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. Its 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