2012-13Data Collections Workshop

School Workforce return (SWF 2012)

25th September / 28th September 2012

Data & Statistics Team (S.P.P.)Children’s Schools & Families Directorate

What is the SWF census?This is a statutory annual return expected from each Nursery, Primary, Infant,Junior, Secondary and Special school, including Free schools and Academies (but not the PRU).School Workforce census (SWF) is collected by LAs for the Department for Education (DfE).

The government (DfE) explain that it is their main source of information on schools’ staff including:

(a) teacher and support staff numbers;(b) pay of teachers and support staff; (c) teacher and support staff qualifications (d) teacher deployment;(e) teacher and support staff absences;(f) teacher vacancies.(g) rates of teachers joining and leaving and moving school

Extracts from it are also supplied to other government agencies, so a ‘Privacy Notice’ is expected to be issued by schools to staff as they join explaining that their data will be shared with DfE, etc.This Privacy Notice should be part of the New Starter Pack and the LA have a Sept 2011 one that is still relevant available at: http://webfronter.com/towerhamlets/dataandstatistics/menu1/School_Workforce_Census/Privacy_Notice_as_pdf_for_School_Workforce_Census_September_2011.pdfIt is also used to provide the workforce information provided in the schools performance tables soIt is essential that all schools provide good quality information in all relevant modules.

This session of our workshop is an overview of theSchool Workforce processes that schools will follow in order to:

1. Prepare school Management Information System (MIS) before School Workforce (SWF) census day. (also see ‘SWF Preparation’ info on WebFronter)

2. Fix most problems early (weeks before census date) via one or more practice runs (once MIS ready) & check each on ‘Collect Familiarisation’.

3. Capture census day data and load headcounts into MIS, create SWF return on census date, resolve issues on MIS. (form+info: WebFronter + MIS training)

4. Create ‘School Summary’ report from your MIS (if available in the MIS) keep this to check figures (if no issues in 5 below) with Head Teacher.(see MIS training + if DfE publish any guidance on using SWF School Summary we will put it on WebFronter)

5. Authorise in MIS, Upload to DfE ‘COLLECT LIVE’, (and once validated): open, check, next day report, resolve issues, add notes & submit return.

(by following steps of LA’s ‘Collect Process’ document that will be on WebFronter SWF page by mid-October).

Key SWF Dates

Collect Familiarisation Site opened: July 2012

(schools use it to check returns & identify most issues before census date)

Census date: 06 November 2012

COLLECT LIVE opens for return: from 7:30AM on census day this year.However, given that all schools in England get access at same time Collect users

may need to be very patient as performance may be very slow on the first morning.

Deadline: School to follow all steps of MIS training + LA’s ‘Collect Process’

guide (available mid-October) to create a complete, accurate & up-to-date, error-free return file from MIS, upload it to COLLECT LIVE, check it on Collect using all errors button, ensure each COLLECT module has suitable number

of records, then, at least 1 day after upload, run Collect’s ‘Missing Contracts’ & ‘Missing Payments’ reports, check them and the latest ‘School Summary’, resolve any issues in MIS (repeating above again as necessary) and, only if return on COLLECT has no more issues, add notes (on only the queries that

cannot be resolved) and use COLLECT’s submit button by 09 November 2012

StructureFrom School: All data for all relevant staff working for school under a contract + teachers working under agreement with other organisation/agency returned by school.From LA HR: Data on 800 other staff (PRU, etc.) directly-employed by LA returned by LA instead. (LA’s systems likely to remain unable to return absence/pay data for school-employed staff).

School Workforce data in each return is arranged in 2 levels:•Individual Person (called School Workforce Member) Level: Has details for each person (who is required to have individual data) at this level.

•School Level data: Vacancies data plus Headcounts only, for specified groups of other people/posts.

Each level is then further divided into separate tables (that are called “Modules” in Collect) according to the type of data and each module holds just one type of data records.(For example the “Absence” module, “Qualifications” module, “Contract” module etc.)

Later we will see how to check each module within COLLECT to make sure that the modules do have enough data in.

Remember: Errors/queries/missing records can occur in any one of these modules…If data is missing from within a record it is likely to cause an error in COLLECT but please beware that there are no errors for a whole missing record, so although it is not a valid return, an utterly empty module or an empty return will not give you an error in COLLECT:

It is vital that you check return (after every upload) to ensure each module has sufficient data in – i.e. that (in COLLECT) the module has expected number of data records in (still).

