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Select Committee on Speaker's Committee Third Report


Appendix 1

Report of the Comptroller and Auditor General to the Speaker's Committee for 2003-04: Training Electoral Staff for the 2004 European Parliamentary Elections

Summary & Conclusions

1.  The Electoral Commission is an independent body established by Parliament in 2000 to promote public confidence and participation in the democratic process, and to provide the right opportunities for political parties and candidates to engage with the electorate. The Commission also ensures that electoral arrangements enable elections to be conducted effectively and efficiently, and within this they are responsible for training those who administer the electoral process.

2.  In May 2003 the Speaker's Committee, to whom the Commission is accountable, requested the Comptroller and Auditor General (C&AG) to examine the Electoral Commission's use of resources in providing training for electoral staff for the European June 2004 Parliamentary Elections, which accounted for over 78% of the increase in resources for training. In particular, the Committee asked the NAO to examine "… whether the Commission is getting value for money, both in terms of what it is providing and how it is providing it …these concerns principally stem from the limited choice of training providers at present operating in this specialist area, possible conflicts of interest on the part of members of the organisations providing the training, and whether the Commission is in fact funding training which might more appropriately be provided by local authorities at their own expense, thus, in effect, subsidising them".

3.  The funding of electoral services in the UK is complex. There are also significant variations in the way that electoral services are delivered in the different constituent parts of the UK. However, the central underpinning principle is the constitutional independence of the Returning Officer, who is responsible for running and funding elections. Although the Returning Officer is almost always also a senior local authority official, the two roles are distinct. The Returning Officer is recompensed from local or central government funds for his/her expenses in running an election, but his/her authority and financial responsibilities are personal and not corporate.

4.  The sources of funding for elections themselves are disparate, and have become more so since the advent of devolution. In general terms, the costs of running elections to the House of Commons and to the European Parliament come from the Treasury (the Consolidated Fund), distributed via the Department for Constitutional Affairs, Scotland Office and Northern Ireland Office. Local council elections, including parish council elections, are met from local authority budgets.

Main Findings

5.  We have prepared this report in response to the request from the Speaker's Committee to identify whether the Commission is getting value for money, both in terms of the training it is providing and how it is providing it. Our main finding is that, overall, the Commission's project for training electoral staff met its objectives, was delivered effectively and overall offered value for money. The Commission sets itself three main objectives for its training project, to ensure that:

6.  Our findings in relation to the Committee's specific concerns on value for money are that:

  • The Electoral Commission recognised the need to widen the potential supplier base beyond the existing small number of training providers, to provide additional reassurance against potential conflicts of interest. The competitive tendering process allowed new training providers to enter the market and for the Commission to obtain the widest choice possible.
  • The Electoral Commission took the positive step of awarding the training contract by using an accelerated restricted competitive tender process, with the aim of creating a larger, more competitive market for training of electoral staff.
  • The Electoral Commission succeeded in following the principles of competitive tender and the high number of firms that initially expressed an interest indicated the potential for increasing the market for training providers. Furthermore, the Electoral Commission identified seven organisations capable of providing training for electoral staff for the European Parliamentary Elections.

7.  We also examined the Committee's concern on whether the Commission, rather than local authorities, should be funding the training. We found that:

  • The provision of training for electoral officers by local authorities has been poor: a survey carried out for the Commission in 2001[4] showed that sixty seven per cent of local authorities had no dedicated budget for training electoral officials, and only 28 per cent had budgets in excess of £1,000.
  • The survey observed that local authorities had a tendency to regard such spending as a soft target for budget cuts and training for electoral officers can be a relatively low priority. The Commission therefore concluded that it could play a pivotal role in developing and disseminating best practice and best value guidance in the forthcoming European Parliamentary Elections on a national basis.
  • There is a precedent for providing national funding for training electoral officers: in 1999 the Home Office provided £4 million to fund a training programme for presiding officers in the European Parliamentary elections.

8.  In our examination, we identified that there is scope for the Commission to improve its performance further. Our findings are set out in more detail below.

Identifying the Need for Training

9.  The purpose of a Training Needs Analysis should be to assess in advance the need for a type and style of training. The Commission did not prepare an analysis prior to letting the contract: instead the contract required the successful bidder to complete the analysis within three weeks of the contract award date. As a result the Training Needs Analysis did not achieve its purpose and instead only confirmed that the contractors planned project delivery method was valid. In addition the exercise created expectations among some electoral administrators that the training programme would provide support on certain subjects that it did not go on to provide.(This related only to 'train the trainer' sessions (provided in 1999), and election accounts. Otherwise the programme covered all other aspects of the election.)

