Planning business processes and resources after confirmation dry-run - Analysis template

Introduction

This template has been designed to assist you with planning your resources for the 2014/15 financial year, using the match rate from

your confirmation dry run results and other available data and information. It will help you complete activity IER019 on Cabinet

Office's monitoring portal, which is due for completion by 30 September 2013:

'Analysis of data matching results and impacts on 5Ms – Machines, Methods, Money, Manpower (Staff), Management and Reporting'

It should be read in conjunction with Part 1 of the Electoral Commission's guidance: 'Preparing for Individual Electoral Registration '

which covers planning for the transition to IER, available at:

http://www.electoralcommission.org.uk/__data/assets/pdf_file/0008/155879/Part-1-Preparing-for-IER.pdf

Where relevant, references have been given to the corresponding section of the guidance that has already been published.

Parts 2 to 5 of the Commission's guidance will be published by 30 September 2013 and will provide more information on the

processes and practices which will inform your planning for the transition to IER, and will provide a basis against which to check your

initial resources planning.

It is not a mandatory requirement to complete this template and you do not need to submit it to the Cabinet Office or Electoral

Commission.

Instructions for use

At the bottom of the spreadsheet there are tabs for each of the '5M' categories. Each row is a specific item that falls under that

category for you to consider, and columns D - F are for you to populate. If you need help completing the template, you should speak

to your Regional Delivery Manager or local Electoral Commission team.

Funding:

The final tab of this sheet contains Cabinet Office guidance on funding for IER to help you to populate the 'Source of funding' column

under each category.

Overview

Local Authority

DWP - red

DWP - amber

DWP - green

Confirmation letters

HEFs

ITRs

Sub total costs

Machines

Methods

Money

Manpower (staff) and skills

Management and reporting

Total projected costs 2014/15

Cabinet Office funding allocation (October 2014)

Local Authority budget

Local data-matching results (where applicable)

Green > red

Amber > green

Red > green

Electoral and confirmation dry run data

Issues to consider Data/information Anticipated requirement Projected cost: one-off or

duration

Source of funding

Software

Contractual arrangements

ICT recharge for upgrades

Annual maintenance

Additional costs e.g. local data matching programmes, online (and other

non-paper) HEF response methods

Licence costs for additional staff

Current contract specification (procurement team may have a copy)

Number of licences under contract and cost of additional licences if

required

Services offered by supplier or other providers

PCs Check specification of current machines

Consider whether additional machines required for additional staff

EMS supplier to confirm specification for PCs and their IER product

ICT to provide cost of additional machines

Printers Check specification of current machines.

Estimate output of print volumes and capability of printer machinery to

meet demand

EMS supplier to confirm specification for printers and their IER product

Form specifications, once known

Scanners Check specification of current machines, calculate speed/capacity

required

EMS supplier to confirm specification for scanners and their IER product

Form specifications, once known

Other Hardware Consider whether additional hardware is required (for example to deal

with public enquiries, local data matching) e.g. computer screens

Consider potential for use of technology for canvassers/visiting staff and

identify requirements as appropriate

Number of ITRs, confirmation notices and HEFs to be issued

ICT Infrastructure Consider whether server capacity is sufficient to store images Liaison with ICT department and EMS supplier

Additional

Entries

SUB TOTAL

PROJECTED

COST

£xxxxx

Machines

Issues to consider Data/information Anticipated requirement Projected cost: one-off or

duration

Source of funding

Methods

Developing Business Processes (Part 1 6.23-6.26)

Project management/business expertise

Equality Impact Assessment

Tracking response rates

Ensuring business processes are updated to meet appropriate security

and data management requirements

Review your business processes in light of the Commission's IER

guidance, including Parts 2 to 5 once published.

Equality Impact Assessment templates and support should be available

from your local authority

Once forms have been finalised, undertake a dry run exercise end to end

to incorporate all aspects of the process.

