Guidance for Local Returning Officers

Supporting European Parliamentary elections in Great Britain

Managing a European Parliamentary election in Great Britain Guidance for Local Returning Officers

Managing a European Parliamentary election in Great Britain

EPEGB09G001E

Translations and other formats

For information on obtaining this publication in another language or in a large-print or Braille version please contact the Electoral Commission: Tel: 020 7271 0500 Email: [email protected]

The Electoral Commission We are an independent body set up by the UK Parliament. Our aim is integrity and public confidence in the democratic process. We regulate party and election finance and set standards for well-run elections.

Head office Wales The Electoral Commission The Electoral Commission Trevelyan House Caradog House Great Peter Street 1–6 Saint Andrews Place London SW1P 2HW Cardiff CF10 3BE

Tel: 020 7271 0500 Tel: 029 2034 6800 Fax: 020 7271 0505 Fax: 029 2034 6805 [email protected] [email protected] www.electoralcommission.org.uk www.electoralcommission.org.uk

Scotland The Electoral Commission 28 Thistle Street Edinburgh EH2 1EN

Tel: 0131 225 0200 Fax: 0131 225 0205 [email protected] www.electoralcommission.org.uk

Contents

Part A – Context 1 Introduction Legislation

2 The electoral framework Timing of elections Timetable Electoral system Casual vacancies

3 Roles and responsibilities The Electoral Registration Officer The Regional Returning Officer The Local Returning Officer

4 The role of other organisations The Electoral Commission Ministry of Justice Election Petitions Office/Court of Session Royal Mail

5 Resources Contact details for ordering Electoral Commission forms and leaflets

Part B – Preparing for a European Parliamentary election

1 Planning and risk management A project management framework Initial planning Roles and responsibilities Preparing contingency plans Reporting methods and techniques Planning for post-election activities Electoral forms and equipment

2 Managing contractors and suppliers Roles and responsibilities Procurement

3 Election finance

4 Equal access Planning for access Legislation Language General issues – good practice Guidance and advice Electoral registration Access to the poll

5 Electoral registration issues Citizens of EU member states Information to the Secretary of State

6 Venues for election activities Briefings Polling places and polling stations Issue, receipt and opening of postal votes Local count and verification venues Getting equipment to the polling stations and count venue Use of schools and rooms by candidates

7 Staffing The Regional Returning Officer’s staff The Local Returning Officer’s staff Effective recruitment and induction of staff Working Time Directives Asylum and Immigration Act 1996 National Insurance Income tax Staff for issue and receipt of postal ballot papers Appointment of Presiding Officers and Poll Clerks Count staff Training

8 Electoral integrity Secrecy provisions Key electoral offences Non-electoral offences Dealing with allegations of offences at the election Security Election observers

9 Publicity and the media Duty to encourage electoral participation Planning communication activities Statutory and other notices Managing public enquiries

Postal and proxy voting Managing media relations

10 Resources Key contacts

Part C – Action before the poll

1 Timetable

2 The electoral register Legal requirements Amending the electoral register – clerical errors Polling station registers Access and supply

3 Nomination process Publication of the notice of election Nominations Statement of parties and individual candidates nominated

4 Appointment of election, polling and counting agents Appointment of election agents Appointment of polling and counting agents

5 Production and distribution of poll cards Production Distribution

6 Production and allocation of ballot papers Ballot paper security Form of the ballot paper Allocation of ballot papers Corresponding number lists

7 Notices and equipment Notice of poll and situation of polling stations Polling station equipment, notices and supplies

Part D – Absent voting

1 Integrity issues and personal identifiers Integrity issues Postal voting, houses in multiple occupation and establishments

2 Absent voting timetable and information Timetable for absent voting Communicating the absent voting process Confirming receipt of postal voting statements

3 Applications Eligibility Content and supply of forms Receipt of applications Processing absent vote applications Determining applications

4 Proxy voting Proxy applications for a definite or indefinite period Proxy applications for a particular election Applying to vote by proxy Attestation Qualifications for acting as a proxy Limits on numbers of proxies Acknowledging proxy and postal proxy applications Proxies for medical emergencies Voting by post as a proxy Changing or cancelling proxy arrangements

5 Postal voting Applying to vote by post Acknowledging the outcome of postal vote applications Receipt of only one identifier Changing or cancelling postal voting arrangements

6 Waivers

7 Absent voting records and lists Supply of absent voters lists to candidates, election agents, registered political parties and elected representatives Inspection of absent voting records

8 The issue and distribution of postal ballot packs Royal Mail good practice guidance Persons entitled to be present Secrecy requirements Timing of the issue Preparation of postal vote stationery Logistics What the voter should receive Procedure for issuing postal votes Record keeping Despatch Re-issuing postal ballot packs Late issue of postal ballot packs

9 Replacement postal votes Replacement of spoilt ballot papers Replacement of lost ballot papers

10 Receipt, opening and storage of postal votes Receipt of postal votes Security of postal ballots received Recording and evidencing actions The opening process Postal ballot boxes Opening the postal voters ballot box Checking the postal voting statement and verification of personal identifiers Opening the postal ballot paper envelopes Matching up separated documents Postal voting statements and the matching process Retrieval of cancelled postal votes

11 Postal votes to be included in the verification and count Receipt of postal ballot papers delivered to the polling station Opening and verification of postal ballot papers that have been delivered to polling stations Statement as to postal ballot papers

12 Resources Notification of secrecy requirements Checking signatures at postal vote openings

Part E – The poll

1 Introduction Legislative changes

2 Polling day issues for Local Returning Officers and staff Hours of poll Public enquiries Emergency proxy applications Replacements for lost or spoilt postal ballot packs Polling station visits Responding to emergencies

3 Managing the polling station Briefings for polling station staff Equipment Persons entitled to attend proceedings on polling day Provision of informal turnout information by Presiding Officers

Personation Anonymous electors

4 The register of electors Clerical errors

5 Tellers, polling agents and campaigners Polling agents

6 Procedure on close of poll

7 Resources Equipment checklist Accessibility checklist for polling day – setting up a polling station Notification of secrecy requirements

Part F – Verification and count

1 Preparations Planning Information on the verification and counting process The media Venue Verification and count venue plans Designated areas Health and safety Security Staff

2 Attendance at the verification and count Verification and counting agents Observers Admission to the verification and count

3 The verification and count process Receipt of ballot boxes Verification Postal ballot papers Security of stored ballot boxes Counting the votes

4 Doubtful ballot papers Examples

5 Recounts

6 Notification of local result

7 Storage and disposal of documents

8 Resources Notification of secrecy requirements Verification procedure

Part G – After the declaration of result

1 Storage, inspection and disposal of election documents Forwarding documents to the relevant officer Retention and public inspection of documents Marked register of electors and absent voters lists Copies of other documentation open to public inspection

2 Candidates’ election expenses Candidates’ returns – election expenses

3 Returns to the Electoral Commission Candidates’ expenses Performance standards Other returns

4 Election petitions Form of petition

5 Review of election procedures

6 Resources Access to election documentation after the election

Part H – Combination of polls

1 Introduction

2 Combination arrangements Combined or not combined Postponement of any poll at parish or community council elections The Returning Officers Timetables

3 The franchise

4 Postal votes Combined issue of postal votes Postal votes issued separately

5 Notices and ballot boxes Notice of poll Poll cards Polling station notices Ballot boxes

6 The poll Marking the register Corresponding number lists Official mark on ballot papers Close of poll

7 The count and after Attendance of counting agents Verification procedure and the count Death of a candidate Expenses

Key

Highlights important administrative and good practice issues I

Provides links to other parts of the guidance and to other materials and reference sources A

Indicates issues relating specifically to England E

Indicates issues relating specifically to Wales W

Indicates issues relating specifically to Scotland s

Part A – Context

Contents

1 Introduction Legislation

2 The electoral framework Timing of elections Timetable Electoral system Casual vacancies

3 Roles and responsibilities The Electoral Registration Officer The Regional Returning Officer The Local Returning Officer

4 The role of other organisations The Electoral Commission Ministry of Justice Election Petitions Office/Court of Session Royal Mail

5 Resources Contact details for ordering Electoral Commission forms and leaflets

1 Introduction

1.1 The purpose of this guidance is to assist Local Returning Officers with particular points of practice and procedure in the running of a European Parliamentary election in Great Britain. It does not cover functions that are the sole remit of the Regional Returning Officer at a European Parliamentary election, including things such as the delivery and determination of nomination papers and the notification of regional results.

Combination In some areas of England, scheduled elections to county councils are I also taking place on 4 June 2009 and these will be combined with the European Parliamentary elections.

Additional guidance addressing combination issues relevant to Local Returning Officers will be highlighted in a box like this one, with an exclamation mark I and a heading reading ‘Combination’.

Under legislation, however, it is the Returning Officer for the county election who has legal responsibility for certain duties relating to the European Parliamentary election, and not the Local Returning Officer.1 As the Local Returning Officer is not the same person as the county Returning Officer in law, this manual does not cover in detail combination issues from the perspective of the county Returning Officer.

It is recognised, however, that many county Returning Officers will designate European Parliamentary Local Returning Officers as deputy county Returning Officers, which means that the same person will, in practice, be administering both polls. In that case, Local Returning Officers should use this manual in conjunction with the relevant parts of the Commission’s manual Managing a local government election in England and Wales. 2

A number of parish councils across England on a county election cycle will also be holding elections. European Parliamentary Local Returning Officers, who have been appointed as deputy county Returning Officers to also run the parish elections, should refer to the Electoral Commission’s manual Managing a local government election in England and Wales.

1.2 This guidance is not meant as a comprehensive guide to the relevant election law, and no expression of views on the part of the Commission can alter the application of any legislation to any particular case. Local Returning Officers, Electoral Registration Officers and their own legal advisers must reach conclusions based on the details of any particular case. This guidance should not be relied on as legally definitive and the Commission cannot

1 Regulations 4(3) and 5, Representation of the People (Combination of Polls)(England & Wales) Regulations 2004. 2 The manual can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral-administrators/local- elections/local-government-elections-in-england

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accept any responsibility for any errors or omissions, or any act arising from them.

1.3 This guidance principally needs to be read alongside:

• Representation of the People Acts 1983, 1985 and 2000 • Political Parties, Elections and Referendums Act 2000 • European Parliamentary Elections (Franchise of Relevant Citizens of the Union) Regulations 2001 • Representation of the People (England and Wales) and (Scotland) Regulations 2001 (as amended) • European Parliamentary Elections Act 2002 • European Parliamentary Elections Regulations 2004 (as amended by the European Parliamentary Elections (Amendment) Regulations 2009) • Electoral Administration Act 2006

1.4 Those with combined elections in England should also consult the Commission’s manual Managing a local government election in England and Wales, alongside the following legislation:

• Representation of the People Act 2000 (Schedule 4) • Representation of the People (Combination of Polls) (England and Wales) Regulations 2004 • Local Elections (Principal Areas) (England and Wales) Rules 2006 • Local Elections (Parish and Communities) (England and Wales) Rules 2006 • The Local Elections (Ordinary Day of Elections in 2009) Order 2008

1.5 The guidance contained in this manual covers:

• legislative requirements – a guide to what Local Returning Officers must do, with reference to the relevant legislative provisions, including new legislation • practical advice – what Local Returning Officers are advised to do in order to ensure consistency and good practice • information – contextual and background information where no action is required

1.6 This guidance only covers electoral law and practice in Great Britain. It does not cover European Parliamentary elections in Northern Ireland. Legislation

1.7 The relevant legislation for the 2009 European Parliamentary elections in Great Britain is shown in Table 1.

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Table 1: Relevant legislation

Full title Abbreviation Summary Representation of the RPA 1983 This Act contains People Act 1983 provisions relevant to (as amended by the the franchise and its Representation of exercise. the People Acts 1985 and 2000)

Political Parties, PPERA This Act, which Elections and established the Electoral Referendums Act 2000 Commission, covers the registration of political parties, and campaign and election expenses.

European Parliamentary EPE Franchise These Regulations Elections (Franchise of Regulations cover the franchise of Relevant Citizens of the citizens of European Union) Regulations Union member states 2001 resident in the UK.

European Parliamentary EPE Act This Act provides the Elections Act 2002 framework for European Parliamentary elections in the UK.

Representation of the RPR 2004 These Regulations People (Combination of make provisions for the Polls) (England and combination of elections Wales) Regulations and the combination of 2004 (as amended by an election with a the Representation of referendum. the People (Combination of Polls) (England and Wales) (Amendment) Regulations 2006 and 2007)

European Parliamentary EPE Regulations These Regulations Elections Regulations cover the conduct of 2004 (as amended by European Parliamentary the European elections and also Parliamentary Election include provisions on (Amendment) absent voting and the Regulations 2009) election campaign.

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Table 1 (continued): Relevant legislation

Full title Abbreviation Summary EPE Rules Schedule 1 of the European Parliamentary Election (Amendment) Regulations 2009, which sets out the rules governing the conduct of European Parliamentary elections.

Electoral Administration EAA This Act allows Act 2006 accredited observers and Commission representatives to attend relevant electoral proceedings and introduces performance standards for Electoral Registration and Returning Officers.

The European Distribution of MEPs This Order provides for Parliament (Number of Order the number and MEPs and Distribution distribution of UK between Electoral Members of the Regions) (United European Parliament. Kingdom and Gibraltar) Order 2008

1.8 The guidance should be read in conjunction with the legislation referred to in Table 1 and any other legislation to which it refers. For example, the RPA 1983 has within it a reference to the Postal Services Act 2000 in relation to the definition of ‘universal service provider’.

1.9 All references to the relevant provisions of electoral legislation made throughout the manual will be contained in footnotes, using the abbreviations shown in Table 1.

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2 The electoral framework Timing of elections

2.1 European Parliamentary general elections are held every five years, and in 2009 they will take place between 4–7 June in all 27 member states. In the UK, polling will take place on 4 June.

2.2 The member states of the European Union (EU) are:

Austria Germany Poland

Belgium Greece Portugal

Bulgaria Hungary Republic of Ireland

Cyprus Italy Romania

Czech Republic Latvia Slovakia

Denmark Lithuania Slovenia

Estonia Luxembourg Spain

Finland Malta Sweden

France The Netherlands United Kingdom

2.3 There are nine electoral regions in England. Scotland, Wales and Northern Ireland are each a separate electoral region.

2.4 Seventy-two Members of the European Parliament (MEPs) will be elected to represent the UK: 59 for England, six for Scotland, four for Wales and three for Northern Ireland.3

2.5 The allocation of MEPs to the different electoral regions in England is shown in Table 2.4

3 Section 1, EPE Act. 4 The European Parliament (Number of MEPs and distribution between electoral regions) (United Kingdom and Gibraltar) Order 2008.

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Table 2: MEP allocation to electoral regions in England

Electoral region Number of MEPs per electoral region East Midlands 5

Eastern 7

London 8

North East 3

North West 8

South East 10

South West 6

West Midlands 6

Yorkshire & the Humber 6

Timetable

A detailed timetable for the European Parliamentary elections on 4 June 2009 is given in Part C, ‘Action before the poll’, Section 1, ‘Timetable’ A

Electoral system

2.6 MEPs representing the UK are elected under a form of closed list proportional representation, which uses the d’Hondt formula for the distribution of seats. Electors can vote for either a registered political party with a list of candidates or for an individual candidate. Ballot papers are marked by placing a single ‘X’ in the appropriate box. D’Hondt

2.7 All Local Returning Officers will transmit the total number of votes cast for each registered political party or individual candidate in their local counting area to the Regional Returning Officer. From there, the Regional Returning Officer will total all of the votes cast within the region before applying the d’Hondt formula to carry out the allocation of seats:

Total number of votes received

Number of seats list/individual has already been allocated in electoral region + 1

2.8 The first seat is therefore allocated to the individual candidate or registered party list which has received the highest number of votes cast in

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the electoral region. The second and subsequent seats are allocated in the same way except that where a registered party has already been allocated a seat, their original total is divided by one plus the number of seats already allocated to that party/individual in the region: for example, a party which has been allocated one seat already will have its original total divided by two.

2.9 Any individual candidate who has been allocated a seat or any party which has been allocated as many seats as there are candidates on its list can be excluded from the subsequent stages of the calculation.

2.10 The seats each political party is entitled to are filled by the candidates in the order in which their names appear on their party list.

Table 3: Worked example

Party A Party B Party C Party D Party E

Votes 340, 000 280, 000 160, 000 60, 000 15, 000

Seat 1 340, 000 280, 000 160, 000 60, 000 15, 000

Seat 2 170, 000 280, 000 160, 000 60, 000 15, 000

Seat 3 170, 000 140, 000 160, 000 60, 000 15, 000

Seat 4 113, 333 140, 000 160, 000 60, 000 15, 000

Total 2 1 1 0 0 seats

2.11 In the worked example in Table 3, there are four seats available and these have been allocated as follows:

2.12 Seat 1 – Party A obtained the highest number of votes (340,000) and is therefore entitled to the first available seat.

2.13 Seat 2 – The allocation of the next seat is calculated by dividing the total number of votes each list received by the number of seats it has already been allocated in the region, plus one. As a result, Party A’s original total must be divided by two, whereas the other parties’ totals are still divided by one. Party B, with its total of 280,000, wins the second seat.

2.14 Seat 3 – To calculate the allocation of the third seat, both Party A’s and Party B’s total number of votes are divided by two, whereas Party C and Party D still have their totals divided by one. This results in the third seat being allocated to Party A, with its total of 170,000.

2.15 Seat 4 – As Party A now has two seats, its original total of 340,000 is divided by three. At this stage, Party C, with a total of 160,000, wins the fourth and final seat.

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2.16 Parties often list more candidates than the number of seats they expect to fill, although they are not allowed to include more names on the list than there are seats available.

Casual vacancies5

2.17 If a seat previously held by someone elected on a registered party list becomes vacant, the Secretary of State will notify the Regional Returning Officer of that fact. The Regional Returning Officer must then contact the next person on that party’s list and ask them to:6

• state in writing that they are willing and able to be returned as an MEP, and • submit a certificate signed by or on behalf of the Nominating Officer of the registered party stating that they may be returned as that party’s MEP

2.18 If after a reasonable amount of time the person has not responded to the Regional Returning Officer’s request or fails to submit any of the requested documents, or if the person states that they are not willing and able to be returned as an MEP, the Regional Returning Officer must contact the next person on the list until the vacancy is filled.

2.19 Where the Regional Returning Officer has exhausted all the options on the party list without success, they must notify the Secretary of State of this fact and a by-election must be held within six months of the Secretary of State receiving that notice.7 Where the last day the poll could be held falls on or after the next general election to the European Parliament, no by-election should be held.8

2.20 However, where a seat was previously filled by an individual candidate, a by-election must be held within six months of a formal vacancy notification by the European Parliament or the Secretary of State. Where the last day the poll could be held falls on or after the next general election to the European Parliament, no by-election should be held.9

2.21 This guidance manual has been developed specifically for the general election to the European Parliament scheduled for 4 June 2009 and does not address any issues or procedures related to the running of a European Parliamentary by-election.

5 Regulations 82, 83 and 84, EPE Regulations. 6 Regulation 83(2), EPE Regulations. 7 Regulation 84(2), EPE Regulations. 8 Regulation 85(2), EPE Regulations. 9 Regulation 82(5), EPE Regulations.

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3 Roles and responsibilities The Electoral Registration Officer

3.1 The Electoral Registration Officer is the official with responsibility for the preparation and maintenance of the register of electors and lists of absent voters within their area.

In England, the council of every district and London borough is required to appoint an officer of the council to be the Electoral Registration Officer.10 In the City of London, the Common Council e 11 must appoint an officer as the Electoral Registration Officer.

In councils undergoing transition to unitary status, the Electoral Registration Officer will be the person who has been appointed by the preparing council as the ‘electoral appointee’. The Electoral Registration Officer appointment for new unitary authorities will become effective as from the re-organisation date of 1 April 2009. Before that date the electoral appointee may work with the Electoral Registration Officers of the predecessor councils to take such steps that they feel necessary to prepare for their new functions after 1 April 2009, such as working on the preparation of a new unitary-wide register.

In Wales, the appointment of the Electoral Registration Officer is made by the county or county borough council. The person appointed must be a current officer of the council.12 w

In Scotland, the Electoral Registration Officer must be appointed by the local authority. The person appointed must be either an officer of that council or an adjoining council, or may be an officer appointed by s 13 a combination of local authorities.

3.2 Councils can approve a deputy for the Electoral Registration Officer, known as a depute in Scotland,14 who can carry out any of the duties and powers of the Electoral Registration Officer.15 In addition, the council is required to provide officers to assist the Electoral Registration Officer in carrying out their functions.16

10 Section 8 (2)(a), RPA 1983. 11 Section 8 (2)(b), RPA 1983. 12 Section 8 (2A), RPA 1983. 13 Section 8 (3), RPA 1983. 14 Throughout this manual, all references made to ‘deputy’ should be read as ‘depute’ in respect of Scotland. 15 Section 52(2), RPA 1983. 16 Section 52(4), RPA 1983.

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3.3 If an Electoral Registration Officer is found guilty of any act or omission in breach of their official duty, they shall be liable on summary conviction to a fine not exceeding £5,000.17 The Regional Returning Officer Appointment of Regional Returning Officers

3.4 Each of Great Britain’s 11 electoral regions has a Regional Returning Officer. They are appointed by the Secretary of State for Justice,18 following an advertisement and recruitment process. For an electoral region in England and Wales, the Regional Returning Officer must be an Acting Returning Officer, whereas in Scotland, the Regional Returning Officer must be a Parliamentary Returning Officer.19

3.5 The current Regional Returning Officers for electoral regions in Great Britain are as shown in Table 4.20

Table 4: Regional Returning Officers for electoral regions in Great Britain

Electoral region UK Parliamentary constituency East Midlands Leicester East

Eastern Huntingdon

London Lewisham Deptford

North East Sunderland South

North West Manchester Central

Scotland Edinburgh South

South East Southampton, Test

South West Poole

Wales Preseli Pembrokeshire

West Midlands Birmingham, Ladywood

Yorkshire & the Humber Leeds Central

17 Section 63(1), RPA 1983. 18 Section 6(2) and (3), EPE Act. 19 Section 6, EPE Act. 20 European Parliamentary Elections (Returning Officers) Order 2008.

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3.6 Regional Returning Officers may appoint one or more deputies to discharge their duties.21 There are no statutory requirements regarding the qualifications needed to be appointed as a deputy Regional Returning Officer, and indeed a Regional Returning Officer may appoint as a deputy an officer from another local authority. However, should a Regional Returning Officer become unable to act personally, the role of Regional Returning Officer would remain with the local authority at which the Acting Returning Officer role is held and could not pass to an individual at any other local authority.

A job description setting out in detail the role and responsibilities of Regional Returning Officers can be found on the Ministry of Justice A website at www.justice.gov.uk/guidance/european-elections-june- 09.htm

Discharge of duties of the Regional Returning Officer

3.7 The duties of the Regional Returning Officer are separate from their duties as a local government officer. The Regional Returning Officer is personally liable for the conduct of the election.

The Regional Returning Officer has a power of direction over Local Returning Officers in relation to the discharge of their functions in their Iregion.22 The power of direction can be used at the Regional Returning Officer’s discretion and Local Returning Officers have a duty to comply with whatever directions they receive, which may include the provision of any information which the Local Returning Officer has or is entitled to have.

The Local Returning Officer

3.8 European Parliamentary elections in Great Britain are administered on a local counting area basis, and the conduct of the poll and count in each local counting area is the responsibility of the Local Returning Officer. 23

In England and Scotland, the definition of local counting area is local government area.24 In Wales, it refers to UK Parliamentary constituencies.25 I

3.9 In England, the elections will be held on local authority boundaries and the Local Returning Officer will be the Returning Officer for a district council,

21 Regulation 7(1), EPE Regulations. 22 Regulation 9(3), EPE Regulations. 23 Regulation 6, EPE Regulations. 24 Paragraph 7, The Local Elections (Ordinary Day of Elections in 2009) Order 2008 and Regulation 2, EPE Regulations. In England, this only applies for the purposes of the European Parliamentary general elections in 2009 and refers to (a) a district for which there is a district council; (b) a county for which there is a county council but no district councils; (c) a London borough; (d) the City of London (including the Inner and Middle Temples); and (e) the Isles of Scilly. 25 Regulation 2, EPE Regulations.

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unitary authority or a London borough, or the Returning Officer for the City of London or the Isles of Scilly.26

3.10 In Scotland, the elections will be held on local authority boundaries and the Local Returning Officer in each area will be the Returning Officer for the UK Parliamentary constituency listed in Schedule A1 to the EPE Regulations.27

3.11 Elections in Wales will be run on UK Parliamentary boundaries.28 Although the Parliamentary Constituencies and Assembly Electoral Regions (Wales) Order 2006 has changed the boundaries for UK Parliamentary constituencies in Wales, unless there is a UK Parliamentary general election called before 4 June 2009, the European Parliamentary elections in Wales will be run on the existing UK Parliamentary boundaries. 29 The Local Returning Officer will be the Acting Returning Officer for the UK Parliamentary constituency.

For an explanation of the duties of Regional and Local Returning Officers, see Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’. A

Breach of official duty

3.12 If the Local Returning Officer (or deputy) is, without reasonable cause, guilty of any act or omission in breach of their official duty, they are liable on summary conviction to a fine not exceeding £5,000.30 A Local Returning Officer is, in respect of any breach of their official duty, liable only to the fine imposed by that section. No action for damages lies against the Local Returning Officer or their staff in respect of a breach of official duties.31

3.13 Local Returning Officers can correct procedural errors made by themselves, an Electoral Registration Officer, a Presiding Officer, a person providing goods or services to the Local Returning Officer and any deputy or authorised assistant of any of the above.32 Where a Local Returning Officer remedies an act or omission by using this power, they will not be guilty of an offence of breach of official duty, except where any conviction for such a breach is made before the act or omission has been remedied in full.33 Appointment of Presiding Officer and Poll Clerks

3.14 Local Returning Officers are required to appoint and pay a Presiding Officer and such Poll Clerks as may be necessary to attend at each polling

26 Paragraph 7, The Local Elections (Ordinary Day of Elections in 2009) Order 2008; Regulation 2, EPE Regulations. 27 Regulation 6, EPE Regulations. 28 Regulations 2 and 6, EPE Regulations. 29 Section 4(6) (Orders in Council) of the Parliamentary Constituencies Act 1986. 30 Regulation 25(1), EPE Regulations. 31 Regulation 25(2), EPE Regulations. 32 Regulation 9(4A), EPE Regulations. 33 Regulation 25(5), EPE Regulations.

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station.34 Presiding Officers and Poll Clerks are liable to be convicted for an offence if they are found, without reasonable cause, to have committed a breach of official duty.35

For further information on the Local Returning Officer’s staff, see Part B, ‘Preparing for a European Parliamentary election’, Section 7, ‘Staffing’. A

34 Rule 30, EPE Rules. 35 Regulation 25, EPE Regulations.

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4 The role of other organisations The Electoral Commission Background

4.1 The Electoral Commission is an independent body, established by the UK Parliament in November 2000. The Commission reports directly to the UK Parliament through a committee chaired by the Speaker of the House of Commons, known as the Speaker’s Committee. Statutory functions

4.2 The Commission has a number of statutory functions and powers in relation to elections, and these are set out in PPERA. These include:

• setting and publishing performance standards for electoral services and collecting information on the costs of electoral services from Electoral Registration Officers, Returning Officers and referendum Counting Officers36 • attending at certain election proceedings37 • preparing and publishing a Code of Practice on the attendance at elections of representatives of the Commission, accredited observers and nominated members of accredited organisations, and managing a scheme for the accreditation of electoral observers38 • promoting public awareness of electoral matters39 • publishing reports on the administration of elections and referendums40 • conducting reviews of the law and practice relating to elections and referendums41 • giving advice and assistance to those involved in the electoral process, including political parties and electoral administrators42 • being consulted by the UK Government on proposals to amend electoral law43 • being consulted on the allocation of party political broadcasts44 • maintaining, monitoring and making available for reasons of transparency a register of political parties, and the registration of political party descriptions where parties wish to field candidates standing under the party name or a description other than ‘Independent’ on the ballot paper45

36 Sections 9A to 9C, PPERA, as inserted by Section 67, EAA. 37 Section 6A, PPERA, as inserted by Section 29, EAA. 38 Sections 6C, 6D and 6F, PPERA, as inserted by Section 29, EAA. 39 Section 13, PPERA. 40 Section 5, PPERA. 41 Section 6, PPERA. 42 Section 10, PPERA. 43 Section 7, PPERA. 44 Section 11, PPERA. 45 Sections 23, 28, 28A and 28B, PPERA.

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• maintaining, reviewing and publishing for reasons of transparency a register of donations made to registered political parties and others regulated by the legislation46 • reviewing and publishing the annual statements of accounts of political parties47 • reviewing and publishing the returns of campaign expenditure incurred by political parties in respect of their election campaign48 • reviewing returns of donations and loans to, and the expenditure by and on behalf of, candidates and their agents49 • receiving from Returning Officers copies of candidates’ returns of election expenses50

Provision of advice

4.3 Section 10 of PPERA allows the Commission to provide advice and assistance to Electoral Registration Officers, Local Returning Officers and registered political parties. The Commission cannot, however, give a definitive legal view on any subject as this is ultimately a matter for a court to decide in any particular case.

Devolved and English offices 4.4 The first point of contact for any queries should be either the Commission’s office in Scotland or Wales or the Commission’s English regional office covering the Returning Officer’s electoral area, as appropriate.

Wales Office Joanne Nelson Tel: 029 2034 6803 Email: [email protected]

Scotland Office David Freeland Tel: 0131 225 0208 Email: [email protected]

London Office Peter Dawson Tel: 0207 271 0689 Email: [email protected]

North of England Office North East and Yorkshire & the Humber Sarah Seavers Tel: 01904 567994 Email: [email protected]

46 Section 69, PPERA. 47 Section 46, PPERA. 48 Sections 84 and 145, PPERA. 49 Section 145, PPERA. 50 Section 87A, RPA 1983.

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North West Office Sandra Hardy Tel: 01904 567993 Email: [email protected]

Midlands Office East Midlands and West Midlands Chris Hinde Tel: 02476 820092 Email: [email protected]

South of England Office South East and Eastern John Pollard Tel: 020 7271 0660 Email: [email protected]

South West Office South West Elizabeth Gorst Tel: 01392 332878 Email: [email protected]

4.5 For guidance or advice on dealing with matters of electoral malpractice, fraud and related integrity issues, please contact:

Richard Jordan Senior Practice Adviser – Integrity Tel: 020 7271 0562

Karen Quaintmere Head of Electoral Administration Tel: 020 7271 0607 Registration of political parties and election expenses

4.6 PPERA requires political parties to register with the Commission in order to field candidates at an election.51 Parties can also register up to 12 descriptions with the Commission.52 A candidate may contest a local government election as an independent candidate and need not be a member of a registered political party, although in such circumstances the candidate may only use the description ‘Independent’ (and/or ‘Annibynnol’ in Wales), or use no description on the ballot paper.

51 Section 22, PPERA. 52 Section 28A, PPERA, as inserted by Section 49, EAA.

Part A, page 16, January 2009

4.7 For advice on registration and political parties, please contact:

Party and Election Finance Tel: 020 7271 0616 Email: [email protected] www.electoralcommission.org.uk/guidance/candidates-agents

4.8 In Scotland and Wales, please contact:

Scotland Mark Nicholls Tel: 0131 225 0211 Email: [email protected]

Wales David Beacock Tel: 0292 034 6806 Email: [email protected]

The Commission’s guidance on the registration of political parties can be obtained from the Commission’s website at www.electoralcommission.org.uk or by telephoning 020 7271 0520. A

Ministry of Justice

4.9 The Ministry of Justice (MoJ) is the central government department with responsibility for the legislative framework for UK Parliamentary elections, European Parliamentary elections and national referendums, including the franchise, conduct and funding. The MoJ also has responsibility for policy on the conduct of local government elections and mayoral and local government referendums, and has responsibility for all issues covered by PPERA. These include generic issues associated with national and regional referendums, the registration of political parties, rules on donations to political parties and third- party donations.

4.10 The Elections and Democracy Division is the part of the MoJ responsible for issues concerning the conduct of elections. The division currently has six branches: Boundaries and Conduct of Elections; Registration and Franchise; Political Parties and Referendums; CORE and Electoral Modernisation; Democratic Engagement; and the Party Funding Bill team.

4.11 The Boundaries and Conduct of Elections branch has overall responsibility for policy and law on the conduct of UK Parliamentary, European Parliamentary, Greater London Authority and English and Welsh local elections, and can be contacted on 0203 334 3778.

More information on the MoJ can be found at www.justice.gov.uk

Part A, page 17, January 2009

Election Claims Unit

For advice on the election funding process and related procedures in England and Wales, please do not contact the EW MoJ’s Elections and Democracy Division, but contact instead the Election Claims Unit:

Angela Monk Tel: 020 7944 0140

Paul Martin Tel: 020 7944 0182

Sandra Brooke Tel: 020 7944 0125

Martin Irwin Tel: 020 7944 0123 or write to:

FSSD/CLAIMS Department for Communities and Local Government 1/07 Hempstead House 2 Selden Hill Hemel Hempstead Hertfordshire HP2 4XN

The Scotland Office is responsible for monitoring the accounts submitted by Local Returning Officers in Scotland, who can recover S their charges in respect of services properly rendered or expenses properly incurred through the European Parliamentary Elections Fees and Charges Order.

For advice on the election funding process and related procedures in Scotland, contact the Scotland Office at:

Accounts Payable Finance Branch The Scotland Office 1 Melville Crescent Edinburgh EH3 7HW

Tel: 0131 244 9011

Part A, page 18, January 2009

Election Petitions Office/Court of Session

4.12 In England and Wales, petitions challenging the result of a European Parliamentary election must be filed with the Election Petitions Office at the Royal Courts of Justice.53 In Scotland, petitions must be filed with the Petitions Department of the Court of Session.54

Contact details for the Petitions Office and the Petitions Department and further information on the petitions process can be found in Part G, ‘After the declaration of result’, Section 4, ‘Election petitions’. A

Royal Mail

4.13 Royal Mail performs a number of functions at elections and may be engaged throughout the electoral process. Further information may be obtained at www.royalmail.com

53 Section 122, RPA 1983; Regulation 89, EPE Regulations. 54 Section 122, RPA 1983; Regulation 89, EPE Regulations.

Part A, page 19, January 2009

5 Resources Contact details for ordering Electoral Commission forms and leaflets

Throughout this guidance we refer to forms and leaflets produced by the Commission and available from our distributor: A Tel: 0845 8500 501 Fax: 020 8867 3225 Email: [email protected]

For a complete, up-to-date list of all the forms and leaflets available for order, please refer to the public awareness materials on the Commission’s website at www.electoralcommission.org.uk

Part A, page 20, January 2009 Part B – Preparing for a European Parliamentary election

Contents

2 Managing contractors and suppliers Roles and responsibilities Procurement

3 Election finance

4 Equal access Planning for access Legislation Language General issues – good practice Guidance and advice Electoral registration Access to the poll

5 Electoral registration issues Citizens of EU member states Information to the Secretary of State

7 Staffing The Regional Returning Officer’s staff Effective recruitment and induction of staff Working Time Directives Asylum and Immigration Act 1996 National Insurance Income tax Staff for issue and receipt of postal ballot papers Appointment of Presiding Officers and Poll Clerks Count staff Training

8 Electoral integrity Secrecy provisions Key electoral offences Non-electoral offences Dealing with allegations of offences at the election Security Election observers

9 Publicity and the media Duty to encourage electoral participation Planning communication activities Statutory and other notices Managing public enquiries Postal and proxy voting Managing media relations

10 Resources Key contacts

1 Planning and risk management A project management framework

The Local Returning Officer is personally responsible for the proper conduct and organisation of the election in their local counting area. I This personal responsibility cannot be delegated. It is therefore essential that Local Returning Officers have formal, written plans in place with clearly defined objectives and success measures that allow them to monitor progress against those objectives and identify risks and corresponding mitigating factors.

1.1 Running an election is a complex logistical operation with statutory obligations and personal liability for Local (and Regional) Returning Officers, involving considerable financial and physical resources, and delivered against extremely tight and inflexible timescales.

1.2 Returning Officers should be able demonstrate that the systems used offer the management control that is necessary when delivering a statutory service. A project management framework enables a structured and methodical approach, including the identification, monitoring, assessment and proper management of risks. Initial planning

Before considering the particular requirements of a European Parliamentary election, an essential part of project initiation is to I undertake a thorough review of the effectiveness of the conduct of the last election and to consider any specific issues around changes in legislation.

1.3 The first stage of a review is most effective when done as soon as practicable after the last election, when most of the issues are still fresh in the minds of staff. It may be pertinent to invite some of the more experienced Presiding Officers and Poll Clerks to any discussion, along with ‘first timers’, in order to address all aspects of the process – from training to dealing with difficult situations on polling day. It may also be useful to survey all staff engaged at the election, perhaps through a post-election mail out, to find out about issues that arose, including the performance of Presiding Officers and Poll Clerks.

1.4 The scope of the review should cover all aspects of the election, but areas deserving particular scrutiny are likely to be polling places and polling stations, the quality of the register, the performance of contractors and suppliers, contract management, staffing, equipment and supplies, finance, security and integrity of the election, count arrangements, communications (both internal and external), and the management of postal votes.

1.5 The first stage of planning is to then review all of the information gathered in the course of this review. Learning from the experience of the

Part B, Page 1, January 2009 previous election, even although the most recent one will not have been a European Parliamentary election, and considering the changes required are the key starting point for a well planned election.

1.6 Even if a post-election discussion did not take place last time, it is still worth reflecting on the previous election to try to identify any issues that can be addressed in advance of the next election. Noting down any issues that can be addressed in advance of an election and reviewing them afterwards will show what has been learnt from the experience and what, if anything, needs to be done differently in future.

1.7 The information collected through this review can be used to compile a project plan and a separate contingency plan. These ‘living documents’ are management tools that can be used to ensure that all eventualities are covered.

1.8 The project plan should be task based and should provide an overview of how the election is to be managed, including clarification of roles and responsibilities, risk assessment and management, lines of reporting and mechanisms for monitoring and ensuring quality. This is indicative only, and there may be other management issues that Returning Officers will want to include. Detailed plans should also be drawn up, that include all tasks, statutory and logistical deadlines, individual responsibilities, and appropriate identification and allocation of resources required.

The Commission has developed a template election planner and risk register, both of which are available on the Commission’s website in A Microsoft Word format, for administrators to adapt for their own use: www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators

Roles and responsibilities

1.9 Responsibility for the conduct of a European Parliamentary election is shared between the Returning Officer for each electoral region, referred to as the Regional Returning Officer, and the Returning Officer responsible for the conduct of the poll in each local counting area, referred to as the Local Returning Officer.

1.10 The Regional Returning Officer in each electoral region will be responsible for:

• the overall management of the election across the region, including agreeing effective lines of communication with Local Returning Officers • preparing and publishing the notice of election • all aspects of the nomination procedure • receiving notices of appointment of election agents and sub-agents and publishing notices of such appointments

Part B, Page 2, January 2009 • determining the form of the ballot papers and, if the Regional Returning Officer so decides, printing and arranging the distribution of ballot papers to Local Returning Officers • authorising the Local Returning Officer’s announcement of the local count results • calculating the results of the election within the region and allocating seats to candidates • announcing the regional results and publishing the results of the election • notifying the names and other details of elected MEPs to the Secretary of State

1.11 The Regional Returning Officer may give to any Local Returning Officer in their region directions relating to the discharge of their functions, including directions requiring the provision to them of any information which the Local Returning Officer has or is entitled to have.1

1.12 This power of direction is to be used at the Regional Returning Officer’s discretion. When issued by the Regional Returning Officer, it is the duty of the relevant Local Returning Officer to discharge their functions in accordance with the directions.2

1.13 The Local Returning Officer is responsible for the proper conduct and organisation of the election in their local counting area, but should act in accordance with instructions given by the Regional Returning Officer.

1.14 Local Returning Officers are responsible in their respective areas for:

• the conduct of the poll in their local counting area • the printing of ballot papers, unless directed otherwise by the Regional Returning Officer • the issue of poll cards • the issue and receipt of postal ballot and postal proxy ballot papers • the verification of personal identifiers • the verification of the ballot paper accounts • the counting of the votes in their area • giving public notice of the result in their area once the result has been accepted and approved by the Regional Returning Officer • taking appropriate steps to encourage participation by electors in the electoral process

1.15 The Local Returning Officer is required to appoint a Presiding Officer for each polling station in the counting area, and may appoint as many of the following staff as needed to assist in the conduct of the election:

• deputy Local Returning Officers (see 1.19) • staff for the issue and receipt of postal votes • Poll Clerks

1 Regulation 9(3), EPE Regulations. 2 Regulation 9(4), EPE Regulations.

Part B, Page 3, January 2009 • counting staff • other staff to assist with other duties as part of the election process

1.16 Local Returning Officers should give all appointed staff copies of Regulation 29 of the EPE Regulations 2004 which sets out secrecy requirements.

1.17 It is important to note that Returning Officers and their staff are not responsible for monitoring the conduct of candidates, agents, registered political parties, Nominating Officers or campaigners. If it is alleged that the conduct of anyone involved in the election process contravenes the law, the matter should be brought to the attention of the police. The Returning Officer and their staff must act impartially in their dealings with candidates and agents throughout the election.

1.18 The Local Returning Officer may not appoint for the purposes of the election anyone who has been employed by or on behalf of a registered party of individual candidate standing nominated at the election.3 The Local Returning Officer should seek an undertaking from those people proposed to be appointed that they have not been and will not be so employed.

1.19 Although the Local Returning Officer is personally liable for the conduct of the election, they may, however, appoint one or more Deputy Returning Officers, known as Deputes in Scotland, to discharge all or any of the functions of the office.4 They may be given full powers or specific powers appropriate to the tasks they will be required to undertake. There should be a formal written appointment and acceptance, including details of the powers granted, signed by both the Returning Officer and the deputy. If counts are to be held at different venues, a deputy must be appointed for each venue.

1.20 It is essential that a senior officer is identified to manage both the preparations for, and day to day conduct of, the election. However, the ultimate responsibility and final decisions must rest with the Local Returning Officer.

1.21 The project plan should identify the roles and responsibilities of all those tasked with delivering particular aspects of the election, and should clearly document reporting lines. These may be quite different to reporting lines in the normal council structure. It is important that the Local Returning Officer ensures that election work is given the utmost priority by the council as a whole.

1.22 It is vital that each member of the election team understands their particular role and any statutory obligations associated with the work they are undertaking.

3 Rule 30(1), EPE Rules. 4 Throughout this manual, all references made to ‘deputy Returning Officer’ should be read as ‘depute’ in respect of Scotland.

Part B, Page 4, January 2009 See Part A, ‘Context’ for an explanation of the roles and responsibilities of relevant officers, including the split of functions A between Returning Officers at combined county and European Parliamentary elections.

Preparing contingency plans

1.23 By reviewing the conduct of the previous election, any difficulties and problems and the measures taken to resolve them will already have been identified. In addition to this, it is essential to list all the possible risks to the safe delivery of the election, identify what can be done to ensure that such risks do not occur, and develop contingency plans with options for dealing with such eventualities if they do arise.

1.24 A contingency plan should also identify the seriousness of any risk, by reflecting both the likelihood of the risk occurring and the impact of such a risk if it did occur. For example, if a ballot box was missed and its contents not included in the verification and/or count, this would have serious consequences for the integrity of the election result and therefore represents a high level of risk for the Local Returning Officer personally.

1.25 The key objective of identifying risks is to manage those risks. There is considerable expertise within local authorities in identifying and managing risk that could be called upon to assist with the drawing up of a detailed election contingency plan. Prevention is better than cure, and in many cases electoral law does not provide for a remedy other than by way of election petition.

1.26 In order to assist Local Returning Officers in the task of identifying and managing risks and developing a contingency plan, a template contingency plan is available on the Commission’s website. This gives some examples of possible risks and can be adapted to fit local circumstances, as there may be risks specific to a particular area and circumstances, which will need to be identified and managed.

Correction of procedural errors

1.27 Regional and Local Returning Officers are permitted to correct procedural errors made in connection with their functions by either themselves or by an Electoral Registration Officer, a Presiding Officer, a person providing goods or services to the Regional Returning Officer or Local Returning Officer, or any deputy or authorised assistant of any of the above.5

1.28 A Regional Returning Officer or a Local Returning Officer will not be guilty of an act or omission in breach of official duty if they ‘remedy the act or omission in full’ by taking steps under this power.6 Therefore, this power can be used to remedy administrative errors that might otherwise have resulted in a breach of duty. It would still, however, be for the courts to decide if the act or omission had been remedied ‘in full’, and both Regional and Local Returning

5 Regulation 9(4A) EPE Regulations. 6 Regulation 9(5) EPE Regulations.

Part B, Page 5, January 2009 Officers should ensure that they document clearly any problems encountered in the conduct of the election and any decisions and actions taken to remedy those situations, as this provision does not remove the risk of challenge to the election or a finding by a court of breach of duty.

