Pioneer pilot directions and assisting us
with our investment decisions which includes placement
commissions.

Integrating Service: Why Data Quality?
Organisation B
has poor data
Organisation A
has poor data
Organisation C
has good data
Organisation D
has poor data
Organisation E
has good data
S
e
r
v
i
c
e
I
n
t
e
g
r
a
t
i
o
n
Who does what?
In which team?
To whom?
In which location?
From which Cost
Centre?
Where they will
move to?
Without good quality data, how do we know?

Summary
• CSR has had an impact on HEE funding and how education
commissioning for Nurses and AHP’s will be delivered;
• 5 Year Forward introduces one year organisational plans and five
year place-based ‘Sustainability and Transformation Plans’;
• Lord Carter Review states we must get a tighter grip of our coding;
• Good Quality Data provides the base for well informed plans;
• HEE South West – data quality scores are good but we could all
do better;
• HEE’s primary purpose remains, ensuring that the NHS will have
the right staff with the right skills, values and behaviours in the
right place at the right time.

Kieron Walsh
ESR NHS Development Team
kieron.walsh@nhs.net
The importance of good Data
Quality
How workforce data is used by regional and
national bodies and the implications of poor data
quality

Who uses
ESR
data?
Who
doesn’t?
Update:
Monitor
+
NHS TDA
=
NHS
Improvement

NHS Litigation
Authority
Monitor NHS Trust
Development
Authority
Health
Education
England
Local
Education &
Training Board
Employing
Authority
Department
of Health
NHS
Employers
Pay
Review
Body
Medical
Insurance
Liability
Workforce
Plan
Diversity
&
Inclusivity
Efficiency &
Effectiveness
Parliamentary
Question
Freedom of
Information
Absence
Management
Pay
Working
LongerRedesign
Training
Registration
Recruit
&
Retain
Competence
Care
Quality
Commission
Health & Social
Care Information
Centre
NB Not
exhaustive!
Clinical
Commissioning
Group
Commissioning
Support Unit
Pension
Policy
Commissioning
What’s
the
data
used
for?
Appraisal

Under the spotlight!
“During our analysis we consistently found imperfections in the
data reported by individual trusts, whether it is allocation of staff
to the national Electronic Staff Record (ESR), returns to the
Estates Returns Information Collection (ERIC) or compilation of
reference costs. Given this, we cannot stress strongly enough
how important it is for trusts to record and report data
accurately, particularly as this data will be used for a more open
and integrated approach to performance management across the
NHS. “
https://www.gov.uk/government/publications/productivity-
in-nhs-hospitals
“During our visits to trusts we realised that despite the national
electronic staff record (ESR), many trusts did not have a full picture
of where all their staff are and what they are doing – which is critical
if trusts are to optimise their resource. Our first iterations of the
model hospital using the ESR data exposed this and made
comparison difficult in some specialties. This is why we recently
asked every trust for a snapshot of their staff so that we can work
out where they are working and to enable us to make more
meaningful comparisons across the NHS. Trusts must get a tighter
grip of their coding to the ESR database and use the data in their
daily management of staff as described later in this report so that
such snapshot exercises will be unnecessary in the future.”

Widely used data items
Position data
• Pay Grade
• Occupation Code
• Staff Group/Job Role
• Area of Work
Person/Assignment data
• Protected characteristics
• Contracted WTE
• Headcount (NHS Unique ID)
 All the data is collected for a
purpose!
All
data
items
are
equal,
but
some
data
items
are
more
equal
than
others.

Apprenticeships
• Govt target = NHS deliverable
• Identifying Apprentices on ESR:
Staff Group / Job Role
• If can’t get data from ESR:
Questionnaires
• Problems?
o Why are numbers so low?
o Recruits to Apprenticeship posts OK, but existing staff taking up
an Apprenticeship?
o Apprentice in what?
Future:
• Framework changes in 2017: New data requirements?
• NHS Employers & ESR discussing options to gather more robust
data; possible new data items/values (STOP PRESS: New NI Category
Code ‘H’ for Apprentices under 25)

Recording Care Certificates on ESR
• Following Cavendish Review the Care Certificate was established for
Health Care Assistants, Assistant Practitioners, Care Support
Workers and those giving support to clinical roles in the NHS where
there is any direct contact with patients.
• Must complete the Care Certificate within 12 weeks of starting
• Must meet all of the outcomes and assessment requirements for all
15 standards.
• Managing Care Certificates in ESR
(Kbase file: https://www.electronicstaffrecord.nhs.uk/kbase/afile/28/6278/)
• Competence Frameworks (ESR April 2015):
- Care Certificate (CCF)
- Higher Certificate (HCF)
• Both are included in the pre-hire IAT process which delivers
competence information to the Stat and Mand role holder (and local
variants).