Requirements to comply with GCSX and PSN

Managing HEFs and Invitations

to Register (Part 3)

Business processes/staff - time required to check and process

applications to register and HEFs received online and in hard copy

Process for issuing ITR

Process for issuing mandatory and discretionary HEFs

Process for issuing confirmation letters

Dealing with incoming post - staff time and process

Data entry

Audit checking

Following dry run of business processes, calculate time taken (including

opening post) to:

- Process HEF (paper copy)

- Process application form (paper copy)

- Import online application from portal

- Issue confirmation letters (negotiate printing and filling schedules with

supplIERs)

Calculate volumes of each (HEF/ITR and application form/confirmation

letters)

(see also 'Money' tab)

Consider likely response timescales

See Part 1 and the Commission's template public engagement strategy

for guidance on engaging with those groups likely to have very low

response rates/not respond at all to ITRs/HEFs.

Managing Elector Enquiries (Parts 3 and 4)

Projected number of enquiries at initial write out and estimate call

duration and unit cost

Telephone

Email

Face-to-face, including exceptions process and ID

Staffing requirements: customer contact centre or core team

Use CDR Results and estimated number of enquiries to project number

of calls

Customer contact centre to estimate average call duration based on

business process

Estimate duration and requirements of face to face process based on

other council transactions

Local Data Matching Cost/benefit analysis: potential cost savings from reduction in canvassing

activities versus cost of setting up and running local data matching

Methods of undertaking local data matching:

Manual (estimate staff hours)

Automated (estimate costs e.g. outsourcing)

Cost of data-matching (automated or manual) compared to print, postage

and staff cost of issuing ITR, reminders and canvassers/visiting staff.

Quality of data sources

Available skills, staff, capacity to undertake local data-matching

Storage Requirements (Part 1 6.12-

6.16; Part 4)

Security of storage

Volume (consider online registration)

Retention Schedule

Scan or retain hard copy forms?

Number of ITR and HEFs issued minus estimated online registration

Forms specification, once known

Advice on data security from local authority

Identifying Prospective Electors

from Other Records

Availability and currency of records

Data matching methodology

Check with data holders

Consider how this information will be dealt with by the core team - can it

be prepared as a single file or data matched against the register?

Local Engagement Strategy(Part 1 Chapter 5)

Paid-for media costs

Street marketing costs

‘How to’ register posters/leaflets for display in locations where residents

can register instantly (e.g. Libraries etc.)

Design and production of materials based on EC templates/resources

Website/social media

Cost of holding publicity-generating events

Payments to partner organisations

Cost of direct engagement/staff time and briefings

Cost of ensuring communication materials are clear and accessible,

including translations where required

Monitoring and evaluation

Costs of translation of media/materials where required

See Part 1 and the Commission's template public engagement strategy

for guidance on identifying target groups and methods of engagement.

Additional Entries

SUB TOTAL PROJECTED COST £xxxxx

Issues to consider Data/information Anticipated requirement Projected cost: one-off or

duration

Source of funding

Money

Printing Costs (Part 1 para 4.16;

Parts 3 and 4)

- confirmation letters to be sent to confirmed electors

- HEFs to be sent (mandatory and discretionary

- IER application forms to be sent to non-confirmed electors

- IER application forms to be sent in response to HEF returns, to people

identified via other records, and unsolicited requests

- confirmation letters to be sent to individuals responding to invitation to

register

Use CDR figures to estimate number of electors who will not be

confirmed

and calculate quantities of ITRs/application forms/envelopes required.

Estimate the number of electors who will respond to the initial ITR and

therefore the number of reminders to send at first/second/third stages.

Use CDR figures to estimate number of electors who will be confirmed

and calculate quantities of confirmation notices required.

Based on your plans, calculate the number of HEFs needed based on

those you are required to send by law, plus any others you are intend to

send on a case-by-case basis (to be covered in detail in Parts 3 and 4 of

EC guidance)

Estimate the number of electors who will respond to the initial HEF and

therefore the number of reminders to send at first/second/third stages.

Use canvass and rolling registration figures to estimate number of

invitations to register/application forms need for 'new' electors and

number of confirmation letters required for those who have made a

successful application to register under IER, and acknowledgement

letters for 'unsolicited' applications.