1.29 It is also important to note that this provision does not allow a Regional or Local Returning Officer to re-count the votes given at an election after the result has been declared.7 Once a result has been declared, regardless of whether it is correct or not, it is final and only subject to challenge by an election petition, and the ability to correct procedural errors does not vary this principle. Returning Officers should ensure that they properly manage the risk of incorrect declarations of results by following robust procedures during the count.

Insurance

1.30 As they are personally liable, Local Returning Officers should ensure that they have adequate insurance cover. The Ministry of Justice (MoJ) are investigating the practicalities and costs associated with purchasing aith insurance or an indemnity for Local Returning Officers.

Advice from one insurer during the local government elections in England in 2006 highlighted that in the event of difficulties arising and I plans having to be changed, accurate records should be kept of decisions taken and the reasons why actions were undertaken.

It was stated that these records could be very useful if decisions or election results were to be challenged at a later date. Regardless of which insurer provides the cover, it is suggested that Returning Officers adopt this approach in their normal working practices.

For further information, email Paul Brunton, MoJ, at [email protected], or call 020 3334 3778, or write to: I Election and Democracy Division Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ

Reporting methods and techniques

1.31 As indicated above, in order to ensure effective management of the election it is essential that there is central coordination of all election preparations and activities. Clear lines of communication with all levels of the election management structure at an early stage should ensure that suitable reporting structures are established and maintained by all staff engaged in the day to day running of the election.

7 Regulation 9(4B), EPE Regulations.

Part B, Page 6, January 2009 1.32 The following list provides examples of reporting methods and techniques which, from experience, electoral administrators have found to be useful:

• a timetable or an election planner to check on progress • exception reports that show where tasks are slipping behind schedule • update reports of performance of contractors, including time, quality and cost • regular team meetings • structured agendas for meetings • minutes and action points from previous meetings • estimated spend charted against fees available • resource plan – availability and competency of trainers and staff, and any special arrangements for the allocation of staff to polling stations, for example where there is a particular language requirement in an area where there is a large number of electors whose first language is not English • reports on specific issues, or requiring particular expertise – for example, legal advice, security, or arrangements with the police, broadcast media and press

1.33 It is vital to agree, at an early stage, clear arrangements for the method and frequency of reporting between the Regional Returning Officer and the Local Returning Officer and between the person managing the day to day conduct of the election and the Local Returning Officer, and any deputies. This communication may be daily, weekly or exceptionally in the event of there being a major problem.

1.34 The person managing the day to day running of the election needs to have a sound knowledge of their own team to ensure that an effective communication process is in place and is robust. Local Returning Officers should make a point of discussing election planning with that team early in the preparation phase and on a regular basis throughout the conduct of the election. Planning for post-election activities

1.35 The planning process should include an evaluation phase to take place soon after the election in order to review the effectiveness of its conduct as detailed above and to draw out any learning points for the future, while the experience is relatively fresh.

1.36 It would also be beneficial to alert candidates and agents to your plan to conduct a review, and to invite their comments.

1.37 In addition, the provision of feedback forms for polling station staff and electors, to indicate if there were any problems or issues with the polling station venues, can provide valuable information for future planning. A similar approach to the arrangements for dealing with postal votes and the count may also be helpful.

Part B, Page 7, January 2009 Electoral forms and equipment

1.38 Elections require a substantial amount of election-specific and general stationery and equipment. Reviewing the previous election should enable the Local Returning Officer to determine the effectiveness of materials and equipment used, and to audit current supplies of key items, such as polling booths and ballot boxes. This information can then be used to inform estimates for re-ordering stationery and replacement election equipment.

1.39 It should be noted that the Welsh Language Act 1993 places responsibility on Returning Officers in Wales to provide bilingual election material to electors.

Part B, Page 8, January 2009 2 Managing contractors and suppliers Roles and responsibilities

2.1 Local Returning Officers can outsource particular work required to deliver a European Parliamentary election, but not the responsibility for ensuring compliance with the rules and regulations. The duties and obligations for the effective conduct of the election remain those of the Local Returning Officers. We strongly advise that Local Returning Officers and their staff come to their own independent view of the statutory requirements for any outsourced work and that they check that any such work meets all the statutory requirements.

2.2 To operate effectively, the administration of an election needs to be properly resourced with well trained staff who have a sufficient level of knowledge and expertise, both of the statutory requirements of election management and of procurement and contract management procedures. It is vital for the statutory requirements and their implications to be fully explained wherever contractors are used, in order to avoid any misunderstandings later. Procurement

2.3 The review of the previous election, together with any recently arising circumstances, will inform the decision to outsource a particular function or task. The risks of outsourcing should be clearly identified and documented, with contingency built into the procurement and contract management process.

2.4 The earlier that decisions to outsource are taken, specifications prepared and appropriate companies invited to tender for the work, the better. As more electoral work is outsourced, the more quickly the suppliers of such services become booked up and reach their total capacity. Given the inflexibility of the election timetable, suppliers should be identified and engaged as far in advance as possible.

2.5 It should be made clear to contractors that they should be producing work according to the specifications set by the Regional or Local Returning Officer. In some instances, electoral offices have asked contractors what is acceptable and should be done, or have been told that something cannot be done when requested. Any query about the design of ballot papers or other electoral materials should be concluded by the electoral staff themselves, by reference, as necessary, to the Regional Returning Officer, the relevant legislation and Commission guidance, by contacting the Commission or by reference to other experienced electoral staff. It should be noted that any failure by a contractor to comply with electoral legislation is the personal responsibility of the Regional and Local Returning Officer.

2.6 The local authority will have adopted standing orders or regulations relating to contracts and procurement. A number of councils now use e-procurement to order and pay for their goods. It is advisable to take advice

Part B, Page 9, January 2009 on the procedures to be followed, although Local Returning Officers must bear in mind Electoral Claims Unit (ECU) or Scotland Office guidance and other legal requirements for procuring supplies and services.

2.7 It is generally agreed that it is good public procurement practice to obtain at least three written quotations. Some councils may, however, have a standing list of approved contractors who have already been through the tendering process and, in some instances, it may be more effective and economical to use such existing contractors and systems.

2.8 As a minimum, it will be necessary to draft a detailed specification of requirements, providing clear instructions as to the necessary statutory obligations in relation to the particular work or services to be undertaken. This specification should be provided to all those companies invited to tender for the work. The successful company must be able to meet all the requirements of this specification.

2.9 In arriving at a decision as to the selection of a company to deliver the work, the Local Returning Officer should ensure that they understand and have evidence of the level and nature of the experience and suitability of the company to undertake the work being outsourced. Local Returning Officers should also satisfy themselves that the company will have the capacity to complete any contracted work to the required standard. It is recommended that formal references are taken up, and examples of previous electoral work are provided and reviewed. It is also essential that appropriate checks are made against the company’s statements relating to such matters as insurance, contingency planning and capacity, quality control, security, health and safety, etc.

2.10 Additionally, it is vital to be aware of whether the company being considered for the work will be using sub-contractors to deliver any aspect of that work. This will create another level of risk and additional communication lines. The Local Returning Officer will need to be reassured that the sub- contractors are capable of delivering the work and that appropriate quality assurance processes are in place.

2.11 A final quotation from the company selected should be obtained, including every aspect of the work as detailed in the specification. Any variations agreed with the company should be in writing and accepted by both parties. A formal contract should be drawn up and it is advisable to do this with advice from the council’s legal services or procurement unit.

2.12 The final price of the contract should not be the only consideration in choosing a contractor. The focus should be on ‘value for money’. Electoral work must be completed on time and to a high standard, and the Local Returning Officer should therefore carefully consider what each bid offers.

2.13 In England and Wales, grants towards the costs of purchasing polling compartments and ballot boxes can be obtained from the ECU. In Scotland, these can be obtained from the Scotland Office. Claims for the cost of replacing polling screens should be submitted to the ECU or the Scotland

Part B, Page 10, January 2009 Office on the approved application form. Approved claims will be reimbursed, the payments being regarded as advances towards the expenses of the European Parliamentary elections. In Scotland, the Scotland Office can provide advances for the purchase of required equipment. Local Returning Officers can then seek reimbursement through the fees and charges order.

2.14 While polling screens or compartments bought with the help of a Treasury grant do not belong to the council, they are usually stored by the council and may also be used for local government elections.

2.15 The Local Returning Officer is required to supply each polling station with such number of ballot papers as they consider necessary.8 Careful consideration needs to be given to the number that will be required. Any Local Returning Officer who has difficulties in getting ballot papers printed should contact the nearest regional director of the British Printing Industries Federation, contactable through www.bpif.org.uk

Outsourcing the production of postal ballot packs

2.16 In terms of outsourcing the production of postal ballot packs, Local Returning Officers should note that, unless the Regional Returning Officer otherwise directs, they are responsible for printing the ballot papers. Whatever the case, Local Returning Officers should liaise closely with the Regional Returning Officer to ensure that any proposed stationery complies fully with the requirements of the legislation, including the postal voters list, prescribed form of ballot paper, postal voting statement, official mark and envelopes to be used.9

Combination Local Returning Officers with combined elections will need to decide I whether they will do a combined issue of postal votes or organise separate issues for each election. Suppliers should be informed as soon as the decision has been made. Whichever decision is taken, it should not be based exclusively on cost and the saving of administrative effort, but should primarily be concerned with the impact on voters.

2.17 A postal ballot paper must be the same as a polling station ballot paper. All ballot papers should be produced on paper of a sufficient quality to prevent the voters’ marks, including those made with pens etc., being seen – particularly during postal vote opening sessions and during the verification of votes, where the ballot papers must always be kept face down.

2.18 The design of the ballot paper must follow that set out in the election rules.10

2.19 Ballot papers no longer require to be printed with a counterfoil; a corresponding number list must now be used instead.

8 Rule 32(1), EPE Rules. 9 Rules 22 and 28, EPE Rules. Paragraphs 5, 42 and 50; Schedule 2, EPE Regulations. 10 Rule 22, EPE Rules.

Part B, Page 11, January 2009 2.20 All postal ballot papers must contain an appropriate security marking, known as the ‘official mark’, and another unique identifying mark. If the Regional or Local Returning Officer wishes, the official mark used on postal ballot papers may be the same as that used at the polling stations, but it does not have to be.11 The official mark does not have to be a perforation added at the time of issue of the ballot paper; it could be the printing of an emblem or mark or a special printing device such as a watermark. If, however, the Regional or Local Returning Officer does not choose to use a printed mark such as a watermark or an underprint, the ballot papers may be stamped with a perforating official mark. The regulations do not, in our view, stipulate at what time the mark must be applied. Regional and Local Returning Officers should, however, ensure that the secrecy of the official mark is maintained. Whatever form of official mark is used, the mark must be appropriate to ensure security and prevent copying. Once a mark is used, it cannot be reused for another five years in the same local counting area.12

2.21 In addition to being numbered, all ballot papers, including those to be issued at polling stations, must bear a further unique identifying mark, which must be unique to each individual ballot paper. This mark can be letters and numbers and could, for example, be the ballot paper number with the addition of a prefix or suffix. An example may be ‘E ATC 1’, to indicate a E(uropean) Parliamentary election (in case it is combined with another type of election) in the A(ny) T(own) or C(ity) local counting area, with the ballot paper number ‘1’ being printed as a suffix. It should be noted that the use of the number ‘1’ is in addition to the printing of the number ‘1’ in the ballot paper number section of the ballot paper. Also, a unique identifying mark can be, but does not have to be, a barcode.

2.22 Decisions on what to use as the official mark and unique identifying mark, in particular whether to use similar marks across the region or across the local counting area, should be made at an early stage in the preparation process.

2.23 When outsourcing postal vote production, all data, including the unique identifying mark, should be included in separate fields in the data file. Every separate piece of information (remembering that the unique identifying mark and ballot paper number are two separate pieces of information) should be a separate field or column in the data file. Electoral administrators should ensure that their software is able to produce a data file that their printers can easily use to produce material to the specification required. Local Returning Officers should agree early on with their suppliers the format in which they are to supply ballot papers or postal voting statements.

2.24 Sample data, including the data headings, should be provided to printers at an early stage in the process, well in advance of ‘live’ data being submitted, in order that the data format can be worked on. This will also enable pre- proofs to be developed so that it is clear which part of the data should go where on the ballot paper or envelope.

11 Rule 24(3) EPE Rules. 12 Rule 24(2) EPE Rules.

Part B, Page 12, January 2009 2.25 There must be two separate envelopes in the postal ballot pack:

• an envelope that must be marked with the letter ‘B’ for the return of the ballot paper envelope and postal voting statement • a ballot paper envelope that must be marked with the letter ‘A’, the words ‘ballot paper envelope’, and the number of the ballot paper

2.26 The form of the postal voting statement is prescribed, and so the Local Returning Officer should consider whether they need to deviate from the wording and format of the prescribed form for a legitimate reason before doing so.13

2.27 In addition to the ballot paper, postal voting statement and envelopes, Local Returning Officers may include such information as they think appropriate about how to obtain:

• translations into languages other than English and, in Wales, Welsh, of any directions or guidance for voters sent with the ballot paper • a translation into Braille of any such directions or guidance • graphical representations of any such directions or guidance • the directions or guidance in other forms (including audio)14

Contract management

2.28 It is essential that there is a formal, written contract or agreement for the work, as this can be used to ensure that quality assurance is carried out effectively. As discussed earlier in this section, local authorities have formal procedures for procurement and the letting of contracts, which the Local Returning Officer may utilise and/or adapt. Experienced managers in these fields can be used to ensure that appropriate and rigorous contract management procedures are followed, thereby minimising risk.

The Improvement and Development Agency (I&DeA) provides model contracts on their website that could be adapted for use by Local A Returning Officers: www.idea.gov.uk/idk/core/page.do?pageId= 5829996

However, Local Returning Officers should always seek legal advice when drafting contracts.

2.29 The timescales for the company to undertake and deliver the work should be confirmed in advance. All stages of the process should be well documented and continuous communication is important for both parties. Maintaining open lines of communication between the contractor and the Local Returning Officer is key to the successful and timely delivery of any contracted work.

13 Rule 28, EPE Rules; Paragraph 42, Schedule 2, EPE Regulations. 14 Regulation 122A, EPE Regulations.

Part B, Page 13, January 2009 2.30 Ensure that there are specific provisions within the contract for the Local Returning Officer, Regional Returning Officer, or nominated member(s) of staff, to visit the company’s premises (including those of sub-contractors, if appropriate) so as to be present while the work is being carried out, and to be able to quality check the ballot papers, postal ballot packs or other work. In addition, contractual provision should be made to allow for Commission representatives and officially accredited observers to attend the company’s premises to observe the process.15

2.31 Ensure that there are specific provisions within the contract relating to secrecy – the appropriate notice as to secrecy should form part of the contract, with a requirement that the company provides this notice to all staff. This must include any sub-contractors used to deliver the work.16

Ensure that the Regional or Local Returning Officer remains in control of the process and that the company contracted to do the work does I not make any decisions without their full understanding and authorisation. Any variations from the agreed specification could result in a breach of statutory rules and regulations, and therefore potentially a breach of duty. Any variations should therefore be formally documented and signed off by or on behalf of the Regional or Local Returning Officer.

2.32 In order to assist contractors and suppliers in delivering the work on time, it is essential to keep to agreed timescales for providing the information or data they need to do the job. If there is slippage, for example because of the time required to process bulk last minute postal vote applications, there will be a need to advise the contractors straight away.

2.33 Document all stages of the procurement and production processes. In particular, keep a formal record of the production process in order to be able to demonstrate that it was undertaken in accordance with the law.

2.34 Specifically, it is recommended that contracts should include clauses which allow for the following quality assurance measures, in addition to those contained within the printer’s own procedures:

• There should be full disclosure of any sub-contractors and their role. This should include full access to all sub-contractors during the production process. • Clear lines of communication should be maintained between any contractor, any sub-contractors and the Regional or Local Returning Officer and their staff. • All senior and supervisory staff who will be involved in the process should attend a briefing session at least seven days prior to printing and issuing. • The Regional or Local Returning Officer and their nominees should have access at all times to all parts of the printing, collation and packaging

15 Sections 6A–6F, PPERA. 16 Regulation 29, EPE Regulations.

Part B, Page 14, January 2009 process, and should be able to carry out quality checks on print runs, collations and completed materials. • The Regional or Local Returning Officer should be provided with proofs of all items to be included in the ballot pack to sign off before printing begins. The proofs should be provided both electronically and in hard copy format. Should the proofs not be acceptable at any point in the process, revised proofs should be prepared within a set number of days, to be specified in the contract. • Final printed versions should always be checked and Local Returning Officers should have a system in place that allows them to be satisfied that the right documentation has been included in the postal ballot packs. • There should be provision for an adequate number of replacement ballot packs to be produced and a fixed date for these to be delivered to the Regional or Local Returning Officer. • Local Returning Officers should ensure that there is no direct communication between the contractors and Royal Mail without the knowledge and involvement of the Regional or Local Returning Officer; printers should only communicate with the relevant Returning Officer or their authorised representatives (which could include Royal Mail at the discretion of the individual Returning Officer). • Contractors should seek permission from the Regional or Local Returning Officer before releasing any ballot packs to Royal Mail and should follow the handover procedures prescribed by the Returning Officer. The Regional or Local Returning Officer or nominee should be present at the handover.

Electoral register data held by the contractors should be destroyed following the handover of ballot papers to Royal Mail. A written I undertaking should be signed by the contractors to accept that information from the full electoral register cannot be disclosed at any time, confirming that they will not disclose data to any unauthorised party and that, upon completion of the processing, they will return any discs and paper records provided to them and destroy any other electronic or paper copies of the data.

2.35 If it is problematic to find a suitable contractor, then the British Printing Industries Federation (BPIF) may be contacted for assistance:

British Printing Industries Federation Farringdon Point 29–35 Farringdon Road London EC1M 3JF

Tel: 020 7915 8319 www.britishprint.com

Part B, Page 15, January 2009 Working with Royal Mail

2.36 Regional and Local Returning Officers are advised to contact their Royal Mail Account Manager as soon as possible, and to ensure that they have an up to date copy of Royal Mail’s best practice guidance on postal voting, Managing postal voting.

The Commission’s website provides a link to Royal Mail’s best practice guidance on postal voting at www.electoralcommission. A org.uk/guidance/resources-for-electoral-administrators/european- parliamentary-elections

2.37 When using Royal Mail it is important to liaise with the Account Manager on a regular basis and obtain any licence numbers and Business Reply numbers as soon as possible in order to avoid any delay at the time when the postal ballot packs are to be distributed to electors. It is also important to discuss arrangements for collection of postal votes at an early stage.

Freepost17 2.38 Every registered political party and individual candidate standing at a European Parliamentary election is entitled to free postage on an election address to be sent out across the electoral region. Registered political parties or individual candidates wishing to make use of this provision should be advised to contact Royal Mail to make arrangements.

2.39 The Local Returning Officer is required to make arrangements for sending freepost election material from parties and individual candidates to anonymously registered electors. This will require using the list of anonymous electors to produce envelopes for sending the material to these electors. The envelopes must be sent by the Local Returning Officer as the details of anonymously registered electors cannot be given to parties, candidates or Royal Mail. All materials must comply with Royal Mail specifications for freepost arrangements, and so it may be advisable to wait for confirmation that the material has been sent out by Royal Mail to other electors to ensure that it satisfies the freepost requirements.

17 Regulation 63, EPE Regulations.

Part B, Page 16, January 2009 3 Election finance

3.1 Guidance on the fees and charges order, including forms and related procedures, will be provided by the Ministry of Justice and published at www.justice.gov.uk/guidance/european-elections-june-09.htm

3.2 Before the election it is important to consider how the election accounts will be prepared, for example whether the election management software has a suitable programme or whether spreadsheets of payments are needed. Also, to aid transparent accounting, there should be a clear division of duties between any officers ordering goods and services and officers authorising payments.

3.3 Adequate documentary evidence that the costs have been properly incurred should always be provided when making a claim. Returning Officers should also make use of Internal Audit or other independent scrutiny before submitting their claims.

Combination Where functions are common to the European Parliamentary elections I and any other elections with which they are combined, the costs will need to be split and further guidance should be sought from the Ministry of Justice.

Returning Officers in England with combined European Parliamentary and local government elections should also consult the election finance section in part B of the Commission’s Returning Officer manual for local government elections in England and Wales. Additional copies can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/local-elections/local-government- elections-in-england

Part B, Page 17, January 2009 4 Equal access

4.1 Equal access to elections is an essential part of a healthy democracy and is necessary to ensure high levels of voter participation. It is therefore very important that all electors have the same opportunity to cast their votes. The purpose of this section is to provide Local Returning Officers with an overview of legislative requirements covering accessibility and to offer guidance on good practice.

4.2 Access issues should be taken into consideration for all electoral procedures, when planning for an election, on polling day itself and during the electoral registration process. It is important for Local Returning Officers, Electoral Registration Officers, electoral administrators and polling station staff to use their own judgement and common sense when resolving access issues. With the diversity of local authorities and types of access issues encountered, it is very difficult to provide ‘one size fits all’ guidance. Planning for access

4.3 Forward planning is essential if maximum accessibility is to be achieved. This should include not only access to polling stations and the count venue, but also access to the entire electoral process, voter information and polling day.

4.4 Reviewing the last election will provide learning points to feed into future planning. It may be that an unforeseen access issue did occur on polling day. If so, steps should be taken to prevent it reoccurring in the future.

4.5 In such a review, the Local Returning Officer may wish to consider the following points:

• All reports returned by Presiding Officers should be considered and any problems identified. • It is also important to consider what practices were successful and where these can be used elsewhere. • Feedback from electors can highlight any issues that may have occurred. Questionnaires with a predetermined checklist could be made available at polling stations for use by electors. • Feedback from candidates, agents and political parties may also help to highlight issues or examples of good practice. Candidates, agents and their supporters have much and varied contact with electors throughout the election period and may receive feedback which they can subsequently give to the Returning Officer and the election team. • Feedback from local organisations of disabled people, older people, minority ethnic groups and the council’s access officers could also be sought.

4.6 An action plan should be drawn up to overcome barriers to access in time for the next election.

Part B, Page 18, January 2009 Legislation

The Disability Discrimination Act 1995

4.7 Electoral procedures are not specifically mentioned in the Disability Discrimination Act 1995 (DDA). The Commission, however, supports the view that the voting process is a public service. In its response to Voting for change, the UK Government stated, ‘We take the view, as does the Electoral Commission, that the Disability Discrimination Act 1995 applies to the provision of the facilities for polling.’18 As a result, it is our view that Returning Officers must not discriminate against disabled people by providing a worse service to a disabled person than they would to a non-disabled person.

4.8 Since December 1996, it has been unlawful for a service provider to discriminate against a disabled person. Discrimination includes:

• refusing to provide any service to disabled people that it provides to non- disabled people • providing a worse standard of service to disabled people than it provides to non-disabled people

4.9 Since 1 October 1999, service providers have had to change practices, policies and procedures that make it impossible or unreasonably difficult for disabled people to use a service. What is ‘reasonable’ will be decided by the courts, but until there is a body of case law, this will be difficult to define.

4.10 From 1 October 2004, service providers have had to make reasonable adjustments to the physical features of their buildings to overcome physical barriers to access. This covers many of the buildings used as polling stations, as they are in use for a wide variety of other functions. The provisions in Part III of the DDA 1995, which cover access to goods and services, apply to electoral services.

4.11 The DDA 1995 has now been amended by the Disability Discrimination Act 2005, which places a duty on all public sector authorities to promote disability equality, and required councils to publish a disability equality scheme by 4 December 2006.

4.12 The disability equality duty, which came into effect in December 2006, places a duty on all public authorities, when carrying out their functions, to have due regard to the need to:

• promote equality of opportunity between disabled persons and other persons • eliminate discrimination that is unlawful under the Act • eliminate harassment of disabled persons that is related to their disabilities

18 The Government’s response to the Electoral Commission’s report: Voting for change – An electoral law modernisation programme, www.dca.gov.uk/elections/govresp-vfc- cm6426.pdf

Part B, Page 19, January 2009 • promote positive attitudes towards disabled persons • encourage participation by disabled persons in public life • take steps to take account of disabled persons’ disabilities, even where this involves treating disabled persons more favourably than other persons

4.13 Regional and Local Returning Officers should have regard to the disability equality schemes of the councils in their local counting area when approaching these issues.

Race Relations Act 1976

4.14 The Race Relations Act (RRA) 1976 gives local authorities various duties in respect of race equality. The general duty set out in Section 71(1) of the Act and the statutory Code of Practice on the Duty to Promote Race Equality is to have due regard to the following three objectives:19

• eliminate unlawful racial discrimination • promote equality of opportunity • promote good relations between people of different racial groups

4.15 Councils are required to publish a race equality scheme. This lists the functions and policies assessed as being relevant to promoting race equality. The scheme also includes an explanation of arrangements for monitoring policies and services, consulting on them and assessing their impact on race equality, and for monitoring the workforce and key employment practices. Regional and Local Returning Officers should have regard to the race equality schemes of the councils in their local counting area when approaching these issues. Language

4.16 Nomination papers and ballot papers are prescribed and must only be produced in English, or English and Welsh in Wales.20

4.17 All other documents that are required to be displayed or provided to voters for the purposes of the election may, if the Local Returning Officer thinks appropriate, be translated into:21

• Braille • languages other than English and, in Wales, Welsh • graphical representations of the information contained in the documents • other means of making the information contained in the documents accessible to persons who might not otherwise have reasonable access to the information (including audio)

19 Commission for Racial Equality, May 2002. 20 Regulation 122A, EPE Regulations. 21 Regulation 122A EPE Regulations.

Part B, Page 20, January 2009 General issues – good practice

4.18 When considering access to electoral procedures, it is vital to think about the demography of your own area and the access needs of voters. For example, are there large numbers of older voters? Are there specific groups of minority ethnic electors and, if so, what languages do they speak? Communities vary significantly throughout the UK, with different groups of minority ethnic electors and age profiles. It is also important to consider the geography of the area, including whether it is urban or rural. It is very important that any changes with regard to access issues benefit everyone, rather than a few at the expense of others. Access issues should be seen in the context of the election as a whole.

4.19 When considering access issues, it is always helpful to talk to local organisations of disabled people, older people and minority ethnic groups. They may have first-hand experience of electoral procedures and may be able to suggest alternative venues for polling stations or ways in which election literature can be improved.

4.20 It is important that there are channels available for voters to contact election staff directly, so that they can put forward their views for consideration. It can also be useful to speak to disabled employees forums, where they exist in individual local authority areas. Professional advice can be obtained from an access auditor.

Guidance on promoting access issues and making information accessible is included in Section 9, ‘Publicity and the media’.

A Guidance and advice

4.21 Guidance and advice on access issues are available from council access officers and a variety of organisations, some of which are listed below. In addition, local groups for disabled people and those from minority ethnic communities may also be able to offer advice and assistance.

Equality and Human Rights Commission

4.22 The Equality and Human Rights Commission replaced the Commission for Racial Equality, the Disability Rights Commission and the Equal Opportunities Commission. Set up under the Equality Act 2006, it is a non- departmental, publicly funded body that promotes awareness and understanding of human rights and encourages good practice by public authorities. It brings together the work of the previous commissions and covers England, Scotland and Wales. For further information, visit www.equalityhumanrights.com

Part B, Page 21, January 2009 Plain English Campaign

4.23 The Plain English Campaign is an independent pressure group whose aim is for public information to be written in plain English – that is, language that the intended audience can understand and act upon from a single reading. The Campaign offers editing services as well as the Crystal Mark for approved documents. Further information is available at www.plainenglish.co.uk

Royal National Institute for Deaf People (RNID)

4.24 The RNID represents deaf and hard of hearing people in the UK. They can provide information on communicating with deaf people. More information is available at www.rnid.org.uk

Royal National Institute of Blind People (RNIB)

4.25 The RNIB offers information, support and advice to people in the UK with visual impairments. The RNIB has produced clear print guidelines to improve access for blind and partially sighted people.

4.26 The RNIB can also offer guidance on producing tape recordings, Braille, e-text and accessible websites. Further information on these issues is available at www.rnib.org.uk

Scope

4.27 Scope is a disability organisation working throughout England and Wales. In Wales, it is known as Scope Cwmpas Cymru. Its aim is for disabled people to achieve equality. Scope runs the Polls Apart campaign to make elections accessible to disabled voters and reports have been produced on all UK Parliamentary general elections since 1992. Scope has also produced a range of guidance for staff involved in elections. Further information is available at www.scope.org.uk

Capability Scotland

4.28 Capability Scotland works with local authorities and disabled people to improve access to elections in Scotland and encourages disabled people to vote. Further information is available at www.capability-scotland.org.uk

Mencap

4.29 Mencap is a UK charity which campaigns for equal rights for children and adults with a learning disability. They also have experience in producing easy-read literature. Their website, www.mencap.org.uk, provides further details.

Part B, Page 22, January 2009 Electoral registration issues

4.30 Being able to register as an elector is fundamental to the whole election process. People may experience difficulties in completing electoral registration forms for a variety of reasons. They may not be able to see the writing on the forms or understand the form. This includes people with low levels of literacy, as well as those who do not speak or cannot read English. These people may need extra help in completing forms or to have guidance produced in an alternative format, if possible.

The Commission has produced an easy-read guide to voting, which includes a section on registration. Different packs are available for A England, Scotland and Wales. Order details and a downloadable version of the guides can be accessed from the Commission’s Do Politics website at www.dopolitics.org.uk

Registration forms

4.31 Where possible, all registration forms should:

• be in clear, precise English, and in Wales, Welsh • give details of a helpline that people can ring if they require assistance – it is also helpful to provide a textphone number, website address and email address • offer help with completing the registration form • be printed in a clear font and using a minimum font size of 12 point wherever possible, although 14 point is more accessible • preferably be printed in black ink on a white background • be available in alternative formats on request

4.32 It can be useful to provide guidance notes explaining how to complete forms. This can be helpful to all electors and may make it possible to reduce the amount of text on the actual form. The guidance should be written in plain English and should include symbols and pictures. This will help all electors, including those with low levels of literacy or who have limited understanding of the process.

4.33 Alternative formats should be available, and these should be advertised on the form. Electoral Registration Officers can also offer help to those electors who have difficulties in completing electoral registration forms.

Part B, Page 23, January 2009

The Commission has produced forms for rolling registration in a variety of languages and formats. These are available as A downloadable PDFs on the Commission website, www.aboutmyvote.co.uk, and can also be ordered as hard copies.

For further information on making registration accessible, see also Part I of our Managing electoral registration in Great Britain: guidance for Electoral Registration Officers. The relevant part can be downloaded from www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/electoral-registration/managing-electoral-registration-services

Access to the poll

Poll cards

4.34 Poll cards are one of the most important means of communication with electors. In some cases, electors may be unaware that an election is actually taking place until they receive a poll card. This being the case, it is important that poll cards are made easy to read, while containing as much information as possible.

4.35 It is now necessary to produce poll cards not only for those who are entitled to vote in person at a polling station, but also for those entitled to vote by post or by proxy.

4.36 Although the content of poll cards is prescribed, the following are some aspects of good practice you may wish to consider when producing poll cards:22

• Poll cards should be produced in clear, large print, using a minimum of 12 point font size. • Include a helpline number and an email address that people can use if they have any enquiries. • Maps showing the location of the polling station can be helpful on poll cards for electors or proxies entitled to vote at the polling station, particularly if the location has changed since the last election, but any map should not be so small that electors have difficulty reading it. • Include access details on poll cards for electors or proxies entitled to vote in person at the polling station (such as highlighting the availability of the device for enabling voters who are blind or partially sighted to vote without assistance or informing people that a temporary ramp will be in place), taking into account the size of the poll card to be used.

Postal and proxy voting

4.37 Although many people, including disabled people, prefer to vote in person, others find it more convenient to vote by post or to appoint a proxy to vote on their behalf. Postal voting is available on demand and anyone can

22 Rule 31, EPE Rules.

Part B, Page 24, January 2009 choose to vote by post without the need to supply a reason for selecting to vote in this way.

4.38 Additionally, there are legislative provisions allowing people who become disabled between the closing date for new applications to vote by proxy and 5pm on polling day to apply for an emergency proxy on the grounds of disability.

4.39 There should be adequate publicity surrounding postal and proxy voting to make people aware of these provisions and to inform people as to how to apply and the deadlines for doing so. Application forms should be located in a variety of public places so that people have easy access to them. Absent voting applications could also be produced in a variety of formats in order to make it easier for people to successfully complete the forms.

4.40 The Electoral Commission produces postal voting application forms in a number of languages and formats, including audio tape, Braille and large print. All foreign language leaflets are bilingual. These leaflets are available to order free of charge and are also available as downloadable PDFs on the Commission’s website.

Polling places and polling stations

4.41 Unless there are special circumstances, polling places for the European Parliamentary election must be the same as those designated for UK Parliamentary elections.23 The Representation of the People Act 1983 (RPA 1983) places an obligation on councils, so far as is reasonable and practicable, to designate as polling places only places that are accessible to disabled people and to give all electors within their area such reasonable facilities for voting as are practicable in the circumstances.24 When carrying out reviews of polling places, councils are required to seek the views of people who have particular expertise in relation to access to premises or facilities for people who have different forms of disability.

Guidance on accessibility at polling stations is given in Section 6, ‘Venues for election activities’. A checklist on accessibility issues for A polling stations is included in our Polling station handbook, which can be ordered in hard copy or downloaded from the Commission’s website.

Access for candidates, agents, Commission representatives and observers

4.42 As well as voters, candidates, agents, Electoral Commission representatives and accredited observers may have specific access needs for the election. They may need any guidance produced in a large print or other format, such as Braille or audio, or in a language other than English.

23 Regulation 8(2), EPE Regulations. 24 Section 18B, RPA 1983.

Part B, Page 25, January 2009 5 Electoral registration

5.1 This guidance should be read alongside the Commission’s Managing electoral registration services in Great Britain, which is designed to assist Electoral Registration Officers with particular points of practice and procedure on electoral registration. This section is supplementary to that manual and highlights issues that will require particular consideration ahead of a European Parliamentary election. Citizens of EU member states

5.2 Citizens of EU member states wishing to register as European Parliamentary electors must complete a separate application accompanied by a declaration, which must state that they will vote only in the UK at any European Parliamentary election during the 12 month period of the validity of the declaration.25 EU citizens may only vote once and only in one member state at a European Parliamentary election, and to do otherwise would be committing an offence punishable on conviction by imprisonment of up to six months and/or a fine.26

5.3 The Electoral Registration Officer should issue applications and declarations (commonly referred to as a ‘UC1’) to all electors who have indicated on the annual canvass form or rolling registration application that they are a citizen of an EU member state.

5.4 The Commission recommends that, wherever registration information is provided, the Electoral Registration Officer makes it clear that citizens of EU member states need to fill in a UC1 form if they wish to vote at the European Parliamentary elections in the UK. The Electoral Registration Officer could also use their website to make citizens of EU member states aware of this requirement.

5.5 In the period leading up to the deadline for registering to vote at the election, the Electoral Registration Officer could also send out UC1s alongside all rolling registration forms that are sent out. Alternatively, if a person calls the Electoral Registration Office asking for a rolling registration form during that period, staff could be instructed to always ask for that person’s nationality (and the nationalities of other members of their household) to determine whether a UC1 needs to be sent out alongside the rolling registration form.

The Commission has produced application forms for registering to vote at European Parliamentary elections (UC1) in large print and a A number of European languages (French, Latvian, Lithuanian, Polish, Portuguese and Spanish). These forms are downloadable from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/electoral-registration/forms

25 Regulation 6, European (Franchise) Regulations 2001. 26 Section 9, EPE Act 2002; Regulation 7, European (Franchise) Regulations 2001; Section 13D RPA 1983.

Part B, Page 26, January 2009 5.6 Returned applications and declarations should be dealt with in the same way as any other application and must meet the registration deadlines. While it is up to citizens of EU member states to decide whether or not they wish to register to vote at European Parliamentary elections in the UK, Electoral Registration Officers may want to consider sending out reminders to local government electors who are EU citizens and have not returned the UC1 form by a particular day close to the registration deadline.

5.7 Electors who return a completed declaration will have their names included in the register of electors prefixed with the letter ‘K’ instead of the letter ‘G’, which signifies that the person has been added to the register of European Parliamentary electors. This change from ‘G’ to ‘K’ should be reflected in the next update to the register.

Further details on franchise markers are provided in the Handbook for polling station staff – supporting European Parliamentary elections in A Great Britain and in Part B of the manual, Managing electoral registration in Great Britain.

5.8 A person’s application to register to vote as an elector at a European Parliamentary election in the UK remains effective for a period of 12 months from the date on which the entry in the register takes effect, or until:27

• the citizen applies for their name to be removed from the register of electors, or • another application is made by the citizen in respect of a different qualifying address, or • the application is cancelled by the elector, which can be done at any time, or • notification is received from the Secretary of State that information has been received from a member state indicating that the citizen has lost their right to vote

Further information and guidance on registration can be found in Parts D and F in the Commission’s manual, Managing electoral registration A in Great Britain: guidance for Electoral Registration Officers. This can be downloaded from the Commission’s website at www.electoralcommission. org.uk/guidance/resources-for-electoral-administrators/electoral-registration/ managing-electoral-registration-services

Information to the Secretary of State

5.9 Electoral Registration Officers will be required to send information on citizens of EU member states registered in their areas to other countries, and in turn should receive information from other EU countries.

27 Regulation 10, European (Franchise) Regulations 2001.

Part B, Page 27, January 2009 5.10 Any directive and guidance relating to this information sharing will come from the Ministry of Justice, and any queries relating to this process should be directed to them.

For further information, email Paul Brunton, MoJ, at [email protected], or call 020 3334 3778, or write to: A Election and Democracy Division Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ

Part B, Page 28, January 2009 6 Venues for election activities

6.1 Locating sufficient and appropriate venues for election activities is not always straightforward. The review of previous elections should include giving consideration to all such premises.

6.2 It is a good idea to contact the managers of all premises used as polling stations and count venues at least six months before the election date to alert them to the election and to make provisional bookings. When contacting the managers of premises, it is worthwhile asking them to complete a pro forma confirming the availability of the premises, caretaker/contact details and cost, and to provide a pre-paid envelope for its return.

6.3 This activity, done at an early stage in the planning process, should highlight where premises are no longer available or are not suitable. This will then allow sufficient time to act on the information and to identify solutions. Briefings

6.4 It is good practice to arrange a meeting with representatives from political parties and any other possible individual candidates and their agents, if known, prior to the start of the election process, to provide them with information about the elections. Such briefings should be held in accessible venues. Polling places and polling stations

6.5 It is the responsibility of the relevant council to designate polling places within their area and to keep these under review.28 A review of polling districts and polling places should have taken place in 2007 and should be carried out at least every four years thereafter.29 Reviews can be carried out at any time and some councils may wish to carry out their next review before 2011. In undertaking a review, councils will be required to seek the views of people who have particular expertise in relation to access to premises or facilities for people who have different forms of disability. In designating polling places, the council must therefore have regard to accessibility for disabled voters.

6.6 Although it is the responsibility of the relevant council to designate polling places and keep them under review,30 it is the Local Returning Officer’s responsibility to provide a sufficient number of polling stations within the designated polling places.31

6.7 The designation of venues for polling stations can be an extremely difficult exercise, because, on occasion, there may be no suitable premises within the polling district.

28 Section 18A, RPA 1983. 29 Section 18C, RPA 1983. 30 Section 18A, RPA 1983. 31 Rule 29, EPE Rules.

Part B, Page 29, January 2009 6.8 Local Returning Officers should work closely with people who have particular expertise in relation to access to premises or facilities for disabled people. They should be able demonstrate that a proper assessment has been conducted of all the polling stations to be used at the election, and, where access problems exist, documentary evidence of any action taken should be retained.

Accessibility at polling stations

6.9 Despite the increase in postal voting, the majority of electors still vote in person at polling stations. Therefore, one of the most important aspects of equal access is to ensure that polling stations are as accessible as possible.

6.10 Ideally, Local Returning Officers will have the choice of a range of fully accessible buildings, conveniently located for electors in the area, with owners willing to hire them out for polling station use at low cost. Unfortunately, in practice, this is often not the case and, in many areas, there is very little choice available. Equally, it is not desirable to close down large numbers of polling stations and deprive electors of convenient local polling places because there are access issues.

6.11 However, in many areas, significant improvements have been made to premises used as polling places, to make them more accessible. Reimbursable advances are available from the Ministry of Justice or Scotland Office for temporary adaptations to premises used as polling places and, while not ideal, these can help more people to access a polling place.

Choosing buildings for polling station use

6.12 Traditionally, polling stations tend to be located in buildings such as schools, village halls and community centres. However, there is no reason why they should not be located in alternative buildings which have good access and have a suitable space that allows electors to vote in private. Premises as diverse as fish and chip shops, pubs, temples and supermarkets have been successfully used as polling stations. Whatever the case, it is essential that the premises identified provide sufficient space for voting to take place, including the space potentially required to accommodate polling agents and accredited election observers.

6.13 Local Returning Officers should remain vigilant for any new buildings which may provide alternative locations for any polling stations that present access problems. It may be that a new community building or hall has been built in the area that would prove to be the ideal polling station. Close liaison with accessibility experts will help to ensure that the best possible buildings are identified.

6.14 When initially choosing buildings to be used as polling stations or reviewing existing polling stations, the factors outlined below should be considered.

Part B, Page 30, January 2009 Location of the building 6.15 The location of the building is important when considering whether or not it should be used as a polling station. If possible, it needs to be close to where voters live and to be fully accessible. Questions to ask are:

• Is it located close to where most of the electors in the polling district live? • Is it at the top or bottom of a steep hill? • Does it have suitable access from a road? • If there is a pavement, does it have a dropped kerb close by? • Are there any convenient public transport links? • Is it safe and well-lit?

Parking facilities 6.16 Many electors drive to the polling station, including disabled people, so provision of parking spaces at polling stations is important. Factors to consider are:

• Are there adequate parking facilities close to the entrance of the building? Where required, Local Returning Officers may also consider liaising with their local authority’s transport department to discuss temporary parking arrangements. • If not, is there anywhere close by that could be used for parking just on polling day? • How far do electors have to walk from the car park to the polling station? • Is there a designated disabled parking space, or could one be provided? • Is there a dropped kerb from the parking area to the polling station? • Will there have to be temporary parking restrictions introduced that allow poll staff to park nearby and voters, especially disabled voters, to park for a period to allow voting?

Pathways 6.17 The approach from the road and car parking space should have a hard, smooth, non-slip surface, without steps, potholes, broken slabs or similar; it should not have any severe gradients; and should be well lit. Gravelled surfaces can present difficulties to wheelchair users.

Entrance 6.18 When assessing access to the main entrance to the building, the following factors should be considered:

• Does the building have a level entrance? • Are there any steps to the entrance of the building? • Are the stairs highlighted in any way? • Is there a handrail by the steps? • Is a permanent ramp provided? • If not, could a temporary ramp with a suitable gradient be provided safely, or is there another entrance that disabled people or other electors could use? • Is the door wide enough for a wheelchair user to gain access?

Part B, Page 31, January 2009 • How heavy are the doors for a frail or elderly person to open? Would the doors need to be propped open?

Inside the building 6.19 When assessing access inside the building, the following questions should be considered:

• Are there any internal steps or barriers for electors to negotiate? • Are doormats level with the floor? If not, can they be removed? • Are there any other trip hazards? • Is there a suitable non-slip floor covering? Would it become slippery when wet? • Are there any corridors which may be difficult to negotiate for any electors using wheelchairs or those who find walking difficult? • In terms of the layout of polling equipment in the polling station room, is there enough space in the room for staff, polling equipment and a number of electors, including a wheelchair user? • Is there adequate lighting in the room? Switch on all the lights available to test this. Is there any need for additional lighting? • If the premises have movable mats, heavy curtains trailing on the floor, a mix of carpet and wooden flooring with edging lips in between, and highly polished floors – all of which can be potential hazards – what has been done to remove or improve them?

Portable polling stations

6.20 Sometimes, there is no other option but to use a portable polling station, such as a Portakabin. Accessibility is a matter that should be discussed with suppliers of such accommodation. Local Returning Officers should also contact several different suppliers in order to compare what they can offer.

6.21 Loud generators that are sometimes used at portable polling stations can cause difficulties for deaf people when they vote, as well as being unpleasant for polling staff and people in neighbouring properties. Use of such generators should be avoided if at all possible.

6.22 There are several other considerations that will need to be planned for if portable polling stations are to be used, including making road closure orders, if necessary, to accommodate the stations, providing toilet facilities for staff, connecting an electricity supply if generators are not used, and accurately describing the position of the polling station on poll cards and on street signage.