Recording Position Requirements
NB Best Practice to use Position Competency Requirements, but not
mandatory.
Recording Completion
Enter onto ESR via one or more of:
• Self Service
• Learning Administration/Class Administration
• Competence Update Settings
BI Reporting e.g.

Sickness Absence (1)
Poor data impacts on:
• Local and wider workforce resourcing
and planning
• Failure to identify and take action on
Sickness Reasons
Close down Sickness records!
• Examples of ‘open’ absences lasting
years!
• Use BI Reports to identify ‘Long Term’
Sickness:
o Address genuine cases as per local
procedures (Refer to OH, Assess
Employment, 1/2 or No-pay triggers)
o Close any left ‘open’ in error

M&D Sickness rate far lower than other staff groups
• Check using BI Reports
• If genuine, why?
• Contradicted by high usage of Locums?
• If data collection/entry issue, how to address?
December 2015
All England
ESR Data Warehouse

Check BI Reports for other outliers or trends
(e.g. Directorate / Staff Group / Pay Band /…)
December 2015
All England
ESR Data Warehouse

Equality & Diversity (Diversity & Inclusion)
• Data needed for:
o Public Sector Equality Duty
o Workforce Race Equality Standard (WRES)
o Working Longer
• NHS England ‘position paper’ >>> Data Standard
o Sets out data items and values in use within NHS (patients and
workforce) http://www.england.nhs.uk/ourwork/gov/equality-hub/intelligence/
o Consider impact on service (cost, training), and demands on
system suppliers (cost, timing)
o Data Standard >>> Changes to ESR
o Inclusion of Transgender? (tbd)
 Check for ‘old’ (numeric) Ethnic Group values
o Obsolete since 2001
o Amend via Employee Self Service or HR Core Form
o Do not ‘map’, individual must select current value
 National Workforce Dataset v2.8: Nationality LOV’s

ESR Interfaces enable transfer of data from other
systems
ESR Interfaces with GMC, NMC, Deanery, NHS Jobs, T&A,
General Ledger, etc..,
• Saves time and effort on data entry
• Data is transferred accurately
 Relies on identifying the individual and/or the position so initial data
entry is crucial.
ESR / GMC Interface:
• Must match on GMC No and Name
• Correct match will then maintain ESR using data from GMC
Register
• No match = No update (Prof Reg report will flag up)
• ESR must hold person’s legal name, GMC may hold a
‘professional’ name
• Once the ‘link’ is established remove any previous manually
entered rows with overlapping dates

• ESR’s IAT functionality enables transfer of data from one employer to
another
• Saves time and effort, reduces errors through re-keying
• Ensure data is correct before passing on!
• 8,748 IAT transactions in January (All England + Wales)
• 97% Auto IAT transactions.
• Of the 3% non-Auto IAT’s 70% could have been. So ~99% could have
been Auto IAT.
Inter Authority Transfer
502 311 307 311 308 293 544 418 392 335 256 250
9,000
7,195
8,439
5,996
7,042 6,702
16,350
12,050
13,057
9,671
7,494
8,498
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
16,000
18,000
Feb-15 Mar-15 Apr-15 May-15 Jun-15 Jul-15 Aug-15 Sep-15 Oct-15 Nov-15 Dec-15 Jan-16
Numberofrequests
Total Number of IAT Requests and the Split between Automated and non Automated
# Non-Auto requests # Auto requests

Self Service (1)
• Based on changes made and recorded on the Employee Change Event
Log.
• Only changes that can be undertaken in both SS and Core forms are
included.
• Data for January 2016 across England and Wales.
15%
85%
SS
Non
 ESS & MSS = data
entry at source:
sooner and more
accurate.
 Lots of scope to
increase SS usage!
477,003 changes using Self
Service
2,597,679 using core
application.