SWF 2012 Requirements: Who?( Next 2 slides are also available in larger format on WebFronter at:

)http://webfronter.com/towerhamlets/dataandstatistics/menu1/School_Workforce_Census/SWF_Requirements_2012_.pdf

SWF 2012 Requirements: What?

(including hours for all staff - even support staff)

SWF Preparation• If your MIS is not Web-based, you may need to upgrade MIS

(as necessary) (via MIS support provider) (this is not necessary for e1 users)

• Know what data to capture on census day (e.g. use our form on WebFronter)(so school will capture necessary data for the school level headcounts part of the return)

• Load / update data on staff for example:- Contract changes (new starters/agency teachers/promotions/redeployments/contracts ended/pay increments/etc.) (items to be updated – e.g. Additional payments, Pay & Hours for all, including ‘other support staff’) (Additional Payment records need but amounts must be excluded from the ‘Base Pay’ figure) (Contracts ending in current year are needed as well as those ending in previous school year)- Qualifications (review all teacher and TA staff to ensure their QTS & HLTA status are accurate; then load any missing and new qualifications choosing subjects from DfE’s spread sheet list) http://webfronter.com/towerhamlets/dataandstatistics/menu1/School_Workforce_Census/Qualifications_for_School_Workforce_return.doc All qualifications after ‘A’ Levels (or equivalent) (i.e. NQF level 4+) for All staff. Subject should be available in list in MIS but if (in rare case) it is not DfE say use ‘best fit’.

- Absences (previous academic year: Teachers + Support staff if classroom-based for pupil/learning support) (not just sickness but anything that takes these staff away from normal duties, except training) (remember absence end dates for leavers, etc. + for sickness need number of working days lost) - Curriculum (secondary schools only but not Specials – if timetabling system can transfer it to MIS)

• Review the ‘include in workforce’ choice both on the person record + on contract record.

• Find issues before census day: practice run(s) on Collect Familiarisation site to test for issues that your MIS didn’t find; check School Summary, Collect’s All errors list + 2 (next day) ‘missing…’ reports.

Base* Pay: must type figure in here for all TAs + all support staff +

The ‘Regional Pay Spine’ + ‘Spine point’ are needed for all teachers (for SWF) but are only needed for TAs/support staffif the MIS insists (E1 insists on these for TAs/Support staff).

Hours that this person works…

In E1 if pressing ‘submit’ fails:scroll up to find & fix any red cross

Need these for All staff (Teachers, TAs & other support staff) for SWF

Inner London

Preparation – Pay

Base Pay (which used to be known as ‘Total Pay’ in SWF) must exclude any Additional Payments/Allowances, so Base Pay = annual salary rate at census day. Pro rata for part time (and if ‘term time only’ then pro rata only if necessary) but do not adjust down if started mid-year; include any safeguarded pay; exclude allowances/additional payments, which must be loaded as Additional Payment Records.

In E1 (MIS) in Contract tab: dropdowns “post or role that pay applied to” and “post or role that hours applies to” must both have the word ‘(POST)’ at end, for any contract with 2+ roles (to apply figures across all roles on the contract not to just 1).

Need the current pay & hours of all staff who are expected to work in the post at least 4 weeks if they are either Support staff directly employed by the school or are teachers/leadership (all teachers even agency).

it is usually either 32.5 hours(if ‘hours worked’ above is based on ‘directed hours’) or 25 hours (if ‘hours worked’ is based on the ‘school time table week’ instead)

… ‘FTE hours per week’ is ‘hours in FULL TIME week’ even if this person is not full time so is usually 35 hours for support staff, (even a midday assistant)

but for teachers (even ‘part time’)

Additional Payments

add/update them below

All staff with pay details also need any allowances/additional payments loaded

(TLRs, Acting / SEN / Management allowances, Inset, TA/support staff London weighting, etc.)

any teachers with a spine point that does not give correct base pay amount e.g. ‘excellent’ teachers (if MIS has already got up-to-date national pay tables)

*Until 2012 ‘Base Pay’ was misleadingly known as ‘Total Pay’ (so some MIS may still call it that)

SWF Pay Advice ( version 21/09/2012 )

Salary figure exported in SWF census

Pay Screenshot(E1) for SWF 2012

Data file from MIS Remember to load school level headcounts & vacancies in MIS first then

generate a school workforce return data file (following guidance from MIS provider)and note which folder you create the file in so you can find it again once you are uploading to COLLECT:SWF Data file: 211xxxx_SW3_211LL12_001.xml (not …SWE… nor …SC3...)(year)(attempt no.)