Part B, Page 32, January 2009 Action to improve polling stations

6.23 Once any problems have been identified, it is important that action is taken to overcome them.

We recommend that Local Returning Officers prepare an action plan to identify improvements and ways of making them. Permanent Iimprovements to buildings can benefit users throughout the year, and not just at election times. However, in order to achieve permanent improvements, funding needs to be identified. Some councils have provided access grants to bodies that own buildings which are used as polling stations, on the condition that they allow the premises to be used on polling day.

Polling station equipment, notices and supplies

6.24 As well as considering polling stations, it is also important to consider the equipment used inside the polling station well in advance of polling day.

6.25 Each polling station should be equipped with a low level polling booth for use by wheelchair users. Reimbursable advances are available from the Ministry of Justice or Scotland Office for polling booths for voters with disabilities. Grants are also available to cover a portion of the cost of temporary ramps, and these should be ordered well in advance of polling day.

6.26 Some Local Returning Officers provide magnifying glasses for electors to use when voting, and this can be useful to assist those electors with visual impairments. Polling booths should be checked to ensure that they have sufficient light to allow those with a visual disability to clearly read the ballot paper and instructions. If in doubt, supplementary light should be provided. It is also helpful to place white or luminous strips around the slots on the top of ballot boxes, to make it easier for people to see where to place their ballot papers.

6.27 Each polling station must be supplied with a tactile voting device.32 These should be ordered well in advance of polling day.

6.28 At least one copy of the large-print ballot paper must be displayed prominently at each polling station.33 It is helpful to supply more than one large-print ballot paper for display in well lit and conspicuous locations in the polling station.

6.29 It is a legal requirement for the Local Returning Officer to provide an enlarged hand-held copy of the ballot paper (which must clearly be marked as a sample) for the assistance of voters who are partially sighted.34 Laminating such samples will help to prevent them getting torn or dirty and it might be helpful to supply more than one copy for each polling station for voters to use.

32 Rule 32(5)(b), EPE Rules. 33 Rule 32(5)(a), EPE Rules. 34 Regulation 122A, EPE Regulations.

Part B, Page 33, January 2009 6.30 In addition, if the Regional Returning Officer or Local Returning Officer thinks it appropriate, all election notices and documentation, except for the ballot papers and nomination papers, may be translated into Braille and to languages other than English and, in Wales, Welsh. They can also use graphical representations or any other means of making the information accessible, such as audio.35 For example, the ‘guidance for voters’ notice could be displayed pictorially or translated into languages widely used in the community.

Combination Local Returning Officers with combined elections in their area will have I to ensure that the relevant polling stations have been supplied with equipment and election stationery for both elections, including the large-print ballot papers and enlarged hand-held copies of the ballot paper and the relevant notices.

Booking polling stations

6.31 The cooperation of the owners of premises is important in ensuring that polling places are accessible. It may be helpful to ask owners if they are aware of any particular access issues with the premises which may cause difficulties on polling day. When booking polling places, it can be helpful to remind the owners of premises of the following:

• Any temporary ramps or other access facilities should be put in place for polling day. • If there is a separate entrance to the building for disabled people, then this needs to be well signed and kept open for polling day. • If the polling station has a polished floor, this should not be polished before polling day, in order to minimise the risk of voters slipping or, at least, slip mats should be in place.

Last minute changes to polling stations

6.32 There may be circumstances (e.g. flooding, fire, vandalism) when a change of polling station may be required at short notice. As part of their planning for the election, the Local Returning Officer should have compiled a list of stand-by polling stations or Portakabins that could be used in such circumstances.

6.33 Local authorities, and not Local Returning Officers, are responsible for designating polling places and polling districts. Therefore, if possible and practical, Local Returning Officers should designate a new polling station within the same polling place. As the location of a polling station within a polling place is the responsibility of the Local Returning Officer, there will be no need to seek separate council approval for such a change.

35 Section 122A, EPE Regulations.

Part B, Page 34, January 2009 6.34 However, if there is a need to change the polling place, council agreement will be required. If delegation procedures are in place, the Local Returning Officer should follow these as set out in the council’s constitution and contact the person or persons who are entitled to make changes to the scheme of polling places.

6.35 Local Returning Officers should remember to amend the notice of poll to reflect any changes to their polling stations.

6.36 There are a number of mitigating measures the Local Returning Officer can take to ensure that electors who are affected are able to vote with minimum disruption. They could:

• if time allows, send out a letter to all affected electors informing them of the change to their polling station • put up signs at the old polling place informing electors about the change in polling station and include directions to the new one • display clear and visible signage at the new polling station (this should be the case at all polling stations) • if possible and necessary, offer a shuttle transport service from the old polling station to the new one (the Local Returning Officer should liaise with their local authority to find out about any available means of transportation and insurance arrangements)

Issue, receipt and opening of postal votes

6.37 This is a critical area of activity in the delivery of any election. As a result, the process of issuing postal ballot packs in many areas is increasingly being outsourced, creating new risks and management challenges.

6.38 Local Retuning Officers intending to conduct the issue and/or opening processes in-house may need to evaluate the previous arrangements and venues for suitability in order to be able to deliver a larger operation if necessary.

6.39 Any venue used for the opening of postal votes should be accessible to all those entitled to be present, including candidates, agents, observers and Electoral Commission representatives. It should be noted that accredited observers and representatives of the Electoral Commission may observe the entire postal voting process, including the issue of postal ballot papers.

6.40 In addition, there will need to be sufficient space to undertake the now required checks of personal identifiers and for recording received postal voting statements, in order to produce a marked postal voters list. It is possible that the requirement to check personal identifiers may lead to a number of agents and accredited observers attending, and so sufficient space should be available. If automated methods are used, sufficient power and network points should be in place to accommodate the necessary technology. There may also be a need to identify a venue that is close to the elections office, so that copies of the original absent voting application forms may be easily checked if

Part B, Page 35, January 2009 the quality of the scanned image does not allow the Local Returning Officer or their deputy to make a decision. Local count and verification venues

6.41 The effectiveness of the verification and count, will rely on a suitable venue. The evaluation of the previous election should highlight any learning points as to the suitability of the venue(s) used previously, and produce a clear set of requirements for the selection of a verification and count venue.

6.42 In choosing a venue for the verification and for the count, there will need to be sufficient space for all aspects of the process. It is essential that sufficient space is made available to open the postal votes returned to the verification by Presiding Officers or from the Royal Mail sweep, and that the venue has adequate services to cope with any automated signature and date of birth validation systems needed to process the postal voting statements.

6.43 Any venue used for the verification or the count should be accessible to all those entitled to be present to observe the process, which includes accredited observers and representatives of the Electoral Commission.

6.44 Local Returning Officers may wish to consider providing a separate area for the media. While accommodating the media, it is essential that any media presence does not interfere with the effective conduct of the count.

6.45 If the count does not immediately follow verification, the Local Returning Officer must also provide a secure environment (e.g. a security room) for the storage of all the materials.

Combination Consideration needs to be given as to how to organise the verification Iand count. Where separate ballot boxes have been used for the different elections, Local Returning Officers will need to ensure that all ballot papers are included in the verification and count, and that no local government ballot papers have been left inside the European Parliamentary elections ballot box, and vice versa.

Accessibility

6.46 Although the verification and count are not open to the public in the same way as polling stations are, access issues should still be taken into account when deciding on venues, as those entitled to attend may have disabilities or have other access needs. The following factors should be taken into consideration when choosing a count or verification venue:

• the location of the building • lighting (especially if verifying or counting overnight) • parking facilities • the entrance and how accessible it is

Part B, Page 36, January 2009 • any internal steps or barriers to those attending • floor coverings

Getting equipment to the polling stations and count venue

6.47 Any agency or contractor used to deliver polling booths or other election materials should be informed of the date of the election at an early stage in the planning process. Delivery schedules and comprehensive contract specifications need to be worked out with the agency or contractor in advance so that arrangements can be made to ensure that key-holders are able to be present to provide access to the premises. Use of schools and rooms by candidates

6.48 Local education authorities in England and Wales and education authorities in Scotland are required to maintain a list of rooms in school premises that candidates are entitled to use for election meetings. Similarly, councils must maintain a list of other rooms maintained at the public expense which are available to candidates to be used for election meetings.36

6.49 Candidates and their election agents are entitled to inspect the lists at all reasonable times in the period between the publication of the notice of election and the day before poll.

36 Regulation 67, Schedule 8, EPE Regulations; Schedule 5, RPA 1983.

Part B, Page 37, January 2009 7 Staffing The Regional Returning Officer’s staff

7.1 Regional Returning Officers may appoint one or more deputies to discharge their duties.37 There is no requirement to obtain Ministry of Justice approval for such appointments, but it is expected that each Regional Returning Officer will make appropriate provision for circumstances when they may be unable to act personally.

7.2 There is no statutory requirement about the qualifications required by a deputy Regional Returning Officer, nor do they have to be an officer at the Regional Returning Officer’s authority. A deputy Regional Returning Officer is liable in the same way as the Regional Returning Officer for a breach of official duty.38

7.3 The Regional Returning Officer is permitted to appoint such people as may be necessary to assist them in relation to their election function.39 The relevant council is also required to make staff available to assist the Regional Returning Officer in undertaking such functions.40

7.4 Any staff appointed by the Regional Returning Officer are under their direction and control, irrespective of their employment at other times.

7.5 If the Regional Returning Officer dies or becomes incapacitated, a new officer will need to be appointed by their local authority who will then become the Regional Returning Officer. Any delegations made by the previous Regional Returning Officer will have to be remade.

7.6 Officers should also regularly liaise with Regional Returning Officers according to agreed arrangements within the region.

The Local Returning Officer’s staff

7.7 The Local Returning Officer is expected to make appropriate provisions for any circumstance for when they are unable to act in person. The Local Returning Officer may therefore wish to appoint deputies to discharge their duties.41

7.8 There is no statutory requirement setting out the qualifications required by a deputy Local Returning Officer. Payment received by a deputy Local Returning Officer is not pensionable as the employer is the Local Returning Officer, not the employing authority.

37 Regulation 7(1), EPE Regulations. 38 Regulation 25, EPE Regulations. 39 Regulation 7, EPE Regulations. 40 Section 6(7), EPE Act. 41 Rule 7 (1), EPE Rules.

Part B, Page 38, January 2009 7.9 The Local Returning Officer is responsible for appointing Presiding Officers, Poll Clerks, count staff and other staff to undertake the issue and receipt of postal ballot papers.

7.10 Local authority staff employed to carry out these functions are under the direction of the Local Returning Officer, regardless of their normal employment.

7.11 It is a requirement that any member of the Local Returning Officer’s staff must not be employed by, or on behalf of, a candidate ‘in or about the election’.42 Local Returning Officers should secure a written confirmation of this from anyone they are intending to appoint.

7.12 On appointment, all staff should be provided with a formal notice, with a copy of the agreement, or acceptance form, for them to sign and return to indicate their acceptance. This notice might usefully include the relevant secrecy provisions,43 in addition to the confirmation referred to above. Effective recruitment and induction of staff

7.13 An early assessment of the performance of Presiding Officers and other key staff at previous elections may lead to the decision to schedule further recruitment and specific training activity at an early stage in preparations for the election.

7.14 Additionally, this assessment should highlight the availability of staff on the date of the election. Also, having staff in reserve is crucial to ensuring sufficient cover.

7.15 It is advisable to ensure that the methods used to identify, recruit and employ staff are robust and would withstand scrutiny by an auditor.

7.16 Well trained and helpful staff are the most important resource at a polling station. Polling station staff are often recruited from council staff and retired staff members. Where appropriate, efforts should be made to employ polling station staff who can communicate in one or more appropriate languages used within a community. This can be helpful in providing assistance to electors who do not speak English. It may mean employing recruitment techniques designed to encourage applicants from a wide range of communities. Similarly, there may be disabled people who may be just as capable or better at polling duties than able-bodied people. Working Time Directives

7.17 The European Working Time and Young Workers Directives (The Working Time Regulations 1998) have the basic aim of ensuring that workers have a measure of protection against working excessive hours. The

42 Rule 30, EPE Rules. 43 Regulation 29, EPE Regulations.

Part B, Page 39, January 2009 regulations restrict the number of hours a worker works each week and requires employers to allow minimum periods of rest.

7.18 While work for the Local Returning Officer is not the same as work for the council, regard should be had to the total number of hours that staff are working so that every employer ensures that they are monitoring the health of staff over whom they have a duty of care.

7.19 The regulations allow for certain types of work to be excluded from the normal provisions on rest periods and total hours worked. In an election period, exemptions may be applicable. These may mean, for example, that compensatory rest can be provided at the end of a busy period rather than during it. It is also possible for a worker to opt out of the rules on total working time (but not the requirement for breaks), and this could be considered for council staff working over a longer period during the election. Asylum and Immigration Act 1996

Local Returning Officers must ensure that all staff employed at the election are entitled to work in the UK in accordance with the I provisions of the Immigration, Asylum and Nationality Act 2006. It is no longer sufficient to rely solely on an individual’s National Insurance number as evidence that they are entitled to work in the UK.

The UK Border Agency’s website contains comprehensive guidance for employers on preventing illegal working: www.ukba.homeoffice.gov.uk/ sitecontent/documents/employersandsponsors/preventingillegalworking/

National Insurance

7.20 The Social Security (Categorisation of Earners) Regulations 1978 (SI 1978/1689) provide that there is no liability for National Insurance contributions for employment as or by the Returning Officer. Therefore National Insurance should not be deducted. Income tax

7.21 Income tax must be deducted at the basic rate of tax except where employees are able to complete a ‘P527 Certificate of taxable income’. In such cases, fees can be paid gross. In addition, employees may wish to have income tax deducted from their fees at the higher rate, if applicable. In order to ensure that the procedures adopted are acceptable, it is suggested that the Inspector of Taxes for the relevant council be consulted. Staff for issue and receipt of postal ballot papers

7.22 In order to ensure the success of both the issuing and opening of postal ballots within the timescales, Local Returning Officers must ensure they have sufficient staff. If the issuing process is to be conducted in-house, additional staff may be required. In order to assess the likely staffing levels required the

Part B, Page 40, January 2009 Local Returning Officer should make an estimate of the turnout and calculate the number of opening sessions likely to be needed and the number of staff required at each.

7.23 The effect of the requirement to check the signatures and dates of birth on the postal voting statements will also need to be assessed and any learning from previous elections incorporated into staffing plans, as will the requirement to produce a marked list of the postal votes received back and the potential need to identify and remove cancelled postal votes. Much will depend upon how much of the process can be automated, and the length of time required to validate the authenticity of postal voting statements where potential discrepancies are identified. Clearly, undertaking such checks manually will require greater staffing resource than if all or part of the process is automated. In any case, these additional anti-fraud measures may require an increasing number of – possibly longer – opening sessions.

7.24 Additionally, the number of postal ballots being returned to polling stations (and in some cases from Royal Mail sweeps) may require additional staff (and space) for opening these. If postal votes are collected from polling stations during the day, they could be opened at a separate session prior to the verification of ballot papers, reducing the numbers to be opened then.

Combination The decision whether to do a combined or separate issue of postal I votes may have an impact on the number of staff required for the issuing (if done in-house) and opening of postal votes and Local Returning Officers should plan accordingly.

7.25 The Local Returning Officer must provide all staff involved in the issue and receipt of postal ballot papers with a copy of the secrecy provisions in Regulation 29(4) and (7) of the European Parliamentary Election Regulations. Appointment of Presiding Officers and Poll Clerks

7.26 The Local Returning Officer must appoint a Presiding Officer to attend each polling station, plus as many Poll Clerks as are necessary for the election. Numbers will depend on how busy the Local Returning Officer considers the polling station will be, based on previous experience. Local Returning Officers should also take into account the number of applications for postal votes when allocating staff, as, in an area with a large number of postal voters, fewer electors will be attending the polling station to vote in person.

7.27 For guidance purposes, the recommended ratios for staffing arrangements at the last UK Parliamentary general election were as follows:

• In addition to a Presiding Officer, there should be one Poll Clerk for 1,000 voters or less.

Part B, Page 41, January 2009 • One additional Poll Clerk may be appointed for the next 750 electors. A third Poll Clerk may be appointed to a polling station with up to a maximum of 2,500 electors. • Wherever possible, a polling station should not have more than 2,500 electors allocated to it.

7.28 Presiding Officers and Poll Clerks should be issued with the notice of requirement as to secrecy at the polling station, Regulation 29(1), (6) and (7) of the European Parliamentary Elections Regulations.

7.29 For any polling staff who will not be able to vote at their own polling station because of their employment, the rules allow for the Local Returning Officer to authorise them to vote at any polling station within the constituency in which they are registered, by means of a certificate of employment.

7.30 Alternatively, polling staff may choose to apply for a postal vote, and many Local Returning Officers provide an application form with the preliminary letter to potential polling staff, with information as to the deadline for applications. Count staff

7.31 The number of counting assistants appointed will depend on the venue chosen and the number of votes to be counted.

7.32 Count staff must be provided with a copy of Regulation 29(2) and (7) of the European Parliamentary Elections Regulations, explaining the requirement as to secrecy at the count. Training

7.33 The training of all election staff is an important ongoing function in the successful delivery of an election, and should be an integral part of the planning process. Presiding Officers and Poll Clerks are the frontline staff with who voters come into contact; in many cases, they are the only members of the Local Returning Officer’s staff who the voters will meet in person. It is important, therefore, that staff are trained as fully as possible to perform their duties. Poll Clerks and Presiding Officers should receive training which includes information and a briefing on access issues and procedures. Polling station inspectors, too, may benefit from this type of training.

7.34 Staff dealing with the issue and receipt of postal votes should also receive dedicated training that includes a briefing on procedures. In addition, in England and Wales, the Forensic Science Service provides signature checking training services and the Local Returning Officer may want to consider offering this training to those members of staff directly involved in the verification of postal vote identifiers. In Scotland, Local Returning Officers should contact the Scottish Police Services Authority Forensic Services.

Part B, Page 42, January 2009 For further information on the services provided by the Forensic Science Service and their contact details, visit their website at A www.forensic.gov.uk

For more information on the Scottish Police Services Authority Forensic Services visit www.spsa-forensics.police.uk

7.35 It is important that the Local Returning Officer and their staff formulate a training plan for all election staff who will need training for the election. Initial planning should identify who will need training and their training needs.

In order to support Local Returning Officers in providing training for election staff, the Commission is developing a range of support A materials both for training and reference purposes in the delivery of key election processes. The materials below will be available to download from the Commission’s website at www.electoralcommission.org.uk/ guidance/resources-for-electoral-administrators/european-parliamentary- elections y material to support the training of polling station staff: - Handbook for polling station staff (printed copies will also be available to order) - a quick guide for polling station staff (printed copies will also be available to order) - a PowerPoint presentation template - template lesson plans y material to support the counting of votes: - guidance on doubtful ballot papers (printed copies will also be available to order) y a frequently asked questions template for other staff involved in the electoral process (e.g. call centre staff)

Note: For those areas in England with combined European Parliamentary and local government elections, the Commission will adapt or provide separate versions of the support products listed above.

7.36 The best way to maximise the use of the training materials and services provided for the election is to ensure that key electoral staff are made aware of them and that the election team is fully conversant with them and capable of cascading the training.

7.37 Many councils have access to training personnel who could assist with this process, e.g. providing more generic training on presentation skills, to enable key election staff to cascade training to polling and other staff more confidently.

7.38 Any training plan should also include methods of evaluating the training sessions and materials, in order to inform future planning.

Part B, Page 43, January 2009 Training on access issues for polling station staff

7.39 Some councils provide disability awareness training to all polling staff. This could be provided by the council’s access officer or by local groups of disabled people who have the necessary expertise. However, as a minimum, all polling staff should be:

• trained in the use of tactile templates, which enable blind or partially sighted electors to vote without assistance • made aware of the large-print ballot paper to be displayed in the polling station, the hand-held enlarged copy of the ballot paper which will be available for issue to voters, and any translations of official notices into alternative formats that the Local Returning Officer has deemed appropriate and will be providing to polling stations • made aware of the importance of the layout of the polling station, including how to place notices, taking into account lighting levels, and how to offer assistance to disabled people • made aware of the provisions which allow disabled people to have a companion to assist them to vote or to require the Presiding Officer to assist them • made aware of the importance of speaking clearly to people who have a learning disability or hearing difficulties • given advice on how to assist voters with learning disabilities • provided with guidance notes on access issues to refer to on polling day • provided with a checklist for issues to consider when setting up a polling station • if appropriate, shown how to install any temporary ramps safely

7.40 It is worth remembering that a number of people will be unfamiliar with the voting process and poll staff should be trained to make the voting experience as clear and accessible as possible to all voters.

7.41 As part of the Returning Officer’s election review process, Presiding Officers, Poll Clerks and count staff should be asked to complete a questionnaire to highlight any unforeseen access problems or other issues which occur on polling day, so that efforts can be made to prevent these happening again at future elections.

Part B, Page 44, January 2009 8 Electoral integrity Secrecy provisions

8.1 Secret voting has been a feature of elections in the UK since 1872. The concept of a secret ballot is enshrined in the First Protocol to the European Convention on Human Rights, now part of UK law through the Human Rights Act 1998. At a practical level, the legislation makes it clear that:

• the poll shall be taken by ballot • the official mark shall be kept secret and the same official mark shall not be used again at elections for the same local counting area for five years44 • in any legal proceedings relating to the election, no person shall be required to state for whom they voted • the voter shall secretly mark their ballot paper and fold it so as to conceal the vote (the requirement for folding applies only to those voting at polling stations and not to those voting by post)

8.2 Regulation 29 of the European Parliamentary Elections Regulations makes provision regarding secrecy of voting and to that end requires that the various persons concerned with the conduct of the election shall not communicate:

• the names of persons who have or have not voted • the elector numbers of voters • the official mark • the candidate for whom a voter has voted • the number or other unique identifying mark on the reverse of a ballot paper

8.3 All persons attending a polling station (other than for the purpose of voting or persons under the age of 18 years accompanying a voter), staff involved in the issue of postal votes, and all persons attending the opening of postal votes and the count, must be provided with a copy of the relevant parts of the secrecy provisions as set out in Regulation 29 of the European Parliamentary Elections Regulations. This can conveniently be done by printing the relevant details on admission documentation issued to candidates, election agents, polling agents and counting agents. In the case of Presiding Officers, Poll Clerks, counting staff and staff involved in the issue and receipt of postal votes, this could be incorporated into their appointment notification.

8.4 Contravention of the secrecy requirements is an offence, and on summary conviction, an individual found to be in breach is liable to a fine not exceeding £5,000, or imprisonment for a term not exceeding six months.45

44 Rule 24 (2), EPE Rules. 45 Regulation 29(7), EPE Regulations.

Part B, Page 45, January 2009 Key electoral offences

8.5 There are a number of electoral offences specified in the RPA 1983 and the key offences are listed below. For a full list, please refer to the appropriate legislation.

8.6 Undue influence: where an individual, directly or indirectly, makes use of or threatens to make use of force, violence or restraint; or inflicts or threatens to inflict injury, damage or harm in order to induce or compel any voter to vote or refrain from voting.46 This offence includes intention and not just where an act has taken place. A person may be guilty of undue influence if they impede or prevent, or intend to impede or prevent, the free exercise of the franchise of an elector.

8.7 Bribery: where any individual, directly or indirectly, gives any money or procures any office to or for any voter, in order to induce any voter to vote or not to vote for a particular candidate, or to vote or refrain from voting.47

8.8 Treating: where either before, during or after an election, any person, directly or indirectly, gives or provides (or pays wholly or in part the expense of giving or providing) any food, drink, entertainment or provision in order to influence corruptly any voter to vote or refrain from voting.48

8.9 Personation: where any individual votes as someone else (whether that other person is living or dead or is a fictitious person), either by post or in person at a polling station as an elector or as a proxy. Further, the individual voting can be deemed guilty of personation if they vote on behalf of a person they have reasonable grounds for supposing is dead or fictitious, or where they have reasonable grounds for supposing the proxy appointment is no longer in force.49

8.10 Postal and proxy voting: where an individual applies for a postal or proxy vote as some other person, otherwise makes a false statement in connection with an application for a postal or proxy vote, induces an Electoral Registration Officer or a Returning Officer to send a postal vote or associated communication to an address which has not been agreed by the person entitled to vote, or causes a postal or proxy voting communication not to be delivered to the intended recipient.50

8.11 False information in nomination papers: where a person knowingly gives false information in a nomination paper or in their consent to nomination, they are guilty of a corrupt practice.51

8.12 Offences in connection with candidature: where a candidate is a relevant citizen of a European Union member state and makes a false

46 Regulation 79, EPE Regulations. 47 Regulation 77, EPE Regulations. 48 Regulation 78, EPE Regulations. 49 Regulation 23, EPE Regulations. 50 Regulation 24, EPE Regulations. 51 Regulation 27, EPE Regulations.

Part B, Page 46, January 2009 statement in the declaration required to be signed under Rule 9(2) of the European Elections Rules, that person is guilty of an offence.52

8.13 It is also an offence to aid or abet the commission of the above offences.

Information regarding these offences has also been included in the Commission’s Guidance for candidates and agents and its guidance to A police forces. Copies of these will be available for download from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/integrity-guidance/electoral-events and www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections

Non-electoral offences

8.14 In addition to contravention of the secrecy requirements and the offences outlined above, there are a number of non-electoral offences that may also be relevant in an election context.

In England and Wales, such examples include:

• making a false statement (Perjury Act 1911) • forgery and using a false instrument (Forgery and Counterfeiting Act 1981) • harassment (Protection from Harassment Act 1997) • public order offences (Public Order Act 1986)

A false statement is a false oath in Scotland under Section 44 of the Criminal Law (Consolidation)(Scotland) Act 1995. Forgery is known as S ‘uttering as genuine a false document’ under Scots common law. Harassment is not a criminal offence in Scotland, but a person could be charged with breach of the peace (under common law) or a civil action could be taken. Vandalism is an offence under the 1995 Act.

Dealing with allegations of offences at the election

8.15 Although Returning Officers and their staff are uniquely placed to identify malpractice, they have no power to check or investigate allegations of electoral fraud or malpractice. These can be referred by the Returning Officer to the Electoral Registration Officer who can carry out certain checks. Checks are used here to mean comparing a document with other records or asking for more information where appropriate. However, Electoral Registration Officers should not carry out any investigations – that is, visit premises or interview people.53 It may be that other council services have staff who are required to investigate in this sense and there may be mutual benefit in liaising with them before referring a suspicious document to the police.

52 Regulation 28, EPE Regulations. 53 This does not affect the Electoral Registration Officer’s duty to maintain the register by taking usual steps, such as house-to-house enquiries and asking for more information.

Part B, Page 47, January 2009 8.16 In England and Wales, the police should be alerted to Section 181 of the RPA 1983, which places a duty on the Director of Public Prosecutions (who is head of the Crown Prosecution Service) to undertake investigations into allegations of electoral fraud or malpractice. The Crown Prosecution Service urges the police to discuss allegations of electoral malpractice with their Special Crime Division in York or London at an early stage.

In Scotland, the police will carry out the necessary investigations into the alleged offence with a view to submitting a report for consideration S by the Procurator Fiscal. The Procurator Fiscal will consider the evidence and all of the circumstances of the case in order to reach a decision as to whether criminal proceedings are appropriate. Where possible, the police will keep the relevant Returning Officer informed of progress.

If Regional or Local Returning Officers need additional information or advice on the handling and referral of electoral allegations or are A having difficulties in making contact with their police SPOC, they can contact:

Richard Jordan The Electoral Commission Senior Adviser – Electoral Integrity Tel: 020 7271 0562 Email: [email protected]

Security

8.17 It is recommended that Local Returning Officers review previous arrangements in respect of security issues with the local police in order to enable proper consideration of risk management options. This will provide a firm basis for clear communication lines should any incidents occur during the election period. This will normally include making specific arrangements for police officers to attend at polling stations, or to call in during polling day, and discussing any security issues relating to the count. Polling station staff should be given contact numbers for use in the event of problems, which should include a point of contact with the police.

8.18 As in previous years, the Commission recommends early contact with relevant police contacts. In addition to existing contacts, Regional and Local Returning Officers should make sure that they have the details of each force’s SPOC for electoral matters. Regional Single Point of Contacts (SPOC) will be introduced for the 2009 elections to provide closer links with Regional Returning Officers. The Commission recommends arranging early meetings with their police contacts, at least by January or February ahead of the June election, to agree how guidance on fraud prevention will be applied locally and then, again, for a more up to date briefing once nominations have closed.

Part B, Page 48, January 2009 Election observers

8.19 The Electoral Administration Act 2006 amended the Political Parties, Elections and Referendums Act 2000 to allow for the observation of electoral proceedings by representatives of the Electoral Commission and by observers accredited by the Commission.

8.20 Representatives of the Commission are entitled to observe the working practices of the Electoral Registration Officer and the Regional and Local Returning Officer, as well as the proceedings at the issue and receipt of postal ballot papers, the poll and the counting of the votes. Other individuals or organisations may apply to the Commission to be accredited to observe the proceedings at the issue and receipt of postal ballot papers, the poll and the counting of the votes. All observers are required to adhere to the Commission’s Code of Practice for observers.54

8.21 Commission representatives can ask questions of electors, registration and election staff, including at the polling station and count, and also of candidates and agents, but will not do so if this would obstruct or disturb the conduct of electoral proceedings or working practices.

8.22 Electoral observation is a legitimate and valuable part of the electoral process, and care should be taken not to hinder or obstruct the conduct of the observation. Although Electoral Registration Officers and Regional or Local Returning Officers are entitled to limit the number of observers who may be present at any proceedings, the Commission advises that caution should be used in the exercise of this power. It is important to note that no officer is entitled to bar all observers from the entire process, only to limit the number of observers present at any one time. Careful consideration therefore needs to be given to the locations used for the various electoral processes, and to ensuring that sufficient space is made available for observers.

8.23 In all instances, the respective officers should only seek to limit the number of observers if their presence is hindering the conduct of the proceedings or jeopardising the secrecy of the ballot.

8.24 Every observer will have been supplied with an observer badge produced by the Commission, which they must wear when attending proceedings. The observer badge types are illustrated in Table 1.

54 The Electoral Commission, Observers at United Kingdom elections: consultation paper (August 2006), www.electoralcommission.org.uk/__data/assets/electoral_commission_ pdf_file/0004/13927/ObserversBooklet-Final_24020-17831__E__S__W__.pdf

Part B, Page 49, January 2009 Table 1: Observer badge types

Observer badge type Who are they? Access

Electoral Commission Extended powers representative of access (pink badge)

Observer registered Same as with the Commission candidates and (silver badge) agents, plus access to the issue of postal votes

Part B, Page 50, January 2009 9 Publicity and the media Duty to encourage electoral participation

9.1 Section 69 of the Electoral Administration Act 2006 (EAA) introduces a new duty on Electoral Registration Officers and Returning Officers to take such steps as they think appropriate to encourage participation of electors in the electoral process. The Secretary of State has a power to reimburse any such promotional activities, but such reimbursement is at their discretion. This reimbursement will be from the participation fund and will not be covered by the European Parliamentary Elections Fees, or provided through the Local Government GAE settlement in Scotland and Charges Order. Planning communication activities

9.2 Having a coherent communications strategy as part of the planning process is essential, and it should include internal as well as external communications. Good communications between electoral staff at all levels and between Local and Regional Returning Officers and their staff are a prerequisite for a successful and well coordinated poll. Communicating with other council staff with expertise in working with the media or specific groups such as young people or disabled people is also valuable, although this is beyond the scope of this section, which addresses external communication activities.

9.3 Any election attracts considerable interest and involves many different kinds of communication activities – from statutory notices and distribution of poll cards, to provision of information and dealing with public enquiries. In addition, there is a need to manage media relations. This will particularly affect those authorities in England that are also holding local government elections.

9.4 Electoral Registration Officers and Returning Officers should ensure that they are aware of any possible political sensitivity around work they initiate.

Publicity and voter education can be costly if not planned with care and delivered in a cost effective manner. To assist Local Returning A Officers, the Commission has developed an online electoral participation toolkit, the ‘Do Politics Centre’. It contains practical materials, advice and guidance for practitioners aiming to increase voter awareness. All materials are free to access and include case studies, event plans, campaign techniques and templates for communication materials and can be accessed at www.dopolitics.co.uk

9.5 Participation sub-groups have been set up in each of the electoral regions, which will see the Electoral Commission, Regional and Local Returning Officers, Electoral Registration Officers and their staff, working together on issues around communication and promotion of participation. Further information about the campaign and materials and resources to

Part B, Page 51, January 2009 support Local Returning Officers will be issued by the Commission via alert or circular.

Electoral Registration Officers and Regional or Local Returning Officers may wish to consider the feasibility of undertaking joint I awareness-raising campaigns with colleagues from within their region. Such an approach may lead to a more effective use of limited resources, and will also assist in the delivery of a consistent message across the electoral region.

Statutory and other notices

9.6 Any notices the Regional or Local Returning Officer must publish, should be displayed in some conspicuous place or places in the electoral region or local counting area, respectively.55 Regional and Local Returning Officers should decide well in advance how they intend to publish notices throughout their areas. Notice can also be given ‘in such other manner’ as is deemed desirable.

9.7 It is advisable to review all locations previously used for statutory and other election notices in order to ensure that they are placed in sufficiently accessible locations for the public. In addition to more traditional locations, a helpful place to post the official notices is on the council’s website. Considering the requirement to make reasonable adjustments in service delivery for disabled electors, the internet is now a vital tool which can help to make information accessible to most users.

9.8 The Commission therefore recommends that any notice which must be posted should also be put on the council website as soon as possible after the physical notice has been given. We would also recommend that during the election period the council has a link from its front page to the election information section.

9.9 As soon as nominations are closed or, if there are any objections, as soon as they are disposed of, the Regional Returning Officer has to publish a statement known as ‘the statement of parties and individual candidates nominated’.56 The Regional Returning Officer has to send at least one copy of it to each Local Returning Officer, and each Local Returning Officer must publish the notice at a place within their area.57 The Regional Returning Officer must also send a copy of this statement to the Electoral Commission.58

9.10 The statement of parties and individual candidates nominated must also include a notice of poll if the election is contested.59

55 Regulation 123, EPE Regulations. 56 Rule 15, EPE Rules. 57 Rule 17, EPE Rules. 58 Rule 15(8), EPE Rules. 59 Rule 27, EPE Rules.

Part B, Page 52, January 2009 9.11 The Local Returning Officer must publish a notice of the situation of each polling station and the description of voters entitled to vote there. As soon as this notice is published, the Local Returning Officer must give a copy of it to each of the election agents.60 Managing public enquiries

9.12 The days leading up to the election and polling day itself are notable for the considerable volume of enquiries from voters, both in person and by telephone. Setting up a dedicated team (or providing training to front-line staff) to deal with the likely high number of enquiries received within a relatively short timescale can bring real benefits to both the public and the elections staff.

9.13 Such provision needs to be planned carefully and, if delivered effectively, will ensure that voter enquiries are dealt with promptly and can be escalated to more experienced staff when necessary, while taking the pressure of routine enquiries away from the elections office.

9.14 The Commission will be producing a frequently asked questions template for staff involved in dealing with enquiries from electors, such as persons staffing any election helpline set up by the local authority, which will be available to download from the Commission’s website.

Specific voter awareness issues

Changes to polling places and stations 9.15 In addition to the statutory notice, it is advisable to inform electors clearly of any changes to polling station locations. This can be done by including additional information with the poll card, such as a simple map and bold text informing of a change of venue, drawing electors’ attention to the new arrangements. The statutory wording for the poll cards must, however, still remain.

Information on electoral system and how to vote 9.16 Voters will be electing their representatives by a form of closed list proportional representation, using the d’Hondt formula for the distribution of seats.

9.17 In order to be able to cast a valid and effective vote, electors need to be made aware of how voting at a European Parliamentary election works and how their votes are translated into seats.

Combination Local Returning Officers with combined elections in England should I give consideration to how information about the different electoral systems can be communicated to electors.

60 Rule 27, EPE Rules.

Part B, Page 53, January 2009 Access issues 9.18 Any facilities or provisions for disabled voters, those with low levels of literacy and for those who do not have English as their first language need to be publicised if people are to know that they are available. Any such publicity will also need to be in a format that is accessible to its intended audience.

The Electoral Commission has published independent research into the range of activities undertaken by UK local councils to promote electoral issues. This report, Making an impact, recommends that I 61 good promotional materials should aim to achieve the following: y be clear at who they are aimed y use language that is appropriate for the audience y be produced in a format that is accessible to the audience y convey a clear message y be attractive or eye-catching y encourage action on the part of the audience

9.19 It is important to remember that different localities and communities retain distinct characteristics, which means that the same promotional activities or materials can work well in some areas and with some groups and not so well in or with others.

9.20 The following are examples of how to provide useful and practical information on access:

General information • Information about electoral registration and elections and the facilities available to assist disabled people could be provided on the council’s website. • An elections helpline could be provided, with a dedicated number and an email address. • Leaflets, posters and articles for newspapers can be distributed to a variety of organisations working with specific groups of the community, so that they can effectively disseminate information through their networks – for example, Age Concern, Talking Newspapers and groups for people from minority ethnic communities. • Publicity and advertising strategies should take account of the range of local communities. Publicity through the spoken word has been found to be the most effective strategy, with local radio and local television popular options. Particularly with the advent of digital and cable

61 The Electoral Commission, Making an impact (2002), www.electoralcommission.org.uk

Part B, Page 54, January 2009 broadcasting, there may be minority language radio or TV stations in areas with large minority ethnic communities. • Articles in local newspapers, including free and community newspapers, and translated advertisements in the minority ethnic press are all useful. Absent voting • Information could be given on other methods of voting, i.e. postal and proxy voting, for people who may prefer to vote in this way. • A simple, plain English guide on completion of postal votes could be produced, which could contain symbols to explain how to complete and collate the necessary paperwork. Polling stations • A leaflet on what to expect at polling stations, including pictorial information, could be published specifically for disabled people.

The Commission has produced easy-read guides for England, Scotland and Wales which can be ordered from our distributor: A

Tel: 0845 8500 501 Fax: 020 8867 3225 Email: [email protected]

The leaflet is also available for download from the Commission’s Do Politics Centre at www.dopolitics.org.uk

9.21 Direct contact should be made with community groups, including those for older people and disabled people. There may be an existing network of publicity and help within the communities that could be built upon.

9.22 Local Returning Officers should be aware of the different communities and languages in their area and target resources and information appropriately. Postal and proxy voting

9.23 Although many people, including disabled people, prefer to vote in person, others find it more convenient to vote by post or to appoint a proxy to vote on their behalf. This being the case, there should be adequate publicity surrounding postal and proxy voting so that people are aware of these provisions and know how to apply. Based on local knowledge, application forms should be left in a variety of places where people have easy access to them. Absent voting forms can be produced in a variety of formats in order to make it easier for people to apply.

9.24 The Commission produces postal voting application forms and the leaflets containing the forms have been produced in a number of languages

Part B, Page 55, January 2009 and formats, including audio tape, Braille and large print, and are available free of charge. All foreign language leaflets are bilingual. Postal voting leaflets and application forms are available to order in hard copy or are downloadable from the Commission’s website.

9.25 In addition to the ballot papers, postal voting statement and envelopes, Local Returning Officers may include such information as they think appropriate about how to obtain directions and guidance in alternative formats in postal ballot packs. Providing information in a pictorial format is particularly useful for all voters, including those with low levels of literacy. Managing media relations

9.26 Prior to any election, Electoral Registration Officers, Regional and Local Returning Officers, and electoral administrators should decide how their media relations are to be handled and should put the necessary arrangements in place. Returning Officers should clarify in advance who within their staff is authorised to speak to the press and broadcasting media and should ensure that all staff are aware of this information. Risk management issues can be addressed through rigorous procedures for the accurate and appropriate release of information relating to the election.

9.27 It is also important that the media know who they should contact for information and are accurately directed to that contact by council staff. Local Returning Officers may wish to consider using the council press office as the election press office for the duration of the election. This means that the media are dealt with by media-trained people and allows administrators to get on with administering the election, and also ensures consistency of message on behalf of the Local Returning Officer to all press enquiries received.

9.28 The media can assist in the administration of the election in many ways, for example by promoting awareness of the election and seeking to engage the electorate. The media can be extremely helpful in getting a message out to voters in the event of any incident requiring new or revised arrangements to be communicated, or to inform specific community groups of arrangements that may benefit them, for example accessibility information. Advance planning of any media strategy is important in order to identify all of the key dates in the election administration process that could be used to highlight the election itself.

9.29 Local Returning Officers will find it helpful to have current contact details of all the relevant media in their area.

Briefing packs

9.30 Providing the media with a briefing pack, which gives useful information and contacts, will save time for Returning Officers and their staff in the long term. It also aids the media in doing their job. It is suggested that any briefing pack include the following:

Part B, Page 56, January 2009 • the election timetable • election press office contact details • media access arrangements for the verification and the count • previous relevant election results • details of registered political parties and their list of candidates, and of individual candidates and their agents

9.31 Press briefing packs should be prepared well in advance so that they can be made available at the beginning of the electoral process. The Commission will be producing an online handbook for the media ahead of the European Parliamentary and English local government elections, which explains the Commission’s role in the elections and answers questions frequently asked by the media about the conduct of elections and campaign spending rules and reporting requirements. The handbook will be available to download from the Commission’s website at www.electoralcommission.org.uk in spring 2009.

Polling stations

9.32 The media have no rights to enter a polling station except as voters. They must not be allowed to film or interview voters in the polling station. If a film crew has been given permission by the Local Returning Officer to film outside the polling station but within the polling place, Presiding Officers must be instructed to make sure that the film crew does not hinder or harass voters on their way to vote, or obstruct the entrance to the polling station.

9.33 To avoid having to turn down requests for access to polling stations on polling day, it may prove helpful if Local Returning Officers consider making a polling station available to the media prior to the opening of polls, generally the day before polling day. This allows TV crews and photographers to get their footage prior to polling day, and this may often be run on the eve of the poll.

Verification and count

9.34 Where interest is expressed by radio and/or television in broadcasting from the verification and/or count venues, it is good practice to meet at an early stage with media representatives to discuss the Local Returning Officer’s intentions as to how the verification and count will proceed and also to ascertain the media’s likely requirements.

Combination There might be particular media interest in those areas holding Icombined elections and Local Returning Officers may want to meet with media representatives to go through how they will manage the different counts. Broadcasters in particular will be interested in the timing of the count and when they can expect to broadcast any results.

9.35 The following should be considered when planning media facilities at the verification and/or count venue:

Part B, Page 57, January 2009 • Contact principal broadcast organisations well in advance. • Outline the press facilities available. Remember it is the Local Returning Officer and not the media who have the final say as to what is allowable at the count venue. • Media representatives may well wish to check the venue in advance, particularly if they intend to carry out filming on the night. • Provide an opportunity for media representatives to inspect the venue to identify space for interview purposes and also for parking vehicles, and to identify cable routes, assess power supplies and highlight communication requirements (such as telephone or ISDN lines). • Make arrangements for indicating completion of the verification and count, and declaration procedures. • Arrange for sound systems to be used for the announcement and live feed. • Make accreditation arrangements for journalists, technicians and photographers attending. • Designate an area of the venue for media use. • Provide media passes. • Make those attending aware of the secrecy provisions. • Ensure that there is a nominated media spokesperson in place for the count, and that everyone is aware of who this is and that all questions should be directed to that person. • Make sure that the media are aware of any restricted areas and procedures – for example, ensure that camera operators are aware that they must not overview sensitive information (such as close-ups of ballot papers) or obstruct verification/count staff. • Refer any relevant questions to the Regional Returning Officer.

9.36 Any briefing pack prepared for the media should give details of what facilities will be made available for them, and should also include information on the election, the area, and the candidates (including photographs if available) and plain English information on the verification and count process itself.

9.37 The Local Returning Officer may also wish to indicate in the briefing pack the likely timetable of events on the day, with an estimate of the possible completion times. It is advisable that Local Returning Officers take a few moments during the local count to discuss with producers and reporters how they will indicate when an announcement is to be made. This will allow news desks to be informed, so that live feeds can be set up at short notice if desired.

