Planning for an effective verification and count
Referendum on the UK’s membership of the European Union - a toolkit for Counting Officers
Published May 2016
Contents
Planning for an effective verification and count
Referendum on the UK’s membership of the European Union - a toolkit for Counting Officers
1Introduction
Background and purpose
How to use this toolkit
2Assumptions and testing to assist with planning
Timings for delivery of ballot boxes to the count venue
Turnout
Calculating the likely number of ballot papers which will need to be processed
Establishing resourcing requirements and testing processes
3Timing of the count
Factors influencing the timing of the count
Verification and count methodology and management arrangements
Staffing resources
Choice of venue
Ballot box delivery times
Queues at close of poll
Volume and management of returned postal votes
4Preparing for the verification and count
Staffing and training
Venue and layout
Venue
Layout
Equipment and set up
Ensuring the security of ballot papers and other materials at all times
Security of ballot boxes and other materials
5Communicating with attendees during the verification and count
The media
6Receipt of ballot boxes and other materials
Receipt of ballot boxes and other materials
Receipt of sealed boxes of postal ballot papers
After the receipt of ballot boxes and other materials
7Verification and count process
General considerations
Practical considerations and decisions in relation to the verification process
Considerations
Decision
Practical considerations and decisions in relation to the count
Considerations
Decision
Appendix 1 - Checklist to assist COs in determining the suitability of verification and count venues
Considerations
Comments
Appendix 2 - Example checklist of materials required at the verification and count
Materials
Comments
Appendix 3 - Checklist of items that the Presiding Officer should hand in at the count venue (or collection point)
Materials
Comments
Appendix 4 - Steps for dealing with ballot box variances
Ballot box reference
What is the variance?
(i.e. the number of ballot papers more or less than expected)
Steps taken
Comments
Appendix 5 - Steps for dealing with variances at the reconciliation of votes
Steps taken
Comments
Appendix 6 - Checklist of key information to be provided to attendees at the verification and count
Information
Comments
1Introduction
Background and purpose
1.1This resource is intended to help Counting Officers (COs) make decisions about some of the key aspects of preparing for and delivering the verification and the counting of the votes, such as timing, resourcingand how best to manage the processes involved. Thesedecisionsare a crucial part of preparations for the EU referendum and should be taken as early as possible.
a
This resource supplements the Chief Counting Officer’s(CCO’s) guidance for COs.Detailed guidance on the key stages of the verification and count process can be found in ‘Part E – Verifying and counting the votes’ of the CCO’s guidance.
This resource should also be read alongside the CCO’s User guides on the results collation.
1.2This document is based on the toolkit produced for the May 2016 polls, but has been updated to apply to the EU referendum. The original 2015 version of this document was developed in consultation with members of the Elections, Registration and Referendums Working Group (ERRWG) and the UK Electoral Advisory Board (EAB) and reflects what the Commission, the ERRWG and the EAB believe will support COs in planning for and delivering an accurate and timely verification and count.
1.3We recognise that the forthcoming referendum presents significant challenges to many COs and their staff, and this is particularly true of the verification and count:
- The referendum being so close to the May 2016 polls, adds to the complexity in the overlap of planning for the verification and count.
- The importance of having clear process plans set out to enable the testing of processes necessary for the transmission of local totals to the Regional Counting Officers (RCOs) for the purposes of collating and calculating the regional total[1].
- Many COs, particularly in geographically large rural areas, face significant logistical hurdles in transporting all the ballot boxes to the verification and count venue, which will impact on the time within which the verification and count can be completed and local totals declared.
- The level of interest in the referendum is likely to be significant and this could manifest itself in higher turnout than at recent elections.
- There will be considerable scrutiny of referendum counts, with the potential for increased media focus in many voting areas.
- We also recognise the importance of local knowledge and experience and that there is no ‘one size fits all’ approach which can be applied to running a verification and count.Every voting area has its own set of local circumstances that will influence the decisions COs need to make. Whatever the arrangements for the verification and count,COs should ensure they deliver the key principles for an effective verification and count, as set out in chapter 1 of Part E – Verifying and counting the votes.
- This resource is intended to support COs and their staff in meeting the key principles whilst recognising varying local circumstances.