(in MIS keep all modules selected for inclusion in the return) (in E1 ignore “make this available for LA”)

Use SWF School Summary report from MIS (check it yourself* for obvious problems and keep it to check with head later after all COLLECT checks are passed). If DfE publish any guidance on using the school summary report in MIS then we will add it on WebFronter. (WebFronter address given at end of presentation)

*Check the figures shown on your latestSWF School Summary (without involving

the Head teacher until all other checks on COLLECT have been passed) to see if thereturn seems to be complete. (The check

of summary by your Head comes later)

Upload return file to COLLECT LIVEhttps://collectdata.education.gov.uk/

CollectPortalLive/Login.aspx

Familiarisation site is open now until census to test returns: https://collectdatauat.education.gov.uk/Familiarisation_CollectPortal/login.aspx

The Compatibility mode icon seen in top toolbar of Internet Explorer 8 (or later) =

If Using Internet Explorer 8 or later version: having Compatibility Mode on can COLLECT to ‘work’ properly.

Can only log in once this box is ticked

If you have several collections listed here you must remember to click on the right line before

clicking the Select data Collection button.

(2012)

School deadline for returns is 09/11/2012it is not the ‘due date’ on COLLECT.

The due date shown above is theDfE’s deadline for LA to get further

credibility work done for the DfE(that has to be done after all the

school returns are fully validated).

Getting Started in COLLECT

! Choose correct line from list (when selected the writing on that line is bold), then push the blue button: Note the deadline seen on this page in COLLECT is not deadline for

schools but is LA’s deadline for getting further work done for the DfE.

1

2

3

4

57

6

SWF Front Page

It is here, school must:

4 Upload, 5 Open return, 6a (day after last upload)

Launch reports for ‘Missing…’ checks,

(and once all issues resolved on COLLECT)

6b (Get Head teacher to check MIS summary) 6c (Add notes to only a query if irresolvable)

7 Press Submit to complete return.

Don’t use browser’s back button: use links on screen to go to other pages. Remember: Internet Explorer 8 users: may have to use compatibility mode.

!

3 Return Status & total errors/queries

2 In SWF blade or in another collection?

1 Testing or Live site?

(2012)

Collect Uploading: finding the right file

SWF Data file will already be:211xxxx_SW3_211LL12_001.xml (not …SWE… nor …SC3...)(year)(attempt no.)

Tip: if you cannot find the data file

then look “one level up” using

this button e.g. .using .

Collect upload in progress…Collect will ‘time out’ after 15 minutes of inactivity (even if it was busy uploadingyour return!) so beware when it ‘times out’ it does not change what is on screen.

The longest wait you are likely to have in Collect is when Uploading a return file.

If Collect is slow (in peak periods) and the screen has not changed beware thatthe screen won’t ever change if it hasn’t done so within 15 minutes (log in again)

But when uploading you should wait until the following messageappears (unless 15 minutes has passed without anything happening):

… if you have ok’ed this message (or 15 minutes have passed) it is safe to close COLLECT then immediately re-open it and log back in again. However, if Collect is behaving itself then (as soon as you ok the message above) Collect’s front page should appear showing you the “status of return” (either “Loaded awaiting Validation” or “Loaded & Validated”).There is more work you need to do in COLLECT, once the return status is “…validated”.If return status is not “…validated” yet then log off and log back in again immediately.

Collect: ‘Awaiting Validation’

Once you see that message, your return is uploaded and awaiting Validation.