10.  We recommend that the Electoral Commission should:

  • Perform a Training Needs Analysis prior to the letting of the contract for any future training projects. The Commission should also consider carrying out a review of the training needs of electoral staff as part of its election planning processes.
  • The Training Needs Analysis could be improved by being better designed and easier to complete, and carried out earlier, to allow more people to return questionnaires and give valuable pointers as to what areas of training are needed and how it should be delivered.
  • Fully evaluate the results of the Training Needs Analysis against planned programmes and subsequently the outcomes to prepare conclusions and practical recommendations to take forward the design of future training programme for electoral staff.
  • Analyse the results of the Training Needs Analysis regionally. This action would address inconsistencies in the training provided to electoral staff across different regions.

Awarding the Training Contract

11.  As noted above, the Commission recognised the need to widen its supplier base to provide assurance against potential conflicts of interest. By following the competitive tender process it identified a larger pool of potential suppliers. In its procurement processes the Commission broadly followed best practice, but had not fully documented its procedures, carried out pre-tender consultation, or fully assessed bidders' financial viability.

12.  We recommend that the Electoral Commission should:

  • Given the background of future work with a range of partners, prepare an Electoral Commission procurement handbook that sets out internal policy and guidance on purchasing.
  • Consider consulting with potential suppliers, including small and medium enterprises, at the pre-tender stage. This allows potential suppliers to gain an insight into the requirements of the contract and so help formulate a final and more flexible invitation to tender document [5].
  • Perform a detailed assessment of the financial viability of potential suppliers before awarding future contracts. In particular, the Commission should carry out an overall review of the potential supplier's audited financial statements and annual reports.

Managing the Delivery of the Training

13.  In June 2003 the Electoral Commission took the positive step of setting up a Training Strategy Advisory Group, comprising experienced electoral practitioners from each of the twelve United Kingdom electoral regions to oversee the development of training materials. However, the Commission experienced some challenges in managing the training contractor. The Electoral Commission intended training materials to be completed by March 2004, but in practice, many were not sent out until May 2004, after the contractor had begun training sessions.

14.  We recommend that the Electoral Commission should:

  • involve the Training Strategy Advisory Group at the planning and development stage of future training as an expert panel that can provide strategic input;
  • Ensure delivery of training materials on time, have penalty clauses in the contract to cover late delivery, and use them if necessary

Measuring and Evaluating the Performance of the Training

15.  In June 2004 the Electoral Commission commissioned Deloitte to carry out an evaluation of the Training Project to assess whether the Commission's overall training objectives had been met, which was published in October 2004. In addition, and as a contractual requirement of the training contract, Solace Enterprises Limited commissioned Insight Social Research Limited (Insight) to evaluate whether the training met the objectives of the project. We have utilised the Deloitte and Insight evaluations in our report.

16.  The Deloitte report concluded that although the Electoral Commission did not set any specific performance targets for the training of electoral staff, the training project largely delivered on its four objectives. The Insight report found that the attitude of Returning Officers and Electoral Administrators to the training was varied, with positive responses over its purpose but mixed responses over its delivery and content.

17.  We recommend that the Electoral Commission should:

  • Run pilot training sessions (based on a full Training Needs Analysis) for a sample of electoral staff prior to the main training programme.
  • implement a fully modular approach to future training materials to address individual training needs.
  • In conjunction with local authorities, build up a performance database on the management and control of electoral processes, to allow the Commission to set measurable performance targets for future electoral staff training projects.

18.  In its response to the Commission's recommendations in Voting for Change, the Government has indicated that it will legislate in due course to empower the Commission to set national standards for electoral services[6], which at present it does not have the power to do.

Part 1: The Electoral Commission's Training Strategy

The Commission has been developing its training strategy for several years

1.1 The Political Parties Elections and Referendums Act 2000, ('the Act'), section 10, provides for the Electoral Commission, at the request of any relevant body, 'to provide the body with advice and assistance as respects any matter in which the Commission have skills and experience'. The Electoral Commission may also provide advice and assistance to registration officers and returning officers at relevant elections. (Annex 2 provides details of the statutory basis for providing training to electoral administrators).

1.2 As part of its review on the conduct of the 2001 Parliamentary Election (Election 2001: The Official Results)[7] the newly-established Electoral Commission commissioned Solace Enterprises to undertake a survey of the training offered to electoral staff and the amounts that local authorities were spending in respect of such training.