Reduce delay between Sickness Absence Date & Absence Entry:
• >70% of Self Service entered sickness absences is done within a week of the date of
the absence, compared with <13% of core forms.
• >40% of non-SS entered at 5-9 weeks: monthly input from timesheets or via
interfaces? (Often this peak is in the 4-5 week range. Affected by number of weeks in
payroll period.)
• <11% >5 weeks for SS – get data earlier: act on it sooner.
Self Service (2)

ESR BI Reports
Whole range of reports are available
• Use BI compliance reports (Prof Reg,
Competence, etc..) to look for gaps in data as
well as expired entries
• Use BI Data Quality report mirroring WoVEn
o Check >> fix >> re-check
o Own timescale & frequency
• Other BI reports (staff in post analyses, lists,
etc..)
o Odd values
o Odd combinations (Occ Code v Staff
Group/Job Role)

Further information on ESR
• User Manual
• Kbase
• Development Schedule
• User Notices
• ESR News
• Reporting Guides
• Case Studies
• HR Best Practice
All available via ESR
website:http://www.electronicstaffrecord.
nhs.uk

The importance of good data quality, how workforce data is put to use….
• Workforce planning and education commissioning
• A key use of the data – drives so much of the work for both Staff in
Post information and future forecasts
• Crucial that the information is correct or issues with over / under
supply will be inevitable
• Issues with HCS workforce forecast template – getting the data
right…
• Policy planning & monitoring, etc…
• Not just PQs, Targets and FoIs
• How to understand how healthcare can be modernised – a key
element of the evaluation of the Vanguards?
• Lord Carter Review!!!
110

The importance of good data quality, how workforce data is put to use….
• Who’s staff group is it anyway?
– Differences between:
 HEE workforce plans
 NWD/ESR Staff Group
 Staff Groups in HSCIC publications
– There are differences – need to understand and explain why
the differences exist
– The outcome of the HCHS consultation will have an impact
– But good data capture and coding allows different splits…
• Difficult questions – e.g. Acute Nursing versus Community – how
to identify?
• Different models of care, integrated health and social care…
• Lots of implications for data quality, data standards and guidance!
111

14:05 Break
• Five minutes break before the final afternoon
session…
112

Mike Winstanley
ESR Account Manager
North West & West Midlands
mike.winstanley@nhs.net
Data quality and your own
organisations

Data quality and other ESR
users in your organisation
• What some teams do (and don’t) input affects other teams for future data
management
• Do you understand the effect of your work on other colleagues within your
organisation?
• Better use of workforce data supports Streamlining programmes, for example
Recruitment Source, Destination on Leaving, Competencies etc.
• Unnecessarily creating new employee records for rehires leads to duplicate
records, errors, and poor data quality
• Use of separate systems that duplicate ESR functionality reduces the amount of
data in ESR and the quality of the overall record.

Streamlining ESR processes in HR and
Recruitment: Webinar Sessions
o Using ESR with recruitment campaigns
o Standard references via IAT
o Occupational Health and ESR
o OLM – Self Enrolment on classroom courses
o Transferring ‘stat & mand’ competencies via IAT –
o Employment checklist including DBS –
o Hiring applicants to substantive role who already have a Bank (or other)
assignment –
o New starter process –
o Recruitment housekeeping – 2nd March
o Employee Relations module overview - 9th March

Data Quality and the
Compliance Matrix
This competency has been set as
a requirement for the
individual’s position, and this
individual has achieved it
These competencies have been set as
requirements for the individual’s
position, and this individual has not
achieved them.
If they are not required by the
organisation, then delete the
requirements at organisation, position or
job role level
}
This competency is not required for the
individual’s position, but the individual has
achieved it for some other reason.
It should be ignored for the purposes of
stat/mand compliance, but should not be
deleted as it is a valid competency that the
individual has earned

Employee Self Service –
Smart Card Not Required

Return to Practice courses – a recent example
• To combat nurse shortages, Health Education England running
national Return to Practice Programme.
• Effectiveness of programme in addressing staff shortages affects
all NHS organisations.
• To evaluate effectiveness, HEE need to know how many RTP
graduates secure jobs in NHS organisations.
• One method is via ESR Data Warehouse – new starters with
“Return to Practice” in Recruitment Source field.
• Blank for many staff; recruitment teams not requesting this
information and new starters not volunteering it.