You will need to wait until COLLECT has “validated” your uploaded return before you can continue… (There are further checks the school must do before you can submit)

Do not stay logged into COLLECT when waiting for return status to change, instead log off and check back on return status immediately then

periodically:

• Log in again Immediately, if return status is not “…Validated” log off…• Log in again after 10 minutes, if return status is not “…Validated” log off…• Log in again after 1/2 an hour, if return status is not “…Validated” log off…• Log in again after 2 hours, if return status is not “…Validated” log off…• Log in again Next morning, if return status is not “…Validated” call DfE:

Returns usually ‘validate’ instantly, but at peak times (e.g. most of census day) the validation by Collect may need anything from a few minutes to overnight.All returns that have loaded successfully ought to get validated by the next day at the latest, so if the return status shows the return is loaded but it does not become validated overnight then please call the DfE: DSD helpdesk 01325 39 26 26 (have handy your school’s 7 digit DfE number 211xxxx)

Checking returnonce status is “…

Validated”Once the return on COLLECT is “…validated”…School must look on the front page (the page showing the status of your return)for the error count and the query count (the count called ‘ok errors’ can be ignored)…

… but even if validated and there are no errors & no queries, school must still:

• Open return and check each module ensuring each module has sufficient data.• Open return and Check for Errors & Queries using “All Errors” button (resolving issues in MIS then creating new return file, repeating the upload & these checks again).

• Next day (once the latest return has been on COLLECT overnight)… Launch the ‘Missing Contracts’ report on COLLECT and the ‘Missing Payments’ report on COLLECT. Resolve any missing details shown on the reports (in MIS, reupload, recheck).

• Same with ‘School ‘Summary’ report (if available on Collect) otherwise use the latest ‘School Summary’ from MIS instead: Head teacher to check & approve it.• Once all other issues are resolved in MIS (and no longer seen on Collect) add notes on only queries that cannot be resolved (after investigating each to check data is correct).

• Submit return using the submit button on Collect

This is how to do those steps…

2012

…front page is the place to see total count of all errors/queries in return

For every return uploaded Schools must check each of

these modules (I have circled in red dotted lines) as each must have data in.

Collect: how to check modules?

One line is one module: Click on each item on grey menu to see that module

bold numbers here are some errors/queries but…

From Use

To get to module view

As follows…

Curriculum for Secondary

schools only

Key:

Areas of screen (in Open return)

The total number of records in this module is

shown here (if more than ten records, but if ten or less then count

those visible on screen)

(up to) 10 records shown on the screen

Navigate between pages of table using

these small arrows < >

Sorting by column: click on the column header once or click twice = descending

“Open Return” and check total number of records in each module:

63 records page 7 of 7

Filter: find someone easily by typing surname here and clicking ‘Go’ button on right

}

To quickly find those with errors: Sort by ‘Rule Errors’ twice

3 Records here

This data is forone record (theone highlighted

above) with one field per line

}Other module’s can be drilled into here}

‘View All’ shows all records in that other module that are attached to the record currently being viewed in the visible module e.g. all contracts for this person

COLLECT validation errors On Collect’s front screen you have seen the

summary count of errors and queries that have been generated, but to investigate these errors and queries “Open” the return and use button shown here for “All Errors”.

errors/queries list screen shown on next slide

There may be several page of errors: since only 10 errors/queries are shown at a time.

If you have more than 10 errors + queries then to get to subsequent pages of errors you click on one of the (page) numbers listed on the right of the blue bar at the bottom of the error list (seen on next slide).

Although you can sort the errors list by the ‘rule number’ (also known as ‘error code’)to put all cases of one type of error together, beware if you sort the list before you work down it one-by-one, remember you will have to repeat the sort every time you return to the error list view in order to find the next error).

Looking at errors and queries in detail…

Schools must click this button “ALL ERRORS” to open and view all the errors & queries in the return investigating all the errors & queries on all pages of the list and Resolving in the MIS

‘Return level’ errors are NOT all errors in return !

In Collect’s Error/Query listing…

• (To get to error list above we had already clicked on ‘Open Return’ and ‘All Errors’ button)In this list click on a line to highlight it in blue (it is one case of one type of error or query)

• Read the ‘error message’ for what is wrong then to find out whose records have this error click “Details” button then click a blue underlined link (any blue link except ‘reference date’).

• You have been taken to the appropriate person’s affected record(s); Look at the top table here to see one person listed (often greyed out). You are seeing only one record of theirs. (some errors – e.g. overlapping absences for the same person – involve a set of records. (beware red shaded boxes at the bottom do not necessarily indicate where the issues are.)To return to the page of the errors list you were on, ‘Error’ button at top right often works.