1.3 The survey was based on a sample of 60 local authorities across the UK with the results published by the Electoral Commission in February 2002 in their report, Electoral Services: Who's Being Trained'[8] The results of this survey showed that great inconsistencies existed in the provision of training services to electoral officers, Local Authorities had a tendency to regard such spending as a soft target for budget cuts and that training was a relatively low priority. Sixty seven per cent of local authorities had no dedicated budget for training electoral officials, and only 28 per cent had budgets in excess of £1,000. The training available was deemed deficient by the majority of electoral officers responding to the Solace Enterprises survey.

1.4 The Commission concluded that it could play a pivotal role in developing and disseminating best practice and best value guidance on a national basis. In December 2002, the Electoral Commission published 'Managing Twenty-First Century Elections: a UK Training Strategy'[9], to create a robust and effective training framework to enable electoral staff to manage twenty-first century elections. The strategy identified six key drivers for change, showing the need for a training programme for electoral administrators:

  • the increasing complexity of elections, which now include elections to the devolved administrations and an increase in the use of referendums at local, regional and national levels;
  • the need to meet the challenges of the changing face of elections including new electoral systems and innovations in voting;
  • a need to ensure that there are sufficient numbers of trained and experienced electoral services staff;
  • the need to deliver excellence in the provision of public services including, specifically, raising standards of customer care in the electoral process;
  • the further development of electoral administration as a profession; and
  • To develop the role of the Electoral Commission in promoting good practice.

The training strategy aimed to:

  • ensure that all those involved in electoral administration in the UK were trained to carry out their roles to a high standard;
  • use training and qualifications as a driver for the dissemination of knowledge; and
  • Use training and qualifications to enhance the appeal and standing of electoral administration as a profession.

Training for European Parliamentary electoral officers was funded by the Home Office in 1999

1.5 There is a precedent for providing national funding for training electoral officers. In 1999 the Home Office provided £4 million to fund a training programme for presiding officers in the European Parliamentary elections. Training was undertaken on behalf of the Home Office jointly by the professional arms of the Society of Local Authority Chief Executives and the Association of Electoral Administrators.

1.6 Delivery was based round cascading the training downwards amongst staff. Technical trainers and full time electoral staff were trained so that they could then train presiding officers. The training of presiding officers was the central element of the project and approximately 50,000 presiding officers participated.

1.7 All presiding officers were provided with a package which consisted of a guidance manual, video and "quick guide" designed to be an easy source of reference in the polling station. The presiding officers were expected to attend a training session of 2-3 hours and were eligible to receive £35 for doing so. No similar provision was made for poll clerks though in a number of areas poll clerks were supplied with surplus copies of the manuals.

1.8 One of the purposes of the training project was to ensure that, within reason, common standards and practices were applied across Britain. The notion that training of polling station staff should be recognised as an integral part of the electoral process, and funded accordingly, was widely welcomed by electoral administrators. Though some regretted the lack of flexibility which centrally produced training materials necessitated, many others welcomed the attempt to try to set and disseminate national standards[10].

The Commission increased resources for training ten-fold in 2003-04

1.9 At the fifth meeting of the Speaker's Committee, held in February 2003, the Electoral Commission sought a significant increase in resources for training development and delivery from £300,000 in 2002-2003 to £3,107,000 in 2003-2004. The Speaker's Committee formally approved the Electoral Commission's Main Estimate for 2003-2004 in March 2003.

1.10 The Electoral Commission's additional expenditure on providing training for electoral staff for the European Parliamentary Elections held in June 2004 amounted to £2.2 million, of which the Commission spent £526,000 on preparing the training materials, £393,000 on quality assurance procedures and £327,000 on the project management fee (see Figure 1).



The Commission's European election training programme had three clear aims

1.11 The Commission undertook a training programme for the European Parliamentary Elections aimed at achieving three goals; ensuring that

  • professional election staff were to be provided with clear guidance on the procedures and legal framework for managing the elections;
  • voter-facing temporary staff were to be equipped to deal accurately with the most common queries from electors and understand their duties; and
  • all staff involved in the delivery of the election should have a clear understanding of the equal access and quality of service principles that underpin the election process[11].

1.12 The project was designed to cover the twelve European Parliamentary regions of the United Kingdom, and regions holding traditional elections and for two of the four English regions holding an all-postal ballot, with a maximum of three. Separate material for Northern Ireland and Welsh language translations of all relevant materials were also produced. Key products included handbooks for returning officers and their staff, open and flexible learning materials to be used at training events or in self-paced training, and materials for polling stations and assistance and delivery point staff. The Commission also trialled e-learning products for the first time in 2004[12].