Part B, Page 58, January 2009 10 Resources Key contacts

Name/organisation Contact details British Printing Industries Federation www.britishprint.com Farringdon Point 29–35 Farringdon Road London EC1M 3JF

Bob Toal Email: [email protected] Public Affairs Officer Tel: 020 7915 8319

Capability Scotland www.capability-scotland.org.uk Head Office Tel: 0131 313 5510 Westerlea 11 Ellersly Road Edinburgh EH12 6HY

Equality and Human Rights www.equalityhumanrights.com Commission Tel: 020 3117 0235 3 More London Riverside Tooley Street London SE1 2RG

Election Petitions Office Tel: 020 7947 7529 Petitions Office Queen’s Bench Master’s Secretary’s Department Room EO8 Royal Courts of Justice The Strand London WC2A 2LL

Ministry of Justice www.justice.gov.uk Selborne House Tel: 020 7210 8500 54 Victoria Street London SW1E 6QW

RNIB (Royal National Institute www.rnib.org.uk of Blind People) Email: [email protected] 105 Judd Street Tel: 020 7388 1266 London WC1H 9NE

RNID (Royal National Institute for Deaf www.rnid.org.uk People) Email: [email protected] 19–23 Featherstone Street Tel: 020 7296 8000 London EC1Y 8SL

Part B, Page 59, January 2009 Royal Mail www.royalmail.com

Scope www.scope.org.uk 6 Market Road Email: [email protected] London N7 9PW Tel: 020 7619 7100

The Scotland Office www.scotlandoffice.gov.uk 1 Melville Crescent Tel: 0131 244 9005 Edinburgh EH3 7HW

Scottish Courts www.scotcourts.gov.uk

Welsh Language Board www.welsh-language- Market Chambers board.org.uk 5-7 St Mary Street Email: [email protected] Cardiff CF10 1AT Tel: 029 2087 8000

Part B, Page 60, January 2009 Part C – Action before the poll

Contents

1 Timetable

2 The electoral register Legal requirements Amending the electoral register – clerical errors Polling station registers Access and supply

3 Nomination process Publication of the notice of election Nominations Statement of parties and individual candidates nominated

4 Appointment of election, polling and counting agents Appointment of election agents Appointment of polling and counting agents

5 Production and distribution of poll cards Production Distribution

6 Production and allocation of ballot papers Ballot paper security Form of the ballot paper Allocation of ballot papers Corresponding number lists

7 Notices and equipment Notice of poll and situation of polling stations Polling station equipment, notices and supplies

1 Timetable

1.1 Much of the election timetable is calculated by excluding dies non, which are Saturdays, Sundays, Christmas Eve, Christmas Day, Good Friday and any other bank holiday.1 Throughout this guidance, references to ‘working’ days appear where the time period in question is calculated by excluding dies non. Any references to ‘calendar’ days appear where the time period is calculated by counting all days, without excluding any weekend or bank holiday.

1.2 When calculating the election timetable for a general election to the European Parliament, it is also important to remember that a bank holiday anywhere in the UK will affect the election timetable everywhere in the UK. Consequently, Local Returning Officers in England and Wales must incorporate Scotland-only bank holidays into their timetables, just as Local Returning Officers in Scotland must include bank holidays that only apply to England and Wales into theirs.2

1.3 The timetable in Table 1 covers both a standalone European Parliamentary election, as well as combined local government and European Parliamentary elections in England. No text under ‘Local election difference’ means that the same deadlines as for the European Parliamentary election will apply to any local government elections combined with the European Parliamentary poll.

Table 1: Election timetable 2009

Proceeding Local election Day difference Notice of election to be Not later than Tuesday 28 published April

Delivery of nomination From date stated on On any working day after papers notice of election; notice of election is during working published; between 10am hours and 4pm

Deadline for delivery of 4pm on Thursday 7 May nomination papers

Deadline for withdrawals 12 noon on Tuesday 4pm on Thursday 7 May of nomination 12 May

1 Please note: Maundy Thursday is no longer a dies non. 2 Rule 2(2)(c), European Parliametary Election Rules (EPE Rules), Schedule 1, European Parliamentary Election (Amendment) Regulations (EPE Regulations) 2009.

Part C, page 1, January 2009

Table 1 (continued): Election timetable 2009

Proceeding Local election Day difference Deadline to make Objections not Thursday 7 May (12 objections to nominations allowed noon for nominations delivered up to and including Wednesday 6 May; 5pm for those delivered on Thursday 7 May)

Publication of statement Statement of 5pm on Thursday 7 May of parties and individual persons nominated (if no objections are candidates nominated only: by 12 noon on made) and notice of poll Monday 11 May Not later than 4pm on Friday 8 May (if objections are made)

Deadline for notice of Deadline 12 noon on 4pm on Thursday 7 May appointment of election Tuesday 12 May agents

Last day to submit a Tuesday 19 May registration application form to be included on the register of electors in order to be able to vote at the election

Deadline for requests for 5pm on Tuesday 19 May a new postal vote or to change or cancel an existing postal vote or proxy arrangement

Deadline for new 5pm on Wednesday applications to vote by 27 May proxy (not postal proxy), except for medical emergencies

Part C, page 2, January 2009

Table 1 (continued): Election timetable 2009

Proceeding Local election Day difference Publish notice of poll No later than Not applicable Wednesday 27 May

Publish election notice of Thursday 28 May alteration to the register

Last day for notice of Thursday 28 May appointment of polling and counting agents

Last day for the Thursday 28 May appointment of sub- agents

First day to issue Friday 29 May replacement postal ballot packs in response to requests to replace lost postal ballot papers

Polling day 7am–10pm, Thursday 4 June

Deadline for the issue of 5pm on Thursday 4 June replacements for spoilt or lost postal ballot papers

Deadline for new 5pm on Thursday 4 June applications to vote by proxy on grounds of a medical emergency

Deadline to make 9pm on Thursday 4 June alterations to the register to correct a clerical error or to implement a court (registration appeal) decision

Last day for the receipt Within 35 calendar Within 50 calendar days of return of election days of the date the of the date the election expenses election result is result is declared declared

Please note: unless stated, the deadline is 12 midnight.

Part C, page 3, January 2009

2 The electoral register Legal requirements

2.1 No specific ‘election register’ is published: the register of electors to be used on polling day is the version as it stands on the fifth working day before the poll, although amendments to correct a clerical error or to implement the decision of a court (registration appeal) may still be made to the register up to 9pm on polling day.

2.2 The Electoral Registration Officer is required to publish a notice of alteration five working days before the poll and to provide an amended register for the use of the Local Returning Officer.

2.3 A person will be entitled to vote at an election if their registration has taken effect by the fifth working day before polling day. Therefore, as the Electoral Registration Officer must determine the application, and the standard five-day period for objections applies, preceded by a day for listing the application, the deadline for individuals submitting applications to register ahead of a particular election is 11 working days before the poll.3

In order to be eligible to vote at the elections on 4 June 2009, applications for registration will need to have been received by the Electoral I Registration Officer by Tuesday 19 May 2009 and to have been determined before the publication of the alteration notices on Thursday 28 May 2009. As there is no objection process for anonymous registrants, anonymous registration applications may be added to the register in time for the European Parliamentary election if received after the 11 working day deadline, as long as they can be determined in time for the publication of the alteration notices on Thursday 28 May 2009. The register of electors to be used on polling day (subject to any amendments made to correct a clerical error or to implement the decision of a court (registration appeal)) is the version that is in force on 28 May 2009. Poll cards and postal votes for late registrants can be sent to electors from that day, but should not be sent before 28 May 2009 as applicants will not have been included on the electoral register and should not have been allocated their elector number.

For further information on the anonymous registration process, please see Part F, ‘Special category electors’, Section 6, ‘Anonymous registration’ of A the Commission’s guidance Managing electoral registration in Great Britain: guidance for Electoral Registration Officers.

Amending the electoral register – clerical errors

2.4 The register to be used on polling day may be amended by the Electoral Registration Officer:

3 Section 13B, Representation of the People Act (RPA Act) 1983, as amended by RPA 1985 and 2000.

Part C, page 4, January 2009

• to rectify any clerical error, or • to implement a court (registration appeal) decision

that is notified to and determined by them by 9pm on polling day.4

2.5 No other changes may be made to the election register for any reason.

2.6 Representations that a clerical error has occurred in the register may be made to the Electoral Registration Officer either orally or in writing before 9pm on polling day. Where such a representation is made to a Presiding Officer at a polling station, they must communicate that representation to the Electoral Registration Officer as soon as practicable.5 This clearly requires that the Electoral Registration Officer and Local Returning Officer ensure that adequate communication systems are in place to make and receive such representations.

2.7 In all cases, the Electoral Registration Officer must make a determination on the representation by 9pm on polling day for any error to be corrected and the necessary change made to the election register.6

2.8 Where a clerical amendment is made to the register or a court decision is received, the Electoral Registration Officer must issue a notice specifying the appropriate alteration. This must be done by making it available for inspection under supervision at their office and at other places, if any, in the registration area that have reasonable facilities for the purpose; by sending a copy to the person affected; and by forwarding copies to the usual recipients of the register (political parties, the Electoral Commission, etc).7

2.9 Where a clerical amendment is made after the polling station registers have been supplied by the Electoral Registration Officer and forwarded to the relevant Presiding Officers, the Electoral Registration Officer must take reasonable steps to ensure that the notice comes to the attention of the appropriate Presiding Officer. The steps could include notifying the Presiding Officer by telephone, and where this is done, the Presiding Officer must make a written record of the notice.8 This requirement again supports the need for adequate communication systems to be put in place.

For further consideration of clerical errors, see Part E, ‘The poll’, Section 4, ‘The register of electors’ of this manual, and the Commission’s A guidance Managing electoral registration in Great Britain, Part D, ‘Monthly alterations to the register’, Section 4, ‘Notice of alteration’.

4 Section 13B, RPA 1983; Rule 47, EPE Rules. 5 Rule 47(6), EPE Rules. 6 Regulation 36(3), Representation of the People Regulations 2001 (RPR); Section 13B, RPA 1983. 7 Regulation 36(2), RPR 2001. 8 Regulation 36A, RPR 2001.

Part C, page 5, January 2009

Polling station registers

2.10 Polling station registers can be printed once the deadline for amending the register has passed, i.e. five working days before the election. However, procedures will need to be put in place to cope with any necessary amendments to the polling station registers should either clerical errors be identified or court decisions (registration appeals) be notified after the registers have been printed.

2.11 Where such determinations are made before polling day, the Electoral Registration Officer should ensure that the relevant details of such amendments are notified to the Local Returning Officer and to the relevant Presiding Officer before the poll commences. Where an amendment is made on polling day, the procedure highlighted above and further detailed in Part E, ‘The poll’, Section 4, ‘The register of electors’ should be followed.

2.12 A revised register should not be published as standard practice in advance of an election. Where a revised register is not published but the Electoral Registration Officer has allocated a suffix number (e.g. AB 147/1) to those electors added under the monthly procedure, such entries should appear in the correct position in the copy of the register used at the polling station. Access and supply

2.13 Certain persons are entitled to be supplied with the full electoral register, free of charge and in electronic format, unless a request is received in advance of supply for the register to be provided as a printed copy.9 Details are set out below.

Combination Returning Officers with combined elections will need to ensure that I sufficient copies of documents are available from the Electoral Registration Officer to enable supply for both the European Parliamentary and local government elections taking place within their area. Local Returning Officers who have been appointed as deputy Returning Officers to run the local government elections in England should consult Part C, ‘Action before the poll’, of the Commission’s guidance Managing a local government election in England and Wales. This can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/local-elections/local-government-elections-in-england

Supply of the register to candidates

2.14 At a European Parliamentary election, both registered party lists and individual candidates are entitled to receive the full register, free of charge. In the case of a party list, this entitlement is conferred on the election agent of the party. Individuals on the party list are not entitled to be supplied with the register.10 By

9 Regulation 102, RPR 2001; Regulation 101, Representation of the People Regulations (Scotland) 2001 (RPR (Scotland) 2001). 10 Regulation 108(3), RPR 2001; Regulation 107, RPR (Scotland) 2001.

Part C, page 6, January 2009

contrast, individual candidates are entitled to obtain a copy themselves, and indeed there is no provision to supply a copy to their election agent.11

2.15 The agent for the party list is entitled to receive the register from the moment the list is submitted to the Regional Returning Officer.12 An individual candidate can obtain the register from the last day for publication of the notice of election, regardless of whether nomination papers have been delivered, as long as they, or others, have declared them to be a candidate.13

2.16 As the Regional Returning Officer will be the main point of contact for participants at the nominations stage, Electoral Registration Officers and Local Returning Officers should liaise with the Regional Returning Officer at an early stage to agree the process for the supply of the register.

Detailed information on access and supply of the electoral register to candidates can be found in Part H, ‘Access and supply’ of the A Commission’s guidance Managing electoral registration in Great Britain. This can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/electoral-registration/managing-electoral-registration-services

Supply of the register to registered political parties

2.17 A registered political party can request a copy of the full register at any time.14 The local UK Parliamentary constituency organisation for any registered political party, through a person nominated by the registered party’s Nominating Officer, may obtain a register at any time.15

Supply of the register to elected representatives

2.18 An MEP is entitled to a copy of the register for the region that they represent at any time on request.16 This should be supplied free of charge and in electronic format unless the MEP has requested in advance of supply that it be supplied in hard copy.

Inspection of the register

2.19 A copy of the full register must be made available for inspection, under supervision, at the office of the Electoral Registration Officer and at any other place, if any, that is suitable to allow inspection under supervision in the registration area.17 Any person who inspects the register may only make handwritten notes to record any part of it, and these notes must not be used for

11 Regulation 108(2)(b), RPR 2001; Regulation 107, RPR (Scotland) 2001. 12 Regulation 31(2), EPE Regulations. 13 Regulation 31(2), EPE Regulations. 14 Regulation 106, RPR 2001; Regulation 105, RPR (Scotland) 2001. 15 Regulation 105, RPR 2001; Regulation 104, RPR (Scotland) 2001. 16 Regulation 103, RPR 2001; Regulation 102, RPR (Scotland) 2001. 17 Regulation 43, RPR 2001.

Part C, page 7, January 2009

marketing purposes.18 All those inspecting the register should be made aware of the restrictions before being given access to the register.

18 Regulation 96, RPR 2001; Regulation 95, RPR (Scotland) 2001.

Part C, page 8, January 2009

3 Nomination process Publication of the notice of election

3.1 The publication of the notice of election triggers the start of the nomination process. For a European Parliamentary election, the notice of election has to be published, at the latest, by the twenty-fifth working day before the election.19 This is the responsibility of the Regional Returning Officer, who will inform all Local Returning Officers of the date that the notice will be published.

3.2 Additionally, the Regional Returning Officer will send a copy of the notice to the Local Returning Officer for each local counting area in the electoral region, and each Local Returning Officer must publish the copy of the notice at a place within the area in which they act.20

3.3 ‘Publish’ means, as a minimum, posting in a conspicuous place within the local counting area (e.g. council offices, libraries and other public buildings). The Commission strongly recommends that the Local Returning Officer also uses other means, including the council’s website, to facilitate easier access to election notices for all residents, including disabled people. The Commission also recommends that during the election period a link is created on the front page of the council website leading to information on the election process. Nominations

3.4 The receipt and processing of nominations of all registered party lists and individual candidates at a European Parliamentary election is the responsibility of the Regional Returning Officer. Statement of parties and individual candidates nominated

3.5 The Regional Returning Officer will publish a statement of parties and individual candidates nominated by no later than 24 hours after the latest date of the delivery of nomination papers.21

3.6 Immediately after the publication of the statement of persons nominated, a copy will be forwarded to the Local Returning Officer for each local counting area contained in the electoral region. Each Local Returning Officer must then publish a copy of the notice at a place within the area in which they act as soon as possible.22

19 Rules 1 and 3, EPE Rules. 20 Rule 3(4), EPE Rules. 21 Rules 1 and 15, EPE Rules. 22 Rule 17, EPE Rules.

Part C, page 9, January 2009

4 Appointment of election, polling and counting agents

Appointment of election agents23

4.1 The Secretary of State is responsible for receiving the notices of appointment of a national election agent in the case of a registered party standing in more than one electoral region.24 In all other circumstances, notice of the appointment of an election agent and any sub-agents will be dealt with by the Regional Returning Officer. Appointment of polling and counting agents

4.2 Election agents or sub-agents of registered political parties or individual candidates may appoint polling agents to be in attendance at polling stations for the purpose of detecting personation, and counting agents to attend the verification of ballot paper accounts and the counting of votes.25 It should be noted, however, that election agents and sub-agents can do anything that the polling and counting agents are authorised to do.26

4.3 Notice of the appointments with names and addresses must be given in writing to the Local Returning Officer not later than the fifth working day before the poll (i.e. not later than Thursday 28 May 2009).27

4.4 There is no limit to the number of polling agents that may be appointed, but not more than one polling agent on behalf of the same registered political party or individual candidate may be admitted into a particular polling station at any time.28

4.5 The Local Returning Officer may limit the number of counting agents, but the number must be the same for each registered political party which has submitted a list of candidates and for each individual candidate, and must not, unless in exceptional circumstances, be fewer than the number obtained by dividing the number of verification and count assistants by the number of registered parties and individual candidates.29

4.6 The counting agents have the same rights to access to the verification as to the counting of the votes.

4.7 One counting agent may, if desired by the election agent or sub-agent, be granted the power to require a recount. No other counting agents have the power

23 Regulations 33(1), 34(3), 35(4) and (7) and 38(1), EPE Regulations. 24 Regulation 33(3), EPE Regulations. 25 Rule 33(1), EPE Rules. 26 Rule 33(9) and (10), EPE Rules. 27 Rule 33(4), EPE Rules. 28 Rule 36(3), EPE Rules. 29 Rule 33(3), EPE Rules.

Part C, page 10, January 2009

to require a recount except where they are also a candidate, agent or sub- agent.30

More information on recounts is included in Part F, ‘Verification and count’, Section 5, ‘Recounts’ of this manual.

4.8 Polling and counting agents are subject to the requirements of secrecy and have to be given, in writing, a copy of the relevant legislative provisions.31

4.9 If a polling or counting agent dies or becomes incapable of acting, the person who appointed them may appoint another agent in their place. Notice in writing of the appointment must be given to the relevant Local Returning Officer.32

30 Rules 33(2) and 54, EPE Rules. 31 Regulation 29, EPE Regulations. 32 Rule 33(5), EPE Rules.

Part C, page 11, January 2009

5 Production and distribution of poll cards Production

5.1 The Local Returning Officer is required to send an official poll card to all electors (excluding overseas electors), including postal voters and their proxies, as soon as practicable after the publication of the notice of election.33 To ensure as far as possible that all electors receive a service that is consistent across the same electoral region, Local Returning Officers should liaise with the Regional Returning Officer on the content, format and times for distribution of poll cards.

Combination The issue of poll cards is the responsibility of the Local Returning Officer I for the European Parliamentary election and the county Returning Officer for the local government elections. However, poll cards can be combined if the Returning Officers agree.34 Where there is this agreement, the responsibility for issue falls not to the Local Returning Officer, but to the Returning Officer for the other election(s).

Local Returning Officers in England who have been appointed as deputy Returning Officers for the local government elections can find further information on poll cards at local government elections in Part C, ‘Action before the poll’ of the Commission’s manual Managing a local government election in England and Wales.

5.2 Poll cards are required to be in the format prescribed in the forms contained in the legislation or in a form to the like effect and must contain the following information:35

• the name of the electoral region and electoral area • the elector’s name, qualifying address and number on the register • the date and hours of the poll • in the case of an elector who does not have a postal vote, the location of the polling station • in the case of a postal or postal proxy voter, confirmation that they will receive their ballot paper by post, with an indication as to when they are likely to be sent out, and information on how the elector may arrange to cancel the postal vote • in the case of a proxy or postal proxy voter, the proxy’s name and address in addition to the details of the elector for whom the proxy is voting • such other information as the Local Returning Officer thinks appropriate – different information may be provided to different electors or different descriptions of electors

5.3 In the case of an elector with an anonymous entry, the poll card must be sent in a covering envelope. It should be made clear on the poll card that the

33 Rule 31, EPE Rules. 34 Paragraph 6, Schedule 2, RPR 2004. 35 Forms F, G, H and J, Appendix of forms, EPE Rules.

Part C, page 12, January 2009

anonymous elector or their proxy must have their poll card in order to be able to vote at the polling station. The name and address of the anonymous elector must not be shown on the poll card.

5.4 Suggestions for good practice when producing poll cards include the following:

• Poll cards should be produced in clear, large print. • Include both a helpline number and an email address that people can use if they have any enquiries. • Consider including details of how to apply for a postal or proxy vote, and give the closing date for applications and cancellations. • Consider including maps showing the location of the polling station. If the location or access arrangements have changed, it is particularly important to draw this to the attention of voters. Any map included should not be so small that electors have difficulty reading it. • Consider including any access details on poll cards, taking into account the size of the poll card to be used. For example, it may be helpful to inform voters about relevant accessibility information, such as by detailing disabled access to the building, availability of low-level voting booths, availability of large-print sample ballot papers, tactile voting templates and the fact that electors can vote with the help of a companion or the Presiding Officer. If the poll card is too small to permit the addition of this information, the Local Returning Officer may wish to consider other ways of disseminating this information. Distribution

5.5 Poll cards can be distributed by hand or by post, the method being determined by the Local Returning Officer as what is most appropriate for the particular area concerned. If poll cards are to be delivered by a postal service provider, a written statement should be given to the service provider with each batch of poll cards, showing the number of cards and the polling districts to which they relate. Proof of posting should be obtained and, if possible, tracking of deliveries undertaken in order to assist with responding to any queries regarding possible non-delivery.

Part C, page 13, January 2009

6 Production and allocation of ballot papers

6.1 Once the nomination process has been completed and the statement of parties and individual candidates nominated has been published, ballot papers can be printed.

6.2 Local Returning Officers should be aware that the Regional Returning Officer may wish to provide advice on procurement or even organise central procurement of ballot papers or the enlarged ballot papers.

At all stages of the ballot paper production process, Local Returning Officers should work closely with the Regional Returning Officer to confirm I procurement arrangements, the form of the ballot paper, the colour and numbering of the ballot paper, the unique identifying mark and the official mark. Once exact specifications have been agreed, Local Returning Officers should ensure that these are implemented by their suppliers.

6.3 Where the Local Returning Officer is required to source and print their own ballot papers, it is important that contact is made with printers and a programme of production agreed well before the close of nominations.

6.4 The Regional Returning Officer will send a copy of the ballot paper that must be reproduced exactly by the local printer. This template will, however, exclude the details that it has been agreed are for the Local Returning Officer to include such as the ballot paper number and the unique identifying mark.

6.5 The Commission strongly advises that checks are made on both the ‘proof’ and final versions of the ballot papers to ensure that no errors have been made. Even though the production of ballot papers has to be undertaken to a tight timescale, it is essential that Local Returning Officers schedule and take time to proof ballot papers.

The Local Returning Officer must check the returned proof from their printer against the proof sent by the Regional Returning Officer to ensure i that the details have been reproduced correctly, including checking that the correct emblems and font type and size have been used.

Further guidance on outsourcing and managing contractors and suppliers can be found in Part B, ‘Preparing for a European Parliamentary election’.

6.6 There are very few working days for all the ballot papers to be printed, collated and allocated for use at polling stations. The timescale is even more acute for the ballot papers required for the issue of postal votes, which have to be despatched in sufficient time for electors to complete and return them before the close of poll. It is therefore essential that a timetable including deadlines is agreed between the Local Returning Officer and the supplier at an early stage in the process, and that this timetable is adhered to.

Part C, page 14, January 2009

Ballot paper security

6.7 It should be noted that as the official mark can be printed when the ballot papers are created and does not need to be added at the point of issue, where this is the case such ballot papers are effectively ‘live’ as soon as they have been printed. Additional security arrangements should therefore be considered to prevent unauthorised access to or use of the papers during the production process, while they are in the possession of the printer, and throughout delivery to and storage by the Local Returning Officer. Form of the ballot paper

6.8 The form of the ballot paper is prescribed in the legislation and these instructions have to be followed precisely.36 The Regional Returning Officer will produce a proof of the ballot paper for use, although this is likely to require some additional information to be added by the Local Returning Officer, such as the ballot paper number.

6.9 Ballot papers for postal voters and for polling station use must be the same in form (except that the official mark may be different if desired).

6.10 The Regional Returning Officer may include an official mark in the ballot paper, in which case this should be reproduced by the Local Returning Officer. The Local Returning Officer may, however, add an additional security mark to the ballot papers, with the combination of the two marks becoming the official mark for the ballot paper.

6.11 If the Local Returning Officer is adding to or creating the appropriate security marking – the ‘official mark’ – the following should be noted:37

• The mark must be distinctive and does not have to be a perforation added at the time of issue of the ballot paper, although stamping instruments may still be used to create a perforating official mark. • It could be a printed emblem or mark or a special printing device such as a watermark. • The official mark can be the same for all ballot papers at an election or different official marks can be used for different purposes at the same election, for example one for postal votes and another for polling station ballot papers. • The official mark cannot be re-used for five years for election to the same local counting area.

6.12 Discussions with the Regional Returning Officer on the official mark and unique identifying marks should be made at an early stage in the planning process, to enable decisions to be reached and preparations made with suppliers as appropriate.

36 Rule 22, EPE Rules; Form A, Appendix of forms, Schedule 1, EPE Regulations. 37 Rule 24, EPE Rules.

Part C, page 15, January 2009

6.13 Due to the use of a corresponding number list in connection with the issue and receipt of postal ballot papers and the issue of ballot papers at polling stations, ballot papers need not have a counterfoil attached. Local Returning Officers will therefore need to consider with their print suppliers how best to produce the ballot papers for use at polling stations. Options might include producing counterfoil-less books that are securely glued at the seam, or having the books produced with narrow blank counterfoils that are discarded after use. Allocation of ballot papers

6.14 The Local Returning Officer is required to supply each polling station with such number of ballot papers as they consider necessary.38 Careful consideration needs to be given to the number that will be required.

6.15 When allocating ballot papers, it is important that the numbers given to each Presiding Officer run consecutively in order to avoid any problems with completing the corresponding number list or ballot paper accounts.

6.16 Presiding Officers should also be advised to check the numbering of the ballot papers allocated to them in order to ensure that there are no printing, numbering or distribution errors.

6.17 Tendered ballot papers must also be supplied to Presiding Officers.39 They must be a different colour from the ordinary ballot papers and should be placed in an envelope with instructions stating that the envelope should only be opened and the ballot papers issued in prescribed circumstances, along with brief details of those circumstances. This can help to avoid tendered ballot papers being issued in error. This message should be reinforced at any briefing or training sessions for polling station staff.

6.18 When deciding on the number of tendered ballot papers to be supplied to polling stations, Local Returning Officers should bear in mind that tendered ballot papers can be issued in the following circumstances and where the prescribed questions have been answered satisfactorily:

• An elector or proxy has been marked on the register or any amendment notice, or on the list of proxies, as having already voted. • An elector or proxy who is shown on both the register of electors and the postal or postal proxy voters list as having been issued with a postal ballot paper claims never to have applied for a postal vote. • After 5pm, an elector or proxy who is shown on both the register of electors and the postal or postal proxy voters list as having been issued with a postal ballot paper claims to have lost or not received their postal vote.

Corresponding number lists

6.19 Local Returning Officers will need to consider how the corresponding number lists will be produced, since, for each ballot paper printed, the ballot

38 Rule 32(1), EPE Rules. 39 Rule 45, EPE Rules.

Part C, page 16, January 2009

paper number and unique identifying mark must be recorded. The corresponding number lists are prescribed documents.40 There are two corresponding number lists: Forms B and C in the Appendix of forms to the EPE Regulations, each of which is explained below.

6.20 Form B will contain the number of every ballot paper produced for the election and the corresponding unique identifying mark for that ballot paper. It is also used for the issue of postal votes and so has a column for the addition of the elector number for those ballot papers issued at the postal vote issue.

6.21 Form C is for use in polling stations and only contains the ballot paper number and a column to add the elector numbers of voters to whom the ballot papers are issued. This polling station corresponding number list will be produced to match the ballot papers that are issued to each polling station. Although these forms can be ‘adapted so far as circumstances require’, with particular reference to the corresponding number list to be used in the polling station, the Local Returning Officer should note that this does not allow the corresponding number list to be produced in elector number order. It must be produced in ballot paper order.

Combination For those areas in England where the polls at the European i Parliamentary election have been combined with elections to a county council, it is the responsibility of the Returning Officer for the county election to prepare the corresponding number list to be used in polling stations and at the issue of postal votes.41

Combined elections require a combined polling station corresponding number list to be used. The ballot paper numbers for both the European Parliamentary and local government elections must be pre-printed on the same corresponding number list.42

Where Local Returning Officers have been appointed as deputy county Returning Officers to run the local government election(s) in their area, they will need to consider how they manage this process in practice, particularly if there are parishes with elections where the parish area is not coterminous with the principal area boundary. Also, Returning Officers should give consideration to the fact that electors may choose not to accept ballot papers for both elections or may spoil only one of the ballot papers. One possible solution could be to use a separate sheet of paper for each poll but which are joined together in some way (for example, by staple), which may still satisfy the requirement of having a combined list which is to the same effect as that prescribed in the election rules.

40 Rule 23, EPE Rules. 41 Regulation 5(2)(za)(zb), Representation of the People (Combination of Polls) (England and Wales) Regulations (RPR) 2004, as amended by RPR (Amendment) 2006 and 2007. 42 Forms M1 and M2, Schedule 3, Local Elections (Principal Areas) (England and Wales) Rules 2006.

Part C, page 17, January 2009

The issuing process at a combined election will be covered in the Commission’s combined Handbook for polling station staff. It will be available in hard copy to those Returning Officers who ordered them and for download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources- for-electoral-administrators/european-parliamentary-elections

Part C, page 18, January 2009

7 Notices and equipment Notice of poll and situation of polling stations

7.1 If there are more candidates (whether on a registered party list or individual candidates) than vacancies and there is to be a contest, the Regional Returning Officer will publish a notice of poll combined with the statement of parties and individual candidates nominated, stating the day and hours fixed for the poll.43

7.2 In respect of each local counting area or part thereof contained in an electoral region, the Local Returning Officer must also give public notice of the situation of each polling station and the description of voters entitled to vote there.44 This means indicating the elector numbers of all electors entitled to vote at each polling station.

7.3 When determining the polling stations that will be used at the election, the Local Returning Officer should consult the list of polling places held by the local authority. The polling station should be within the polling place for that area. There should also be consideration of any comments made during the last review of any accessibility issues and how they can be addressed for this election.

7.4 ‘Giving public notice’ is defined as posting the notice in some conspicuous place or places in the local counting area.45 Notice should also be given in any other manner that the Local Returning Officer thinks appropriate. All appropriate communication channels should be utilised, which should include using the council’s website where possible in order to ensure that the information reaches the widest possible audience.

Combination Where the European Parliamentary election in England has been I combined with a local government election, the notice of poll will also state that the poll at the European Parliamentary election is to be taken together with the local government election and will specify the relevant local authority.

Polling station equipment, notices and supplies

7.5 The Local Returning Officer is required to supply each polling station with materials to enable voters to mark the ballot papers.46 The legislation does not specify any particular means, but pencils probably remain the most convenient. It is sensible to ensure both that the quality of the ballot papers is conducive to pencil, and that the pencils are suitable for making a clear, bold mark.

A checklist of items that the Local Returning Officer must provide to each polling station is contained in Part E, ‘The poll’, Section 7, ‘Resources’.

43 Rules 20(1) and 27(1), EPE Rules. 44 Rule 27(2), EPE Rules. 45 Regulation 123(2), EPE Regulations. 46 Rule 32(3), EPE Rules.

Part C, page 19, January 2009

Combination The provision and equipment of polling stations will be the responsibility of I the Returning Officer at the local government elections. Where Local Returning Officers have been designated as a deputy Returning Officer for the local government elections, they should consult Part C, ‘Action before the poll’ and Part E, ‘The poll’ of the Commission’s manual Managing a local government election in England and Wales.

Part C, page 20, January 2009 Part D – Absent voting

Contents

1 Integrity issues and personal identifiers Integrity issues Postal voting, houses in multiple occupation and establishments

2 Absent voting timetable and information Timetable for absent voting Communicating the absent voting process Confirming receipt of postal voting statements

3 Applications Eligibility Content and supply of forms Receipt of applications Processing absent vote applications Determining applications

5 Postal voting Applying to vote by post Acknowledging the outcome of postal vote applications Receipt of only one identifier Changing or cancelling postal voting arrangements

6 Waivers

7 Absent voting records and lists Supply of absent voters lists to candidates, election agents, registered political parties and elected representatives Inspection of absent voting records

9 Replacement postal votes Replacement of spoilt ballot papers Replacement of lost ballot papers

12 Resources Notification of secrecy requirements Checking signatures at postal vote openings

1 Integrity issues and personal identifiers

1.1 Postal voting has become a major project within the overall election process, in terms of the management of staff and resources, technology and dealing with integrity issues. Additionally, postal voting has recently attracted considerable media and public attention both in terms of the management of the process and, more particularly, in terms of integrity issues. Effective planning and preparation are essential to ensuring the success of this part of the administration of the election.

Part B, ‘Preparing for a European Parliamentary election’ considers a project management approach to delivering the election and includes advice on effective procurement and contract management. A

Integrity issues

1.2 With regard to integrity issues, Electoral Registration Officers and Local Returning Officers are uniquely placed to identify incidents and patterns of activity that might indicate misconduct. The EAA and amendment regulations resulted in further checks being added into the process and a summary of the key changes is below.

Summary of key integrity provisions: i • collection and verification of personal identifiers – signatures and dates of birth – of all absent voters • ability to check signatures and dates of birth on absent vote applications with any other signatures or dates of birth held by the Electoral Registration Officer, or by the local authority in records that the Electoral Registration Officer is authorised to inspect for the purposes of their registration duties1 • requirement for a reason to be given if an elector wants their postal vote sent to an address other than the address at which they are registered • requirement for the outcome of all postal vote applications to be acknowledged • an increase in the length of time available for the police to carry out investigations into electoral fraud • introduction of a new offence – where an individual applies for a postal or proxy vote as some other person, otherwise makes a false statement in connection with an application for a postal or proxy vote, induces an Electoral Registration Officer or Local Returning Officer to send a postal vote or associated communication to an address which has not been agreed by the person entitled to vote, or causes a postal or proxy voting communication not to be delivered to the intended recipient2

1 Paragraph 19(a), Schedule 2, European Parliamentary Elections Regulations 2004 (EPE Regulations), as amended by EPE (Amendment) Regulations 2009. 2 Paragraph 11, Schedule 2, EPE Regulations.

Part D, page 1, January 2009

• a new procedure providing for electors who attend polling stations and claim not to have applied for a postal vote to be offered a tendered ballot paper • a new procedure for electors attending polling stations who have lost or not received their postal ballot paper to be offered a tendered ballot paper after 5pm on polling day • a new procedure for an elector to check with the Local Returning Officer whether their returned postal vote has been received • the production of a marked postal voters list, available for inspection after the election • a procedure for the retrieval of cancelled postal ballot papers

1.3 The judgment in two Birmingham local government election petition cases in 2004 made it clear that it is not the role of the Returning Officer to investigate possible fraud:

‘The Returning Officer has no duty to investigate electoral offences and no resources to do so either. More to the point… the Returning Officer has no power to investigate.’3

1.4 This is reaffirmed at paragraphs 142 and 143 of the judgment, the former of which also covers some of the functions of the Electoral Registration Officer.

1.5 It is important to make a distinction between the powers of the Electoral Registration Officer to carry out checks to determine whether an application is genuine, and more general investigations into electoral offences. Checks are used here to mean comparing a document with other records or asking for more information where appropriate. Investigations include visiting premises or interviewing people.4 Such formal investigations are a matter for the police.

1.6 This being the case, if any Electoral Registration Officer or Local Returning Officer has concerns about fraudulent applications, or suspicions of fraudulent activity, or receives any allegations about possible absent voting fraud, these should be reported to the police for further investigation. Early liaison with the police Single Point of Contact (SPOC) during the planning process should highlight when the key aspects of the postal voting process, including issue and opening sessions, are to take place and should lead to the agreement of action to be taken if any suspicions arise.

3 Paragraph 139 of the full judgment, In the matter of a local government election for the Bordesley Green Ward of the Birmingham City Council held on 10th June 2004 and in the matter of a local government election for the Aston Ward of the Birmingham City Council held on 10th June 2004. See www.hmcourts-service.gov.uk/cms/2384.htm 4 This does not affect the Electoral Registration Officer’s duty to maintain the register by taking usual steps, such as house-to-house enquiries and asking for more information.

Part D, page 2, January 2009

Postal voting, houses in multiple occupation and establishments

1.7 There is a perception that electoral fraud can be more easily perpetrated in houses in multiple occupation (HMOs) and other multi-elector establishments. For example, it is sometimes feared that residents in nursing homes, care homes and other sheltered accommodation who rely on carers for assistance might be unduly influenced or have their vote stolen. There is potential in any HMO or similar multi-elector establishment where residents do not have a secure mailbox, such as in student accommodation or bedsits, for postal ballots to be intercepted and used fraudulently.

1.8 Some Local Returning Officers have recognised that visiting domiciliary and care staff may be asked to assist with postal ballots, and that each will have access to numerous electors. There may therefore be some benefit, if only for the avoidance of doubt, in offering advice to such care staff in advance of the election. In particular, we would recommend that Local Returning Officers emphasise:

• that the decision on voting and the elector’s vote should be their own • the need for secrecy when voting • the Electoral Registration Officer’s and Local Returning Officer’s willingness to refer any suspicious application or postal ballot to the police for investigation • the penalties that may be applied • that power of attorney does not allow someone to vote on behalf of another person

1.9 If there is a doubt as to whether postal ballot papers will be correctly delivered, Local Returning Officers could arrange to hand deliver postal ballot papers to HMOs, and could attempt to identify a responsible person to distribute the envelopes within the property.

Part D, page 3, January 2009

2 Absent voting timetable and information Timetable for absent voting

2.1 Deadlines by which absent vote applications must be received in order to apply at a particular election are statutory.5 There can be no extension to any of the deadlines for any reason. Applications received after the closing date and time for a particular election cannot be accepted. In such cases, applicants should be notified that their application was not received by the statutory deadline and so cannot be allowed in respect of that election.

2.2 Deadlines for absent voting are calculated in working days, i.e. by excluding dies non, which are Saturdays, Sundays, Christmas Eve, Christmas Day, Good Friday and bank holidays.6

2.3 The deadline for changes (including cancellations) to existing postal, proxy and postal proxy applications is 5pm, 11 working days before the date of the poll.7

2.4 The deadline for new postal and postal proxy applications is also 5pm, 11 working days before the date of the poll.

2.5 The deadline for new proxy (not postal proxy) applications (excluding proxies on the grounds of medical emergencies) is 5pm, six working days before the date of the poll.8

2.6 There is also a provision which allows a proxy to be appointed in the case of a medical condition, illness or disability arising after the deadline for ordinary proxy applications, subject to the appropriate attestation being provided. The deadline for this is 5pm on polling day.9 Mental health patients who are detained under civil powers are also entitled to appoint a proxy after 5pm on the sixth working day before the date of the poll up to 5pm on polling day.

All absent voting deadlines are included in the timetable in Part C, ‘Action before the poll’, Section 1, ‘Timetable’.

2.7 These deadlines, and those for issuing replacement postal ballot packs, should be clearly communicated to electors, those standing for election and their agents.

5 Paragraph 26, Schedule 2, EPE Regulations. 6 Paragraph 26(7), Schedule 2, EPE Regulations. 7 Paragraph 26(1), Schedule 2, EPE Regulations. 8 Paragraph 26(2) and (3), Schedule 2, EPE Regulations. 9 Paragraph 26(4), Schedule 2, EPE Regulations.

Part D, page 4, January 2009

Communicating the absent voting process

2.8 Local Returning Officers are responsible for publishing in their areas the notice of election forwarded to them by the Regional Returning Officer.10 The notice of election will contain details of the closing dates for changing existing absent voting arrangements and for new applications, and the address of the Electoral Registration Officer to whom applications must be made.

Any promotional material about absent voting should also provide information on the absent voting process. Many Electoral Registration I Officers already provide information about absent voting processes either with application forms or at council locations and on council websites. In such cases, it is recommended that Electoral Registration Officers communicate clearly:

• the deadlines for the receipt of postal and proxy applications (including making changes to any existing arrangement) • the date on which it is expected that postal ballot papers will be sent out (bearing in mind that factors such as possible printing or postal delays could result in papers arriving later than planned) • how and when to obtain replacement postal ballot packs and the identification required

This information may assist electors, including those working overseas, in deciding whether postal voting will be an appropriate way for them to choose to cast their vote.

2.9 The Local Returning Officer is required to send poll cards to postal and postal proxy voters as well as to polling station voters and proxy voters. The form of these is prescribed, but can contain other information that the Local Returning Officer thinks appropriate.11

Combination The issue of poll cards is the responsibility of each Returning Officer, although poll cards can be combined if all the Returning Officers I12 agree. Where there is this agreement, the responsibility for issue falls not to the Local Returning Officer but to the Returning Officer for the local government election.

Local Returning Officers in England who have been appointed as deputy Returning Officers for the county council election can find further information on poll cards at local government elections in Part C, ‘Action before the poll’ of the Commission’s guide Managing a local government election in England and Wales.

10 Rule 3(4), European Parliamentary Election Rules (EPE Rules); Schedule 1, EPE Regulations. 11 Rule 31(7), EPE Rules. 12 Paragraph 6, Schedule 2, Representation of the People (Combination of Polls) (England and Wales) Regulations 2004 (RPR), as amended by RPR (Amendment) 2006 and 2007.

Part D, page 5, January 2009

2.10 Local Returning Officers must also issue to postal voters such information as they think appropriate about how to obtain guidance in other formats, such as translations into languages other than English (and, in Wales, Welsh), Braille, graphical format and audio.13 Confirming receipt of postal voting statements

2.11 In addition to the requirement to produce a marked postal voters list, which is produced by marking the postal voters list and proxy postal voters list on the return of a postal voting statement,14 there is also a facility for the Local Returning Officer to confirm to a postal voter whether or not their postal vote has been marked as received back by the Local Returning Officer.15 Local Returning Officers should factor this into their considerations when deciding on the number and timings of postal vote opening sessions, with a view to being able to provide the latest and most accurate information to their electorate.

2.12 It is important to note that this Regulation also includes a provision for the Local Returning Officer to confirm whether the number of the ballot paper issued to the elector or their (postal) proxy has been recorded on either of the two lists that are required to be kept and used for matching up documents where either the postal voting statement or the ballot paper has been received without the other.

2.13 Where a request for such confirmation is received, the Local Returning Officer is required to satisfy themselves that the request has been made by the elector or their proxy before providing the confirmation.16 The Regulation does not specify how such requests are to be made or received, and it is anticipated that many requests may be made by telephone in the first instance. The Local Returning Officer should therefore specify which methods may be used to make the request, and may also request evidence of the elector’s identity before providing such confirmation. It will be for the Local Returning Officer to determine how they are to be satisfied in any particular case.

2.14 Once satisfied of the elector’s identity, the Local Returning Officer should consult their list of returned postal votes. This list may well be an electronic list, generated and held by signature and date of birth checking systems used for the verification of absent voting identifiers. Where this is the case, it should be ensured that the list can be accessed easily, for example that there is the ability for daily data downloads or a daily printout, in order to be able to respond to voters’ queries as to whether or not their postal vote has been received back. The elector should also be told if they appear on either of the two lists of rejected votes and, if they do, should then be told on which of the lists they appear.

13 Rule 28(2), EPE Rules. 14 Paragraph 60(9), Schedule 2, EPE Regulations. 15 Paragraph 61, Schedule 2, EPE Regulations. 16 Paragraph 61(3), Schedule 2, EPE Regulations.

Part D, page 6, January 2009

3 Applications Eligibility

3.1 Any elector on the register of electors can apply to be an absent voter for those elections at which they are eligible to vote. Applications for an absent vote (postal or proxy) can be made for an indefinite period, for a definite period or for a particular election.

3.2 All registered electors have the option to vote by post. In the case of applications to vote by proxy, however, there are requirements to be met in terms of the reasons for an application and attestation, which depend on whether the application is for a particular election or for a longer period. Content and supply of forms

3.3 The application form for an absent vote is not prescribed, although some parts of the form require information to be presented in a specific format.

3.4 There are a number of pieces of information that must be included on an absent vote application by law.17 In normal circumstances, the application must be made in writing, be dated, and include the following information:

• the full name of the elector • the address where the elector is (or has applied to be) registered to vote • the elector’s signature • the elector’s date of birth • whether the application is for a particular election, a particular period or an indefinite period, and if it is for a particular period it should specify that period • at which election type(s) the elector would like to vote by post or proxy • in the case of a postal vote application, the address where the postal ballot pack should be sent, and if this is a different address from that at which the elector is registered (or has applied to be registered) to vote, a reason for the redirection • in the case of an application for a proxy vote, the full name and address of the proxy • in the case of an application for a proxy vote, the grounds on which the applicant claims to be entitled to a proxy vote • where the applicant has (or has applied for) an anonymous entry, that fact

3.5 Where an applicant is unable to provide a signature, they must provide reasons with their application for their request to have the signature requirement waived, along with the name and address of any person who has

17 Paragraph 17, Schedule 2, EPE Regulations. Applications for an absent vote at a European Parliamentary election can be combined with applications for an absent vote at other elections.