Review requirements against form specification, once confirmed

Postage/ delivery

costs

Projected costs of outward and return postage, or of hand-delivery Use CDR figures to estimate number of electors who will not be

confirmed

and calculate quantities of ITRs/application forms required.

Estimate the number of electors who will respond to the initial ITR and

therefore the number of reminders to send at first/second/third stages.

Use CDR figures to estimate number of electors who will be confirmed

and calculate quantities of confirmation notices required.

Based on your plans, calculate the number of HEFs needed based on

those you are required to send by law, plus any others you are intend to

send on a case-by-case basis (to be covered in detail in Parts 3 and 4 of

EC guidance)

Estimate the number of electors who will respond to the initial HEF and

therefore the number of reminders to send at first/second/third stages.

Use canvass and rolling registration figures to estimate number of

invitations to register/application forms need for 'new' electors and

number of confirmation letters required for those who have made a

successful application to register under IER, and acknowledgement

letters for 'unsolicited' applications.

Include return postage at all stages, taking into account online

registration

Scanning costs Projected costs of scanning forms for storage/processing How forms will be scanned, stored and processed (see also 'Machines'

and 'Methods' tabs)

Equipment and

Stationery Costs

Canvasser/visiting staff stationery

Office stationery

Consumables

Identify numbers of blank forms, envelopes, inserts etc. required

Supplies of e.g. CDs, DVDs, print cartridges/toner

Additional

Entries

SUB TOTAL

PROJECTED

COST

£xxxxx

Issues to consider Data/information Anticipated

requirement

Projected cost: one-

off or duration

Source of funding

Core Team Review Current Structure (Part 1 6.11)

Consider staffing levels required to process expected volume of HEF

and IER forms (Part 1 6.9-6.10)

Grade of staff and required skill set

Resourcing from other parts of the organisation e.g. shared

administration staff

Duration of appointment - for the transition or permanent?

Business process for processing IER/HEF forms during the transition

(based on your review of business processes - see 'Methods' tab):

Use time taken to process a canvass form/rolling registration form at the

moment to obtain hourly processing rate (indicative only). Translate

hourly rate into full-time equivalent staff requirements, considering peak

periods.

Discuss current structure, grade of staff and duration of appointment with

HR to understand the options for obtaining the required staff

Other Professional Skills Consider which other parts of the authority will be providing support and

expertise (including for local data-matching where applicable) and

assess any recharges levied including (Part 1 2.8-2.9)

- GIS

- Communications

- Housing

- ICT

- Finance

- Legal Services (penalty notices)

- Data Holders

- HR

- Call Centre/Reception

- Project Management

If requisite skills are not available in-house, is there the opportunity to

procure services externally or to train existing staff? Consider pooling

resources with neighbouring authorities

Hourly rate for professional services such as GIS, communication, etc.

Canvassers/visiting staff Role profiles and skills - can visiting staff be drawn from existing pool of

canvassers/other staff?

Consider whether additional canvassers required, and/or visiting staff to

follow-up non-responses to ITR throughout the year.

Payment structure

Recruitment

Duration of appointment

Consider changes to canvasser role, including canvassing of individuals

and different forms/processes under IER (HEFs and ITRs)

Revise role profile and review nature of engagement e.g. casual, full

time

Canvass round size

Training (Part 1 6.17-6.22) Core Team

Canvassers/visiting staff

Customer service staff

Payment to attend training?

Ensure that you are resourced to allow delegates to attend stake holder

events.

Cost of training for core team on new business process and EMS system

(in house/external)

Canvasser/visiting staff training- cost of provision to include officer time

to prepare and deliver training, materials and facilities

Customer service staff - cost of provision to include officer time to

prepare and deliver training, materials and facilities

Frequency of briefings

Money has been made available

to attend sessions in financial

year 13/14.