The timing of key events was crucial in ensuring a successful delivery

1.13 The process of setting up and delivering an effective and timely training programme for the European Parliamentary Elections was complicated, involving legislation, key decisions both by the Speaker's Committee and the Electoral Commission, as well as a competitive tendering process. Figure 2 shows a timeline of key events in the provision of training for electoral staff for the June 2004 European Parliamentary Elections. A more detailed version of this timeline can be found at Annex 3.



Part 2: Identifying the need for Training

A training needs analysis was not carried out prior to letting the training contract

2.1 The Electoral Commission let the contract for the development and delivery of training to electoral staff to a consortium headed by Solace Enterprises Limited (SEL) with TADS Europe Ltd (TADS), the Association of Electoral Administrators and Cherryprint design. TADS performed the Training Needs Analysis using questionnaires to determine electoral staff competency levels, training needs and learning styles. Despite the tight timescale, the rate of return for the questionnaire averaged 29 per cent, although for some areas it was substantially less than this.

2.2 The Electoral Commission did not prepare the Training Needs Analysis itself prior to letting the training contract. The contract required the successful bidder to complete the analysis within three weeks of the award date of the contract.

The training needs analysis was carried out by the training contractors, who recommended their own solutions

2.3 TADS concluded that electoral staff most needed training in equal opportunities, disability and customer care and that the preferred learning style was a combination of methods. The Training Needs Analysis made only one recommendation: that the Electoral Commission developed a training strategy for the European Parliamentary Elections Training Project based on a blended training solution, using a mixture of learning methods.

2.4 In August 2003, the Electoral Commission consulted with the North West Regional Returning Officer team to discuss the potential content of the training materials. The Electoral Commission included a schedule in the invitation to tender for the training contract setting out the categories of training that the Electoral Commission expected the training contractor to provide to each grade of electoral staff and the style and format for delivering the training programme that would most effectively meet the overall project objectives. The Invitation to Tender suggested that the training could be delivered using the 'cascade' model adopted for the 1999 European Parliamentary Election and this was the method of training delivery subsequently adopted by the training contractors.

The training needs analysis was limited in scope

2.5 The main purpose of a Training Needs Analysis should be to assess the need for a type and style of training. The Training Needs Analysis for the European Parliamentary Elections Training Project did not do this. Instead it only confirmed that the planned project delivery method of blended training was valid. Describing the exercise as a Training Needs Analysis created expectations among some electoral administrators that the project would provide explicit training support on certain subjects that the training programme did not provide.

Part 3: Awarding the Training Contract

The Commission managed potential conflicts of interest and widened the supplier base

3.1 The Electoral Commission faced two potential conflicts of interest in providing training to electoral administrators. The first was that there is a limited supplier base for providing such training. The Society of Local Authority Chief Executives (Solace, through its commercial arm, Solace Enterprises Limited) and the Association of Electoral Administrators (AEA) were the existing and main suppliers of training for electoral administrators. Both Solace Enterprises and AEA had provided the Home Office training for the European Parliamentary Elections in 1999. In addition, Solace Enterprises had also undertaken the survey of the provision of training to electoral staff on behalf of the Electoral Commission which had identified that providing further training would be beneficial. This situation created a potential conflict of interest because the probable supplier for the work also undertook the study which made the business case for further training.

3.2 Secondly, Returning Officers tend to be local authority Chief Executives and so are often members of Solace (as the professional body) and in some cases may be separately contracted by Solace Enterprises. The potential risk was that public servants, through their professional associates, could be seen to be profiting from training their own staff to perform functions discharged at public expense.

3.3 The Electoral Commission recognised the potential conflicts of interest over the small number of possible training providers and the dominance of the market by Solace Enterprises, and took the positive step of awarding the contract for the training of electoral staff in England (excluding London), Scotland, Wales and Northern Ireland using competitive tender. The competitive tender process allowed new training providers to enter the market and enabled the Commission to obtain the widest possible choice of suppliers.

We evaluated the Electoral Commission's procurement processes using Office of Government Commerce Guidance

3.4 We evaluated the Electoral Commission's procurement procedures using the Office of Government Commerce guidance on appraising bids for public sector contracts[13]. The guidance covers pre-tender activities, the tendering process, and evaluation of the tenders, post-tender negotiations, and post-tender monitoring. This guidance represents current best public body practice in this area.