Part D, page 7, January 2009

assisted them with the completion of the application.18 Further guidance on the waiver procedure can be found in Section 6, ‘Waivers’.

3.6 Although there is no prescribed form for applying for an absent vote, the regulations require that on an application the personal identifiers (i.e. the signature and date of birth) be set out in a manner that is sufficiently clear and unambiguous as to allow electronic scanning into the Electoral Registration Officer’s record by configuring the information as follows:19

• The signature shall appear against a background of white unlined paper of at least 5cm long and 2cm high. • The applicant’s date of birth shall be configured numerically in the sequence of day, month and year, i.e. DD MM YYYY.

3.7 This provision is limited to requiring the information to be configured in the above two ways. It does not mean that Electoral Registration Officers can impose any other conditions on the way the information is configured, even if to do so would make it easier to scan the identifiers: for example, the Electoral Registration Officer cannot mandate a certain thickness or colour of paper for an application – as long as the identifier fields feature the required contrast and the application meets all the other legislative requirements, the form must be accepted.

3.8 The location of the signature and date of birth on an application form is not prescribed. If the signature and date of birth fields are set out so as to meet the size and format requirements outlined above, wherever that may be on the form, they must be deemed to be sufficiently clear and unambiguous and therefore capable of being electronically scanned, and so will be in accordance with the legislation.

3.9 The design of absent vote application forms is crucial to facilitate the provision and data capture of personal identifiers.

3.10 Many Electoral Registration Officers design their own absent vote application forms to suit their local circumstances. The collection of personal identifiers means that ensuring that the requirements are clear and easily understood during the form design stage is particularly important. For example, the Commission recommends that the date of birth boxes be positioned above the signature on the form and that the date of application section be below the signature, in order to reduce the risk of applications being made where the date of birth is not given correctly.

Guidance on designing electoral forms can be found in the Commission’s guide, Managing electoral registration in Great Britain, A Part I, ‘Accessibility and participation’.

18 Paragraph 17(2)(f), Schedule 2, EPE Regulations. 19 Paragraph 17(4), Schedule 2, EPE Regulations.

Part D, page 8, January 2009

3.11 In addition to Electoral Registration Officers, a number of other organisations, including the Electoral Commission and political parties, also produce application forms. The Commission’s application forms are produced in a format agreed by the Ministry of Justice to ensure that the identifiers can be scanned in correctly. Although they may differ slightly from those produced by individual councils or parties, the forms were designed to meet, and passed, the requirements of all scanning companies.

Copies of the Commission’s application forms are available at www.aboutmyvote.co.uk and www.electoralcommission.org.uk, and A can also be ordered free of charge from the Commission’s distributor. Order details can be found in Part A, ‘Context’, Section 5, ‘Resources’.

3.12 Electoral Registration Officers might find it helpful to liaise with the local political parties to ensure that they are aware of the requirements governing the manner in which the fields to collect the applicant’s signature and date of birth are to be set out and, if necessary, to provide them with a suitable template copy for any applications that they may issue. The major political parties have been informed of the agreed print constraints and have amended their form designs accordingly.

3.13 Electoral Registration Officers must accept any application that arrives in the prescribed format – i.e. with the date of birth and signature fields as prescribed.20 Whatever software system is used must be able to accept applications if these provisions are fulfilled, and applications should not be rejected on the grounds that they are not made on a form produced by the Electoral Registration Officer.

3.14 It is essential for Electoral Registration Officers to consider how they will capture information from forms that they have not produced themselves and from any applications that are not provided on a specific form.

3.15 An application for an absent vote does not have to be made on a particular form, although in all circumstances the personal identifiers provided must be clear and unambiguous by being configured as required by the regulations. An application can be in the form of a letter, as long as it contains all the information required in law for an application to be valid.

3.16 Electoral Registration Officers must supply, free of charge, a reasonable quantity of absent vote application forms to people who wish to use them in connection with an election.21 This includes political parties.

3.17 In addition to the requirement to provide a date of birth, a number of other changes have been introduced in the last few years with regard to absent vote applications. These include:

20 Paragraphs 3, 4 and 17(4), Schedule 2, EPE Regulations. 21 Paragraph 12(1), Schedule 2, EPE Regulations.

Part D, page 9, January 2009

• Voters may apply for a postal vote at the same time as they apply to be registered to vote.22 • The Electoral Registration Officer may check the signature and date of birth on an absent vote application form against any other signature or date of birth for that elector that they, the local authority by which they were appointed or the Returning Officer may hold.23 • If an elector requests that their ballot paper be sent to a different address from the one at which they are registered, they must supply a reason as to why they want their ballot paper sent to this alternative address.24 • The outcomes of all absent vote applications must be acknowledged by the Electoral Registration Officer.25 • Deadlines for certain applications have changed: the deadline for applications for new postal and postal proxy votes and amendments to existing postal and proxy votes is 5pm on the eleventh working day before the poll; the deadline for new proxy (not postal proxy) applications is 5pm on the sixth working day before the poll.26 • There is provision for appointing a proxy on the grounds of a medical emergency after 5pm on the sixth working day before the day of the poll up to 5pm on polling day.27 • There is provision for mental health patients detained under civil powers to appoint a proxy after 5pm on the sixth working day before the day of the poll up to 5pm on polling day.28 • The statement as to postal ballot papers (Form R) must be completed and a copy forwarded to the Commission and the Secretary of State between 10 and 25 calendar days after polling day.29

3.18 Further details on these provisions are given in the relevant sections of this guidance. Receipt of applications

3.19 Absent vote applications must be made in writing. This includes applications sent by fax as long as they are in a legible and unambiguous form capable of being used for subsequent reference, and the personal identifiers are set out in the prescribed manner.30

3.20 Applications submitted as a scanned attachment to an email should also be accepted, although there must be a signature on the attachment: an application should only be accepted by email if it consists of the scanned image of the signed application form. Whatever system is used for capturing

22 Paragraphs 3(1)(a) and 4(1)(a), Schedule 2, EPE Regulations. 23 Paragraph 19(a), Schedule 2, EPE Regulations. 24 Paragraphs 20 and 21, Schedule 2, EPE Regulations. 25 Paragraph 27, Schedule 2, EPE Regulations. 26 Paragraph 26, Schedule 2, EPE Regulations. 27 Paragraph 26(4)(a), Schedule 2, EPE Regulations. 28 Paragraph 26(4)(b), Schedule 2, EPE Regulations. 29 Paragraph 70(5), Schedule 2, EPE Regulations. 30 Paragraph 17(3) and (4), Schedule 2, EPE Regulations.

Part D, page 10, January 2009

the identifiers, it must have the capacity to deal with signatures that are transmitted by these means.

Where the Local Returning Officer has any communication with local party activists, it should be explained that any party workers collecting A postal vote application forms from electors should deliver the forms directly to the Electoral Registration Officer.

The associated risks arising from delayed delivery of application forms, such as the disenfranchisement of voters, should be emphasised. Party workers should also be reminded of the statutory deadlines for absent vote applications, and of the need for applicants to provide dates of birth and signatures in the prescribed format. The Commission has agreed a Code of conduct relating to postal votes with the major political parties, and this could be distributed at the briefing sessions. A copy of this Code is contained in the Commission’s Guidance for candidates and agents.

3.21 All applications should be date stamped upon receipt. This is particularly important in the run-up to an election. On the last day for submission of applications ahead of a particular election, it is also advisable to record the time of receipt, particularly in respect of any applications received after the 5pm deadline. Processing absent vote applications

3.22 Absent vote applications should be processed as soon as practicable after receipt. This becomes more important where applications are received close to the deadlines.

3.23 If high levels of absent vote applications are received, particularly as the deadlines approach, it may be necessary to bring in additional staff to process the applications.

3.24 It is important that all staff, in particular those who are not experienced in processing applications, are aware of the statutory requirements that they should be checking for in absent vote applications.

A template of instructions for temporary staff involved in the receipt and checking of absent vote application forms is provided in A the Commission’s Managing electoral registration in Great Britain, Part G, ‘Absent voting’, Section 10, ‘Resources’.

Determining applications

3.25 As each application is received, it must be checked to ensure that the elector is included, or will be included, on the relevant register of electors. A person who is not included on the register is not entitled to vote and therefore cannot vote by post or by proxy.

Part D, page 11, January 2009

3.26 Once the application has passed its initial check, it must be scrutinised to ensure that it satisfies the prescribed requirements set out above.

3.27 Electors who apply for an absent vote are required to provide both their signature and date of birth, or to obtain a waiver of the signature requirement (see Section 6, ‘Waivers’). If applications, excluding those accompanied by a waiver of the signature requirement, are received with only one identifier, the Electoral Registration Officer should, where possible, make further enquiries with a view to obtaining the missing identifier. If the missing identifier is not submitted, the application must not be allowed.

Checking signatures and dates of birth on application forms

3.28 The regulations allow Electoral Registration Officers to compare a signature or date of birth on an absent vote application with any other signature or date of birth that they may hold, or that is held by their employing local authority or by the Returning Officer.31 It may often be the case that an Electoral Registration Officer will not hold a signature for an individual applying for an absent vote and so there will be nothing to check the signature against. The person signing the household canvass form does not have to print their name and so it is not always obvious which of the persons on the form has actually signed it, if indeed the name of the person signing it is actually included on the form. The Electoral Registration Officer may, however, hold a rolling registration form for a particular individual, which could be checked, or the appointing local authority may hold other records which contain individuals’ signatures and which the Electoral Registration Officer could check.

3.29 It is clearly for Electoral Registration Officers to determine how much checking they wish to do to satisfy themselves as to the authenticity of a signature, taking into account available resources and access to the signatures held. If an Electoral Registration Officer does have any suspicions about a particular application that can be substantiated, these should be reported to the police.

3.30 The integrity of the absent voting identifier record is key to the integrity of the identifier verification during the postal vote opening stage.

Information on how to ensure the integrity of the absent voting identifier record is contained in the Commission’s Managing electoral A registration in Great Britain, Part G, ‘Absent voting’, Section 9, ‘Integrity issues’.

31 Paragraph 19(a), Schedule 2, EPE Regulations.

Part D, page 12, January 2009

Applications received after the deadline for a European Parliamentary election

3.31 Any absent vote applications received after the deadline for applications must be disallowed for that election, and the elector notified of the fact.32 If the application is refused, the Electoral Registration Officer must notify the applicant of the decision and the reason for it.

32 Paragraphs 26 and 27(3), Schedule 2, EPE Regulations.

Part D, page 13, January 2009

4 Proxy voting

4.1 A person can apply to vote by proxy for a definite or indefinite period, or for one election only, and may not have more than one proxy at any time.33 Proxy applications for a definite or indefinite period

4.2 There are a number of acceptable reasons in law in respect of which a person can choose to apply to vote by proxy for an indefinite or definite period of time. These reasons are:34

• blindness • other disability • occupation, employment, service, attendance on a course • registered as a service voter or overseas voter • registered as an anonymous elector • journey necessary by sea or air to get from the registered address to a polling station

4.3 Proxy applications for an indefinite or definite period for reasons of blindness or other disability (excluding those who are registered blind by the local authority or who are in receipt of the higher rate of the mobility component of the disability living allowance) and occupation, employment, service or attendance on a course require attestation,35 and the reason why a proxy vote is needed must be stated or indicated on the application. Proxy applications for a particular election

4.4 Applications for a proxy vote for a particular election do not require attestation, but the applicant must specify the circumstances by which they cannot reasonably be expected to vote in person.36 The decision as to whether the reason given is satisfactory and whether the elector cannot reasonably be expected to vote in person is made at the Electoral Registration Officer’s discretion, taking each case on its own merits. However, the requirement to specify the circumstances why an elector cannot vote in person does not extend to overseas electors, service voters or Crown Servants, where the Electoral Registration Officer can be satisfied by the nature of their registration that they cannot be reasonably expected to go to their allotted polling station. Also, this requirement does not apply if the applicant is an anonymous elector.37

33 Paragraphs 3, 4 and 6, Schedule 2, EPE Regulations. 34 Paragraph 3(3), Schedule 2, EPE Regulations. 35 Paragraphs 23(2) and 24(2), Schedule 2, EPE Regulations. 36 Paragraph 4(2), Schedule 2, EPE Regulations. 37 Paragraph 4(2), Schedule 2, EPE Regulations.

Part D, page 14, January 2009

Applying to vote by proxy

4.5 A proxy vote application must be made in writing, but can be in any format: a letter, a fax, an email with the elector’s scanned signature or a proxy application form are all acceptable, as long as the application contains the necessary information as set out in law, including meeting the requirement that the personal identifiers (the applicant’s signature and date of birth) are configured as specified in the regulations.38

4.6 The following information must be included in a proxy vote application in order for it to be valid:39

• the full name of the elector • the elector’s date of birth • the elector’s signature • the address in respect of which the applicant is (or has applied to be) registered to vote • the grounds on which the elector claims to be entitled to vote by proxy • the full name and address of the proxy • the family relationship between the elector and the proxy (if any) • whether the application is for a particular election, a particular period or an indefinite period, and if it is for a particular period it should specify that period • at which election type(s) the elector would like to vote by proxy • the date of the application

4.7 The applicant must also either:

• where only they have signed the form, sign a statement stating that they have consulted the proxy and that that person is able and willing to be appointed as a proxy, or • where the proxy has also signed the form, include a statement by the proxy stating that they are able and willing to be appointed as the applicant’s proxy

4.8 All electors wishing to appoint a proxy are required to supply their personal identifiers. If a person appointed as a proxy wishes to apply for a postal vote, they will also have to supply their identifiers, as shown in Table 1.

38 Paragraph 17, Schedule 2, EPE Regulations. 39 Paragraphs 17 and 22, Schedule 2, EPE Regulations.

Part D, page 15, January 2009

Table 1: Identifier requirements

Method of voting Identifiers required Elector Person appointed as proxy Proxy to vote at polling station Yes No Proxy to vote by post Yes Yes

4.9 Where an applicant is unable to provide a signature, they must provide, together with their application, reasons for their request to have the signature requirement waived, along with the name and address of any person who has assisted them with the completion of the application.40

Further information regarding the waiver provisions can be found in Section 5, ‘Postal voting’.

Attestation

4.10 Those having to make a journey by sea or air to get to a polling station do not require their application to be attested.41 The Electoral Registration Officer will be able to verify whether a journey by sea or air is required to get to the polling station from their own local knowledge. This provision only covers journeys from the qualifying address to the polling station and not any such journeys required due to being temporarily absent from the qualifying address, such as being on holiday.

4.11 If a proxy application is being made for an indefinite or definite period for reason of blindness or other disability (excluding those who are registered blind by the local authority or who are in receipt of the higher rate of the mobility component of the disability living allowance) or occupation, employment, service or attendance on a course, the application must be attested by one of the people specified below.42

Disability or blindness

4.12 Forms should be attested by:43

• a registered medical practitioner or registered nurse treating the applicant for their disability or from whom the applicant is receiving care in respect of that disability • a Christian Science practitioner treating the applicant for their disability or from whom the applicant is receiving care in respect of that disability • a person registered as a member of a profession to which the Health Professions Order 2001 applies (i.e. arts therapists, chiropodists, clinical

40 Paragraph 17(2)(f), Schedule 2, EPE Regulations. 41 Paragraph 3(3)(e), Schedule 2, EPE Regulations. 42 Paragraphs 23 and 24, Schedule 2, EPE Regulations. 43 Paragraph 23, Schedule 2, EPE Regulations.

Part D, page 16, January 2009

scientists, dieticians, medical laboratory technicians, occupational therapists, orthoptists, paramedics, physiotherapists, prosthetists and orthotists, radiographers, and speech and language therapists) treating the applicant for their condition or from whom the applicant is receiving care in respect of that disability • a registered dentist, dispensing optician, optometrist, pharmaceutical chemist, osteopath or chiropractor treating the applicant for their disability or from whom the applicant is receiving care in respect of that disability • the manager of a care home service registered under Part 2 of the Care Standards Act 2000 in England and Wales and under Part 1 of the Regulation of Care (Scotland) Act 2001 • the warden of residential premises provided for persons of pensionable age or disabled persons, where the applicant states that they reside in such an establishment • the manager (or their authorised representative) of a hospital registered in accordance with Section 145 of the Mental Health Act 1983 in England and Wales and Section 329 of the Mental Health (Care and Treatment) (Scotland) Act 2003 • a registered social worker who has arranged care or assistance for the applicant • a registered chartered psychologist who is treating the applicant for their condition or from whom the applicant is receiving care in respect of that disability

4.13 An applicant who is registered blind does not have to have their application attested if they specify that they are registered blind by the local authority.44

4.14 Also, an applicant who states that they are in receipt of the higher rate of the mobility component of a disability living allowance because of the disability or medical condition specified in their application does not require attestation of their application.45

4.15 In all circumstances, except for an application made by an elector detained in a hospital under Section 145 of the Mental Health Act 1983 or Section 329 of the Mental Health (Care and Treatment) (Scotland) Act 2003, the person attesting the form must also state their name and address, the qualification held by virtue of which they are attesting the application, and that to the best of their knowledge and belief the applicant cannot reasonably be expected to go to the polling station or to vote there unaided by reason of their disability, and that the medical condition or disability is likely to continue either indefinitely or for a period specified by the attestor.46

4.16 Where an application is made by an elector detained in a hospital under Section 145 of the Mental Health Act 1983 or Section 329 of the Mental Health (Care and Treatment) (Scotland) Act 2003, the person attesting the

44 Paragraph 23(6)(a) and (c), Schedule 2, EPE Regulations. 45 Paragraph 23(6)(d), Schedule 2, EPE Regulations. 46 Paragraph 23(4), Schedule 2, EPE Regulations.

Part D, page 17, January 2009

form must also state their name, the position held in the hospital, confirm that they are authorised to make the attestation, details of the statutory provision under which the applicant is liable to be detained, and that to the best of their knowledge and belief the applicant cannot reasonably be expected to go to the polling station or to vote there unaided by reason of their disability, and that the medical condition or disability is likely to continue either indefinitely or for a period specified by the attestor.47

Occupation, employment, service or attendance on a course

4.17 Forms should be attested:48

• by the applicant’s employer, or by an employee delegated to do so on the employer’s behalf, or • if the applicant is self-employed, by a person aged 18 years or over who knows the person but is not related to them, or • if the applicant is attending a course, by the tutor of that course or the principal of the educational institution where the course is taking place, or by an employee delegated to do so on the principal’s behalf

Qualifications for acting as a proxy

4.18 In general terms, any person is capable of being appointed to vote as a proxy for another, subject to the following restrictions:

• those subject to legal incapacity (age apart) to vote in that election as an elector49 • those who are neither a British citizen, a qualifying Commonwealth citizen, a citizen of the Republic of Ireland, or a citizen of another European Union member state50 • those who have not reached the age of 18 years51

4.19 There is no requirement for a proxy to be a registered elector. Limits on numbers of proxies

4.20 A person may not have more than one proxy at any time.52

4.21 A person is not entitled to vote as a proxy in the same electoral region, or elsewhere, on behalf of more than two electors at the same European Parliamentary election. The only circumstances in which a person can act as a proxy for more than two electors are if they are the spouse, civil partner, parent, grandparent, brother, sister, child or grandchild of the elector.53 There

47 Paragraph 23(4) and (5), Schedule 2, EPE Regulations. 48 Paragraph 24, Schedule 2, EPE Regulations. 49 Paragraph 6(3)(a), Schedule 2, EPE Regulations. 50 Paragraph 6(3)(b), Schedule 2, EPE Regulations. 51 Paragraph 6(4), Schedule 2, EPE Regulations. 52 Paragraph 6(2), Schedule 2, EPE Regulations. 53 Paragraph 6(5), Schedule 2, EPE Regulations.

Part D, page 18, January 2009

is no limit to the number of these close relatives that a proxy may vote on behalf of.

4.22 It is not an offence to be appointed as a proxy by more than two people but it is an offence to vote for more than two people who are not close relatives (as defined above) at the same European Parliamentary election.54 Acknowledging proxy and postal proxy applications

4.23 When an Electoral Registration Officer has granted an application to vote by proxy, they must confirm in writing to the elector that the proxy has been appointed, the name and address of the proxy and the duration of their appointment.55 A proxy must also be notified of their appointment.56 The form of the proxy paper for this purpose is prescribed.57

4.24 Where the Electoral Registration Officer rejects an application, they must notify the applicant of the decision and the reason for it.58 Proxies for medical emergencies

An elector may appoint a proxy up to 5pm on polling day, if they became ill or disabled after 5pm on the sixth working day before the I day of the poll, i.e. they could not have applied for an absent vote under the normal procedure.

4.25 The application form will need to be attested by an appropriate person from the list of persons shown above who may attest proxy applications made on the grounds of disability. The application must include, to the best of the knowledge and belief of the person attesting the form, the date that the person became ill or disabled, which must be after 5pm on the sixth working day before polling day if the application is to be accepted.59

4.26 The application must be made to the Electoral Registration Officer. If the application is made on polling day or after the list of proxies has been despatched to the polling station, it will be necessary to find a way to communicate the information to the Presiding Officer at the polling station where the proxy will be voting, as clearly they will not be on the list of proxies originally supplied.

4.27 It is suggested that the proxy of any voter whose application has been accepted should be given a letter authorising them to act as a proxy, which should include details of the person for whom they are voting. The proxy should be instructed to take that authorisation with them when they go to vote, and hand it to the Presiding Officer. The letter can then be retained with the

54 Regulation 24, EPE Regulations. 55 Paragraph 27(2), Schedule 2, EPE Regulations 56 Paragraph 6(8), Schedule 2, EPE Regulations. 57 Paragraph 6(8), Schedule 2, EPE Regulations. 58 Paragraph 27(3), Schedule 2, EPE Regulations. 59 Paragraph 25, Schedule 2, EPE Regulations.

Part D, page 19, January 2009

list of proxies as a record that the proxy has been issued with a ballot paper. It is also suggested that every effort be made to contact the appropriate Presiding Officer directly to warn them that an emergency proxy has been appointed, particularly as there is actually no requirement in law that the proxy must provide any documentation in order to be permitted to vote on behalf of the elector who is ill or disabled. Wherever possible, it is recommended that a supplementary list of proxies be issued to the polling station, which should then be added to the list originally supplied.

See Part E, ‘The poll’, Section 2, ‘Polling day issues for Local Returning Officers and staff’ for further consideration of the emergency proxy provisions. A

Voting by post as a proxy

4.28 Those appointed as a proxy can choose to vote by post.60 Electoral Registration Officers may wish to consider sending application forms for this purpose when notifying the proxy of their appointment. The application made by the proxy to vote by post must meet the same prescribed requirements as for any application to vote by post, including the requirement to provide personal identifiers, all of which are outlined in Section 5, ‘Postal voting’. In addition to meeting the prescribed requirements and being satisfied that the elector is or will be on the register of electors, the Electoral Registration Officer must also be sure that there is in force an appointment of the applicant as the elector’s proxy in order to grant the application to vote by post as a proxy.61 Changing or cancelling proxy arrangements

4.29 An elector can apply to the Electoral Registration Officer at any time to cancel their proxy vote.62

4.30 An elector can cancel or change their proxy appointment at any time by giving notice to the Electoral Registration Officer. 63

4.31 A proxy may cancel their postal proxy vote at any time by giving notice to the Electoral Registration Officer.64 A postal proxy vote is also cancelled in those situations where either the elector who has appointed the proxy ceases to be registered or the proxy appointment has been cancelled, whether or not that person is later reappointed.65

4.32 Where any elector ceases to be registered in respect of the same qualifying address, or becomes registered by way of a declaration instead of

60 Paragraph 7(1), Schedule 2, EPE Regulations. 61 Paragraph 7(5), Schedule 2, EPE Regulations. 62 Paragraph 3(5)(a), Schedule 2, EPE Regulations. 63 Paragraph 6(9), Schedule 2, EPE Regulations. 64 Paragraph 7(10)(a), Schedule 2, EPE Regulations. 65 Paragraph 7(10)(b) and (c), Schedule 2, EPE Regulations.

Part D, page 20, January 2009

as an ordinary elector or vice versa, any absent voting arrangements linked to the registration end.66

4.33 A voter who has appointed a proxy can subsequently change to vote by post on submission of an application to the Electoral Registration Officer which meets the prescribed requirements.67 For this to be effective for an election, the Electoral Registration Officer needs to have received the application by 5pm on the eleventh working day before the poll.

66 Paragraph 3(5)(c), Schedule 2, EPE Regulations. 67 Paragraph 3(7), Schedule 2, EPE Regulations.

Part D, page 21, January 2009

5 Postal voting

5.1 There are no restrictions on who can vote by post. Any elector can choose to apply to vote by post if they so wish, provided that they are registered to vote or have applied to be so registered.68 Additionally, any person appointed as a proxy can apply to vote as a proxy by post.69 Applying to vote by post

5.2 A postal vote application must be made in writing, but can be in any format: a letter, a fax, an email with a scanned signature or an absent vote application form are acceptable, as long as the personal identifier information (signature and date of birth) is clear and unambiguous, and provided in the format prescribed in the regulations.

5.3 The following information must be included in a postal vote application in order for it to be valid:70

• the full name of the elector • the elector’s date of birth • the elector’s signature • the address where the elector is (or has applied to be) registered to vote • the address where the postal ballot pack should be sent, and if this is a different address from that at which the elector is registered (or has applied to be registered) to vote, a reason for that redirection71 • whether the application is for a particular election, a particular period or an indefinite period, and if it is for a particular period it should specify that period • at which election type(s) the applicant would like to vote by post • the date of the application

5.4 If, however, an applicant is unable to provide a signature, they may request that the Electoral Registration Officer waive the requirement for a signature to be provided. More information is provided in Section 6, ‘Waivers’.

Redirection of postal ballot papers

5.5 On applying for a postal vote, a request can be made for postal ballot papers to be sent to a different address from the qualifying address, as long as the applicant provides a reason why their circumstances are or are likely to be such as to require their ballot paper to be sent to that address.72

5.6 The regulations make no provision for an Electoral Registration Officer to reject an application if they are not satisfied with the explanation provided for

68 Paragraphs 3(1) and 4(1), Schedule 2, EPE Regulations. 69 Paragraph 7(1), Schedule 2, EPE Regulations. 70 Paragraph 17, Schedule 2, EPE Regulations. 71 Paragraphs 20 and 21, Schedule 2, EPE Regulations. 72 Paragraph 20, Schedule 2, EPE Regulations.

Part D, page 22, January 2009

requesting redirection. This being the case, it is recommended that, for the purposes of determining applications, the Electoral Registration Officer should accept postal vote applications at face value if an explanation for redirection is given. It should be noted that the regulations provide that the elector must explain why their circumstances are such that they wish an alternative address to be used: they could not simply say, for example, ‘because I prefer it that way’.73

5.7 There are many reasons why a person may wish their postal vote to be sent to an alternative address: they may be on holiday, be in hospital, have post sent to their work address, and so on. If no explanation of their circumstances is given, the Electoral Registration Officer may wish to check with the elector and obtain an explanation, or could choose to reject the application on the grounds that it does not meet the prescribed requirements, notifying the elector accordingly.

It is important for Electoral Registration Officers to be vigilant as regards emerging patterns of applications, particularly where there is a I request for redirection to an address other than the address at which the elector is registered. If the reason for any particular application causes suspicion because of its nature, or because of other circumstances linking the application to others in the area or to a particular address, this should be reported to the police, even though the Electoral Registration Officer may have no grounds on which to reject such applications. In particular, it is recommended that the Electoral Registration Officer agree with their police contact a threshold number of applications being directed to any one address, and consider notifying the police if this threshold is reached.

Acknowledging the outcome of postal vote applications

5.8 Electoral Registration Officers are required to write to all applicants to notify them whether their application has been accepted or rejected.74 This is a requirement for all postal voters even if they apply close to the deadline for applications to take effect at a particular election, and regardless of whether the application is for one election, a particular period or indefinitely. This acknowledgement is useful, both for the elector to check the details of their absent vote, including the date of birth supplied on the application, and in increasing the security of the system. It is recommended, where possible, that the Electoral Registration Officer should acknowledge postal vote redirection requests to both the registered and redirection addresses.

73 Paragraphs 20 and 21, Schedule 2, EPE Regulations. 74 Paragraph 27, Schedule 2, EPE Regulations.

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The acknowledgement serves a number of purposes: i 1. It gives the elector an opportunity to check that the information they gave on their application has been processed correctly. It also confirms whether their application has been granted or rejected.

2. It provides an opportunity to safeguard against potential malpractice or misunderstanding on the part of the elector. If an elector receives an acknowledgement for a postal vote that they have not requested, or were not aware they had requested, the receipt of the acknowledgement would give the elector an opportunity to contact the Electoral Registration Officer.

3. Any such responses, along with notifications of non-delivery, should be monitored, and where suspicions are aroused the police should be advised of the circumstances.

Acknowledging postal vote applications is compulsory: all applicants must be notified as to whether their application has been granted or refused and, where the application has been refused, the reason for its refusal must also be given.

Receipt of only one identifier

5.9 Electors who apply for an absent vote are required to provide both their date of birth and signature, or obtain a waiver of the signature requirement. All applications require either both identifiers, or the waiver of the signature requirement and the date of birth. If applications, excluding those accompanied by a waiver of the signature requirement, are received with only one identifier, the Electoral Registration Officer should, where possible, make further enquiries with a view to obtaining the ‘missing’ identifier. If the ‘missing’ identifier is not submitted, the application must not be allowed. Changing or cancelling postal voting arrangements

5.10 An elector can apply to the Electoral Registration Officer at any time to cancel their postal vote.75

5.11 Where any elector ceases to be registered in respect of the same qualifying address, or becomes registered by way of a declaration instead of as an ordinary elector or vice versa, any absent voting arrangements linked to the registration end.76

75 Paragraph 3(5)(a), Schedule 2, EPE Regulations. 76 Paragraph 3(5)(c), Schedule 2, EPE Regulations.

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5.12 A postal voter can subsequently change to vote by proxy on submission of an application to the Electoral Registration Officer which meets the prescribed requirements.77

77 Paragraph 3(6), Schedule 2, EPE Regulations.

Part D, page 25, January 2009

6 Waivers

6.1 Where an applicant is unable to provide a signature, they may request that the Electoral Registration Officer waive the requirement for a signature to be provided. Any such request must include the reason(s) for the request, along with the name and address of any person who has assisted the applicant with the completion of the application.

6.2 The Electoral Registration Officer should satisfy themselves that ‘the applicant is unable to provide a signature or a consistent signature due to any disability or inability to read or write’.78 The level of proof or evidence that is needed in order to be satisfied must be a local decision, but the Commission advises that Electoral Registration Officers should be alert to the potential for the waiver to be used as an attempt to avoid security measures. The policy for responding to requests for waivers should be sufficiently robust to ensure the integrity of the voting system while still allowing such electors access to the absent voting system.

6.3 Legislation provides that the Electoral Registration Officer may satisfy themselves that the applicant is unable to provide a signature or a consistent signature due to a disability or the inability to read or write.79 Therefore, this provides a power and not a duty. However, to ensure that the provisions work to their fullest extent, the Commission’s view is that the Electoral Registration Officer should take active steps to be so satisfied.

6.4 Some Electoral Registration Officers may take the view that they only need to exercise this power in the event that they have concerns or doubts about a particular application or because there has been a pattern of such applications that arouses suspicion. The Commission advises, however, that this power should be exercised more consistently and routinely, and that the same steps be applied to each application for the granting of a waiver.

6.5 The legislation does not specify the steps an Electoral Registration Officer may wish to take in order to be so satisfied. It does not, for example, introduce an attestation procedure, as exists for some types of proxy voting.

6.6 The legislation does, however, require the name and address of the person assisting the elector who is requesting the waiver.80 In the Commission’s view, this provides an opportunity for a straightforward process by which the Electoral Registration Officer can satisfy themselves under the legislation.81 For example, the Electoral Registration Officer could ask the person assisting the applicant to confirm that, to the best of their knowledge and belief, the elector in question is unable to provide a signature or a consistent signature due to a disability or the inability to read or write. The Electoral Registration Officer could provide this in the form of a simple declaration that could be signed by the person assisting the elector.

78 Paragraphs 3(8) and 4(6), Schedule 2, EPE Regulations. 79 Paragraph 19, Schedule 2, EPE Regulations. 80 Paragraph 17(2)(f), Schedule 2, EPE Regulations. 81 Paragraph 3(8) and 4(6), Schedule 2, EPE Regulations.

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6.7 The Electoral Registration Officer may also wish to consider drawing attention, on any such declaration, to the offence of providing false information in connection with an application for an absent vote.82 This is a summary offence with a maximum penalty of six months’ imprisonment or a £5,000 fine.

Such a declaration could take the following form:

The elector named above is unable to provide a consistent signature owing to a disability an inability to read or write

Name of person assisting the elector………………………………………………. Address of person assisting the elector …………………………………...... Signature of person assisting the elector …………………………………………. Date of declaration …………………………………………………………………...

Note: It is an offence to provide false information to an Electoral Registration Officer in connection with an application for a postal or proxy vote.

6.8 The Commission believes that this would be a reasonable measure that the Electoral Registration Officer could use in order to be satisfied under the regulations that an elector was unable to provide a signature or a consistent signature.

6.9 Any Electoral Registration Officers considering preparing forms and declarations to be completed by the elector themselves should bear in mind that if an elector is unable to provide a signature or a consistent signature, it may be the case that they would be unable to complete any additional forms, and to issue such forms may cause distress or confusion. Electoral Registration Officers have no power to investigate or make medical judgements on the nature or extent of an elector’s disability.

6.10 Some Electoral Registration Officers may be considering using an attestation system to provide assurance as to the veracity of the request for a waiver. The Commission recognises that such an attestation is specifically provided for in the case of a permanent proxy as the means by which the Electoral Registration Officer should satisfy themselves, but no such provision has been included for an absent voter identifier waiver, and so the use of such an attestation is not recommended.

6.11 Electoral Registration Officers have no ability to ‘investigate’ waiver applications. It is the Commission’s view that the Electoral Registration Officer’s power in determining a waiver application is limited to the taking of reasonable steps to satisfy themselves that the applicant is unable to provide a signature or a consistent signature due to their disability or an inability to read or write, as outlined above.

6.12 It is important for Electoral Registration Officers to remember that the decision to grant a waiver is theirs, and if they are not satisfied as to the

82 Paragraphs 10 and 11, Schedule 2, EPE Regulations.

Part D, page 27, January 2009

authenticity of the request following any appropriate enquiry, it should be refused. If a waiver request is refused, then the absent vote application must be rejected and the applicant notified in writing of the reasons for the decision. If, however, the Electoral Registration Officer is satisfied as to the waiver and the accompanying absent vote application, then confirmation of its acceptance must be given in writing to the elector.

6.13 The Electoral Registration Officer should remain vigilant as to any trends which may be revealed through the receipt of waiver requests. Any trends, such as large numbers of applications assisted or signed by one person with no plausible explanation, or large numbers of applications from one street or area with no plausible explanation (such as the type of residences in that location), should raise suspicions. The Commission is happy to discuss any concerns that Electoral Registration Officers have on this point. Contact details for the Commission for electoral integrity matters can be found in Part A, ‘Context’, Section 4, ‘The role of other organisations’.

Part D, page 28, January 2009

7 Absent voting records and lists

7.1 The Electoral Registration Officer must compile a list of all absent voters, which includes all postal, proxy and postal proxy voters.

7.2 The Electoral Registration Officer is also required to keep a list of all personal identifiers, containing the name, signature and date of birth of each absent voter.

The list of personal identifier information should not be included in any copies of lists or records that may be supplied to certain persons or in

any records or lists open to public inspection. I

Supply of absent voters lists to candidates, election agents, registered political parties and elected representatives

7.3 Elected representatives, candidates, registered political parties and local constituency parties may request that the Electoral Registration Officer supply, as soon as practicable after the request is made and free of charge, a copy of:83

• the current version of the absent voting record which would, in the event of a particular election being called, be included in the absent voters lists to be used at that election, and • the current or final version of the absent voters lists for a particular election

7.4 A current list is defined as a copy of the list as kept by the Electoral Registration Officer at 9am on the date it is supplied.84

For details on who is entitled to receive the register and from which date, refer to Part C, ‘Action before the poll’, Section 2, ‘The electoral A register’. It is important to remember that only individual candidates are entitled to a copy of the register themselves. In the case of individuals on a registered party list, it will be the election agent who can receive a copy.

7.5 Any such request must be made in writing and must specify which records or lists are required, whether the request relates to the current and/or the final lists, and whether the information should be supplied in electronic or paper format.85

83 Paragraph 32(1), Schedule 2, EPE Regulations. 84 Paragraph 32(16)(a), Schedule 2, EPE Regulations. 85 Paragraph 32(2), Schedule 2, EPE Regulations.

Part D, page 29, January 2009

7.6 There are no restrictions on the number of times that an eligible person may apply for copies of the documents. Each application should be dealt with separately.

7.7 Where a request is made for the supply of a final copy of the postal voters list, the Electoral Registration Officer must supply the information as soon as practicable after the deadline for the receipt of postal vote applications at 5pm on the eleventh working day before the date of the poll.86 Similarly, the finalised list of proxies must be supplied as soon as practicable after the sixth working day before the poll,87 and must then be updated to take account of any changes that occur as a result of any emergency proxy applications granted after that deadline.88

7.8 Where elected representatives, candidates, registered political parties and local constituency parties are provided with a copy of the current absent voting record and/or the final list, they may use the information only for research or electoral purposes and for any purposes compatible with the restrictions applicable to the use of the full register of electors by that recipient.89

Part H, ‘Access and supply’ of the Commission’s manual Managing electoral registration in Great Britain provides detailed information on A the restrictions governing the use of the full register. This guidance is available for downloading from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/electoral-registration/managing-electoral-registration-services

Inspection of absent voting records

7.9 The Electoral Registration Officer is required to make both the current version of the absent voting record and, when published, the final version of the absent voters lists available for public inspection at their office.90

7.10 As soon as practicable after 5pm on the sixth working day before the poll, the Electoral Registration Officer must make available for public inspection a copy of the final lists of absent voters, which must be updated to take account of any emergency proxy applications that are granted after that time.

7.11 For a person to inspect the record or lists, they must first make a request in writing, specifying:91

• which records or lists are required • whether the request relates to the current and/or final lists

86 Paragraph 32(5), Schedule 2, EPE Regulations. 87 Paragraph 32(6), Schedule 2, EPE Regulations. 88 Paragraph 32(7), Schedule 2, EPE Regulations. 89 Paragraph 32(9), Schedule 2, EPE Regulations. 90 Paragraph 32(10), Schedule 2, EPE Regulations. 91 Paragraph 32(11), Schedule 2, EPE Regulations.

Part D, page 30, January 2009

• who will be inspecting the information • the date on which they would like to make their inspection • whether they would prefer to inspect the information in printed or electronic format

7.12 The Electoral Registration Officer must make the information available under supervision as soon as practicable after the date of receipt of the request.92

7.13 Where MEPs, individual candidates, agents for a party list standing nominated, registered political parties and local constituency parties inspect a copy of the current absent voting records and/or the final lists, they may use the information only for research or electoral purposes and for any purposes compatible with the restrictions applicable to the use of the full register of electors by that recipient.93

92 Paragraph 32(12), Schedule 2, EPE Regulations. 93 Paragraph 33, Schedule 2, EPE Regulations; Regulations 61(3) and 61A, Representation of the People Regulations (RPR) 2001.

Part D, page 31, January 2009

8 The issue and distribution of postal ballot packs

Combination Where elections are combined, the relevant Returning Officers can I agree to take the proceedings on the issue and receipt of postal ballot papers together. Those Returning Officers in England with combined European Parliamentary and local government elections will need to consider whether this is appropriate, or if the proceedings should be kept separate.

This section applies to Local Returning Officers who have only European Parliamentary elections and to Local Returning Officers who do have combined European Parliamentary and local government elections but the issue and receipt of postal votes has been kept separate. It also provides guidance to those Local Returning Officers in England with local government elections in their local counting areas that have been designated as deputy Returning Officers by the Returning Officer for the local government election to manage all or part of the absent voting process. Additional information in respect of local government elections can be found in Part D, ‘Absent voting’ of the Commission’s manual Managing a local government election in England and Wales.

For an explanation of the split of the functions between Returning Officers at combined elections, see Part H, ‘Combination of polls’, Section 2, ‘Combination arrangements’.

Royal Mail good practice guidance

8.1 Royal Mail has produced good practice guidance on postal voting. This includes protocols on all aspects of the postal voting process and working relationships with Royal Mail. It has been put together to address issues surrounding the increased levels of postal voting and how to manage the process effectively. This guidance should be referred to by those planning to use Royal Mail to deliver postal votes.

Royal Mail’s best practice guidance can be downloaded from the Commission’s website at www.electoralcommission.org.uk/__data/ A assets/electoral_commission_pdf_file/0011/64955/Royal-Mail-best- practice-guide.pdf

Persons entitled to be present

8.2 The only persons entitled to be present at the issue of postal votes are the Local Returning Officer, their staff, representatives of the Commission and any observers accredited by the Commission.94 Candidates and their agents are not permitted to attend.

94 Paragraph 43, Schedule 2, EPE Regulations.

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Secrecy requirements

8.3 The Local Returning Officer must ensure that every person who is present at the issue of postal votes is given a copy of the secrecy requirements as set out in Regulations 29(5) and (7) of the EPE Regulations.95

A copy of the notification of secrecy requirements is provided in Section 12, ‘Resources’.

Timing of the issue96

8.4 It is the decision of the Local Returning Officer when the issue of postal votes should take place, although postal votes cannot be issued until after 5pm on the eleventh working day before the poll. The Local Returning Officer should liaise closely with the Regional Returning Officer to confirm planned timings of issues, and should remain in close contact with them to discuss any problems that may arise throughout the postal vote issue and receipt process.

It is recommended that postal votes are issued to all who have applied, including long-term postal voters, as soon as practicable after I the deadline for new applications for postal votes and for changes to be made to existing postal votes, 11 working days before the date of the election. This allows a maximum amount of time for ballot papers to be despatched and for voters to return them. However, postal votes should not be distributed to existing postal voters before this time as they could still choose to cancel or amend their arrangements.

Postal votes cannot be issued to an elector until an elector number has been allocated, which means that postal voters who have registered under the 11- day rule cannot be sent postal votes until the notice of alteration has been published on the fifth working day before the poll.

Local Returning Officers may need to consider additional staffing in order to ensure that all postal ballot papers can be issued as soon as possible after the deadline for applications. Consideration should also be given to issuing ballot papers that are going outside the UK first, for example those being sent to service voters or to overseas voters.

Preparation of postal vote stationery

8.5 It is vital to ensure that there are sufficient ballot papers and enough of the other stationery required to be able to meet demand in the event of a late surge in applications.

95 Paragraph 46, Schedule 2, EPE Regulations. 96 Paragraph 47, Schedule 2, EPE Regulations.

Part D, page 33, January 2009

8.6 There have traditionally been two main methods of preparing postal vote stationery: in-house, whereby postal vote stationery is printed and prepared by election staff or in-house printers; and outsourced printing, whereby postal vote stationery is printed by an external printing house.

8.7 The regulations require that the postal voters list and the proxy postal voters list be marked to confirm that a postal voting statement has been received back by the Local Returning Officer.97 In addition, at any time after the issue of postal votes up to the close of poll, electors are able to ask for confirmation as to whether their postal vote has been received back and whether it has been recorded on either of the lists of rejected votes.98 These requirements have implications for the production of the postal vote stationery, in that Local Returning Officers will need to ensure that they are able to easily mark the receipt of postal voting statements on the postal voters list and proxy postal voters list.

8.8 It may be possible to undertake this recording task manually by reference to the ballot paper number which must be printed on the postal voting statement, but where a Local Returning Officer wishes to automate or part-automate the process, consideration will need to be given as to whether the stationery can be produced in-house or will need to be outsourced.

8.9 The Local Returning Officer is also required to produce different forms of postal voting statements for anonymous electors and for those who have been granted a waiver: the postal voting statement for anonymous electors must not show the name of the elector; where the elector has been granted a waiver by the Electoral Registration Officer, the signature box on the postal voting statement and any reference to signing in the instructions to voters are to be omitted.99

The stationery associated with postal voting is prescribed in legislation. In order to avoid any potential challenge to the postal I voting process, the Local Returning Officer must, therefore, be satisfied that the postal vote stationery used is lawful. The responsibility for complying with the law remains with the Local Returning Officer, even if contractors are used.

See also Part B, ‘Preparing for a European Parliamentary election’, Section 2, ‘Managing contractors and suppliers’.

8.10 Other factors that will need to be considered include the following.

If printing in-house: • How many postal votes are to be issued? • Will staff resources be available to oversee the printing of the stationery without impacting on the administration of other aspects of the election?