• Investigate to establish what needs fixing. Errors & Queries must be resolved appropriately in the schools MIS. If a change is necessary then after saving changes on MIS generate a new return, upload it, re-check on COLLECT (as fixes can often cause other errors to arise).

}

…but don’t choose reference date

Click a

link …

Check Collect’s next day reportsUse the “Launch report” button on front page of COLLECT LIVE (next day) which allows school to launch a ‘MISSING CONTRACTS’ report, a ‘MISSING PAYMENTS’ report (and if available a ‘School Summary’ that is also in MIS)

Reports are not up-to-date on the same day as your latest upload to CollectSchools must run these reports next day

(or as soon as possible after that, if running the next day is not possible) launch reports only onceyour latest return has been on COLLECT overnight: if you uploaded before 7pm previous evening)

Records for anyone shown on ‘MISSING…’ reports must be investigated on MIS and any contract(s) details fixed: e.g. contract end dates* (if relevant) and whether their person record or their contract records have been set** to ‘exclude from workforce’ in the MIS are both particular areas to look at.

*SIMS users: edit in correct academic year – if contract ended last year edit in that dataset. **In MIS, there may be an ‘exclude from SWF’ option (a tick box option or similar) in both the person and contract screens (although the SIMS MIS method to exclude records may be allocating a special ‘role’ choice of ‘do not include in statutory return’).Review the ‘include in/exclude from workforce’ status at both person level & contract(s) level.

Familiarisation site might not have a version of some of the reports but SWF 2012 Collect Live site ought to.

Adding notes to Queries Each upload will delete all the notes added to a previous upload so… Only add notes when:• All errors & resolvable queries on COLLECT have been fixed in the MIS, the revised data has been uploaded to COLLECT (& rechecked) and issues are no longer in Collect.• All relevant modules on COLLECT have been checked and have suitable record counts.• The overnight ‘Missing Contracts’ & ‘Missing Payments’ reports on COLLECT have been run and checked (the day after the latest upload) (and there are no issues shown).• School Summary has been checked and there are no remaining issues on return.

Queries that have been investigated and cannot be resolved need a note attached…

In Collect, ‘open return’ and use “All errors” button to list errors, then use ‘pencil’ on the appropriate line toleave suitable noteon each query thatcannot be resolved

Finally:back onfront page…remember to push “Submit” button to finish SWF return (Well done & thanks)!

Workforce

Click pencil on the query to open a notes box press ‘add new note’ and leave a suitable note (press create) to put a note on each query that is unresolvable (click return to go to modules)

Steps in MIS…Load/Review/Update SWF specific data

(e.g. contract changes, ended contracts leavers, new starters, promotions, staff absences, roles, hours & pay changes, additional payments and qualifications obtained, etc.) in MIS on an on-going

basis during school year as they happen.

School upload return to COLLECT, as shown in the next Collect flowchart, check it using LA SWF Collect Process guidance to check each module for suitable number of records and to run the 2 COLLECT “Missing …” reports and resolve any COLLECT Errors and resolve or add acceptable notes to any Queries (all these resolutions to be done in MIS system so involve repeating this MIS flowchart again) then (once all ok) school submit

return using COLLECT ‘submit’ button so that LA can ‘Approve’ and DFE can ‘Authorise’.

Initial stage of Validation of SWF return data is done in your MIS by resolving those errors/queries found by MIS

School upgrade MIS (if necessary). Then on census day:capture appropriately and Load the census day specific

SWF School Level (headcounts per group) datae.g. use our form to capture required data for headcounts.

(If MIS finds no errors/queries Collect still might)

Resolve missing data, Errors and

resolvable Queries appropriately in MIS

Generate Return

NO

YES

Produce SWF School Summary

Check figures yourself on the SWF School Summary report

Your MIS(& maybe Collect Live)

should be able to produce aSWF School Summary.

Newer School Summary is more usefullogically laid out and easy to follow.

DfE guidance on checking the returnusing the latest School Workforce (SWF)School Summary report has not yet been

published…

if DfE do publish guidance (as theydid last year) then we will send

it to schools and put it onWebFronter.

Summary Figures are OK?