Additional Entries

SUB TOTAL PROJECTED

COST

£xxxxx

Manpower and Skills

Issues to consider Data/information Anticipated

requirement

Projected cost: one-

off or duration

Source of funding

Managing Partnership

Arrangements (Part 1 5.77-5.95)

Set up an IER Implementation group to engage senior management

and departments across the LA. (Part 1 2.8 - 2.10)

How will you work with other partners outside the LA to support public

engagement?

Service Level Agreements (SLAs)

Officer liaison and time to establish partnerships

Time to prepare for, attend and follow-up after meetings

What relationships/SLAs exist?

See Part 1 and the Commission's template public engagement strategy

for guidance on identifying target groups and methods of engagement,

including working with partners.

Contract and Suppliers Contract development and management: review contracts, assess

existing suppliers capacity in light of new requirements.

Royal Mail/other mail provider, stationery suppliers.

Contract development and management checklist (Part 1 6.31)

Core Team Office Accommodation Additional staff

Office security

Can you accommodate additional office-based staff in your existing

space? Do you need more space temporarily?

Is there additional space available elsewhere within the LA?

Number of core staff and duration of employment

Number of other office staff (temporary/short-term) and duration of

employment

Existing office space

Other available office space

Meeting Rooms and Refreshments Canvasser/visiting staff briefings

Meetings with partners

Stakeholder events

Expected frequency and location of meetings and briefings

Planned numbers of canvassers and visiting staff.

Canvass/visit rounds.

Transport Travel expenses to and from regional and county meetings.

Travel to briefings and meetings with partners

Canvasser/visiting staff travel expenses

Expected frequency and location of meetings and briefings

Canvass plan

Additional Entries

SUB TOTAL PROJECTED COST £xxxxx

Management and Reporting

Where to get data/notes

What is the size of your register? 140,000

How many records returned as GREEN? 100,000

What is the size of your 16+ population? 180,000

% of 16+ population matched 56%

Estimated incremental work/cost

Confirmation

% of 16 +

population

% estimated

increase in

the workload

cost for IER

write out as a

percentage of

the canvass

80% +0%

70% +10%

50% +30%

3.       Handling Verification exceptions (those applications which cannot be verified with DWP using the National Insurance

Number)

Planning business processes and resources after confirmation dry-run - Analysis template

Funding - Column F

The government is committed to funding the additional costs of IER over and above business as usual and this template contains examples of issues

that may be considered for funding if they are necessary. The Cabinet Office expects to pay the majority of activities in an upfront formulaic grant in

conjunction with the 'minimising of burdens' doctrine. If the formulaic grant cannot encompass all of LAs additional requirements then Cabinet Office

will further fund these on production of the necessary evidence in support of LAs’ local needs, which Cabinet Office cannot easily predict in a one size

fits all formula.

There is not therefore a comprehensive list that Cabinet Office will pay for because we want to make sure that no cost of IER is unfunded. A local

authority just needs to justify why the cost is an additional requirement of core IER and provide some light touch evidence as to the cost and why it is

not covered by the upfront grant (which we expect to cover the majority of authorities). If in doubt then the funding team are always happy to help and

can be contacted at IERfunding@Cabinet-Office.gsi.gov.uk. It’s always advisable to seek their initial thoughts before entering into expenditure

which is expected to be claimed back later.

Currently there are three major streams for funding the transition to IER, which have been identified for the period 2014-2015. In addition other funding

streams may be added after the initial confirmation of existing electors is complete. The three principal streams are as follows:

Streams (2) and (3) will not be affected by your match rate and you will get this funding in any case.

Stream (1) funding is based on your match rate as a percentage of your 16+ population (see below).

To help you get an idea of funding for the first stream we have produced the following table which you can populate:

1.       IER Write-Out/Canvass (the costs of writing out to and canvassing your non-confirmed electors to invite them to register under IER)

2.       Implementing Confirmation (the costs of matching your registers with DWP)

Obtained from your DWP match rates*

Obtained from ONS figures for 2012

Compare this % with the table below to estimate the percentage

increase in cost /workload

*Note the initial funding stream for the 2014 canvass (write out) is based on match rates before any LDM is conducted

Electoral register