97 Paragraph 60(9), Schedule 2, EPE Regulations. 98 Paragraph 61, Schedule 2, EPE Regulations. 99 Paragraph 42 and Form O, Appendix of forms, Schedule 2, EPE Regulations.

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• Are there sufficient printing facilities and stationery available? • Does the technical capability exist to produce all of the elements of the postal ballot packs as required by the legislation? • What is the in-house quality control procedure?

If outsourcing production: • Does the printer’s stationery comply with legislation? • How many local authorities is the company printing stationery for? (This may impact on whether they can cope with increased demand.) • Where is the order in the company’s schedule of work? • Will the printer be able to print large numbers of postal vote packs? • Will the printer be able to manage an increased number of postal votes if numbers of applications increase unexpectedly? • Will the printer be able to guarantee secure data transfer and delivery of stationery? • What quality control measures does the printer have in place? • How will the printer facilitate the Local Returning Officer or staff visiting the premises during production, if required? In addition, how will they facilitate attendance by representatives of the Commission and any observers accredited by the Commission? • What previous relevant experience does the printer have? • Can the printer provide suitable references? • Does the contract include essential conditions relating to adherence to deadlines?

Where the process is to be automated, it is strongly recommended that ‘live’ proofs of any items that contain barcodes be requested in I advance, so that a check can be done to ensure that they scan correctly. All systems should undergo advance ‘live’ testing to ensure that print quality, including paper quality, is compatible with the scanners to be used.

Logistics

8.11 The issue of postal votes is a crucial part of the administration of the election but the timeframes for issuing postal votes are tight, with the deadline for receipt of postal vote applications being 11 working days before the election.

8.12 This alone can create logistical difficulties for the timely and successful issue of postal votes. When combined with other factors, such as difficulties recruiting staff or large numbers of applications arriving close to the deadline for receipt of applications, the issuing of postal votes can become problematic. If not managed correctly, this could potentially put the administration of the election at risk.

8.13 European Parliamentary elections in Wales, which are organised on a constituency basis, present an additional challenge in respect of constituencies that cross local government boundaries. For some Local

Part D, page 35, January 2009

Returning Officers this will mean receiving personal identifier records from two or more Electoral Registration Officers. Early discussion should be held in advance between the Local Returning Officer, Electoral Registration Officers, software suppliers and IT staff to ensure that the Local Returning Officer’s software is capable of reading the files from the Electoral Registration Officers and of comparing the signatures and dates of birth.

8.14 In all cases, contingency plans should be made with the Electoral Registration Officer(s) in the event that any verification software is unable to be used.

8.15 There are, however, measures that can be put in place to reduce the risk to the successful conduct of the election in terms of the production and issuing of postal votes, some of which are described below.

The Commission has developed a template risk register, part of which covers the absent voting process. This document, which can be A adapted to fit local circumstances, can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/european-parliamentary-elections

Production checks

8.16 During the production of postal ballot packs, the Local Returning Officer should implement quality assurance procedures to monitor the supplier’s performance throughout the printing process. Local Returning Officers should consider having staff in attendance when the postal ballot packs are being printed, and discussions to facilitate this should occur at the time the contract is negotiated.

8.17 Local Returning Officers should carry out frequent checks on the process. Where possible, it is suggested that the Local Returning Officer or a senior member of their staff check the beginning and end of the print runs for each polling district for accuracy. Random spot checks within polling districts should also be carried out so that a representative cross-section can be checked.

8.18 Clear guidelines for handling checked ballot papers (including the reporting of errors and the generating of any replacements, if required) should be agreed with the printer in advance. A record of each ballot paper checked should be kept.

8.19 Where the issue of postal ballots has been outsourced, particular attention should be paid to checking that:

• the number of the postal ballot paper is correctly marked on the postal voting statement that accompanies it • the unique identifying mark appears on each ballot paper as designed • electors’ names and addresses are accurate • there is no bleeding of ink and the print quality is acceptable

Part D, page 36, January 2009

• all details are printed accurately • all required items are in the outgoing envelope, including the correct ballot paper for the electoral region • the contractor has established a clear procedure and audit trail for transferring postal ballot packs to Royal Mail or a commercial delivery firm where the Local Returning Officer requires the contractor to undertake this task

Further information on managing contractors and suppliers can be found in Part B, ‘Preparing for a European Parliamentary election’, Section 2, ‘Managing contractors and suppliers’. A

8.20 Any staff working for a contractor employed on this process are covered by the secrecy requirements and should therefore be given a copy of Regulation 29(5) and (7) of the EPE Regulations.

Practical considerations when issuing postal ballots in-house

8.21 It is advisable to plan a schedule for issuing postal votes with some flexibility built in, particularly in terms of resources for additional issuing should this prove necessary. It is the responsibility of the Local Returning Officer to appoint sufficient staff to issue postal votes.

8.22 Particular measures that can assist in the smooth running of the issuing process are as follows:

• Some stationery can be prepared in advance: for example, consider the overprinting of envelopes with the return address and name of the electoral region and local counting area, and the numbering and addressing of outgoing envelopes. • Prepare boxes of equipment for each main issue, which could include: – postal voters list – stamping instruments (if being used) – corresponding number lists – statement of postal votes issued – set of envelopes for the corresponding number lists – wire trays – pens – pencils – bulldog clips – paper clips – rubber bands – control sheets – rulers – pencil sharpeners – staff signature sheet – appropriate receptacles to transfer the postal votes to Royal Mail or a commercial delivery firm, if not delivering by hand.

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• Talk through the postal vote issue process and have written instructions available for staff. Ensure sufficient supervision is in place, particularly when using staff with little or no experience of issuing procedures. • Train supervisors to ensure that they can direct the process efficiently and effectively. • Instruct supervisors to carry out spot checks regularly during each issue of postal ballots to ensure that the correct details appear on the stationery and that the correct stationery is in the outgoing envelope.

What the voter should receive

8.23 Each person who has applied for a postal vote must receive a ballot paper for the correct electoral region in the prescribed form.100

8.24 They must also receive a postal voting statement, which must be in the prescribed form.101 The statement must include the voter’s name, unless it is being sent to an anonymous elector: an anonymous elector’s name must not appear on their postal voting statement. The postal voting statement also contains the prescribed instructions for how to vote by post.

8.25 The elector must correctly complete the postal voting statement with their date of birth and signature in order for their ballot paper to be included in the count. Where the elector has been granted a waiver by the Electoral Registration Officer, the signature box on the postal voting statement and any reference to signing in the instructions to voters are to be omitted.

8.26 The postal voting statement must include the number of the ballot paper being issued with the statement. It must also contain another unique identifying mark, which could be a barcode but could be in another format. This mark does not have to be connected to the unique identifying mark on the ballot paper: it may be the same but equally it could be different or connected. This mark is to identify the particular postal voting statement for the benefit of automated verification systems and the production of marked postal voters lists rather than to identify the ballot paper issued with that postal voting statement.

8.27 ‘A’ envelope – This prescribed envelope should be marked with the letter ‘A’, the words ‘ballot paper envelope’ and the number of the ballot paper.102 The ‘A’ envelope may have a window through which the number on the ballot paper can be displayed as an alternative to printing the ballot paper number on the envelope.

100 Rules 22 and 28, EPE Rules; Form A, Appendix of forms, Schedule 1, EPE Regulations. 101 Rule 28, EPE Rules; Paragraph 42, Schedule 2 and Form O, Appendix of forms, Schedule 2, EPE Regulations. 102 Paragraph 50(3), Schedule 2, EPE Regulations.

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8.28 ‘B’ envelope – This prescribed envelope is for the return of the postal voting statement and the ‘A’ envelope, and should be marked with the letter ‘B’ and the address of the Local Returning Officer.103

8.29 Instructions – As stated above, the postal voting statement contains the prescribed instructions for voting by post and must be sent to the voter. In addition, the Local Returning Officer must also issue to those entitled to vote by post such information as they think appropriate about how to obtain:104

• translations into languages other than English and, in Wales, Welsh of any directions to voters or guidance for voters sent with the ballot papers • a translation into Braille of the directions or guidance • graphical representations of the directions or guidance • the directions or guidance in any other form (including audible format)

8.30 Outgoing envelope – This envelope, containing all of the above items, will be addressed to the elector at the address to which they have asked for the ballot paper to be sent and which is shown in the postal voters list or the proxy postal voters list.105

Procedure for issuing postal votes106

8.31 The issuing process can be summarised as follows:

• Each postal ballot paper must bear the official mark (either by being stamped with a stamping instrument or by bearing some other security marking such as a watermark or an underprint) and contain a unique identifying mark on the reverse. This unique identifying mark must be unique to the ballot paper, and could be a barcode or could take some other form such as the ballot paper number with the addition of a prefix or suffix. Each postal ballot paper must also be uniquely numbered. Local Returning Officers should liaise with the Regional Returning Officer to confirm the form of the ballot paper, including the colour of the ballot paper, ballot paper numbering, the unique identifying mark and the official mark. • The elector’s number must be marked on the corresponding number list, next to the number and unique identifying mark of the ballot paper issued to the elector. The corresponding number list used here is Form B,107 which is kept by the Local Returning Officer and is not the same as that to be sent to polling stations.

103 Paragraph 50(2), Schedule 2, EPE Regulations. 104 Rule 28(2), EPE Rules. 105 Paragraph 48(6), Schedule 2, EPE Regulations. 106 Paragraph 48, Schedule 2, EPE Regulations. 107 Rule 23(2), EPE Rules; Form B, Appendix of forms, Schedule 1, EPE Regulations.

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Combination For those areas in England with scheduled local government elections, where the decision has been taken to combine the issue of i postal votes, the county Returning Officer should use a combined corresponding number list.108

• A mark must be placed in the postal voters list (or the proxy postal voters list as the case may be) to indicate that a ballot paper has been issued to an elector, without showing the details of the particular ballot paper issued. • The number of the postal ballot paper must be marked on the postal voting statement sent with that ballot paper. • The address to which the postal ballot pack should be sent is the address shown in the relevant postal voters list. In the case of a postal proxy, this is the address shown in the proxy postal voters list.

A series of flow charts covering the issue and opening of postal votes will be available from the Commission’s website at A www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections

Record keeping

8.32 As postal voters are issued with their ballot paper and envelopes, the corresponding number list and the postal voters list (or the proxy postal voters list, as appropriate) need to be marked.109

The corresponding number list

8.33 The corresponding number list records the details of which ballot paper is issued to which postal voter or proxy postal voter, along with the unique identifying mark applicable to each ballot paper. At the issue, the elector number must be marked on the list against the ballot paper number and its unique identifying mark.

8.34 The corresponding number list relating to the ballot papers that have been issued must be sealed in a packet as soon as practicable after each issue of postal ballot papers, and can only be opened and inspected by the order of a court.110 New lists and associated packets are therefore required at every issue. It is suggested that the list is printed single sided and cut at the point where the last ballot paper was issued at any single issue of postal votes. The remaining corresponding number list can then be used at any further issuing sessions and for the issue of replacement postal ballot papers.

108 Form M1, Appendix of forms, Schedule 3, Local Elections (Principal Areas) (England and Wales) Rules 2006. 109 Paragraph 48(1) and (2), Schedule 2, EPE Regulations. 110 Paragraph 51(1), Schedule 2, EPE Regulations.

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Postal voters and proxy postal voters lists

8.35 A mark should also be placed on the postal voters or proxy postal voters list as appropriate against the elector’s name, to denote that a ballot paper has been issued to the elector or their proxy.111 As the postal votes are returned by voters, the Local Returning Officer will be required to mark the return of each postal voting statement on the postal voters and proxy postal voters lists, which will be used to confirm to electors and their proxies whether their postal vote has been received back, and whether it has been recorded on either of the lists of rejected votes. After the election, the marked postal voters and proxy postal voters lists will be open for public inspection and made available for sale to the Electoral Commission, elected representatives, candidates, registered political parties and local constituency parties, police forces and government departments.112

8.36 For that reason, the marked postal voters list and proxy postal voters list should not be sealed in the appropriate packet until after the final opening of postal ballot papers has been completed, but must be kept secure until that time.113

8.37 Once the final opening of postal ballot papers is completed, the packets containing the marked postal voters and proxy postal voters lists should be sealed and stored in a secure place.

8.38 The marked postal voters and proxy postal voters lists may be held in electronic form. If this is the case, at the end of the process the electronic copy should be transferred to a physical form (such as burned onto a CD) and sealed into the packet. A paper copy of the marked lists should also be made and stored in the packet, ensuring that any damage caused during storage does not erase the lists. Despatch

8.39 The Local Returning Officer has a choice of three means for the delivery of postal ballot papers:114

• a universal service provider, within the meaning of the Postal Services Act 2000 • a commercial delivery firm • staff appointed for the purposes of the election

8.40 If using a universal service provider or a commercial delivery firm for the delivery of postal votes, the number of envelopes must be counted and a receipt signed by those collecting the envelopes must be handed over to the Local Returning Officer.115 Arrangements for the collection of postal votes

111 Paragraph 48(2), Schedule 2, EPE Regulations. 112 Rule 68, EPE Rules. 113 Paragraph 51, Schedule 2, EPE Regulations. 114 Paragraph 52(1), Schedule 2, EPE Regulations. 115 Paragraph 52(2), Schedule 2, EPE Regulations.

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being issued should be made in advance, with clear communication of the schedule for issuing.

8.41 If not delivering by hand using the Local Returning Officer’s staff, postage must be pre-paid on the outgoing envelope, which is addressed to the postal voter. Postage must also be paid on all return envelopes, except where postal votes are being returned from outside the UK or Gibraltar.116

8.42 Staff can be appointed by the Local Returning Officer to deliver the postal votes by hand. Staff appointed by the Electoral Registration Officer as canvassers may be suitable for delivering postal votes as they will be familiar with a particular area. However, staff delivering postal votes may not be a suitable option in all types of area, and this will be for the Local Returning Officer to decide based on local circumstances.

8.43 Local Returning Officers may wish to identify local, non-local and non- UK ballot paper addresses and separate them out at issue, as they will require different delivery methods depending on their type.

Postal votes to be delivered overseas

8.44 There will be some postal voters who will require their postal vote to be sent outside the UK. This will include overseas electors, members of the armed forces registered as service voters and also some electors who are normally resident in Great Britain but request that their postal vote be sent to an overseas address, e.g. because they are on holiday at the time of the election.

8.45 Any postal votes to be sent overseas should be prioritised and sent out as soon as possible after 5pm on the eleventh working day before the poll, ideally via Air Mail to allow sufficient time for the postal vote to reach the elector and for it to be returned before 10pm on polling day.

8.46 Local Returning Officers should liaise with Royal Mail about the higher cost of postage for sending items overseas via Air Mail to ensure that postal ballot packs are posted with the correct outgoing postage. Return postage is not required to be included on the return envelope if the address provided by the elector is outside the UK.

If it is felt that it may not be realistic for a postal vote to be despatched, reach the voter and be returned to the Local Returning Officer before i the close of poll, consideration should be given as to whether the elector should be advised to appoint a proxy as an alternative, perhaps by the Electoral Registration Officer at the point of application. It is, of course, the choice of the elector as to which method of voting they prefer, but it may be helpful to advise the elector of the circumstances surrounding their choice.

116 Paragraph 52(3) and (4), Schedule 2, EPE Regulations.

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Local delivery

8.47 If postal votes being sent to local addresses are to be delivered by a universal postal service provider or commercial delivery firm, outgoing postage will be required. Clearly, if the Local Returning Officer’s staff are delivering postal votes, no outgoing postage will be required, although there will be a cost in staff fees and time. However, postage must still be pre-paid on the ‘B’ return envelope.

Non-local delivery

8.48 It is not feasible for the Local Returning Officer’s staff to deliver postal votes to areas that are not in the local area. Therefore all non-local postal votes will require outgoing postage and will need to be delivered by a universal postal service provider or commercial delivery firm. Re-issuing postal ballot packs

8.49 Occasionally envelopes, postal voting statements and ballot papers may be mismatched in packs, ballot papers may contain mistakes, or the additional information provided in the ballot pack may contain an error.

8.50 Local Returning Officers can correct procedural errors and they should attempt to rectify any such errors.117 Although there is no direct provision to re-issue postal votes, the Commission believes that this power to rectify procedural errors can be read to encompass this process. The Local Returning Officer may decide to re-issue some or all of their postal votes depending on the circumstances: for example, if an error in collation affected a certain range of packs, only those packs may need to be re-issued.

8.51 The Local Returning Officer must be certain that any action will both rectify the error and not cause extra confusion or a different error. They should be confident that they know what went wrong and that their intended course of corrective action will be satisfactory.

8.52 When a postal vote has been re-issued, the original must be cancelled and must not be allowed to go forward to the count.

8.53 Because of this, it may be appropriate when there are minor errors, such as when the ballot paper has been printed correctly but the additional instructions contain an error as to the number of candidates to select, to re- issue only to those who have requested a new postal vote after having received an offer of re-issue from the Local Returning Officer. If the decision is taken to re-issue to all postal voters in that area, those who were not present to receive the re-issued ballot could effectively be disenfranchised when their choice may be quite clear.

8.54 If the Local Returning Officer does decide that a re-issue is required and the error is one that may make the ballot paper or postal voting statement

117 Regulation 9(4A), EPE Regulations.

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unusable, we advise that the Local Returning Officer re-issue the postal votes rather than simply offer to re-issue. Such circumstances may include having instructed the voter to mark an incorrect number of candidates on the top of the ballot paper itself, placing an emblem for the wrong party against a candidate on the ballot paper or omitting a candidate from the ballot paper.

8.55 Any actions taken in an attempt to rectify a procedural error should be made with legal advice and carefully recorded. Late issue of postal ballot packs

8.56 The prescribed poll card for postal voters includes a date around which ballot papers will be sent out. The wording used clearly indicates that the date given is not a specific, guaranteed date but is the approximate date of issue, provided for the information of postal voters.

8.57 There is no prescribed last date for the issue of postal votes, although clearly the earlier they are distributed the more opportunity electors have to complete and return their postal votes.

8.58 Local Returning Officers should keep a written record of their actions in order to show that they made every possible effort to ensure that postal ballot packs were despatched as soon as possible in the event of any question as to the proper conduct of the election.

8.59 Local Returning Officers should liaise with the Regional Returning Officer in the run-up to and throughout the issuing process; this should include notifying them at the earliest opportunity of any problems they have encountered in the issuing of postal ballot packs.

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9 Replacement postal votes

Replacement of spoilt ballot papers118

An elector may apply for a replacement if they have spoilt either their ballot paper or their postal voting statement.

9.1 If a person spoils their postal ballot paper or postal voting statement, it is possible for them to obtain a replacement postal ballot pack if they follow the procedure below.

9.2 The spoilt ballot paper or spoilt postal voting statement should be returned to the Local Returning Officer, along with the remaining ballot paper or postal voting statement and return envelopes, regardless of whether or not they have been spoilt. A new postal ballot pack (ballot paper, postal voting statement and relevant envelopes) can then be issued to the elector.

9.3 Applications to apply for a replacement must be made to the Local Returning Officer by 5pm on polling day. Where an application is made before 5pm on the day before the poll, the Local Returning Officer may either hand a replacement postal ballot pack to the elector or cause it to be delivered to them. However, if the request for a replacement postal ballot pack is made after 5pm on the day before polling day, the replacement pack may only be handed to the elector.

9.4 Any returned spoilt ballot papers and postal voting statements have to be cancelled, and these documents should be sealed in a packet for spoilt postal ballot papers. The details of the returned spoilt ballot papers should be added to the list of spoilt postal ballot papers. This is an official document that records specified details where replacement papers have been issued, including to whom they have been issued.

Replacement of lost ballot papers119

Prior to issuing a replacement for a postal ballot pack that has been lost or not received by the voter, the Local Returning Officer should I check whether the postal voting statement originally issued has been marked as having been returned on the postal voters list or proxy postal voters list, as appropriate. If the postal voting statement has been marked as returned, the Local Returning Officer must remove the postal voting statement from the receptacle for postal voting statements and the ballot paper from the postal voters ballot box.120

118 Paragraph 53, Schedule 2, EPE Regulations. 119 Paragraph 54, Schedule 2, EPE Regulations. 120 Paragraph 66(2), Schedule 2, EPE Regulations.

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It should be recognised that, in some cases, the elector may simply have forgotten that they had completed and returned their postal vote, and therefore erroneously applied for a replacement postal vote. However, it is suggested that, prior to sealing the retrieved postal voting statement in a packet (see below), the Local Returning Officer should consider using their powers to conduct an additional personal identifier verification121 and compare the signature and date of birth on the statement with those contained in the personal identifiers record. If they are significantly different, the Local Returning Officer may wish to report the matter to the police.

9.5 Where a voter claims either to have lost or not to have received their postal ballot paper, postal voting statement or return envelopes, it is possible for a replacement postal ballot pack to be issued if the voter follows the procedure below.

Note that the description ‘lost’ includes a situation where a voter has themselves lost their ballot paper, postal voting statement or I envelopes after receiving them from the Local Returning Officer, in addition to the situation where a voter claims not to have received their postal ballot pack.

As postal voters may request, at any time after the issue of postal ballot papers and before the close of poll, confirmation as to whether their postal voting statement has been marked as having been returned on the postal voters list or proxy postal voters list (as appropriate), electors who make such enquiries and are advised that their postal voting statement has not been received could potentially make a request to be issued with a replacement postal ballot pack. The Commission’s view, however, is that the definition of ‘lost’ does not include the situation where the voter advises the Local Returning Officer that they have posted or otherwise returned their postal ballot pack but the Local Returning Officer has not received it.

9.6 A voter can apply for a replacement postal ballot pack between the fourth day before polling day and 5pm on polling day.122 The application must include details of the voter’s identity. If the voter still has the postal ballot paper, postal voting statement and/or return envelopes, they must also return these.

9.7 Where an application is made before 5pm on the day before the poll, the Local Returning Officer may either hand a replacement postal ballot pack to the elector or cause it to be delivered to them. However, if the request for a replacement is made after 5pm on the day before polling day, the replacement pack may only be handed to the elector.

9.8 In the case where an elector has lost any part of their postal ballot pack themselves, they must return the remaining part to the Local Returning Officer when applying for a replacement. The Local Returning Officer must cancel

121 Paragraph 64, Schedule 2, EPE Regulations. 122 Paragraph 54(1), Schedule 2, EPE Regulations.

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these documents and make them up into a separate, sealed packet. This packet can subsequently be opened and additional cancelled documents added, if necessary.

9.9 A list of lost postal ballot papers is required to be completed by the Local Returning Officer to show details of where replacements have been issued.

9.10 The Local Returning Officer must be satisfied as to the voter’s identity and have no reason to doubt that the postal voter has either lost or did not receive the original postal ballot paper. Local Returning Officers will take their own view as to what they require in the way of identification in order to be satisfied as to the voter’s identity. However, we have included some considerations and recommendations regarding proof of identity below.

Proof of identity

9.11 Local Returning Officers will wish to balance the effort required to satisfy themselves of an elector’s identity with the proper administration of the election process. In seeking proof of identity, Local Returning Officers should bear in mind that no proof of identity is required for electoral registration or to vote in person at a polling station. A proportionate approach should be adopted that seeks to use some proof of identity that can easily be verified by election staff but that is not too onerous for the elector.

9.12 It is common practice for voters to contact the election office by telephone to enquire about a replacement ballot paper if their postal ballot has failed to arrive. This is when election staff should advise about the procedure and what, if any, proof of identity will need to be produced before a replacement postal ballot pack is issued.

9.13 Local Returning Officers may wish to be guided by the following in preparing an appropriate procedure for satisfying themselves as to the identity of an elector requesting a replacement postal ballot pack.

Recommendation 1 9.14 One primary proof of identity should be provided for the issue of a replacement postal ballot pack. This should be an official document that includes a photograph of the elector, together with the elector’s name. The two most secure examples are:

• full, valid, current passport • photocard driving licence

9.15 Other documents may be acceptable as a primary proof, as long as they have a sealed photograph. These may include:

• local bus pass • student card issued by a recognised further or higher education body • identity card issued by a recognised local employer

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9.16 Some electors may have a good reason for being unable to produce one of these proofs of identity, for example those from a culture that precludes photographic images. In these circumstances, it is recommended that two examples drawn from the list of secondary proofs of identity (as set out below) should be provided.

Recommendation 2 9.17 If the Local Returning Officer is still in any doubt about the identity of an elector requesting a replacement postal ballot pack, then a secondary proof of identity could be sought. Secondary proofs of identity may be less secure than primary ones. Two secondary proofs of identity may also be requested if the elector cannot produce a primary proof.

9.18 Secondary proofs of identity may include:

• full driving licence (without photograph) • council tax payment book or recent council tax bill • council or social landlord rent book • recent rent receipts or tenancy agreement • allowance/benefits/pension book issued by the Department for Work and Pensions • cheque book/cheque card/National Savings book • recent bank/building society statement (not a store card statement) • recent utility bill (two different ones are preferred – not a mobile phone bill) • P45 • correspondence from a government department • identity card issued by a member state of the European Union/European Economic Area, travel documents issued by the Home Office, certificate of naturalisation or registration • letter (attested statement) from a responsible person such as a solicitor, doctor, minister of religion, teacher, hostel manager, social worker, district nurse, midwife or other responsible person, which says they know the elector and can confirm their name and address – some Local Returning Officers might include the elector’s landlord or tenant in this category, and possibly stipulate that they must be on the electoral register • National Health Service medical card or National Insurance card • birth/adoption/marriage/divorce or statutory declaration certificates (these are not considered particularly secure and should preferably have been issued within six months of the event to which they relate and not be replacements)

9.19 The following factors may also be worth considering:

• For added security, originals, not photocopies, of the proof of identity should be produced. • The evidence provided by the voter should show a clear link between the name on the identifying document and the current entry on the electoral register.

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• Birth certificates are not absolute proof of identity and so the voter may be asked to provide additional evidence to allow their identity to be checked. • Where utility bills or bank statements are provided, it would be safer to ask for more than one, or at least a recent one (issued within the last three months). • Cheque, bank or credit cards should be checked against the voter’s signature. • Before an attestation is sought, the voter should be advised that some signatories may charge a fee for the service. • The Local Returning Officer should state that any proofs of identity will not be retained and that the documents will be treated confidentially.

Tendered ballot papers

9.20 Electors marked as absent voters but who attend at the polling station after 5pm on polling day and claim that they have lost or not received their postal ballot papers can now be issued with a tendered ballot paper on satisfactorily answering the prescribed questions.123

9.21 If, however, such an elector presents themselves at a polling station before 5pm on polling day, the elector should be encouraged to apply to the Local Returning Officer’s office to have a replacement postal ballot pack issued. Tendered ballot papers cannot be issued to such electors until after the deadline to apply for replacement postal ballot packs has passed.

More detailed information on the tendered ballot paper procedure is included in the Commission’s Handbook for polling station staff, which A will be available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections. Copies of the handbook will be sent to those Local Returning Officers who have ordered them.

123 Rule 44(5) and (6), EPE Rules.

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10 Receipt, opening and storage of postal votes Receipt of postal votes

10.1 A postal ballot paper or a postal voting statement may be returned separately to the Local Returning Officer by post or by hand to their offices, or by hand only to any polling station in the local counting area, before the close of poll.124

In England and Scotland, the definition of local counting area is local government area.125 In Wales, it refers to UK Parliamentary constituencies. WEs

Combination At combined elections, postal votes handed in at polling stations must be returned to an electoral area that is common to the relevant I 126 elections. This means that voters in areas in England with combined European Parliamentary, county and parish elections and who have been issued all three ballot papers may only return their postal ballot pack to polling stations within their parish ward (or parish if there are no wards). However, in those areas in England with only European Parliamentary and county elections, electors who have been issued with a ballot paper for each of these elections may return their postal ballot pack to any polling station within the district (or where the county has no districts, the county).

10.2 The postal ballot paper and/or the postal voting statement do not have to be returned in the covering envelope issued to the voter – the voter may use their own envelope. Security of postal ballots received

10.3 All postal ballots received either at the Local Returning Officer’s office or at polling stations on polling day should be securely stored in an appropriate receptacle.

10.4 As soon as the Local Returning Officer receives covering envelopes or any other envelope purporting to contain a postal ballot paper, these should be stored in a postal voters ballot box, marked with the words ‘postal voters ballot box’ and the name of the local counting area.127 All postal voters ballot boxes should be capable of being locked and sealed to ensure the security of

124 Rule 51(2)(a), EPE Rules; Paragraph 55, Schedule 2, EPE Regulations. 125 Paragraph 7, Local Elections (Ordinary Day of Elections in 2009) Order 2008 and Regulation 2, EPE Regulations. In England, this only applies for the purposes of the European Parliamentary general election in 2009 and refers to (a) a district for which there is a district council; (b) a county for which there is a county council but no district councils; (c) a London Borough; (d) the City of London (including the Inner and Middle Temples); and (e) the Isles of Scilly. 126 Paragraph 24(1B) and (1C), Schedule 3, EPE Regulations. 127 Paragraph 57(1) and (2), Schedule 2, EPE Regulations.

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the contents, and should be stored in a secure place until the next scheduled opening of postal votes.

10.5 Local Returning Officers may wish to designate an officer to ensure that all postal votes returned to the election office before the close of poll are taken securely to the count. Local Returning Officers should take every precaution to transport postal ballots securely to the opening and count venues, particularly if these are not in the same building as the election office.

10.6 The priority for postal ballots delivered to polling stations is to ensure that they are stored securely and out of the reach of voters. Local Returning Officers should emphasise to Presiding Officers the importance of maintaining the security of the postal ballots handed in, as they would with regard to the ballot box and other election documents.

Postal votes in polling stations

10.7 In polling stations, the recommended practice is to have a packet clearly labelled as containing postal ballots returned by hand to the polling station, marked with the number of the polling station. Ensure that the size of the packet (or packets) is adequate to take a large number of postal ballots in case more are received in this way than has previously been the case. Whatever the size or nature of the packet, it must be capable of being properly sealed and secured when postal votes are collected by the Local Returning Officer or transmitted to the appropriate venue at the close of poll. It is recommended that more than one packet is supplied to the Presiding Officer so that if the Local Returning Officer collects postal ballots from the polling station during polling day, the postal votes already received can be transmitted in one packet and the Presiding Officer still retains a packet for any further postal ballots handed in at the polling station before the close of poll.

10.8 As an added security measure, which would also assist at the count, Presiding Officers should record the number of postal vote envelopes handed in at the polling station. The Local Returning Officer should provide a suitable form that could be inserted and sealed in the packet when collected by the Local Returning Officer or delivered to them at the close of poll. As a further security measure, Presiding Officers could also be asked to keep a record of the number inserted in each packet returned to the Local Returning Officer for audit purposes, in order to confirm that the packet has not been tampered with and the number of postal ballots contained within it changed.

10.9 The receipt of all packets containing postal ballot papers should be recorded on their arrival at the verification venue where they are to be opened after the close of poll.

For further information on polling station procedures, see the Commission’s Handbook for polling station staff. For more information A on procedures at the verification and count, see Part F, ‘Verification and count’, Section 3, ‘The verification and count process’ of this manual.

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Recording and evidencing actions

Recording the receipt and movement of postal ballots is crucial. It is advisable to have a schedule recording the totals of postal votes I received at the Local Returning Officer’s office and placed in a postal voters ballot box, and the subsequent movement of those boxes to opening and count venues. Local Returning Officers may wish to include in this record whether the covering envelopes were hand delivered by voters and to which location, or received from Royal Mail. Ensure that there is a clear audit trail.

10.10 Local Returning Officers may wish to provide Presiding Officers with a form on which to record the details of electors who attend a polling station and are marked as being absent voters but who claim not to have applied for a postal or proxy vote. Recording the name, address and elector number of such electors should enable the Electoral Registration Officer to write to those people after the election and could also provide invaluable evidence in any police investigation.

An example log will be available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for- A electoral-administrators/european-parliamentary-elections

Procedures for the issue of tendered ballot papers are covered in detail in both versions of the Commission’s Handbook for polling station staff.

The opening process

10.11 Local Returning Officers will need to consider the frequency and timing of opening sessions of postal votes. In addition to determining what will be necessary in order to carry out the personal identifier verification efficiently and effectively, the requirement to be able to respond to electors requesting confirmation as to whether their postal voting statement has been marked as having been received back should also be considered.

Persons present at opening

10.12 Candidates, election agents, sub-agents, any person appointed by such an agent to attend on their behalf, agents appointed specifically for the purpose of observing the opening of postal votes, representatives of the Commission and any observers accredited by the Commission are entitled to attend opening sessions.128 The postal voters ballot boxes must be opened in the presence of any of these persons in attendance at the opening session.

Notification of time of opening

10.13 The Local Returning Officer must give at least 48 hours’ written notice of each opening session to each election agent and sub-agent, which should

128 Paragraph 44, Schedule 2, EPE Regulations.

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specify the time and place of the opening and the number of agents an election agent or sub-agent may appoint to attend each opening.129

Notification of secrecy requirements

10.14 The Local Returning Officer must ensure that every person attending the opening of postal votes is given a copy of the secrecy requirements contained in Regulation 29(5) and (7) of the EPE Regulations.130

A copy of the secrecy requirements is supplied in Section 12, ‘Resources’.

Postal ballot boxes

10.15 Two types of ballot box are required: the postal voters ballot box and the postal ballot box.

10.16 The postal voters ballot box is used to keep the covering envelopes returned by post or by hand. Any ballot papers and postal voting statements that are delivered separately should also be placed in the postal voters ballot box. It may be appropriate to record the total number of envelopes received on a daily basis: this could then be used for audit purposes and checked against at the opening when the number of envelopes will be counted officially, and could also assist in producing statistics of the rate of return of postal votes in order to help guide the arrangement of opening sessions.

10.17 Postal ballot boxes, each marked with the words ‘postal ballot box’ and the name of the local counting area, should be provided at each opening of the postal voters ballot box. The postal ballot boxes will be used to store the valid postal ballot papers from each opening of the postal voters ballot box and the subsequent opening of the returned covering envelopes. The postal ballot boxes should be sealed and stored securely until the count.

As the postal ballot boxes are the first boxes to be opened and verified, it is particularly important that the number on the ballot paper Iaccount for these boxes is accurate, as a correctly verified set of postal ballot boxes will create confidence at the beginning of the verification and count process.

Opening the postal voters ballot box

10.18 When the postal voters ballot box is opened, the first step is for the Local Returning Officer’s staff to count and record the number of covering envelopes.131 The Local Returning Officer must then set aside a minimum of 20% of the envelopes in each postal voters ballot box for personal identifier

129 Paragraph 56, Schedule 2, EPE Regulations. 130 Paragraph 46, Schedule 2, EPE Regulations. 131 Paragraph 60(1), Schedule 2, EPE Regulations.

Part D, page 53, January 2009

verification.132 The total numbers received and put forward for personal identifier verification will need to be recorded for the statement as to postal ballot papers – Form R – which is completed at the end of the election.

The Commission strongly believes that 100% personal identifier verification is preferred and represents good practice. Not only does I 100% checking mean that every postal vote will have been checked to minimise the risk of fraud but it also results in every postal ballot being treated equally, and results in one administrative process for all postal ballots rather than two separate processes being operated side by side.

If the Local Returning Officer decides to check less than 100% of postal voting statements at each opening session, it is important that those set aside for personal identifier verification are kept separate from those that are not going to be subject to the more detailed check. Statements that are going to be checked need to be independently accounted for and sealed in packets separate from those that do not have the personal identifier verification undertaken. However, the same basic opening process applies to all postal votes.

The Local Returning Officer may choose to check more than 20% but less than 100% of the postal voting statements at this stage. Where less than 100% of postal voting statements are to be verified at any given postal vote opening, it is suggested that the Local Returning Officer should explain to candidates and agents, as well as to any representatives of the Commission or accredited observers present, what the sample selected is and how that sample size was arrived at. Local Returning Officers should also liaise with the Regional Returning Officer in respect of the percentage to be verified.

Where a Local Returning Officer has made the decision to check the minimum 20% or a sample of between 20% and 100% of postal voting statements at each opening, the Regulations provide a power to go back and verify the identifiers on any or all of the postal voting statements from previous opening sessions that were not originally subject to the verification check of identifiers.133 This power should be exercised at the Local Returning Officer’s discretion, and reasonably and consistently. This could be complicated from an administrative perspective, as Local Returning Officers will need to retrieve any ballot papers now deemed invalid as a result of the additional verification. Again, the Local Returning Officer should explain to candidates and agents, as well as to any representatives of the Commission or accredited observers present, why the sample size has been increased.

10.19 Each covering envelope should be opened. On occasions, not all parts of the postal ballot pack will have been returned or placed in the correct envelope:

132 Paragraph 60(2), Schedule 2, EPE Regulations. 133 Paragraph 64(1), Schedule 2, EPE Regulations.

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• If the covering envelope contains a postal voting statement and either a ballot paper envelope or a ballot paper without the envelope, the postal voting statement should be handled as in ‘Checking the postal voting statement and verification of personal identifiers’, below, in order to check whether it is valid. The receipt of the postal voting statement should be marked on the postal voters list (or proxy postal voters list as the case may be). • If no postal voting statement is visible but there is a ballot paper envelope, the envelope should be opened to see whether or not the postal voting statement is inside. If it is, it can again be handled as in ‘Checking the postal voting statement and verification of personal identifiers’, below. • If the covering envelope contains a postal voting statement but no ballot paper envelope or ballot paper, the receipt of the postal voting statement should still be marked on the postal voters list (or proxy postal voters list as the case may be). The contents should then be returned to the envelope, which should be marked ‘provisionally rejected’ and placed in the receptacle for rejected votes (please note that there is no receptacle for provisionally rejected votes). • If the covering envelope contains a ballot paper but no postal voting statement, the contents should be returned to the envelope, which should be marked ‘provisionally rejected’ and placed in the receptacle for rejected votes.

Marking the postal voters list and the proxy postal voters list134

10.20 Where a postal voting statement is returned, regardless of whether or not it is accompanied by a ballot paper, the Local Returning Officer is required to place a mark in the postal voters list or, as appropriate, in the proxy postal voters list to confirm that it has been received back. Checking the postal voting statement and verification of personal identifiers135

Individuals on a party list, individual candidates, agents (election agents, sub-agents and agents specifically appointed to observe the I opening process), representatives of the Commission and accredited observers are permitted to oversee all aspects of the opening process, including the checking of the postal voting statements for validity and the verification of personal identifiers. These attendees are also able to see the personal identifiers record which is being used for comparison with the identifiers given on the postal voting statement.136 Where electronic systems are being used, it should be noted that those attending, including observers, do not have the right to operate or test any scanners or software being used.

134 Paragraph 60(9), Schedule 2, EPE Regulations. 135 Paragraphs 62, 63 and 64, Schedule 2, EPE Regulations. 136 Paragraph 18(3), Schedule 2, EPE Regulations.

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10.21 The postal voting statement must be checked for validity. It should have:

• a signature in the space provided for the voter to sign, and • the voter’s date of birth

10.22 It should be noted that in the case of electors for whom a waiver has been granted, the postal voting statement will not contain the section asking for a signature and the signature box. Postal vote opening staff should be given clear instructions on the process to follow when they find such a statement, and told that in such an instance they should be looking for a date of birth only.

10.23 Additionally, in the case of postal voting statements that have been set aside for personal identifier verification, the signature and date of birth must be compared against those held on the personal identifiers record. The Local Returning Officer must, as part of their requirement to check that the postal voting statement is duly completed:

• correlate the ballot paper number shown on the postal voting statement with the ballot paper number on the corresponding number list, so as to determine to whom the postal ballot paper was addressed • compare the signature on the postal voting statement with that on the personal identifiers record relating to the person to whom the postal ballot paper was addressed • compare the date of birth on the postal voting statement with that on the personal identifiers record relating to the person to whom the postal ballot paper was addressed

10.24 It should be noted that this level of checking means that each elector needs to complete their own statement: there is no provision permitting the matching of a completed statement with identifiers provided by others in the same household.

It is essential that Local Returning Officers include the elector’s name on the postal voting statement as prescribed, in order to minimise the I potential for family members to sign one another’s postal voting statements in error.

10.25 Where the Local Returning Officer determines that a postal voting statement is invalid:

• either because a signature or date of birth is missing • or, in the case of those set aside for personal identifier verification, because the signature and/or date of birth supplied on the postal voting statement does not match that on the personal identifiers record, the postal voting statement should be attached to the relevant ballot paper or ballot paper envelope, endorsed ‘rejected’, shown to any agents present and then placed in the receptacle for rejected votes. The agents present are also

Part D, page 56, January 2009

permitted to view the entries in the personal identifiers record. If any agent objects to the decision to reject, the words ‘rejection objected to’ should be added.

10.26 If the postal voting statement is valid and is accompanied by a ballot paper envelope, the number on the statement should be compared with the number on the ballot paper envelope. If they match, each should be placed in the appropriate receptacle (that is, those for postal voting statements and for ballot paper envelopes). If they do not match, the ballot paper envelope should be opened and any ballot paper dealt with in accordance with the following:

• If the postal voting statement is valid and is accompanied by a ballot paper (either because the voter sent no envelope or because the envelope has been opened), the number on the statement should be compared with the number on the ballot paper: – If they match, they should be placed, respectively, in the receptacle for postal voting statements and the postal ballot box. – If they do not match, the ballot paper with its postal voting statement attached should be marked ‘provisionally rejected’ and placed in the receptacle for rejected votes.

10.27 If a covering envelope contains a postal voting statement but no related ballot paper or ballot paper envelope, the postal voting statement must be marked ‘provisionally rejected’ and placed in the receptacle for rejected votes.

10.28 The secrecy of the ballot should be considered throughout this process and staff should be directed to ensure as far as possible that the elector’s vote cannot be matched to their details.

Where a postal ballot is rejected because the personal identifiers on the postal voting statement do not match those held in the personal I identifiers record, the Local Returning Officer may consider referring the matter to the police.

It may be helpful to discuss the process to be followed with the police in advance. This can help to identify what, if anything, Electoral Registration Officers and Local Returning Officers should do before referring the matter to the police.

Verification of personal identifiers

10.29 In determining the validity of postal voting statements, the Local Returning Officer ‘must satisfy himself that the postal voting statement is duly completed and as part of that process must compare the date of birth and the signature on the postal voting statement against the date of birth and signature contained in the personal identifier record’.137

137 Paragraph 63(2), Schedule 2, EPE Regulations.

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10.30 Neither the signature nor the date of birth are more important than each other in deciding if a postal voting statement has been duly completed – both must be provided and both must match.138 Neither identifier takes precedence over the other.

10.31 If the current date is given on the statement, it is clear that it is not the elector’s date of birth and should not be deemed as duly completed because there is no match. Similarly, if it appears that the incorrect date of birth was entered on the record from the application phase, for example the date of signing the application has been entered instead of the date of birth, this will not match the actual date of birth given on the postal voting statement and must be rejected.

10.32 It is possible that the elector may complete the date of birth field in a different way to the format asked for by the postal vote statement. In such a case, if the Returning Officer is satisfied that the elector’s date of birth has been given, and matches that provided at application, the Returning Officer may be able to satisfy themselves that the postal voting statement has been duly completed. Every decision on a postal voting statement should be taken on merit and on an individual basis.

Forensic experts from the Forensic Science Service along with the Commission’s own staff have developed some guidance with regard to A manual checking of signatures. This guidance is supported by the Scottish Police Services Authority Forensic Services. The guidance provides some background to the way electors may write signatures on postal voting statements. This guidance was initially provided in Circular EC21(2007) and has been replicated in Section 12, ‘Resources’.

10.33 The Commission’s view is that if the Local Returning Officer is satisfied that a statement was duly completed then it can be accepted. It is clear that signatures do not have to be identical but need only ‘satisfy’ the Local Returning Officer. The Local Returning Officer is not necessarily confined to making the determination on the two signatures and two dates of birth. The legislation allows the judging of the signature and date of birth as ‘part’ of the determination, but the use of the word ‘part’ means that other sources can also be used. It would be acceptable to include any additional information a Local Returning Officer has in making their decision, although complete absence of a signature (where the elector has not been previously granted a waiver) or a date of birth in all cases must lead to an unsatisfactory statement and rejection. This guidance is of particular relevance in the case of an elector who may have become incapacitated since having supplied their identifiers to the Electoral Registration Officer, for example where an elector has broken their arm and is unable to replicate their normal signature.

10.34 Any judgement to reject a postal voting statement should be made on its merits and on an individual case basis.

138 Paragraph 63(2), Schedule 2, EPE Regulations.

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Actions to be taken once the decision to reject is made

10.35 Where the decision has been taken to reject, the postal voting statement should be:

• marked ‘rejected’ • entered on the list of rejected postal ballot papers • attached to the ballot paper envelope (or ballot paper if there is no envelope) • placed in the receptacle for rejected votes

10.36 Candidates and agents have the right to view rejected postal voting statements but, as with all electoral processes, they should not handle documents. If they object to a rejection, the postal voting statement should be marked ‘rejection objected to’ before being attached to the ballot paper envelope and placed in the receptacle for rejected votes. Unlike candidates and agents, accredited observers and representatives of the Commission have no right to object to the rejection of a postal voting statement.