The Procurement Process was carried out along accepted guidelines

3.5 We found that at the outset of the project the Electoral Commission had an appropriate project team in place to oversee the procurement process for awarding the training contact. It did not have an in-house procurement manual to formalise the procurement processes it planned to follow, which would have been useful to staff. Figure 3 gives an overview of the procurement process followed by the Commission.

3.6 To manage the tight timescale, the Electoral Commission chose to use the EU 'accelerated restricted' tendering procedure to award the training contract allowing the Commission to select between five and twenty firms to invite to tender from those which expressed an interest. This procedure also allowed the Electoral Commission to follow an accelerated timetable for awarding the contract.

3.7 Following best practice, the Electoral Commission used a pre-qualification or 'Expression of Interest' (EOI) questionnaire to shortlist the firms to invite to tender. Sixty four organisations requested an Expression of Interest questionnaire, and eighteen of those submitted completed questionnaires. These questionnaires were evaluated using pre-determined criteria, and the seven firms with the highest average score were invited to tender.

3.8 The Electoral Commission prepared a comprehensive Invitation to Tender, asking firms to provide costings for two scenarios: traditional voting in all twelve regions or all-postal pilots in eleven regions (with a traditional election in Northern Ireland). This was necessary due to uncertainty regarding the number of all-postal regions, which was only decided on in a late stage in the process. To clarify the requirements of the tender, the Commission invited the seven firms to a formal presentation by the project team, providing an overview of the European Parliamentary Elections, the tendering process, the training contract and the training programme. By the tender deadline of 3 October 2003, the Electoral Commission had received bids from three of the seven firms[14].




The Commission carried out a risk assessment on the final bids

3.9 We found that the Electoral Commission project team followed the correct procedures in their tender evaluation procedures. The team performed an initial assessment of the tenders by scoring them using an evaluation matrix, and invited the final two tenderers to an interview and presentation. Following this they invited both organisations to clarify additional points on their bids for both the traditional voting scenario and the part all-postal scenario. The tender evaluation also included a risk assessment of both tenders. The Electoral Commission evaluated the risks according to their likelihood and impact, as being high, medium or low. The risk assessment focussed on the relationship between the various partners and the impact if one supplier rather than the other was chosen.

3.10 Following the above procedures the Electoral Commission entered into final negotiations with Solace Enterprises Limited (SEL) as the 'preferred bidders'. The project team met with Solace Enterprises and then wrote to confirm that the Electoral Commission wished to award Solace Enterprises the contract dependent upon the agreed revisions. On 7 November 2003 the Electoral Commission wrote to Solace Enterprises formally accepting their tender and notified the unsuccessful bidders.

The financial viability assessment was not wide-ranging

3.11 As part of the selection process the Electoral Commission asked the potential suppliers to provide financial statements for the previous three years of trading. Although the selection process allowed for a financial assessment of potential contractors this was only undertaken for Solace Enterprises but did not focus on the future financial viability of the suppliers. Within the final offer of contract award letter, the Electoral Commission agreed to pay a small advance on delivery and agreement of the formal project plan, but following the award of the contract, Solace Enterprises did experience some cashflow difficulties.

The Electoral Commission generally succeeded in following best procurement practice

3.12 The Electoral Commission generally succeeded in following the principles of competitive tender and the high number of firms that expressed an interest indicated the potential for increasing the market for training.

3.13 Against a background of underlying future work with a range of partners, the Commission should produce an in-house procurement manual formalising the procurement processes to be followed for the award of contracts.

3.14 The Electoral Commission should perform a detailed assessment of the financial viability of potential suppliers before awarding future contracts. Ideally the Electoral Commission should carry out this assessment before inviting firms to tender but only for firms which have been short-listed to tender. In particular the Electoral Commission should:

  • carry out an overall review of the potential supplier's audited financial statements and annual report. This review should provide information on the core business, any major changes and contingent liabilities;
  • review the cash flow statement. The availability of cash will determine whether the firm has the working capital to complete the work;
  • review the supplier's short term debt to determine their ability to meet future obligations, taking into account cash flows and the size of the balance sheet; and
  • compare the supplier's turnover to the contract value. This comparison may indicate whether the firm has the capacity to do the work or whether the supplier may be over-dependent on the contract.

3.15 The Commission should take an active role in providing feedback to potential suppliers who were not invited to tender or whose proposals were not considering suitable. In our recent report on procurement[15], we found that this approach allows potential suppliers to gain an insight into the requirements of the contract and so help formulate a final and more flexible invitation to tender document. This approach might also help to widen the number of potential suppliers available to provide training services for the Electoral Commission and create a larger more competitive market for training of electoral staff.