- COs should always have regard to the following when taking any decision affecting the verification and count:
- Are all the processes transparent? For example:
-Is everything carried out in clear view of all those entitled to attend?
-Is sufficient information provided to attendees on the processes to be followed?
-Is there consistent and open communication of information?
- Is there a clear and unambiguous audit trail?
- Will the verification and count process produce accurate local totals which are accepted?
- Will the verification and count be timely?
-The CCO has directed that the verification and counting of votes is commenced at 10pm.
- Will the secrecy of the vote be maintained at all times?
- Will the security of the ballot papers (and other stationery) be maintained at all times including at times where the ballot papers are being transported or stored between processes?
1.7In all cases, COs should keep a record of their decisions, including those made through liaison with RCOs.COs should keep their verification and count plans under regular review as circumstances may change.
1.8The CCO has directed that COs ensure that verification and count arrangements are structured in such a way as to break down the verification and count into a number of self-contained ‘areas’ smaller than the voting area, with the totals for each of these ‘areas’ aggregated into a single total for the voting area. The CCO has also directed that the counting of votes for any self-contained ‘area’ must not be commenced until the verification for that ‘area’ has been completed.
1.9Carrying out verification and count processes in self-contained ‘areas’ is an effective way of managing the process and helps to produce accurate local totals with a clear audit trail, with any issues more easily identified and resolved. The CCO’s direction does not require any specific model to be followed and so you should use your local experience and knowledge to inform the development of your verification and count processes.
1.10COswill also need to manage the expectations of stakeholders. COs shouldconsult and engage stakeholders throughout their planning process and be prepared to explain the reasons for the decisions they are taking.For key decisions, written reasons for the decision taken should be provided to stakeholders. Communication with stakeholders during the planning process and during the verification and count itself can be an effective tool in ensuring that stakeholders have confidence in the process.
How to use this toolkit
1.11This toolkit covers the verification and counting of votes. It does not cover the collation of local totals at regional count hubs or processes at the national collation hub. It includes guidance on the following six areas:
- assumptions and testing to assist with planning
- the timing of the count
- preparing for the verification and count
- communicating with stakeholders during the verification and count
- receipt of polling station materials and sealed boxes of postal papers
- the verification and count process
1.12Each of these areas covers:
- the key decisions COs will need to make
- recommended practice to assist COs in understanding and dischargingtheir duties
- The CCO has the power to give general or specific directions to COs relating to the discharge of their functions in the referendum, including directions requiring COs to take specified preparatory steps or to provide any information that they have or are entitled to have.The directions relevant to the verification and count are embedded throughout this document, and a complete list of directions is available from the Commission’s website.
- Throughout this document we use ‘must’ to refer to a specific legal requirement and what you have been directed to do by the CCO and ‘should’ for recommended practice.
- We use the term ‘you’ or ‘CO’ to mean the Counting Officer with responsibility for the relevant element of the verification and/or count at the referendum.
For more detailed guidance on roles and responsibilities at the referendum,see the Commission’s guidance in Part A – Roles and responsibilities.
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The key decisions COs are required to take in relation to the verification and count are highlighted in boxes with an exclamation mark. Links are provided to the relevant parts of each section which provides more information relating to those decisions. The main body of the section sets the decisions in context and provides further guidance, as well as sign-posts to where further information may be found
1
2Assumptions and testing to assist with planning
2.1Establishing realistic and robust assumptions can assist you in planning for the verification and count.Sound assumptions can provide useful evidence in explaining your decisions and these should therefore be documented. Sharing the assumptions with stakeholders at an early stage will also allow the assumptions to be tested by others for robustness before the detailed planning has been completed.
2.2All assumptions should be kept under regular review to allow you to respond appropriately and in good time should any circumstances or factors informing those assumptions change.
Timings for delivery of ballot boxes to the count venue
2.3Assumptions on the timings for the delivery of ballot boxes are useful for a number of purposes:
- Staff receiving ballot boxes from polling stations will be able to alert COs if any box(es) are overdue as this may indicate a problem either for an individual Presiding Officer or a wider problem affecting a number of Presiding Officers
- You will be able to make an informed estimate of when the last ballot boxes for the poll are likely to arrive, which will help to indicate when the verification will be completed. This information can then be provided to campaigners, the media and observers to help manage their expectations on when the count will be completed.