Opening the postal ballot paper envelopes139

10.37 The Local Returning Officer must open separately, with the postal voting statements having been sealed away, the remaining ballot paper envelopes that have been placed in the receptacle for ballot paper envelopes and deal with their contents:

• A ballot paper whose number matches that on the envelope goes in the appropriate postal ballot box. • A ballot paper whose number does not agree with that on the envelope should be attached to its envelope, marked ‘provisionally rejected’ and put in the receptacle for rejected votes. • Any ballot paper envelope that does not contain a ballot paper or does not contain the ballot paper corresponding to the number on the envelope should be marked ‘provisionally rejected’ and put in the receptacle for rejected ballot paper envelopes.

Ballot papers must be kept face down throughout the opening process.140 i

10.38 Even though the Local Returning Officer is required to keep the ballot papers face down, there may be occasions when candidates and agents see the front of a ballot paper. However, anyone attending the opening of postal votes, which includes staff working at the opening session, is not permitted to

139 Paragraph 65, Schedule 2, EPE Regulations. 140 Paragraph 60(8)(a), Schedule 2, EPE Regulations.

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reveal any information regarding the votes cast on any particular ballot paper and must maintain the secrecy of voting.141

10.39 Anyone attending a postal vote opening session must be provided with a copy of the relevant secrecy requirements. They should be reminded of these requirements and of the penalty, on summary conviction, of either a fine of £5,000 or six months’ imprisonment.142 Matching up separated documents

10.40 Two separate lists of rejected postal ballot papers must be kept:143

• a list of ballot paper numbers for ballot papers received without valid postal voting statements • a list of ballot paper numbers for valid postal voting statements received without ballot papers

10.41 At any time before the close of poll, the Local Returning Officer may check these two lists and, if the missing postal voting statement or ballot paper is delivered to the Local Returning Officer, the list must be amended accordingly. Any document previously marked ‘provisionally rejected’ should be treated as though it had never been so marked and should be amended accordingly. The ballot paper can then be included in the count and should be placed in the correct postal ballot box, and the postal voting statement should be placed in the appropriate envelope. After the final opening session held before the close of poll, the two lists must be taken to the count centre or other venue where the opening of postal votes handed in at polling stations is to be carried out in order to match any ballot papers/postal voting statements that have been returned in this way.

10.42 Once the final opening has finished, the Local Returning Officer must make a final check of the two lists and match up any postal voting statements and ballot papers that are valid but unmatched.144 Postal voting statements and the matching process

10.43 Local Returning Officers should ensure that all stages of the receipt and opening of postal ballots are recorded. In particular, they must maintain the two lists of rejected postal ballot papers as described above. Listing of a postal voting statement or ballot paper should take place during the opening as soon as they are identified and marked as being ‘provisionally rejected’ for want of the accompanying documentation. This can be an onerous process if levels of postal voting are high and so appropriately skilled or trained staff should be used.

141 Regulation 29(5), EPE Regulations. 142 Regulation 29(7), EPE Regulations. 143 Paragraph 67,Schedule 2, EPE Regulations. 144 Paragraph 68, Schedule 2, EPE Regulations.

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Local Returning Officers may find it helpful to use a postal vote matching spreadsheet, an example of which is available to download A from the Commission’s website at www.electoralcommission.org.uk/ guidance/resources-for-electoral-administrators/european-parliamentary- elections

10.44 At the end of each opening, the lists should be kept securely until the next opening or the verification, as appropriate. It might also be prudent to print off a copy of the record as it exists at the end of each opening session. Once documents are matched, this should be recorded on the lists to provide a record of actions taken, rather than striking through the relevant numbers or removing them from the list.

Since the introduction of the personal identifier verification requirement, a number of electronic scanning and checking systems I have been developed. Local Returning Officers are reminded that the regulations are clear about the opening process and that the use of technology does not mean that the processes outlined above can be dispensed with in any way.

Retrieval of cancelled postal votes145

10.45 Postal ballot papers that have been cancelled must be retrieved from the postal ballot box and the accompanying postal voting statement removed from the relevant packet. There may be instances where the Local Returning Officer determines that a postal ballot paper is no longer valid (e.g. because an elector claims never to have received their postal ballot paper, but the paper issued to them has been returned as completed) and needs to remove that postal ballot paper before the count commences.

10.46 Where a postal vote has not yet been opened, the Local Returning Officer is permitted to remove the unopened ‘A’ envelope containing the postal voting statement and the ballot paper when the appropriate postal voters ballot box is opened. The unopened ‘A’ envelope and the postal voting statement should then be cancelled and sealed in the packet for spoilt postal ballot papers.

10.47 Where a postal vote has been opened and the ballot paper placed in the appropriate postal ballot box, the Local Returning Officer shall retrieve the postal voting statement from the appropriate packet and open the postal ballot box to retrieve the relevant ballot paper. The postal ballot box should then be immediately re-sealed. The ballot paper and the postal voting statement should then be cancelled and sealed in the packet for spoilt postal ballot papers.

10.48 In all cases, the retrieval of postal votes and their accompanying postal voting statements should be done in full view of any candidates, agents, representatives of the Commission or accredited observers present at the

145 Paragraph 66, Schedule 2, EPE Regulations.

Part D, page 61, January 2009

opening session, and the agents should be shown the ballot paper numbers of any cancelled papers. However, the ballot papers must be kept face down throughout the retrieval process in order to prevent any persons present from seeing how such votes had been cast.

10.49 To aid the retrieval of ballot papers from the large numbers of returned ballot papers, it is advisable to organise a system of batching ballot papers.

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11 Postal votes to be included in the verification and count Receipt of postal ballot papers delivered to the polling station

11.1 Postal ballot papers and/or postal voting statements that have been delivered to polling stations can be delivered to the Local Returning Officer at the close of poll in the envelopes allocated for the purpose at the same time as delivery of the ballot box and other packets.

Local Returning Officers are also permitted to collect any postal ballot papers or postal voting statements that have been delivered to a I polling station throughout polling day. In this case, the Presiding Officer should seal the postal ballots into a packet and attending polling agents may also add their own seal.

Opening and verification of postal ballot papers that have been delivered to polling stations

11.2 Those postal ballot papers that have been delivered to polling stations must be opened and their postal voting statements checked before they can go forward to the verification and count.

11.3 If postal votes are delivered to the Local Returning Officer during polling day or postal votes handed in at polling stations are collected by the Local Returning Officer during polling day, they can be opened at a separate opening session before the verification, not forgetting that a minimum of 20% of each postal voters ballot box must be set aside for personal identifier checking at each opening.

11.4 However, it is likely that there will still be some postal votes handed in at polling stations that will be delivered directly to the verification venue by Presiding Officers. Provisions can be put in place to speed up the receipt and opening of postal votes at the verification, so that if a large number of postal votes are handed in at polling stations the opening and verification process of these postal votes does not slow down the whole verification process.

11.5 Some key points to consider in managing this process are as follows:

• The packet/envelope containing postal votes from polling stations should be handed in separately from other packets at the ballot box reception area of the verification venue. This will enable the postal votes to be sent immediately for opening and will obviate the need to search for them. • Have a dedicated team comprising an experienced supervisor and staff to open postal votes at the verification. These staff should be trained in the opening process.

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• Have a reserve of staff available to move on to opening postal votes if the number coming in to the verification from polling stations is greater than expected. • Complete the matching process. All provisionally rejected ballot papers and postal voting statements from earlier opening sessions must be taken to the verification.

The Local Returning Officer must set aside a minimum of 20% of the envelopes received at the close of poll from the polling stations for I personal identifier checking, and undertake the signature and date of birth check against the personal identifiers record. Consideration will need to be given as to how these checks will be undertaken following the close of poll, particularly if the verification of votes is to commence immediately after 10pm.

11.6 If the Local Returning Officer is undertaking the checking of personal identifiers by hand, sufficient trained staff will need to be available, as will the full copy of the personal identifiers record. If the checking is to be automated, it is essential that the process is checked well in advance of polling day in order to ensure that the automated system will work when required, and that contingency plans are robust enough to cope should the system fail for any reason. Statement as to postal ballot papers

The Local Returning Officer must complete the statement as to postal ballot papers (Form R) and send a copy to the Commission and the I Secretary of State between 10 and 25 days after polling day. Details for the return of the statement as to postal ballot papers to the Commission will be provided by circular in advance of the election.

Part D, page 64, January 2009

12 Resources Notification of secrecy requirements

Regulation 29, European Parliamentary Elections Regulations 2004 (as amended)

[ ... ]

(5) Every person attending the proceedings in connection with the issue or the receipt of ballot papers for persons voting by post shall maintain and aid in maintaining the secrecy of the voting and shall not—

(a) except for some purpose authorised by law, communicate, before the poll is closed, to any person any information obtained at those proceedings as to the official mark; or

(b) except for some purpose authorised by law, communicate to any person at any time any information obtained at those proceedings as to the number or other unique identifying mark on the back of the ballot paper sent to any person; or

(c) except for some purpose authorised by law, attempt to ascertain at the proceedings in connection with the receipt of ballot papers the number or other unique identifying mark on the back of any ballot paper; or

(d) attempt to ascertain at the proceedings in connection with the receipt of the ballot papers the way in which any vote is given in any particular ballot paper or communicate any information with respect thereto obtained at those proceedings.

[ ... ]

(7) If a person acts in contravention of this section he shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale or to imprisonment for a term not exceeding 6 months.

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Checking signatures at postal vote openings

Introduction

This guidance aims to provide practical advice on postal vote opening procedures, with special regard to carrying out manual checking of signatures and dates of birth. It has been developed by forensic experts from the Forensic Science Service along with the Commission’s own staff and provides some background to the way electors may write signatures on postal voting statements. This guidance is supported by the Scottish Police Services Authority (SPSA) Forensic Services. We provide three guiding questions that are of use when deciding whether to accept or reject a signature. It also provides a step-by-step decision-making tree to enable people with little knowledge of signature comparison to apply rules consistently.

The Forensic Science Service is a Government Company wholly owned by the Home Office and has over 60 years experience in forensic science. Since its inception in 2007, the SPSA Forensic Services provide forensic support to Scotland’s eight police forces and the criminal justice community.

This guidance is, however, issued by the Commission and responsibility for its contents rests with the Commission.

This guidance was originally provided to Returning Officers in England and Wales with Circular EC21(2007): Checking signatures and dates of birth on postal voting statements and to Returning Officers in Scotland with Circular EC 21(2008): Implementing absent voting identifiers in Scotland.

Aim

This section aims to set out a method for deciding whether to accept a signature on the postal voting statement after comparison with the signature of that elector previously supplied to the Electoral Registration Officer. The guidance will not teach the person looking at the signatures (‘the examiner’) to be an expert, but should help them to make a decision to accept or reject a vote for valid and documentable reasons.

In determining the validity of postal voting statements, the Returning Officer ‘must satisfy himself that the postal voting statement is duly completed and as part of that process must compare the date of birth and the signature on the postal voting statement against the date of birth and the signature contained in the personal identifier record’.

Control signatures

Most Returning Officers will check the signature on the postal voting statement against one previously provided signature (‘the control signature’). Returning Officers should be aware that even in very short timeframes a person’s signature varies naturally and that the natural range of variation of a person’s signature cannot be fully determined through such small samples. Therefore our advice is that the examiner should err on the side of inclusion

Part D, page 66, January 2009

and only reject postal voting statements when they are fully satisfied that the signature provided on the statement is not that provided at application. Our approach in this guidance is that a Returning Officer should be confident that a signature shows major and significant differences to the control signature before deciding that they are not so satisfied. In summary, unless the Returning Officer can be certain that the signature is unsatisfactory the signature should be accepted.

Electronic signature verification

Many authorities are using an electronic checking system to compare the signatures and this should reduce the number of signatures that need to be checked visually. There are a variety of systems in the marketplace and each one will handle the signatures slightly differently. Some of these systems will display the ‘control’ signature and the signature on the postal voting statement side by side on a computer screen. The consequence of this is that the signatures to be examined will be electronic images, not the ink signatures themselves. Providing the scanning has been done correctly and the images are scanned at an appropriate quality this should in most cases be acceptable. However, it should be understood that information present on the original document is not always apparent on the electronic copies so some of the features described in the guidance may be more difficult to determine in scanned signatures.

A suggested process

The suggested process for comparing signatures asks the examiner to answer three questions, which are:

• Are the signatures a similar shape? • Are the pen paths of the signatures similar? • Are the signatures similar in fluency?

The flow diagram supplied with this guidance aims to help guide the examiner through the process to ask these questions in the correct order, and to help justify any decision made. The underlying principles to be applied are to look for major differences in shape, pen path and fluency in that order. If the flow diagram is used, the examiner will end up at a square or circle with a letter in it. By recording the letter they will be able to say why they have accepted or rejected a particular signature if challenged. The Commission consider that it is reasonable to make a record of this letter ‘code’. This can be achieved by adding the letter code either to the postal vote statement next to the word ‘rejected’; by adding a column on the list of rejected votes and adding it to the relevant row or by adding the letter to any packaging that the rejected statement and ballot paper is to be stored within the receptacle. While not expressly required or authorised in the legislation, it is not expressly prohibited to make such a record and therefore we consider such a record to be within the spirit of the legislation.

Part D, page 67, January 2009

The guidance is based on eight proven principles for forensic examination, which are summarised in ‘Principles of examination’, below.

Making a decision

The decision-making process requires judgement and a measure of discretion and set out in this guidance is a framework and methodology developed in partnership with the Forensic Science Service. The process you use, whether electronic, visual or a mixture of both, should be designed to reduce the risk of accepting illegitimate signatures as genuine.

Once they have gained sufficient practice in looking at signatures, it is expected that most examiners will be able to make decisions on signatures quickly and with confidence. The visual check provides the examiner with three criteria on which to base their decisions, and these are derived from the nature of the writing. It is expected that most of the signatures examined will be shape variants of the genuine signature with the same pen-path and fluency of the original signature and therefore the decision to accept should be a straightforward one.

It should be emphasised that the examiner is looking for large differences in shape, pen-path or fluency. All signatures show differences to each other, and a common pitfall is that, when no large difference is discovered, smaller differences are given too much significance. If there are no large differences in shape, pen-path and fluency, then the signature is probably genuine and the Returning Officer should in our mind be comfortable to judge themselves satisfied.

Actions to be taken once the decision to reject is made

Having asked the three questions, the examiner will discover some signatures that they wish to reject. The postal voting statement document should be:

• marked ‘rejected’ • entered on the list of rejected postal ballot papers. You may also find it helpful to record the reason for rejection, for example, by noting the letter from the flow chart • attached to the ballot paper envelope (or ballot paper if there is no envelope) • placed in the receptacle for rejected votes

Candidates and agents have the right to view rejected postal voting statements but as with all electoral processes they should not handle documents.

If they object to a rejection then the postal voting statement should be marked ‘rejection objected to’ before being attached to the ballot paper envelope and placed in the receptacle for rejected votes.

Part D, page 68, January 2009

Using the flow chart

The flow chart is designed to give the examiner guidance on looking for significant differences in shape, pen-path and fluency. While for the most part the decisions are straightforward, the following notes about each acceptance or rejection point are supplied to help reach a decision using the chart. Decisions on signatures are rarely clear-cut, more often coming down to a balance of probabilities. This is backed by the wording of the legislation, which requires a Returning Officer to be satisfied. We believe this allows for the Returning Officer to accept unless certain that a signature is illegitimate.

Rejection at point A: There are major differences in the shape of the signature which are unlikely to be explained by natural variation.

Rejection at point B: The signature is in a different name and there is no part of it which can be compared.

Acceptance at point X: The signature on the postal voting statement and the application are the same general shape and the name is the same. The signatures also have the same pen-path and are similar in fluency.

Acceptance at point Y: The signature on the postal voting statement and the application are the same general shape and the name is the same. The signatures also have the same pen-path but the signature on the application form is of lower fluency than the postal voting statement signature. There are genuine reasons why an application signature may be of a lower fluency - poor pen function, uneven writing surface etc.

Acceptance at point Z: The signature on the postal voting statement and the application to vote are the same general shape and the name is the same. The signatures also have the same pen-path. However, the signature on the postal voting statement is of significantly lower fluency than the one on the application form, but this lack of fluency is just in one part of the signature. The rest of the signature is of similar fluency to the application signature, and these parts of the signature match in shape.

Rejection at point C: The signature on the postal voting statement and the application are the same general shape and the name is the same. The signatures also have the same pen-path. However, the signature on the postal voting statement is of significantly lower fluency than the one on the application form and this lack of fluency is not just in one part of the signature but is throughout the signature. (As a guide, expect to find three independent features demonstrating low fluency). There are possibly parts of the signature that do appear fluent, but these don’t match the shape of the corresponding parts in the application signature.

Acceptance at point W: The signature on the postal voting statement and the application are the same general shape and the name is the same. While there is a significant difference in the pen-path used to construct the signatures, both the signatures are of low fluency or a significant proportion of the signatures match in shape, pen-path and fluency.

Part D, page 69, January 2009

Difference in pen-path is often because the signature is written by someone unfamiliar with the ‘signature template’ used by the owner of the signature. However, in some instances, particularly in an elderly person with poor writing skill, the writer can become confused and use a different pen-path. Hence, accept signatures with a seemingly mismatched pen-path when both signatures are low in fluency or where significant fluent parts of the signature match.

Rejection at point D: The signature on the postal voting statement and the application are the same general shape and the name is the same. However, there is a significant difference in the pen-path used to construct the signatures in that the pen is moving in a different direction at a specific point in one signature when compared with the other. In addition, one of the signatures is significantly more fluent than the other or they are both of reasonable (not low) fluency, and there are no parts of the signature which match well in shape.

Additional actions where malpractice is suspected

The Commission has already recommended that Returning Officers who reject postal voting statements after comparison with the supplied identifiers should always consider referring them to the police, particularly if a pattern is evident. If this is contemplated, there are a number of actions that would assist the police.

It would assist any forensic investigation if latex/plastic gloves are worn when handling suspicious rejected postal voting documents.

When handling the documents, only touch them on the edges. Only handle the documents to package them. Do not undo staples, flatten, or in any other way alter the document. Avoid handling the documents as much as possible.

Locate and isolate the original postal voting statement and all its associated documents from other voting papers.

Take a loose fitting plastic bag or a brown envelope and record the ballot paper number on the outside together with any other relevant information such as the name of the individual whose vote it is and the electoral area in which they voted. It would also help if the date, time, where the questioned papers were found, who has packaged them and anyone else who has handled them were also recorded.

Place thin pieces of card either side of the questioned papers (to prevent them becoming marked), place them into the pre-labelled loose fitting plastic bag or brown envelope and seal the packaging with adhesive tape.

Maintain a list of all the documentation and keep it safe.

It is the Commission’s view that the additional protection of the contents of the receptacle of rejected votes as mentioned in the previous paragraphs are

Part D, page 70, January 2009

reasonable to maintain the safe custody of the receptacle and therefore the contents within it.

The signatures used for the control signatures, i.e. the signatures on the applications to vote by post will also be important in any forensic process but are unlikely to require examination for fingerprints, DNA or other evidence types. Provided that they are kept safe and can be recovered later it is probably best to wait for instructions from the police to decide how these should be packaged and submitted.

Part D, page 71, January 2009

Flow chart ACCEPT YES YES W

Are both NO Are NO signatures there fluent REJECT low in parts which fluency? are similar? D REJECT A Rejected by machine NO NO

YES Is Is YES Are signature signature signature in same in same pen paths shape? name? similar?

Visual check NO only YES

REJECT B Are YES signatures ACCEPT similar in X PRINCIPLE 1 fluency? The writing and signature of an individual cannot necessarily be connected. PRINCIPLE 2 The signature of one individual has a natural variation. NO PRINCIPLE 3 The signature of one individual has a range of variation that cannot be determined from one control signature. Which CONTROL signature PRINCIPLE 4 is not ACCEPT Y Coincidental matches are uncommon. fluent? PRINCIPLE 5 Signatures must be pictorially similar to be accepted. POLL PRINCIPLE 6 A successful forger has to reproduce the shape and the fluency of a signature. Are PRINCIPLE 7 Are YES YES signatures Genuine signatures usually have the same pen path. signatures ACCEPT similar in the Z similar in PRINCIPLE 8 fluent parts? Genuine signatures are usually similar in fluency. fluency in parts? NO NO REJECT SHAPE*PEN PATH*FLUENCY C Part D, page 0, January 2009

Principles of examination

PRINCIPLE 1: The writing and signature of an individual cannot necessarily be connected; compare like with like The writing style and signature of an individual cannot necessarily be connected, so someone writing their signature in ordinary writing on the application form and as a signature on the voting statement may have their signature rejected.

Some people use their full signature on some documents and an abbreviated form on another; notwithstanding this, there should still be parts of the signature that can be compared and the absence of a part of the signature (e.g. John Smith on one and J Smith on the other) should not be taken as a difference in style. However, if the name is spelt wrongly (e.g. Smith instead of Smythe) then this should be rejected at rejection point B as people are usually consistent about how they spell their own name.

Occasionally people will have changed their name between signing the application and signing the postal voting statement, for instance when they get married; it is their responsibility to inform the ERO when this occurs and to supply a new signature. There may still be parts of the signature that can be compared (e.g. the first name, if used) but signatures in different names with no points of comparison should be rejected.

PRINCIPLE 2: The signature of one individual has a natural variation A signature can be regarded as a learnt habit and therefore one individual’s signature conforms to a specific template that has been developed over a period of time. It is therefore automatic for that individual (i.e. they do not have to remember the template each time they wish to write their signature), but people are not machines and therefore do not reproduce the template in exactly the same shape every time. The software comparing signatures will have been set up to reject signatures because they appear ‘too perfect’ for these reasons.

Signatures of one individual can vary from minute to minute and day to day, depending on the conditions under which they are signing. They are affected by cold, writing position, the pen used, the surface they are writing on, health and so on, but will fall within a range of variation which is a characteristic of that individual.

PRINCIPLE 3: The signature of one individual has a range of variation that cannot be determined from one control signature The signature of one individual can have a small range of variation or a large range of variation. While some generalisations can be made, it is safer to assume that the range of variation for one individual cannot be determined from one control signature. You will always be able to find differences in shape between two signatures, but the difference may not be significant. Therefore the examiner should allow for a large range of variation and must only reject the postal voting statement signature if it shows a large difference to the application signature.

Part D, page 73, January 2009

PRINCIPLE 4: Coincidental matches are uncommon To guess what a person’s signature looks like from their name alone is very difficult, and becomes more and more difficult as the signature becomes more complex. Coincidental matches are only likely to occur when the writing style used is simple, but even then it would be uncommon. If the forger is guessing at the signature it is very unlikely to be the same shape or follow the same pen-path.

PRINCIPLE 5: Signatures must be similar in shape to be accepted If people want to use their signature to identify themselves, they must produce signatures that look similar. Anything that is wildly different should therefore be rejected (rejection point A). Here the examiner is looking for very different shapes, not minor differences caused by natural variation, and should only reject when the signature is effectively a different shape.

Sometimes the person signs the wrong form or signs in a different name (e.g. someone signing in a married name on one occasion and maiden name on another). Where there are parts of the signature that can be compared (for instance, if they use the same surname but a different first name) then the parts which can be compared should be compared while the difference should be discounted (as one cannot compare parts of the signature which are absent). If there is nothing that can be compared, then the signature should be rejected (rejection point B).

PRINCIPLE 6: A successful forger has to reproduce the shape and the fluency of a signature If the person attempting to steal a vote has available an example of a genuine signature of the person whose vote it is they may try to simulate the signature. (Note that we use the term simulate, not copy, to distinguish this deliberate attempt to reproduce the signature from the simple act of photocopying the signature). There are several ways of simulating a signature. Most people will use a freehand simulation by placing the signature in front of them and trying to reproduce the pen path and shape. Others may try to trace the signature or reproduce it from memory.

When signatures are fairly simple in design it is possible to produce a fair copy and these may well be accepted by the examiner. The process will not differentiate a good simulation from a genuine signature. As the signature becomes more and more complex simulation becomes more difficult. Most forgers do not practice very much and will get the shape, the pen path or the fluency wrong. It is usually possible to get either the shape or the fluency correct, but it is very difficult to get both the shape and the fluency correct in all but the simplest of signatures.

PRINCIPLE 7: Genuine signatures usually have the same pen path The pen-path is the way the pen moves across the paper. It is a learnt habit for many writers and therefore they will follow the same pen path automatically, irrespective of other conditions that may be affecting their writing (such as cold, writing position etc.). It forms the basic template of the signature and is therefore a good indicator of whether the signature is

Part D, page 74, January 2009

genuine. A complex, fluent signature with the same pen path is almost certainly by the same author.

The examiner is encouraged to imagine how the pen is moving in making a signature. This includes the movements the pen is making off the paper to get from the finish of one letter to the start of the next. A significant difference is where the pen is moving up instead of down at a particular point in the signature, or clockwise instead of anti-clockwise, left to right instead of right to left, etc. In some signatures the appearance may be significantly altered because the pen has left the paper in one signature, but not in the other so that the joining stroke is evident. This is not considered to be a significant difference in pen-path.

PRINCIPLE 8: Genuine signatures are usually similar in fluency Fluency is a reflection of the writing skill of an individual. People generally write with similar fluency all the time. There are exceptions, for instance when medications or injuries are influencing the writing, but these are uncommon.

Skilled writers can usually write fast and therefore are able to write with high fluency, signs of which include:

• smooth curves • variation in pen pressure • tapered ends to letters • joining of three or more letters together • pen in contact with the paper for long sections of the signature • flourishes, lead-in strokes, exit strokes

At the other extreme there are some people, particularly the elderly or infirm, who do not have good writing skills and therefore exhibit signs of low fluency, which are:

• jerky curves • even pen pressure throughout • blunt ends to letters • separate letters • pen lifts, hesitations, blobs • simple design

Many simulations are written with low fluency, but it should be noted that low fluency is not necessarily a sign of simulation. It is important that the examiner looks for major differences in the fluency, as this can be an indication of different writers producing the signatures, and not simply for low fluency.

Part D, page 75, January 2009 Part E – The poll

Contents

1 Introduction Legislative changes

3 Managing the polling station Briefings for polling station staff Equipment Persons entitled to attend proceedings on polling day Provision of informal turnout information by Presiding Officers Personation Anonymous electors

4 The register of electors Clerical errors

5 Tellers, polling agents and campaigners Polling agents

6 Procedure on close of poll

7 Resources Equipment checklist Accessibility checklist for polling day – setting up a polling station Notification of secrecy requirements

1 Introduction

1.1 The Commission has produced a Handbook for polling station staff designed to assist Presiding Officers and Poll Clerks. It covers the procedures involved in managing a polling station and should be referred to for any questions relating to the duties of polling station staff.

Combination For those areas in England with combined European Parliamentary Iand local government elections, the Commission has prepared a separate Handbook for polling station staff.

1.2 This part of the guidance manual does not replicate the content of these handbooks, but instead aims to cover the key issues that affect Electoral Registration Officers, Local Returning Officers and electoral administrators on polling day.

Copies of the Handbook for polling station staff for European Parliamentary elections and the Handbook for polling station staff for A combined European Parliamentary and local government elections will be available for download from the Commission’s website, and hard copies will also be sent to those Returning Officers who have ordered them from the Commission.

Legislative changes

1.3 It is important to be familiar with those aspects of polling day that have changed since the last European Parliamentary election.

The following list highlights the key changes introduced by the EAA which are now also applied to European Parliamentary elections: i • extending attendance at polling day proceedings to accredited observers and Electoral Commission representatives, as well as to persons under the age of 18 accompanying voters in polling stations • the replacement of ballot paper counterfoils with a corresponding number list • allowing for replacement postal ballot packs to be issued up to 5pm on polling day • ability to issue a tendered ballot paper at any time to electors or proxies on the postal voters list who claim not to have applied to vote by post • ability to issue a tendered ballot paper after 5pm to electors or proxies who claim to have lost or not received their postal ballot paper • giving Electoral Registration Officers the power to correct clerical errors on the register up to 9pm on polling day • allowing Electoral Registration Officers to grant emergency proxy applications up to 5pm on polling day, making it necessary to institute procedures to communicate applications granted to polling station staff

Part E, page 1, January 2009

• ability to collect postal votes from polling stations throughout polling day • variation to the standard voting procedure for anonymously registered electors

Part E, page 2, January 2009

2 Polling day issues for Local Returning Officers and staff Hours of poll

2.1 The hours of poll for the European Parliamentary elections in the UK, and for any elections where the polls have been combined, are 7am to 10pm. Public enquiries

2.2 In the weeks leading up to polling day, the Local Returning Officer’s staff can expect to receive a number of enquiries from members of the public, ranging from people who do not know where their polling station is to queries about electoral registration matters.

2.3 One of the most frequent enquiries on polling day is likely to be from members of the public who arrive at a polling station and find that they do not appear on the electoral register and are therefore unable to vote. If they have either not made an application for registration or have not submitted an application in time to be added to the register for the elections, Presiding Officers could be instructed to offer to forward the person’s contact details to the Electoral Registration Officer so that a rolling registration form can be sent to them. Alternatively, Presiding Officers could be supplied with rolling registration forms to provide directly to any such people.

2.4 If, however, a person is insistent that they have made an application to the Electoral Registration Officer to register to vote, Presiding Officers should be instructed to direct any such person to the Electoral Registration Officer because the electoral register can be amended up to 9pm on polling day in the event of a clerical error.1 Further information on clerical errors can be found in Section 4, ‘The register of electors’.

2.5 The Local Returning Officer’s staff can also expect to receive many and varied enquiries from electors, candidates, agents and party activists, and polling station staff.

2.6 It is particularly important to anticipate any enquiries that may arise in relation to the recent changes to the voting procedure, e.g. concerns about the secrecy of the ballot as a result of the use of the corresponding number list, which contains both the ballot paper number and the voter’s elector number.

A template of frequently asked questions (FAQs) for frontline staff will be produced by the Commission and will be available for download A from the Commission’s website at www.electoralcommission.org.uk/ guidance/resources-for-electoral-administrators/european-parliamentary- elections

1 Section 13B, Representation of the People Act 1983 (RPA 1983), as amended by RPA 1985 and 2000.

Part E, page 3, January 2009

This template will be available in Word format so that it can be adapted to fit local circumstances. It is designed for use by staff who do not normally work in elections, such as call centre staff, to increase their awareness and understanding in order to enable them to deal with general enquiries and to assist in promoting good practice and good customer service. Staff using this template should be instructed to direct any queries not covered in the document to the election office.

FAQs for polling station staff are contained in both versions of the Handbook for polling station staff.

Emergency proxy applications

An elector may appoint a proxy up to 5pm on polling day, if they became disabled after 5pm on the sixth working day before the day of the poll, i.e. they could not have applied for an absent vote under the I 2 normal procedure.

2.7 Local Returning Officers will need to alert polling staff to this possibility and liaise with Electoral Registration Officers to set up procedures for receiving applications on polling day and for contacting Presiding Officers should any applications be granted after the list of proxies has been despatched to the polling station.

2.8 The application must be made to the Electoral Registration Officer. If the application is made on polling day or after the list of proxies has been despatched to the polling station, it will be necessary to find a way to communicate the information to the Presiding Officer at the polling station where the proxy will be voting, as clearly the emergency proxy will not be on the list of proxies originally supplied.

2.9 It is suggested that the proxy of any voter whose application has been accepted should be given a letter authorising them to act as a proxy, which should include details of the person for whom they are voting. The proxy should be instructed to take that authorisation with them when they go to vote and hand it to the Presiding Officer. The letter can then be retained with the list of proxies as a record that the proxy has been issued with a ballot paper.

2.10 It is also suggested that every effort be made to contact the appropriate Presiding Officer directly to warn them that an emergency proxy has been appointed, particularly as there is no requirement in law that the proxy must provide any documentation in order to be permitted to vote on behalf of the elector who is ill or disabled. Wherever possible, it is recommended that a supplementary list of proxies be issued to the polling station, which should then be added to the list originally supplied.

2 Paragraph 26(4), Schedule 2, European Parliamentary Elections Regulations (EPE Regulations) 2004, as amended by EPE (Amendment) Regulations 2009.

Part E, page 4, January 2009

As a matter of good practice, Local Returning Officers may wish to provide Presiding Officers with some application forms, which electors A who have suffered a medical emergency after 5pm on the sixth working day before the poll can use to apply for an emergency proxy. This prevents the elector having to locate a form and expedites the process for both the elector and the Electoral Registration Officer. The Commission has provided downloadable forms on its website at www.aboutmyvote.co.uk. Further information on emergency proxy applications is provided in Part D, ‘Absent voting’, Section 4, ‘Proxy voting’.

Replacements for lost or spoilt postal ballot packs

2.11 Postal voters and postal proxy voters can apply to the Local Returning Officer for a replacement postal ballot pack up to 5pm on polling day if they have not received a postal ballot pack, or have lost or spoilt some or all of the contents. In addition, replacement postal ballot packs may be issued to those electors or proxies appearing on the list of postal or postal proxy voters but who claim never to have applied for a postal vote and who have not received one.

The Commission has produced a template form on which the details of any elector or proxy claiming not to have applied for a postal vote may A be recorded, and which includes a space for electors or proxies to sign. Completion of this form, although not required, would provide a signature which could then be checked against the original absent vote application form after the election, and forwarded to the police, if appropriate. This template form will be available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections

2.12 As replacements can only be issued by hand from 5pm on the day before polling day, suitable staff need to be available on polling day to deal with these requests and any associated queries. It is important to make sure that these staff members are able to advise on the suitable forms of identification the elector will be required to present when applying for a replacement postal ballot pack.

Further advice on these forms of identification and the general process of issuing replacement postal ballot packs can be found in Part D, ‘Absent voting’, Section 9, ‘Replacement postal votes’. A

Polling station visits

2.13 Many Returning Officers undertake polling station visits themselves and also instruct other members of staff to carry out visits on their behalf. Although the exact nature of these visits is for Local Returning Officers to determine, they can be used for a number of purposes, such as to check that all the notices inside and outside polling booths are properly displayed and that

Part E, page 5, January 2009

polling booths have been set up in a way that ensures people can mark their vote in secret. These visits could also be used to make an assessment of accessibility issues and to answer any enquiries that Presiding Officers may have.

An accessibility checklist for polling stations can be found in Section 7, ‘Resources’ and in both versions of the Handbook for polling station staff. A

2.14 Visiting officers could also carry with them spare equipment, stationery and other items such as forms, envelopes and copies of the register of electors, in case of any problems at polling stations, e.g. shortages or missing items, or non-working stamping instruments (if being used).

2.15 Postal votes can be returned by hand to the polling station throughout polling day,3 so Local Returning Officers may use these polling station visits to collect any such postal votes. It is important to ensure that postal votes removed from the polling station before the close of poll are transmitted in a secure manner and that there is a clear audit trail. For example, postal votes should be transported in a sealed packet and a log could be used to record the number of postal vote envelopes removed, together with the time of collection and the details of the person who collected them.

Combination Where the issue of postal votes has been combined, it will be the I Returning Officer for the local government election who will be the person in charge of collecting postal votes from polling stations.

Where the decision was taken not to combine the issue of postal votes, the Local Returning Officer for the European Parliamentary election and the Returning Officer for the local government election will be responsible for collecting their respective postal votes.

However, in practice, many Local Returning Officers in England will have been appointed as deputy Returning Officers by the Returning Officer for the local government election and may have been asked to collect the postal votes on behalf of the local government Returning Officer as part of their delegated functions.

For further information on postal voting, please see Part D, ‘Absent voting’.

A Responding to emergencies

2.16 Various emergencies may occur on polling day, e.g. a fire at a polling station, a Presiding Officer running out of ballot papers, or polling staff being

3 Rule 51(2)(a), European Parliamentary Elections Rules (EPE Rules), Schedule 1, EPE Regulations; Paragraph 55(1), Schedule 2, EPE Regulations.

Part E, page 6, January 2009

taken ill. The Local Returning Officer will have previously developed a series of contingency plans to deal with such emergencies.

Part B, ‘Preparing for a European Parliamentary election’ of this manual provides further information on risk management which should A be undertaken as part of the election planning process. The Commission has also developed a template contingency planner available for download from the Commission’s website at www.electoralcommission.org.uk/ guidance/resources-for-electoral-administrators/european-parliamentary- elections

Combination For those with combined European Parliamentary and local I government elections in England, the Commission has also developed a combined risk register. It is aimed at county Returning Officers as they are legally responsible for certain functions of the Local Returning Officer at the European Parliamentary election. However, it may also be useful for those Local Returning Officers who have been appointed as deputy Returning Officers by county Returning Officers.

All templates have been developed in Word format, allowing for customisation to fit local circumstances.

2.17 It is important that Local Returning Officers make clear to Presiding Officers who they should contact in the event of an emergency. They should be provided with at least one contact telephone number for the election office, which should be staffed throughout polling day. Staff based in the election office should have mobile phone numbers for any visiting officers, particularly as they may be closest to any polling station in which an emergency has occurred, and so may be best placed to respond quickly.

2.18 Presiding Officers should also be given a contact number for the police. Polling stations may be visited by police during polling hours.

The exchange of contact details between visiting police officers and Presiding Officers should be encouraged. Every police officer should A have a pocket guide covering electoral integrity issues on which the details of the Presiding Officer may be noted.

Further details on promoting electoral integrity and establishing contacts with the police are available in Part B, ‘Preparing for a European Parliamentary election’, Section 8, ‘Electoral integrity’, and on the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/integrity-guidance/electoral-events

Part E, page 7, January 2009

3 Managing the polling station Briefings for polling station staff

3.1 All polling station staff are required to attend a briefing session shortly before polling day. This session should give Presiding Officers and Poll Clerks all the information that they require to run the poll, including any relevant local information.

Several resources to support the training of polling station staff will be made available by the Commission, including downloadable template A lesson plans and a template PowerPoint presentation to support Returning Officers in the training and briefing of polling station staff.

3.2 Particular issues that training for polling station staff should cover include ensuring Presiding Officers are advised on how to correctly fill in the ballot paper account. A correctly completed ballot paper account is the foundation of an accurate verification and count, and it is therefore essential that Presiding Officers are adequately trained.

The ballot paper account should contain the following:4

I • total number of ordinary ballot papers issued to the Presiding Officer • number of ballot papers issued (usually via a calculation made on the account) • number of unused ballot papers • number of spoilt ballot papers • number of and use of tendered ballot papers

3.3 Additionally, the Commission recommends that training for polling station staff also includes information on improving accessibility. While any training or briefing session should cover disability access issues, access to the electoral process for all electors is of key importance. Not every elector will have the same needs and so polling station staff should be trained to focus on customer service and address any requirements on an individual basis.

3.4 Evaluation of all briefing sessions should be carried out in order to gauge their effectiveness. One possible method of evaluation would be to require all attendees to complete a questionnaire, either at the conclusion of the session or perhaps after the close of poll, when staff will be in a position to determine whether their briefing had equipped them to carry out their duties successfully on polling day. The findings of such an evaluation could then be used to inform the development of any future training programme for polling station staff.

4 Rule 49(3), EPE Rules.

Part E, page 8, January 2009

Equipment

3.5 The Local Returning Officer is required to provide each polling station with sufficient equipment for the poll, including ballot boxes, ballot papers, a copy of the register of electors, the corresponding number list, the lists of postal voters, proxy voters and postal proxies, and the relevant notices, forms and packets.5

It is important to note that the corresponding number list for use in the polling station must not include the unique identifying marks of the ballot papers.6 I

Combination The provision of equipment to polling stations in those areas in IEngland with combined elections will be the responsibility of the Returning Officer for the local government election. However, the Local Returning Officer should work closely with the Returning Officer for the other election to ensure that all of the equipment specific to the European Parliamentary election is supplied in a timely fashion and no equipment or documentation is missed out.

3.6 Each Presiding Officer should be given a copy of the list of equipment that they are provided with so that they can check that they have everything on polling day.

3.7 A full checklist of equipment is included in Section 7, ‘Resources’. Persons entitled to attend proceedings on polling day

3.8 The law restricts who may be present inside a polling station. In addition to voters and members of the Returning Officer’s staff, only the following people may attend:7

• persons under the age of 18 years who are accompanying voters • candidates at the election, their election agents and sub-agents • polling agents (only one polling agent per party list or individual candidate at any given time) • police officers on duty • Electoral Commission representatives • observers accredited by the Commission • companions of disabled voters

5 Rule 32, EPE Rules. 6 Rule 23, EPE Rules. 7 Rule 36, EPE Rules.

Part E, page 9, January 2009

Persons under the age of 18 years who are accompanying voters

3.9 Persons under the age of 18 years may accompany voters into the polling station.8 The Presiding Officer may limit the number of under-18s in the polling station at any one time,9 but this power should only be used where their attendance hinders the proceedings in some way.

Electoral Commission representatives

3.10 Representatives of the Commission are entitled to observe various electoral procedures in addition to the working practices of Electoral Registration Officers, Returning Officers, referendum Counting Officers and staff appointed by them.10 This includes attending polling stations during, before and after polling hours. They may ask questions of the Returning Officer and their staff, of candidates and agents, and of electors. Commission representatives are instructed not to interfere with the proceedings in any way.

Accredited observers

3.11 Individuals and organisations may apply to the Commission to be accredited to observe the proceedings at the issue and receipt of postal ballot papers, the poll and the counting of the votes.

3.12 Observers accredited by the Commission do not need to give advance notification of where they intend to observe. Every observer must, however, carry photographic identification issued by the Commission and should not be allowed to observe proceedings without it. Sample observer badges can be found in Part B, ‘Preparing for a European Parliamentary election’, Section 8, ‘Electoral integrity’, in the polling station handbooks and on the Commission’s website.

3.13 The Local Returning Officer and their staff can check the status of those seeking to gain access to procedures as observers at any time by downloading the registers of accredited observers from the Commission’s website. Since accreditation does not become effective until three days after an observer has been added to the online register, the registers effectively ‘close’ three days before polling day.

Electoral observation is a legitimate and valuable part of the electoral process, and care should be taken not to hinder or obstruct the I conduct of the observation. Although Returning Officers are entitled to limit the number of accredited observers who may be present at any proceedings,11 the Commission advises that caution should be used in the exercise of this power. It is important to note that no officer is entitled to bar all observers from the entire process, only to limit the number of observers present at any one time. Careful consideration therefore needs to be given to

8 Rule 36(1)(b), EPE Rules. 9 Rule 36(2), EPE Rules. 10 Sections 6A and 6B, Political Parties, Elections and Referendums Act (PPERA) 2000. 11 Section 6E, PPERA.

Part E, page 10, January 2009

the locations used as polling stations or for postal vote opening sessions, ensuring that sufficient space is made available for observers.

In all instances, officers should only seek to limit the number of observers if their presence is hindering the conduct of the proceedings or jeopardising the secrecy of the ballot.

Accredited observers and Commission representatives are obliged to follow a Code of practice, which is available on the Commission’s website at www.electoralcommission.org.uk/elections/electoral_observers

Presiding Officers should be familiar with the salient points of the Code and should be instructed to notify the Returning Officer of any potential breaches.

Returning Officers should report any allegations to the Commission as soon as possible.

The Commission has also issued separate guidance to Returning Officers and Presiding Officers on the exercise of their powers in relation to observers, as it is required to do by statute. This guidance has been incorporated into the Code of practice for observers referred to above. Returning Officers and Presiding Officers are required to refer to this guidance before exercising any of their powers in relation to observers, such as excluding them from polling stations.

The media

3.14 Elections can attract considerable media interest and so it is important that polling station staff are made aware that the media has no right to enter a polling station (other than as an elector seeking to cast their vote). Local Returning Officers may want to consider providing Presiding Officers with contact details of election staff or other relevant council communications staff in case they are approached by members of the media.

Part B, ‘Preparing for a European Parliamentary’, Section 9, ‘Publicity and the media’ offers further guidance for Local Returning Officers on dealing with the media.

A Provision of informal turnout information by Presiding Officers

3.15 The Commission is aware of varying practices among Returning Officers in respect of whether their Presiding Officers are permitted to release turnout information to candidates and agents throughout polling day.

3.16 Electoral legislation neither requires nor prohibits the disclosure of turnout information by Presiding Officers. The secrecy provisions in Regulation 29 of the EPE Regulations, which mirror Section 66 of the RPA 1983, only impose the following restrictions on the communication of information before the close of poll:

Part E, page 11, January 2009

• the name of anyone who has or has not applied for a ballot paper or voted at a polling station • the elector number of any elector who, or whose proxy, has or has not applied for a ballot paper or voted at a polling station • the official mark or other unique identifying mark

3.17 As long as Local Returning Officers are satisfied that releasing turnout figures will not in any way hinder the conduct of the poll or risk breaching the provisions of Regulation 29 of the EPE Regulations, they may instruct Presiding Officers to release informal turnout information to candidates and agents.