NO

“Authorise” in MIS system – Head teacher’s approval step should occur here (i.e. each and every time a return

is “Authorised” in MIS). If Head Teacher wishes then their approval of the return and their check of the

summary may instead occur once only at end of all the Collect checks before pushing Collect submit button.

.

,

Go to Collect

Flowchart

Start Collect

Flowchart

YES

Is data OK?

Back from Collect

Flowchart

if necessary

Privacy Notice in new starter pack to joiners.

Flowchart Page 1 of 2

COLLECT steps

Head teacher approves latest SWF School Summary for this

version of return (if HT has chosen not been

involved in the process until after all checking).

Go to Collect LIVE and Log in and chose correct collection (compatibility mode for IE8 users)

School must to use “submit” button in COLLECT once return has complete data in each module, has no errors, has no resolvable queries (checked using LA SWF Collect Process

guidance), has no missing contracts/payments, has notes on all remaining queries and head teacher has approved – this will “submit” the return for LA to Approve and DFE to Authorise.

Use “All Errors” button to view errors and queries you may have several pages of them.

Upload (or re-upload & overwrite) latest return (‘…SW3…’ file)(wait until COLLECT says it is “queued awaiting validation”)then Log off from Collect and immediately log back in again.

Data OK ?

Resolve Errors, missing data and Queries in MIS (then

repeat whole MIS flowchart process to get a new return)

Ensure Number of School workforce members is not larger than number of contracts

NO

YES

Wait until latest return has been on Collect overnight…

launch collect reports: Missing contracts & Missing payments

Any Schoolworkforce members seen on

either report must be investigated on MIS and resolved so that all school

workforce members have pay and all SWF members including anyone who left during either current or previous academic year has a contract record in the return. A contract details type

report in MIS may quickly findthose with no contract

Anypay issues

or any missingcontracts (from summary or

“Missing” reports or if modules number of records

is wrong)

Only if Head is happy with the figures in the final summary and no missing contracts and no errors /resolvable queries or other issues:Add suitable note to each irresolvable query (See any “Acceptable notes” advice from LA)

.

Log off Collect, wait some time*, Log into Collect LIVE,

chose SWF collection(for internet explorer 8 users

switch to ‘compatibility mode’).

(*after 15 minutes for first of these check-backs, then

approximately hourly if statusof return was still “awaiting

validation” on first check-back)

Does return status say “…Validated” yet?

No

NO Yes

NO

YES

From MIS process flowchart

Check back periodically (log off & on again)

Open Return in COLLECT (if necessary in ‘compatibility mode’ for IE8 users) checking each module on left menu for suitable number of records in the tables.

Back to MIS process flowchart

Flowchart Page 2 of 2

If you can tell who or

what is missing…

If i

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by

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each

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SWF 2012: New• Date changes:

School deadline (is 9 Nov. 2012), census day (is 6 Nov. 2012 but all work on resolving errors, etc. can be done beforehand on the Collect familiarisation site), absence period (absences starting or ending between 01/09/2011 and 31/08/2012), additional payment records period (is those additional payments paid between 04/11/2011 and 06/11/2012), ended contracts period (is the contracts ended between 01/09/2011 and 06/11/2012).

• Misleadingly named ‘Total Pay’ figure now renamed ‘Base Pay’ (same definition)

All the changes that came in last year (for the 2011 return) still apply:

• Pay, Hours & any post ‘A’ level qualifications are needed for all staff (including the rest of the support staff as well as the teachers and TAs).

• Any Additional Payments are needed (for all staff) as separate records, Dfe expect these additional amounts to be excluded from ‘Base Pay’ figure.• An ‘Improved’ School Summary in MIS (if DfE publish advice on ‘summary’, will put it on WebFronter)

• Missing Contracts & Missing Payments (Next day) reports on Collect and perhaps a Collect (next day) school summary report similar to the one in MIS.

Reminder: All support staff based in classroom for pupil/learning support need (in MIS)‘Post’ of ‘Teaching Assistant’ – it is not just for those with the ‘Teaching Assistant’ role.

Support and advice:

• SWF Support contact details + further guidance is available on WebFronter:

http://webfronter.com/towerhamlets/dataandstatistics

then use the ‘Census’ menu at top and then ‘School Workforce’ on left-hand menu.

Best of luck and thank you in advance for all your efforts on this collection.