Part 4: Managing the Delivery of the Training

The Project Board monitored the project effectively

4.1 The Electoral Commission set up a Project Board to oversee the training project from start to finish, and the Chief Executive of the Commission chaired the Project Board. Figure 4 sets out the roles and responsibilities of the Electoral Commission Project Board.



4.2 So that they could manage the training project, the Electoral Commission required that the contractor operate the Projects in Controlled Environments (PRINCE 2) methodology[16], and required Solace Enterprises to provide a project manager experienced in its use.

4.3 The Project Board held monthly meetings and, as a condition of the contract, Solace Enterprises was required to present reports to the Project Board. These brief reports provided information on whether the project was on time and within budget and the key outputs produced to date. We reviewed each report and they indicated that the Solace Enterprises project manager was satisfied that the project was on track and within budget throughout the contract.

4.4 Solace Enterprises divided the contract into seven key stages consisting of various milestones. Each stage had to be completed by a set target date before the next stage could start. In an attempt to manage Solace Enterprises to deliver the training materials on time, the Electoral Commission asked Solace Enterprises to put together a product list to track progress. The Electoral Commission themselves were heavily involved in the day to day aspects of the project which helped to keep the project on track. The Electoral Commission were involved in writing the materials, carrying out reviews, and attending regular meetings. Given Solace Enterprises's expertise such heavy involvement may not have been necessary. However the Electoral Commission felt that this 'hands on' approach was the right one to take.

The Project Board managed project risk actively

4.5 We found that the Project Board maintained a risk log which recorded the risks, their probability, impact, the owner and any mitigating action. The Project Board reviewed these risks at the monthly meetings and updated the risk log accordingly. The Project Board identified possible delays in the introduction of legislation for pilot postal voting and the tight timetable for the completion of the training as high level risks at the outset of the contract. However, the Project Board downgraded these risks as the project progressed due to the availability of draft legislation on all postal voting and as the key milestones were met.

Training was delivered via blended learning and through the cascade approach

4.6 As set out in the training strategy, the Electoral Commission took the positive step of setting up a Training Strategy Advisory Group (TSAG) in June 2003, comprised of experienced electoral practitioners from each of the twelve United Kingdom electoral regions. The TSAG helped to form the strategy that underpinned the development of the training materials for the European Parliamentary Elections training project.

4.7 The Commission used a cascade approach to deliver the training to electoral staff. The Regional Returning Officers, Local Returning Officers and Electoral Administrators received general training and information sessions. Local Returning Officers and Electoral Administrators then provided training to their polling station staff using Electoral Commission training materials. This cascade approach was based on the delivery of the training for the 1999 European Parliamentary Elections.

4.8 The Commission delivered the training using a 'blended learning' structure of training modules, e-learning, handbooks, training videos and presentation sessions. Blended learning aims to combine e-learning and face to face training in a complementary approach. In practice we found that the method of delivering training usually consisted of a presentation after which electoral staff were left to utilise the training materials if they wanted to, if they had time and if the materials had arrived.

There were delays in producing material for training

4.9 We found that the Electoral Commission experienced some challenges in managing the training contractor. The design and preparation of the training materials began in November 2003 as intended, and were planned to be completed by March 2004. In practice, we found that much of the training material was not dispatched until May 2004. This meant that training materials were not available until after Solace Enterprises had held the training sessions for electoral staff, which meant the materials were not as useful as they could have been. The Electoral Commission did not penalise Solace Enterprises for the late delivery of training products, although the Electoral Commission did withhold payment of £4,000 for the non- printing of two training products.

4.10 The reason for the delay was primarily attributable to the lateness of the secondary legislation, which affected the Commission's timetable. For example, as the Welsh Forms Order 2004 was made on 17 May and came into force on 19 May, Local Returning Officers had little time to arrange the printing of forms and ballot papers, and the Commission was hindered in analysing local training needs and preparing material. Other secondary legislation was just as late, with the main regulations being made on 22 March and those for the four postal pilot regions on 27 April.

The way regional project managers were used varied and not all regions found them useful

4.11 Solace Enterprises used Regional Project Managers to liaise with Regional Returning Officers and their electoral teams. Solace Enterprises intended to use Regional Project Managers with knowledge of local government to provide support with logistical arrangements. Solace Enterprises was to use Subject Matter Experts to assist in the delivery of local training sessions. In practice we found that the level of experience of the regional project managers varied and we found that Solace Enterprises did not always make their role clear. Some regions found the project managers useful therefore, while others did not.