2.4It is possible to estimate when each ballot box is expected to arrive at the count venue, while recognising the potential for delays as a result of, for example, queues at the polling station at the close of poll, adverse weather etc. Analysis of previous polls will provide valuable information.There are also many applications on the internet that will calculate the time it takes to travel between a polling station and the count venue.
2.5You can also establish the average time it takes for a Presiding Officer to complete the relevant forms and package up materials following the close of poll by referring to experience at previous polls or by conducting a small exercise to measure the time it would take someone trained at Presiding Officer level to complete the required paperwork and package all materials.
Turnout
2.6COs need to decide what resources are appropriate at the verification and count. The expected turnout is a crucial factor in determining what these resources should be. COs should decide what they expect the turnout in the voting area is likely to be for the referendum – taking into account the potential for late engagement and interest in the referendum by which point scope for adjusting plans will be limited. It is always safest to err on the side of caution when it comes to turnout as national and local developments can result in rapid changes to the actual turnout. You should plan for the possibility of a high turnout, using the Scottish referendum as your basis.
2.7You will need to distinguish between turnout of postal voters and polling station voters to ensure that, in addition to the resources aimed at counting ballot papers, the resources aimed at opening and verifying postal votes are adequate.
2.8COs should keep assumptions on turnout under review and be prepared to amend plans if the situation appears to change.
Calculating the likely number of ballot papers which will need to be processed
2.9COs will need to decide what resources are appropriate, and understanding the numbers of ballot papers that may need to be dealt with is a crucial factor in determining what these resources should be.
2.10You will be able to develop an estimate of the number of ballot papers you may have to process at the verification and count by multiplying the estimated electorate by the expected turnout as set out below. Apart from any late registration additions, you will know your approximate electorate for the referendum following the May polls, although COs who are not also the ERO will need to liaise with the relevant ERO to obtain the registration data.
Ballot papers to be verified and counted
Eligible electorateXexpected turnout=no. of ballot papers
68,17569%47,041
Unused ballot papers to be verified
Eligible electorate- number of papers to be verified and counted = unused
68,175 47,041 21,134
Tendered ballot papers
You should also take into account that you will need to verify the tendered ballot papers. Whilst this number will be relatively small, you should ensure that this is built into your planning.
2.11While the above calculation will give you a robust estimate of the number of papers you will need to manage at the verification and count, you should build in some contingency to ensure you are prepared to deal with a greater than expected turnout.
2.12COs will also be able to estimate the number of postal voters in their area based on experience at recent elections.
2.13An estimate of the total number of postal voters and postal voter turnout will give COs an indication of the total number of postal ballot papers to be processed. An analysis of the pattern of postal vote returns at recent elections will enable informed decisions as to how many collections from polling stations may be required during polling day and how many staff may be needed to deal with postal votes received on polling day.Regular monitoring of the absent voting lists and postal vote returns will allow COs to keep estimates under review and test their robustness.
2.14You will need to be flexible and be able to react to events both within your voting area and more broadly which could have an impact on your assumptions.If, for example, there are televised campaigners’ debates,these could conceivably result in a late surge of registration and absent voting applications – as well as having an impact on turnout and are likelyto alter the traditional pattern of when completed postal votes are returned.
2.15COs will need to keep their estimates under review to ensure that they remain robust, taking account of factors such as:
- The impact of registration activity and public engagement work in the build-up to the referendum.
- Changes to the electorate and absent vote numbers each month.
- Any last-minute increase in applications close to the relevant registration and absent vote deadlines.
2.16You should review assumptions on the numbers of ballot papers to be dealt with after the registration deadline (i.e. after midnight on 7 June 2016) and the deadline for postal vote applications (i.e. after 5pm on 8 June 2016 (excluding Northern Ireland) and 5pm on 3 June 2016 (Northern Ireland only)). COs, who are not also the ERO, will need to liaise with the relevant ERO to obtain this data.
2.17The number of doubtful ballot papers that may require adjudication because the voter has not marked the ballot paper in accordance with the instructions will also affect the resources thatmight be required. Based on your experience atrecent elections COs should be able to estimate how many doubtful ballot papers they may need to process at the count. In Scotland, you will be able to draw on your experience at the independence referendum and the actual rejection rates for an estimate.