Nurse recruitment & retention – a recent example
• Trust believed they had performance and retention issues
with EU nurses. Anecdotal evidence they were leaving
after a short period
• Trust was not recording recruitment source so only
method of identifying EU nurses was that they were
recently recruited, so had to report on recent recruits and
then filter manually
• Trust was not recording reason for leaving but believed
many EU nurses were being attracted to neighbouring
trusts with higher premiums.
• Trust was not recording destination on leaving so unable
to validate this theory and take steps to address

14:25 NHS Jobs data quality / Healthcare recruitment information development
(Nick Armitage);
• The need for recruitment / vacancy information is not going away:
– workforce planning,
– pay review bodies,
– shortage occupations,
– safe staffing,
– public accountability etc. etc.
• Building on the Vacancy Statistics publication we have already made we would
ideally like to publish a lot more:
– Finer detail of roles and occupations,
– Hard to fill vacancies
– Vacancy rates etc.
• But there is no totally comprehensive data source which provides a full and
accurate picture - different sources (NHS Jobs, ESR, BMJ etc. – survey!?!?!)
• Need to get DQ right here for recruitment information and to remember it also
feeds issues down the line…
123

14:25 NHS Jobs data quality / Healthcare recruitment information development
(Nick Armitage);
• Early days for DQ in NHS Jobs – not like ESR!
• DQ and the new NHS Vacancy Statistics development, data quality in
NHS Jobs and the starting point of a lot of DQ issues, which cross into
ESR – e.g. Equalities information
• At every stage in the process there is potential for data not to be
captured or entered correctly, ripples down the system and feeds ESR
• Close down Vacancies on ESR, Establishment FTE value – found one that
is actually an Employee Number.
– ESR is the key data source – other systems / processes feed ESR and
ESR data is used to make decisions etc.
– It is everyone’s responsibility to ensure data is on ESR – not just for
vacancies, links to other sections
124

14:45 Plenary, questions and answers – next steps (Nick Armitage/All)
• Remember what the data is used for, why it is
important – we are working together, DQ is
everyone’s responsibility!
• Key messages:
– individual and collective responsibility for DQ;
– how issues flow from start to finish
– that impacts can be felt locally, regionally and
nationally
– Help is available!
127

• Be positive – we must remember that DQ is generally good!
• A lot of effort has been put into improving it and into providing means to help
people improve it including the tools, guidance we have discussed today
• But… there is still more to be done – offers of help from ESR (linked to
development under new contract) and from HSCIC (redevelopment of
WOVEN etc.).
• The benefits of good (and improving) DQ – are felt locally, regionally and
nationally:
– local KPIs,
– Metrics,
• How better decisions can be made at all levels creating:
– cash savings,
– reducing locums and agency spend,
– ensuring NHSLA premiums are correct
– workforce plans that reflect your needs!
128

Barriers to Data Quality?
1. What stands in the way of good data quality?
2. How can we lower or remove those barriers?
129
Bear in mind throughout the day.
Feed back during sessions or at end.

• Questions and Answers;
– Including those captured but not yet answered over the course of the
day
• Did we meet the objectives of the day?
– Please complete your feedback forms so we can learn from the event
– Please return your name badge so we can reuse them
• Next Steps;
– Slides to be made available on HSCIC website
– Responses to any questions not answered today to be included
• Thank you for your interest and your continued involvement
• Take the messages home, go forth and DQ!

Changes to the workforce classifications for Healthcare Scientists and
how it will be handled in the NWD and ESR

Useful Links / Resources
• WOVEN Guidance / Override request form
• NHS Occupation Code Manual and sub-specialty annex
• NWD Specification
• NWD Guidance documents, including Job Role & Area
of Work guidance, Informatics Guidance and
Healthcare Science Guidance
• DH WIA Report
• HSCIC wMDS Guidance
• The HSCIC Corporate DQ role
• The Health Education England (HEE) Mandate
• DH Priorities from their corporate plan

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