4.12 The Electoral Commission should clarify the roles and responsibilities of Regional Project Managers so that they provide valuable support to all electoral regions. The Electoral Commission could also provide electoral regions with details of what to expect from Regional Project Managers so that electoral staff do not have unreasonable expectations.

Part 5: Measuring and Evaluating the Effectiveness of the Training

The Commission could not set performance targets for the project

5.1 The Electoral Commission did not set any specific performance targets for the training of electoral staff for the European Parliamentary Elections. Part of the reason for this is that performance management has not featured strongly in the culture of electoral services departments of local authorities. There is a lack of robust performance data on the management and control of electoral processes and so it is difficult to set measurable specific performance targets.

The Commission decided to evaluate progress through a report on the whole project

5.2 In June 2004, the Electoral Commission commissioned Deloitte and Touche LLP (Deloitte) to carry out an evaluation of the training project[17]. The Deloitte report assessed whether the Electoral Commission achieved its four key training objectives to ensure that:

  • professional elections staff based in local authorities across Great Britain and in the Electoral Office for Northern Ireland were provided with clear guidance on the procedures and legal framework for managing the elections, including substantial new requirements arising from legislation and case law since the last European Parliamentary elections;
  • polling station staff were equipped to deal accurately with the most common queries from electors and understand their duties. This should include providing polling staff with the necessary knowledge to explain concisely the specific voting system used in the election;
  • all staff involved had a clear understanding of the equal access and 'quality of service' principles that should underpin the management of the election process; and
  • all training provided was carefully targeted, high quality, produced on time and disseminated effectively.

The project largely met its four key objectives

5.3 The Deloitte Report concluded that the training project largely delivered on its four key objectives. However there were concerns about the level of understanding of the contractors. The main findings of the Deloitte Report are set out in Figure 5.



Training materials were of high quality but could not be reused

5.4 Polling station staff received training in a number of different ways, with presentations being the most popular method (see Figure 6).




5.5 Overall the training materials were of a high quality and electoral staff considered the content to be accurate and with the right tone. More than 90 per cent of polling staff who used the materials found them useful or very useful although Deloitte noted some electoral administrators had felt overwhelmed by the amount of choice.

5.6 The Electoral Commission intended to use a modular approach to training where electoral staff could identify areas of learning need and avoid repetition of areas where they already had expertise. Although the learning materials were divided into modules, these 'modules' represented sub-headings or sub-sections, meaning electoral staff could not easily identify training modules that would address their individual learning needs.

5.7 Electoral staff provided a mixed response as to the reusability of training materials. The Deloitte report examined them in detail and found that a significant amount of work would be required to adapt these materials for future training use. Project training contractors were not primarily concerned with reusability during the creation of the materials.

There was a broad difference between what was expected by the Regional Returning Officers at the training seminars and what was delivered

5.8 As part of the contract requirement, Solace Enterprises Limited commissioned Insight Social Research Limited (Insight) to evaluate whether the initial training seminars met the objectives of the project. Insight distributed questionnaires to all electoral staff who participated in the training seminars and to a sample of polling station staff who received training through the cascade process. Insight also interviewed voters in traditional and all postal ballots, and representatives from political parties (agents and candidates). The Insight report evaluated the feedback received from both electoral staff and voters, and the Deloitte report used the research from the Insight report as one of the evidence streams.

5.9 There was a broad difference between what was expected by the Regional Returning Officers and what was delivered at the one national seminar in March 2004. This difference may have been because Regional Returning Officers were not clear whether the seminar was providing training or information on training. Solace Enterprises did not make the objectives of the seminar clear to the Regional Returning Officers.

5.10 The Insight report found that Regional Returning Officers were generally happy with the arrangements for the training seminar held in March 2004, but not with the content of the training provided by Solace Enterprises for the Electoral Commission. Ninety per cent of Regional Returning Officers felt that their expectations were not met and 84 per cent felt that the content of the training was incomplete. Solace Enterprises did not prepare the training materials on time but they were dispatched by the middle of May 2004, less than one month before the elections. Figure 7 provides a breakdown of the feedback from Local Returning Officers and Electoral Administrators on the delivery of the initial training seminars for both traditional and all-postal voting.




There were regional differences in the responses of Local Returning Officers and Electoral Administrators to the training seminars

5.11 As with the Regional Returning Officers' training, Solace Enterprises did not prepare the training materials in time to be ready before the initial seminars were held. Local Returning Officers and Electoral Administrators were more positive about the training itself, but fewer than fifty percent of respondents considered delivery of the training seminars to be good or very good. More Local Returning Officers and Electoral Administrators who received training in the all-postal regions found the training seminars to be good or very good compared to those in the traditional voting regions.

Feedback from Polling Station Staff showed that training had contributed to the service provided to voters

5.12 Polling Station staff (Presiding Officers and Poll Clerks) received training through the cascade approach, so local training sessions depended on the ability and knowledge of those delivering the training. The Electoral Commission did not provide any 'train the trainer' sessions.

5.13 Local trainers provided training sessions over a one month period from the beginning of May to the beginning of June 2004. Insight asked whether respondents considered the training had contributed to the service provided to voters. Fifty four per cent considered that the training had contributed a lot. Seventy eight per cent considered that their own previous experience had contributed. The respondents felt that there should have been support from a project team member who had experience in the electoral processes.

5.14 The training materials were not ready in time for some of the training sessions, which were held up to a month before the election. Electoral staff indicated that they would have preferred to go through the materials themselves and identify how to use them for local training. It was also felt that the training sessions should have been divided to target those with no experience and those with many years experience of elections.

London Elects' approach demonstrated good practice and should be replicated

5.15 Running concurrently with the National training project was a project partly funded by the Commission in the London region. This was to be delivered by the Greater London Returning Officer (London Elects) in conjunction with training for London mayoral and Assembly elections. This reflects the different role of the Greater London Returning Officer in delivering London elections and the differing level of funding obtained.

5.16 The Electoral Commission provided London Elects with £70,000 towards training electoral staff for the elections held in London in June 2004. Deloitte's evaluation noted the following examples of best practice:

  • London Elects consulted with experienced AEA trainers employed by London authorities and other stakeholders to identify a list of training needs. Using this list, London Elects put together a training programme and launched it at an Away Day for senior electoral staff from a selection of London boroughs. This programme was passed to the Electoral Commission for approval.
  • When developing the training materials, London Elects considered the differing requirements of each London borough and need for flexible learning materials plus any skills gaps using feedback from the electoral community.
  • External consultancy provided training skills and "train the trainer" sessions, which helped to boost the confidence of those "cascading" the training later.
  • Trainees were provided with a 'toolkit' and handbook for the purpose of delivering the training to the remaining electoral staff in their areas. The 'train the trainer' sessions gave trainees the chance to go through the toolkit materials and structure their own local courses.




3   The 2004 European Parliamentary elections in the United Kingdom, The Electoral Commission, December 2004. Back

4   Electoral Services: Who's Being Trained?,' The Electoral Commission, published February 2002. Back

5   Further guidance is available in 'Improving Procurement': A report by the Comptroller and Auditor General,

HC 361-1 Session 2003-04: 12 March 2004. Back

6   Cmd 6426-The Government's Response to The Electoral Commission's report: Voting for change-An electoral law modernisation programme. 9 December 2004 (available at http://www.dca.gov.uk/elections/govresp-vfc-cm6426.pdf. Back

7   Election 2001: The Official Results, The Electoral Commission, July 2001. Back

8   Electoral Services: Who's Being Trained?,' The Electoral Commission in February 2002. Back

9   Managing Twenty-First Century Elections: a UK Training Strategy, The Electoral Commission, December 2002. Back

10   "The European Parliamentary Elections 10 June 1999", Home Office. Back

11   The 2004 European Parliamentary elections in the United Kingdom, The Electoral Commission, December 2004. Back

12   IbidBack

13   The Office of Government Commerce is an independent Office of the Treasury responsible for improving the efficiency and effectiveness of central civil government procurement and in assisting departments with project and programme management. In addition, the Office of Government Commerce has an important role in developing and promoting private sector involvement across the public sector, making the government marketplace more efficient and attractive to business. Back

14   The Electoral Commission asked for feedback from the four organisations that subsequently decided not to tender. The reasons given for not submitting tenders included the size and scale of the proposed contract, the level of specialist small to medium enterprises knowledge and a lack of internal capacity. Back

15   Improving Procurement: A report by the Comptroller and Auditor General, HC 361-1 Session 2003-04: 12 March 2004. Back

16   The PRINCE 2 method describes activities which management should use to run a project. These activities are based on breaking down a project into different stages. Each stage is a set of activities and products. A project team can choose to break down the project into any number of stages. A project board in place, from the start to the end of a project overseeing the whole process, should consist of senior management who will not be involved in the day to day running but will be involved in making key decisions. Back

17   'The Electoral Commission: Evaluation of European Parliamentary Elections Training Project', October 2004. Back


 
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Prepared 23 December 2005