3.18 Any decision as to whether to supply turnout figures will need to be balanced against the administrative burden that this may impose on Presiding Officers. Local Returning Officers should also liaise with their Regional Returning Officer and keep them informed of any decision taken.

3.19 Party list and individual candidates and their agents should be made aware in advance of the election of what the Local Returning Officer decides in respect of the release of turnout information. The circumstances in which figures may be requested should be clearly defined, e.g. only at certain times of the day and/or when there are no electors inside the polling station. Information to this effect could be included in any candidate briefing pack or supplied alongside guidance for candidates and agents and the Code of conduct on the handling of postal votes, and reinforced at any pre-election briefing session for parties, individual candidates, their agents and polling station staff.

Personation

3.20 On rare occasions, a member of the polling station team, another elector, a candidate on a party list or an individual candidate, an election agent or a polling agent may suspect that a person requesting a ballot paper is not who they claim to be. Presiding Officers can ask the prescribed questions before issuing any ballot papers, but if the questions are answered satisfactorily, then a ballot paper must be issued. There are no provisions for any further questioning of the elector by the Presiding Officer. To aid with any future investigation, Presiding Officers could be advised to record a witness statement, noting the key facts and any observations. The Commission has developed a template form, available for download from its website, which could be used for recording such a statement.

Further advice to Presiding Officers on how to deal with allegations of personation can be found in the Handbook for polling station staff.

Part E, page 12, January 2009

Anonymous electors

3.21 There may be some electors who have anonymous entries on the electoral register. Anonymous electors will appear on the register without their name and address: their entry on the register will consist of their elector number and the letter ‘N’, and will be found at the end of the register under the ‘Other electors’ section. The voting procedure for anonymous electors differs from that for ordinary electors: anonymous electors must have their poll card in order to vote.

Full details of the appropriate voting procedure for electors with an anonymous entry are set out in the Handbook for polling station staff A and should be highlighted at the pre-election briefing session for polling station staff.

Part E, page 13, January 2009

4 The register of electors

4.1 Each Presiding Officer should be provided with the appropriate register of electors for their polling station. They should also be made aware of the various categories of electors shown on the register. It can be useful to include these as a separate sheet or on the cover sheet of the register. All the categories and associated markers are included in the Handbook for polling station staff.

Combination The franchise for European Parliamentary elections is different to that I of local government elections. Where the European Parliamentary election is combined with a local government election, it is essential that whoever takes responsibility for briefing polling station staff instructs them to pay particular attention to the identifying letters printed next to electors’ names. These identifying letters indicate whether an elector can vote at the European Parliamentary election, a local government election, or both. The different franchises will be covered in the combined version of the Commission’s Handbook for polling station staff.

A list of all possible franchise markers that could appear next to electors’ names, together with an explanation of those electors’ A eligibility to vote, is also contained in the Commission’s guidance manual Managing electoral registration in Great Britain, Part B, ‘Entitlement to register’, Section 2, ‘Entitlement to vote’. This manual can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/electoral-registration/managing- electoral-registration-services

Clerical errors

The deadline for correcting clerical errors on the register is 9pm on polling day.12 i

4.2 There are two types of clerical error that may come to the Electoral Registration Officer’s attention on polling day:

• those where an elector has been entered on the register incorrectly, e.g. mis-spelling of a name, or incorrect inputting of numbers in a date of birth indicating that the elector is under 18 • those where a registration form has been received by the Electoral Registration Officer but no entry has been made on the register

4.3 Differing views have been expressed concerning the extent of the Electoral Registration Officer’s power in relation to the correction of clerical errors. Within the strict wording of the legislation, the Electoral Registration Officer can determine that the register ‘contains’ a clerical error. However, the

12 Section 13B, RPA 1983.

Part E, page 14, January 2009

Commission’s view is that this corrective ability is intended to encompass any clerical errors, including the omission of names clearly shown on a registration application form received by the Electoral Registration Officer in time for the election in question and where an error has been made during the processing of the application form. The register in such a case contains a clerical error in the omission from it of the name on the application form.

4.4 If, however, the elector has made an error in completing the application form and the Electoral Registration Officer has processed the form correctly, this does not amount to a clerical error and so is not covered by the clerical errors provision.

4.5 It is unlikely to be necessary to correct clerical errors on polling day where the elector appears on the register in some form and is able to legitimately answer the statutory questions satisfactorily. However, Presiding Officers should be instructed to act consistently in any such cases, and where there is any doubt, they should contact the Electoral Registration Officer.

4.6 When an Electoral Registration Officer makes a determination to correct a clerical error in order to enable an elector to vote, they must issue a notice in accordance with the legislation and should notify the Presiding Officer.13 If the Electoral Registration Officer determines that a correctly completed application form was received but the person’s details have not been entered onto the register as a result of a clerical error, the Electoral Registration Officer must issue an instruction (either written or verbal) to the Presiding Officer by 9pm to allow that person to vote up to 10pm on polling day. This clearly requires that the Electoral Registration Officer liaises with the Local Returning Officer to ensure that adequate communication systems are in place.

4.7 The Electoral Registration Officer must take reasonable steps to communicate the notice to the appropriate Presiding Officer (either in writing or orally) in order to ensure that the person who is the subject of the notice is permitted to vote. If the notice is communicated orally, which includes by telephone, the Presiding Officer must make a written record of the elector’s name and number.14

4.8 The legislation is silent on how the Presiding Officer should make this written record. A blank form could, for example, be attached to each polling station register to allow Presiding Officers to write down the name and elector number of any such electors, if and when they are communicated. Electoral Registration Officers may wish to liaise with their suppliers to check whether their software systems could produce registers with such a blank page appended.

4.9 Once the instruction has been received, the Presiding Officer must issue the ballot paper in the usual manner, and either the instruction notice issued

13 Rule 47, EPE Rules. 14 Rule 47(6), EPE Rules.

Part E, page 15, January 2009

by the Returning Officer or the Presiding Officer’s written record must be marked to show that the elector has voted.15

4.10 The legislation requires that both the marked copy of the register of electors and any marked copy notices issued to correct clerical errors are included in the same sealed packet at the close of poll.16 Where the notice has been communicated orally, the packet should also include the Presiding Officer’s marked written record.

15 Rule 41(3), EPE Rules. 16 Rule 49(1)(d), EPE Rules.

Part E, page 16, January 2009

5 Tellers, polling agents and campaigners

5.1 It is a well-established practice for parties, candidates or their agents to appoint ‘tellers’ positioned outside polling stations to record the names of electors who have voted, usually by asking for their poll card or elector number. This is for the purpose of assisting party workers to identify potential supporters who have yet to vote.

The Commission has consulted on guidance on the activities of tellers. This guidance can be found in the Commission’s Handbook for polling A station staff and in the Commission’s Guidance for candidates and agents. These documents can be ordered in hard copy but are also available to download from the Commission’s website at www.electoralcommission.org. uk/guidance/resources-for-electoral-administrators/european-parliamentary- elections

Local Returning Officers may wish to supply polling stations with copies of the guidance on the activities of tellers that could be handed out to tellers by polling station staff on polling day.

5.2 It is important to remember that the Local Returning Officer is in charge of the conduct of the election, and so if they feel that the poll is being adversely affected by the activities of tellers, they should request that tellers either comply with agreed behaviour or leave the polling place.

5.3 If any reports of incidents occurring at polling stations are received, members of staff charged with conducting polling station inspections should be directed to attend immediately with a view to resolving any issues. It is also advisable to have the telephone number of the local police available in case of any incidents that cannot be resolved amicably. Polling agents

5.4 Registered political parties who have submitted a list of candidates and individual candidates can have polling agents work on their behalf on election day in polling stations, although there is no obligation to appoint any such agents.17 Any person, apart from officials employed by the Local Returning Officer, can be appointed to act as polling agents. There is no limit to the number of polling agents that may be appointed.

5.5 Polling agents can be appointed by the election agent and any sub- agents of an individual candidate or registered political party standing nominated, or by any person authorised in writing by them.

5.6 The Local Returning Officer must be notified in writing of the names and addresses of any polling agents no later than Thursday 28 May 2009.18

17 Rule 33, EPE Rules. 18 Rule 33(4), EPE Rules.

Part E, page 17, January 2009

More information on the appointment process for polling agents and counting agents can be found in Part C, ‘Action before the poll’, Section 4, ‘Appointment of election, polling and counting agents’.

5.7 Polling agents are required to maintain the secrecy of voting and are subject to the important legal requirements relating to secrecy contained in Regulation 29 of the EPE Regulations.

What does a polling agent do?

5.8 Polling agents serve a number of purposes for registered political parties and individual candidates. They may:

• observe the Presiding Officer showing the empty ballot box prior to sealing19 • require the Presiding Officer to put the statutory questions to any elector suspected of personation or attempting to vote twice before they are issued with a ballot paper20 • be present when the Presiding Officer marks ballot papers at the request of electors21 • mark off on their copy of the register of electors who has applied for a ballot paper22 • be present at the close of poll when the various packets of documents are sealed and attach their seal to them, including the ballot box23

5.9 Polling agents must maintain the secrecy of the ballot. They must not give information to anyone as to who has or has not voted, or a person’s elector number, or the official mark. Polling agents may mark off on their copy of the register of electors those voters who have applied for ballot papers. If they leave the polling station during the hours of polling, however, their marked copy of the register should be left in the polling station in order not to breach the secrecy requirements.

5.10 An election agent or sub-agent can also do any of the things that a polling agent is authorised to do.24 However, just because a polling agent is entitled to witness various aspects of the polling procedure, the procedure is not invalidated if they have not witnessed it.25

5.11 Not more than one polling agent on behalf of the same registered political party or individual candidate may be admitted into a particular polling station at any time.26 Any agent may be appointed to attend more than one polling station.

19 Rule 38, EPE Rules. 20 Rule 39(1)(b), EPE Rules. 21 Rule 42(1), EPE Rules. 22 Regulation 29(1)(b), EPE Regulations. 23 Rule 49, EPE Rules. 24 Rule 33(10), EPE Rules. 25 Rule 33(11), EPE Rules. 26 Rule 36(3), EPE Rules.

Part E, page 18, January 2009

6 Procedure on close of poll

6.1 Presiding Officers should be briefed to close their polling stations punctually at 10pm. They should be given clear instructions on what they are expected to do after the close of poll. Poll Clerks should be instructed to deal with notices, polling screens and such like in order to allow Presiding Officers to concentrate on the important paperwork.

6.2 All polling station staff should be made aware that at the close of poll any polling agents who are present at the polling station can ask to affix their own seal(s) to the ballot box and packets of documents, and should be allowed to do so.27

6.3 Clear instructions should be provided to Presiding Officers about the arrangements for the collection of the ballot boxes and ballot paper accounts, and their onward delivery to the verification venue. Clear instructions about the arrangements for delivery should also be provided for those who are required to transport the boxes to the verification venue. In this case, Presiding Officers should be advised as to the location of the verification venue, any parking arrangements, at which entrance they should deliver their ballot boxes, and procedures for handing in the boxes, ballot paper accounts, any postal votes handed in at the polling station and any other election stationery, including the marked registers.

6.4 A contact number should be provided to Presiding Officers in case they experience any difficulties or delays in getting to the verification venue. It is important that this number is staffed until all boxes have been accounted for.

6.5 Presiding Officers should have been instructed on how to complete the ballot paper account correctly and about sealing the various packets of documents, with this forming an important part of their training. Instructions on how to complete the ballot paper account and a checklist of all packets are provided in the Handbook for polling station staff. It is nevertheless important to make sure that these are then double-checked on arrival at the verification venue.

Templates will be made available on the Commission’s website to graphically demonstrate how the paperwork is to be completed and how the different documents are to be sealed up at the close of poll. A

Combination Consideration should be given to colour coding the ballot paper I accounts to match the ballot papers for the different elections. This will minimise the risk of Presiding Officers recording the number of ballot papers issued for the European Parliamentary election on the form for the local government election, and vice versa.

6.6 To aid efficiency, the Presiding Officer should hand in the ballot paper account and the packet containing any postal votes returned to the polling

27 Rule 49, EPE Rules.

Part E, page 19, January 2009

station separately from any other documentation to be handed in at the verification venue.

6.7 The receipt of the following documents should also be recorded on arrival at the verification venue:

• the unused and spoilt ballot papers • the used and tendered ballot papers • the marked copy of the register (including any marked copies of notices of alteration) and the list of proxies • the corresponding number lists of all used ballot papers • the spoilt ballot papers and the certificates of employment • the tendered votes list, the list of voters with disabilities assisted by companions, the list of voters marked by the Presiding Officer and accompanying statement, and the declarations made by the companions of voters with disabilities

6.8 It is helpful to supply Presiding Officers with different sacks, clearly labelled and perhaps colour coded, including one for the packets of documents to be returned to the appropriate officer for storage and another for other items of stationery. Presiding Officers should be advised to dispose of any rubbish at the polling station.

6.9 It can be useful to appoint staff who are solely responsible for receiving and checking items into the verification venue until all materials have been received from the polling stations.

Part E, page 20, January 2009

7 Resources Equipment checklist

7.1 The full list of items that should be provided at each polling station is as follows:

• ballot box(es) • relevant part of the register and any notices issued under Section 13B(3B) or (3D) of RPA 1983 • corresponding number list(s) • absent voters lists – postal voters, proxy voters and postal proxies • ballot papers • ballot paper account(s) • tendered ballot papers • stamping instrument (if official mark is not pre-printed) • voting device for use by blind or partially sighted voters • copy of the statutory questions • copy of the requirements as to secrecy (Regulation 29, EPE Regulations) • forms of declaration by companions of voters with disabilities • form of list of tendered votes • form of list of votes marked by the Presiding Officer • form of statement of number of votes marked by the Presiding Officer • form of list of voters with disabilities assisted by companions • direction for guidance of voters • large-print version of the ballot paper(s) • enlarged hand-held sample copy of the ballot paper(s) • voting compartment notices • polling station notices • polling screens • plastic seals or locks for sealing the ballot box28 • pencils for use by voters, and string to attach them to the polling booths • notepaper for use by polling station staff • stationery items as required, e.g. paper clips, drawing pins, Blu-Tack, adhesive tape • envelopes, preferably with seals, in which to place postal ballot papers returned to the polling station • envelopes for making up packets • plastic sacks for returning stationery and equipment to the verification venue • form to record errors on the register of electors (which may form part of a polling station log or be appended to the polling station register) • form of list to record electors marked as postal voters but who claim not to have applied for one

28 The Commission does not recommend the use of sealing wax for health and safety reasons. However, if this method is used, it is important that staff are instructed to exercise extreme caution.

Part E, page 21, January 2009

Accessibility checklist for polling day – setting up a polling station

7.2 The initial setting up of a polling station can determine whether it is accessible or not. It is therefore important that polling staff who are responsible for setting up polling stations are made aware of the following considerations.

Signage at polling stations

• Signs should be positioned so that electors can be directed to the entrance for disabled voters, if this is different from the main entrance to the polling station. • All signs should be placed at an appropriate height, so that someone in a wheelchair can read them without difficulty. • A simple notice could be displayed outside the polling station to advise voters to ask the Presiding Officer to provide help if required. • A large polling station sign should be visible from the main road.

Car parking for disabled people

• Any car parking spaces for disabled people should be clearly marked. • Polling station staff should not park their own cars in these spaces and should, if possible, check the parking spaces throughout polling day to ensure that they are kept available for use by disabled people.

Level access to polling stations

• If temporary ramps are to be used at a polling station, the Presiding Officer should be informed beforehand and ideally be shown how to install them if they will not be in place before polling day. • Ramps should be secure and stable with a low gradient. If they are not fitted properly, they can be dangerous and could cause injury to electors. • Ramps should be kept clear of any obstructions. • Polling station staff should check any temporary ramps at regular intervals to make sure that they have not become dislodged and are not presenting a hazard to electors.

Entrances to polling stations

• Heavy doors that are difficult to open can be a major access barrier to some electors. Propping doors open can help, although this is not ideal if polling station staff are left sitting in a cold draught and electors have to vote in cold conditions. • Any loose mats should be removed, if they are likely to present a trip hazard. • If there is separate access for disabled people, this should be clearly signed and kept open.

Part E, page 22, January 2009

Inside the polling station

• Inadequate space inside the polling station causes problems for wheelchair users and people with mobility impairments who may need more space to manoeuvre. It also means that people cannot be assured that their vote is secret and unobserved by other voters. • Polling station staff should set up the polling station considering the best place to site themselves, the ballot box and the polling booths so that people have enough space to get in and out of the polling station.

Lighting of polling stations

• Adequate lighting is important for people with visual impairments. Many people’s vision is dependent on the quality of lighting, especially for reading and writing. Good lighting, both in the polling booth and where the large-print version of the ballot paper is displayed, is vital. • Lighting outside the polling station, particularly in the area leading up to the entrance, should be adequate. • Lighting inside the entrance, corridors and room where the polling booths are situated is also important so that voters can get to and from the polling booth easily. • Polling station staff need to be aware of the lighting conditions in the polling station and should switch on whatever lights are necessary.

Low-level polling booths and ballot boxes

• Low-level polling booths are an easy way to improve the accessibility of polling stations and should be installed in every polling station. • The ballot box should be placed on a chair rather than a table as this allows wheelchair users and other people who are not able to reach ballot boxes on tables the opportunity to cast their vote independently and confidentially. • A white strip placed around the slot of the ballot box helps visually impaired people to locate the opening more easily.

Guidance to voters

• The notice which must be displayed in every compartment of every polling station explaining how to fill in the ballot paper can be produced in a graphical format or in any other way that makes the information more accessible to persons who might not otherwise have reasonable access to the information.29

29 Regulation 122A, EPE Regulations.

Part E, page 23, January 2009

Large-print notice of ballot paper and hand-held sample copy

• Large-print notices are important to people with visual impairments and can allow someone to vote independently. • At least one large-print version of the ballot paper must be displayed inside the polling station for the assistance of voters who are blind or partially sighted. However, it is helpful to provide more than one large- print version of the ballot paper. • The legislation also requires that an enlarged hand-held copy of the ballot paper, marked as ‘sample’, is available to anyone who requires it. This can be given to voters to take into the polling booth with them. If these are laminated, it helps to prevent them getting torn or dirty.

Device to enable voters who are blind or partially sighted to vote without assistance

• It is a legal requirement to provide a tactile voting device at every polling station. The tactile template is a device that allows someone who is blind or partially sighted to mark the ballot paper themselves once the details on the ballot paper have been read out, either by their companion or by the Presiding Officer. • Polling station staff should be made aware that the provision of a tactile template is a legal requirement and should be trained in the use of the device in order to be able to assist those who wish to vote using the device.30 • In many cases, voters who may find the template useful may not be aware that it is available for them to use. It may, therefore, be helpful for polling station staff to suggest to electors that they may wish to use the device where it appears appropriate. The right approach is important to avoid causing offence.

Seating

• Chairs can be provided in polling stations for anyone who needs a rest. However, chairs should not be placed so that they get in the way of other voters, nor should they overlook people casting their votes.

General

• All electors, including disabled people and older people, should be treated as individuals. The manner in which such people are approached is important: if you think someone needs assistance, ask them first, rather than make assumptions. • Presiding Officers can set up a table in the polling station with all the materials for disabled voters, so that they or their companions can see everything that is available to assist them, including the enlarged sample copies of the ballot papers and the devices to assist voters who are blind or partially sighted.

30 Rule 32(5)(b), EPE Rules.

Part E, page 24, January 2009

• Seeking feedback from disabled voters as to the access and disabled facilities at their polling station may help to highlight any previously unnoticed issues and drive future improvements.

Part E, page 25, January 2009

Notification of secrecy requirements

Regulation 29 of the European Parliamentary Election Regulations 2004 (as amended)

29.—(1) The following persons— (a) every local returning officer and every presiding officer or clerk attending at a polling station, (b) every candidate or election agent or polling agent so attending, (c) every person so attending by virtue of any of sections 6A to 6D of the 2000 Act shall maintain and aid in maintaining the secrecy of voting and shall not, except for some purpose authorised by law, communicate to any person before the poll is closed any information as to—

(i) the name of any elector or proxy for an elector who has or has not applied for a ballot paper or voted at a polling station; (ii) the number or other unique identifying mark on the register of electors of any elector who, or whose proxy, has or has not applied for a ballot paper or voted at a polling station; or (iii) the official mark.

[…]

(4) No person shall— (a) interfere with or attempt to interfere with a voter when recording his vote; (b) otherwise obtain or attempt to obtain in a polling station information as to the way in which a voter in that station is about to vote or has voted; (c) communicate at any time to any person any information obtained in a polling station as to the way in which a voter in that station is about to vote or has voted, or as to the number or other unique identifying mark on the back of the ballot paper given to a voter at that station; (d) directly or indirectly induce a voter to display his ballot paper after he has marked it so as to make known to any person the way in which he has voted.

[…]

(6) No person having undertaken to assist a voter with disabilities to vote shall communicate at any time to any person any information as to the way in which that voter intends to vote or has voted, or as to the number or other unique identifying mark on the back of the ballot paper given for the use of that voter.

(7) If a person acts in contravention of this regulation he shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale or to imprisonment for a term not exceeding 6 months.

Part E, page 26, January 2009 Part F – Verification and count

Contents

1 Preparations Planning Information on the verification and counting process The media Venue Verification and count venue plans Designated areas Health and safety Security Staff

2 Attendance at the verification and count Verification and counting agents Observers Admission to the verification and count

3 The verification and count process Receipt of ballot boxes Verification Postal ballot papers at the verification Security of stored ballot boxes Counting the votes

4 Doubtful ballot papers Examples

5 Recounts

6 Notification of local result

7 Storage and disposal of documents

8 Resources Notification of secrecy requirements Verification procedure

1 Preparations

1.1 The European Parliamentary election verification and count will differ considerably from that at other elections, particularly as in most cases the two proceedings, verification and count, will be conducted at different times and on different days.

1.2 Each Local Returning Officer is responsible for managing and organising the verification and count in their area and so will need to take a decision as to how the proceedings may be best managed in their area, although this decision should be made following close liaison with the Regional Returning Officer. The Regional Returning Officer will in most cases request that the Local Returning Officer provide the results of their verification and count by a particular time. The verification and count may be on different days and either or both may be on Friday, Saturday, Sunday or Monday, depending on local circumstances. Planning

1.3 For European Parliamentary elections, as the date is fixed, planning can start well in advance. Each Local Returning Officer is required to make arrangements for the verification of the votes in the presence of the counting agents as soon as practicable after the close of poll.1 Although the counting of the votes may take place before polling closes in the remainder of the European Union – i.e. before 9pm on Sunday evening – there must be no disclosure of results until after that time.2 The exact timing of the verification and count should be determined in consultation with the Regional Returning Officer.

1.4 Both verification and count procedures will be subjected to close scrutiny by political parties, candidates,3 agents, observers and the media and it is therefore imperative that any practical problems are anticipated and their risks mitigated. While it is at the regional count centre that the Regional Returning Officer will carry out the allocation of seats and declare the overall result, it is at each local count centre that the verification and counting will be carried out, and the final regional result is dependent on the performance of every local count within the electoral region. A well-run count is a reflection of the conduct of the election locally and can reflect the capabilities of those involved in organising it.

1 Rule 50(1), European Parliamentary Elections Rules (EPE Rules); Schedule 1, European Parliamentary Elections Regulations 2004 (EPE Regulations), as amended by EPE (Amendment) Regulations 2009. 2 Rule 53(7), EPE Rules. 3 References to ‘candidate’ throughout this part refer to both individual and party list candidates, unless otherwise stated.

Part F, page 1, January 2009

Combination Where a local government election is held on the same day as the i European Parliamentary election; the verification of the ballot boxes for both elections is the duty of the local government Returning Officer and must be completed in full before either local government or European Parliamentary election votes can be counted.

Following verification, the local government Returning Officer will send the ballot boxes of verified European Parliamentary votes to the Local Returning Officer(s) for counting, together with the verification statement and any other relevant documentation.

On receipt of the verification statement, the Local Returning Officer should inform the Regional Returning Officer of the verification figures and finalise arrangements for the counting of the votes.

1.5 Planning should start by establishing the verification and count location(s). Accommodation should be reserved as early as possible to ensure that it is available and to prevent other bookings being made for those dates.

The Local Returning Officer is required to make arrangements for verifying and counting the votes in the presence of the counting agents. I This should be done with reference to the Regional Returning Officer. Verification and counting can begin before the material time (9pm on Sunday) and should be completed as soon as practicable after that time. If the actual counting is finished before that time, it is not deemed to have finished until the material time.4

The practical implications of undertaking personal identifier verification (with a minimum of 20% of each postal vote opening to be verified) will need to be considered. The Local Returning Officer will need to decide whether the verification of those postal votes returned to polling stations can be undertaken in time for the verification to commence on the Thursday evening.

Where the Local Returning Officer determines that the verification should commence on any day following the election, careful consideration will need to be given to the receipt of the ballot boxes and associated stationery from polling stations and the safe custody of those items up until the start of the verification process, and again between then and the counting of votes.

Also, it will need to be decided where the personal identifier verification should take place, e.g. at the verification location or at the election office. It should be remembered that candidates and agents, as well as accredited observers and representatives of the Electoral Commission, are entitled to observe the opening of postal votes and the verification of personal identifiers.

4 Rules 50(1) and 53(7), EPE Rules.

Part F, page 2, January 2009

The processes to be followed in the verification of personal identifiers, particularly where this is to be carried out using an automated system, may impact on the decision as to where the opening and verification should be carried out.

As with all details concerning the likely timetable of verification and counting the votes, the Regional Returning Officer should be kept informed as to the intentions of the Local Returning Officer and the resultant likely verification and count finish times.

1.6 When deciding how long to book the venue(s) for, set-up time will need to be considered, as well as any security checks that will need to be carried out in advance of the proceedings, the possibility of recounts, and storage requirements.

1.7 The Local Returning Officer should decide in advance on a policy on alcohol and the use of mobile phones in the verification and count centre. It is advisable to consider banning alcohol. Local Returning Officers will also want to consider whether or not to allow the use of mobile phones, laptops or other electronic communication equipment by other than the Local Returning Officer’s staff in the immediate count area. The rules on smoking in public places and workplaces apply to any verification and count centre and therefore smoking should be prohibited.

1.8 The Local Returning Officer should consider how information on the verification and count process can be effectively provided to candidates and agents in order to assist their participation and build confidence in the processes to be followed. Further consideration of this is given below.

1.9 It is essential that contingency planning arrangements are adopted as part of the election management process. Contingency arrangements ensure that if any part of the process fails, adequate back-up and support mechanisms can be put in place to maintain the proper arrangements for the conduct of the election and to enable all related procedures to be carried out efficiently and effectively. The key risks associated with the verification and count should be subjected to a formal risk assessment exercise by each Local Returning Officer.

For further consideration of adopting a project management approach to the management of elections and of identifying and managing risks, see A Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’.

Information on the verification and counting process

1.10 Providing information on the verification and counting process can help to lower the number of queries raised by candidates and agents, thus reducing the pressure on those working at the verification and count. It is therefore important that the Local Returning Officer gives careful consideration to providing information both in advance of the proceedings and at the venue itself on the processes to be followed.

Part F, page 3, January 2009

1.11 To assist in providing those attending with maximum information about facilities and procedures, Local Returning Officers may wish to consider providing information booklets in advance, giving details of what to expect at the verification and count and setting out the procedures to be followed. Pre-election briefing sessions could also be held, or agents could perhaps be invited to witness briefing sessions for count team leaders.

1.12 Local Returning Officers may wish to consider the following when planning for the provision of information at the verification and count venue:

• placing information posters and boards throughout the verification and count venue which show the key members of staff and provide an overview of the procedures to be followed • providing a layout plan of the venue, indicating the key areas of interest for candidates, agents and observers • providing pictures of the Local Returning Officer and key staff, to help candidates and agents identify them at the count • appointing a staff member to respond to queries and to act as liaison between candidates, agents, observers and key staff • using a public address system to make simple announcements about what is happening when and where • providing a hand-out listing all ballot box numbers and the names of the polling stations they relate to

1.13 As part of the Local Returning Officer’s responsibilities for ensuring that the verification and count arrangements are conducted efficiently and effectively, candidates, agents, representatives of the Commission and accredited observers should have, as far as practicable, an unrestricted view of the various processes.

1.14 However, while they must be afforded maximum access to the proceedings, they must not be able to interfere with the work of the verification and count staff. The layout of the verification and count venue is crucial in this matter. During the course of the proceedings it is inevitable that agents and candidates will want to observe at close quarters, which can appear intimidating and may be distracting to staff. It may, therefore, be appropriate to use stands and ropes to keep candidates and agents at a reasonable distance from the verification and counting area but still sufficiently close to allow the whole process to be observed throughout. No part of the process should take place out of the sight of candidates, agents and observers.

1.15 Clear signage and announcements should be used so that all present can be aware of what part of the process is being conducted where at any given time. Circulation areas for candidates and agents and the amount of space available in the vicinity of the verification and count tables should be maximised within the constraints of the venue, while at all times safeguarding the integrity of the proceedings and the safety of the staff. Obstructions such as stored furniture should be removed.

1.16 If any candidates or agents are dissatisfied in any way with the manner in which the proceedings are being carried out, the opportunity should always be

Part F, page 4, January 2009

available to make direct representations to the Local Returning Officer at the earliest time so that any concerns may be considered, explanations and reassurances given, and corrective action taken if necessary.

1.17 Openness and transparency at the verification and count processes are essential. Any procedures conducted away from the valid scrutiny of candidates and agents risks detracting from the confidence candidates and agents should have in the result. The media

1.18 In addition to making practical arrangements for their attendance, any early contact with the media should also include an explanation of the verification and counting processes to be followed and the expected finish and local declaration times. It may be helpful to provide media representatives with a briefing pack, and possibly also a briefing session, in advance of the verification and count.

For further guidance on dealing with the media and planning for their attendance, see Part B, ‘Preparing for a European Parliamentary A election’, Section 9, ‘Publicity and the media’.

The Commission will be producing an online handbook for the media ahead of the European Parliamentary and English local government elections, which explains the Commission’s role in the elections and answers questions frequently asked by the media about the conduct of elections and campaign spending rules and reporting requirements. The handbook will be available to download from the Commission’s website in spring 2009.

Venue

1.19 Factors to be taken into consideration when choosing a venue for the verification and count should include:

• availability for the time required to set up and conduct the proceedings • convenience for candidates, agents and count staff (including proximity to public transport) • access arrangements for vehicles and sufficient parking • separate entrances for candidates, agents, guests, observers and staff, and for the delivery of the ballot boxes • disabled access, both to and within the venue • size of the venue in respect of the space required to conduct the verification and count processes, including sufficient space (equipped with the appropriate infrastructure) for the opening of postal ballot papers, the checking of personal identifiers and the observation of these activities; sufficient storage space for parcels, ballot boxes and other equipment, in addition to the space required for the verification and count processes; and adequate space for count staff and other persons entitled to attend the count • lighting within the venue

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• platform or stage for announcing verification figures and local results, and for making regular announcements throughout the proceedings as appropriate • acoustics within the venue • internal and external IT and communication systems • toilet facilities • media requirements • facilities for candidates, agents, verification and counting agents, Commission representatives and accredited observers – it can be useful to have a separate room equipped with a television set to help keep people occupied during the verification and count • catering or hospitality facilities • furniture requirements: if there are insufficient tables and chairs in the venue, for example, these will need to be hired or acquired from another location – if furniture needs to be hired, contact the hiring companies as soon as possible to check availability and to place a booking

1.20 It is recommended that, as a contingency, an alternative verification and count centre be identified and provisionally booked. When doing so, the factors set out above should again be considered. Verification and count venue plans

1.21 At an early stage, layout plans should be drawn up to suit the available accommodation and the procedures to be followed. In the development of such plans, consideration should be given to the workflows to be followed at the verification and count. Additionally, consideration should be given to ensuring an unrestricted view of the proceedings by candidates, agents, representatives of the Commission and accredited observers, while ensuring that they should not be able to interfere with the work of the Local Returning Officer’s staff.

1.22 In considering how to organise the verification and count, the following factors should be taken into account:

• The number of tables to be used should accommodate the number of verification and counting assistants to be employed. • The layout of the tables should allow easy viewing by candidates, agents, accredited observers and representatives of the Commission. • All procedures adopted by the Local Returning Officer and their staff should be transparent at all times and explained where necessary. • Practices such as sorting ballot papers into bundles for registered political party lists and individual candidates should be conducted in an area that can be viewed by all candidates, agents, observers and representatives of the Commission at any given time. • In providing for the number of counting agents to be admitted to the proceedings, every effort should be made to ensure that the numbers for each party or individual candidate are not fewer than the number obtained by dividing the number of counting clerks by the number of parties and individual candidates standing. In any event, the number permitted to attend

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should not be such as to risk impeding the efficient conduct of the proceedings or be in breach of fire regulations. • Circulation areas and the amount of space available in the vicinity of the verification and count tables should be maximised at all times, and any obstructions such as stored furniture should be removed. • Sufficient seating facilities should be provided for candidates, agents, observers and representatives of the Commission, ideally away from the count tables so that conversations may be had while not risking distracting the count staff. • The Local Returning Officer is ultimately responsible for the health and safety of all persons present and this duty of care should be kept in mind when deciding on the layout of the venue: for example, any cabling from equipment or media cameras should not present a trip hazard to anyone at the proceedings; and free access to emergency exits should not be obstructed in any way. Maximum venue capacity should not be exceeded and there must be appropriate security to ensure that only those eligible to attend actually do so.

1.23 All equipment should be tested in advance of the verification and count, which may include public announcement systems, telephone lines, mobile phones, photocopying and computing equipment, scanning equipment for verifying postal voting personal identifiers, and power points. Contingency plans should be in place in case of an equipment or power malfunction.

1.24 Sufficient time should be allocated for setting up. Depending on the location, it may be difficult, or indeed impossible, to retrieve anything from the election office once the verification has started and so all equipment and materials should be checked in advance. On this basis, prepare a checklist of all materials, including stationery and equipment, that will be needed at the verification and count venue(s). A sample checklist for this purpose can be found below.

Equipment

1.25 The following equipment should be prepared and taken to the verification and count:

• signing-in sheets for staff • list of all staff • spare copies of instructions for staff • sample entrance passes, including samples of the identification badges held by Commission representatives and accredited observers • verification sheets – if a laptop is to be used, the spreadsheets should be prepared in advance; it is advisable to also have paper copies of the spreadsheets in case of equipment failure • postal ballot boxes and related envelopes • PC/laptop, printer and photocopier • local count result sheets • statement of ballot papers rejected • ‘rejected’ stamp and ink pad • ‘provisionally rejected’ stamp for any final postal vote opening

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• sorting trays (which could be marked with the names of parties and individual candidates) • cards to divide counted ballot papers, e.g. marked in 100s • electoral law reference books, Commission guidance manuals and other guidance materials • letter openers and scissors • sacks and ties for counted ballot papers • packets or envelopes for rejected ballot papers • assorted stationery items, including marker pens, pencils, rulers, adhesive tape, notepaper, string, rubber thimbles, paper clips and rubber bands • calculators • large box or other receptacle for the mixing and storage of verified ballot papers if empty ballot boxes are not to be used for that purpose • communication equipment as required for communication with and transmission of the provisional results to the Regional Returning Officer

Designated areas

1.26 Areas need to be designated for the different verification and count functions, and appropriately furnished and equipped. It is suggested that Local Returning Officers consider designating the following areas.

Outside the verification and count venue

Car parking and vehicle access 1.27 The organisation of vehicle access around the verification and count venue should be considered carefully. Any staff working in the car parking area should be equipped with appropriate safety wear such as high-visibility jackets, and should be appropriately trained to deal with a large volume of traffic including, for example, candidates and agents arriving at the proceedings and polling station staff arriving with ballot boxes.

1.28 It is advisable to designate different parking areas for candidates, agents and accredited observers, and for staff. It can also be helpful to have a designated entrance and exit to the car park, which may help to avoid congestion when ballot boxes are arriving from the polling stations.

Entrance 1.29 Staff should be positioned at the entrance to the venue to check the identity of people wishing to enter the verification and count. They should be provided with lists of those permitted to attend, including staff, candidates, agents and guests, and with information regarding the possible attendance of accredited observers and representatives of the Electoral Commission who do not need to be on the list of attendees. Staff should be instructed to check all tickets, entrance passes and accreditation identification as appropriate. It is important for health and safety and security reasons to record who actually attends the count.

1.30 Anyone not on the list of those permitted to attend or not in possession of the photographic identification issued to accredited observers and representatives of the Electoral Commission, examples of which are shown in

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Table 1, should not be allowed in without the consent of the Local Returning Officer. It should be made clear to the parties, candidates, elected representatives and any other interested individuals in advance that entry to the verification and count processes will be restricted to those on the Local Returning Officer’s list of those entitled to attend and accredited observers and representatives of the Commission.

Table 1: Observer badge types

Observer badge type Who are they? Access

Electoral Commission Extended powers of representative access (pink badge)

Observer registered Same as candidates with the Commission and agents, plus (silver badge) access to the issue of postal votes

1.31 Those entitled to attend the verification and count proceedings should be permitted to attend all or part of the processes as they so choose. There is no requirement for those eligible to attend to arrive by a certain time, and so those entitled to attend should be admitted whenever they arrive. For example, entry to the verification by those eligible to attend must not be restricted in the event that they arrive later than the advertised start of the process, particularly as candidates and agents have the right to attend the close of poll at polling stations and affix their seals to the ballot boxes and may therefore arrive some time after the count has begun, nor should any person who wishes to leave and return later be prevented from doing so.

Inside the verification and count venue

Receiving area 1.32 This area is where ballot boxes, ballot paper accounts and other polling station stationery and equipment will arrive for checking in and sorting. Ideally, this area should have an entrance separate from that used by other staff, candidates, agents and observers, with direct access from the car park or loading area. Staff should be positioned here to receive the materials and should be equipped with a checklist to mark off the ballot boxes as they arrive. Where the Presiding Officer delivers the ballot boxes and other materials to the verification

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venue themselves, receiving staff should ensure that all items are accounted for before the Presiding Officer leaves. A cursory check of the arithmetic of the ballot paper account could also be undertaken if possible at that time to allow explanations of any obvious discrepancies to be sought from the Presiding Officer. There should also be sufficient space for storage.

Reconciliation, verification and results table(s) 1.33 This is where verification staff will verify the contents of the ballot boxes. If laptops are to be used, cabling arrangements should be taken into account and contingency arrangements should be considered in the event of equipment failure. Staff receiving ballot boxes should take the ballot paper accounts to the verification table(s), where supervisors will check their verified totals.

Local Returning Officer’s table 1.34 This is where election law textbooks, Electoral Commission guidance, procedure notes, spare instructions, staff lists, stationery and other guidance materials should be available for quick reference.

Verification and count tables 1.35 These should provide proper segregation for the staff and counting agents, possibly using physical barriers. Some Local Returning Officers tape card around the edge of the tables to prevent agents leaning on them. Sufficient stationery should be provided at each table. Where space permits, chairs should be provided for counting agents.

Postal voting 1.36 Where postal votes are verified on site at the verification venue, a separate area should be allocated for processing unopened postal votes received from polling stations. There may be a considerable number, and the personal identifiers of not less than 20% of these will need to be verified. Adequate space should be allocated to receive and verify these postal votes, and to allow observation of this process. Where the personal identifier verification is to be undertaken via an automated system, network and cabling arrangements must be considered, as should contingency arrangements in the event of system failure.

Tables for counted ballot papers 1.37 Once ballot papers have been separated and counted, they may be placed in bundles for political parties and individual candidates and put on a separate table, so that all the votes for each party or candidate are kept in the same pile, with card dividers to show an agreed number, such as 100.

Area for candidates, agents and candidates’ guests 1.38 It may be beneficial to have a separate area set aside for candidates, agents and candidates’ guests. If space permits, a television set could be provided in an adjacent room.

Area for refreshments 1.39 Consider providing an area where verification and counting assistants and other staff can get drinks and snacks. It is important to have adequate refreshments available to help to maintain staff energy and concentration levels

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throughout the process. It is not advisable to let counting assistants eat or drink at the table while they are verifying or counting, in order to avoid the possibility of any spillages.

1.40 It is for the Local Returning Officer to decide whether to provide refreshments for candidates, agents and other attendees, and whether to charge for them.

Media area 1.41 The requirements for the media area will depend upon the types of media represented and their respective needs. Ensure that media representatives do not interfere with or compromise the secrecy of the process. If television cameras are present, any lighting should not cause undue heat or glare which might impair the efficiency of the count, and cameras must not be allowed to film close-ups of the ballot papers. In addition, it is important that there are no trailing cables for other count attendees to trip over, and that any equipment installed is safely positioned.

1.42 It is advisable to ensure that the council’s public relations team are present to deal with media enquiries, although they should be briefed by the Local Returning Officer and should ensure that they know who to approach if they are asked any technical questions. Health and safety

1.43 The Local Returning Officer is ultimately responsible for the health and safety of all persons who are present during the course of the verification and count proceedings. The risk assessment process, referred to in Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’, will serve to identify any hazards or vulnerable areas within the verification and count centre prior to the election, and so any appropriate remedial action should already have been taken.

1.44 Special consideration should be given to polished floor surfaces to see if secure temporary flooring would be more appropriate. Trailing leads or cables should also be avoided. Access arrangements to any raised area must also be considered, particularly with regard to older or disabled people.

1.45 Instructions should be given to staff on the manual handling of ballot boxes, parcels and large batches of ballot papers. Measures should also be taken to ensure that any sharp edges on racking or table surfaces are appropriately covered or marked. Staff engaged in ballot box opening should be instructed in the safe usage of any implements used to cut open the security seals.

1.46 It is advisable to have first aid personnel available throughout the course of the proceedings. These personnel should be easily identifiable and it may be appropriate to designate a place in the verification and count centre where those who need assistance can go should they require any treatment.

1.47 In order to stress the importance of health and safety considerations and to draw attention to, for example, fire evacuation routes and the prohibition on

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smoking, it is good practice to prepare and distribute an explanatory verification and count layout leaflet to all those attending the proceedings, which could be incorporated into any information booklet provided in advance of the proceedings. By providing such information, the possibility of risk or injury to those attending will be restricted to an absolute minimum.

1.48 This leaflet could also serve to highlight other related arrangements such as car parking, refreshment areas (if provided), toilet accommodation, reception services and security arrangements. Security

1.49 It is advisable to contact the local police force at an early stage to inform them of the venue and plans for the proceedings. It may be helpful to meet with the police on site at the venue in advance of the election, when they may be able to give further advice on security. The police may wish to undertake security checks at the venue, and may also attend the proceedings. The police do not have an automatic right of access to the count but should be permitted to attend as guests of the Local Returning Officer.

1.50 At all proceedings, staff should be alert and report any suspicious packages or activity to the Local Returning Officer. Contingency plans should be in place in case of any security alerts such as bomb threats or other emergency situations, including an evacuation of the venue in the event of a fire alarm. Consideration should be given to developing a policy for the security of the ballot boxes and papers during any such evacuation, which should ensure that any process does not risk staff safety. This should all form part of the wider, formal risk assessment exercise carried out by each Local Returning Officer.

Guidance on contingency planning and risk assessment processes can be found in Part B, ‘Preparing for a European Parliamentary election’, a Section 1, ‘Planning and risk management’.

A template risk register has also been developed and is available for download from the Commission’s website. This is capable of being customised to cover local circumstances and arrangements: www.electoralcommission.org.uk/__data/ assets/word_doc/0010/64927/Contingency-planner-WEB.doc

1.51 Only authorised people should be admitted to the proceedings. All staff, candidates and their guests, agents, media representatives and persons permitted to attend at the Local Returning Officer’s discretion should be issued with an entrance pass or ticket and be informed that they will not be allowed into the venue unless they bring their pass or ticket. It would be sensible to issue separate passes for both the verification and count where these are being conducted separately. Lists should be compiled of all those who have been provided with a pass in advance of the verification and count. Commission representatives and accredited observers must be admitted on the basis of their Commission-issued identification badges, and should not be required to show passes issued by the Local Returning Officer.

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For examples of the identification badges issued by the Commission to its representatives and accredited observers, see Table 1.

1.52 Staff should be appointed to control admission to the verification and count and check the admission passes against the master list. The names of all attendees should also be logged, both to assist in the event of an emergency evacuation and to provide to the police if required in the event of a civil disturbance or challenge to the election.

1.53 Appropriate security procedures must be in place for the storage of ballot boxes and the ballot papers when the verification is conducted at a different time to the sorting and counting of the votes. Further consideration is given to this in Section 3, ‘The verification and count process’. Staff

1.54 In order for the verification and count to be successful, there needs to be an adequate number of well-briefed staff. The following staff are typically employed:

• Deputy Local Returning Officers – to make decisions on doubtful ballot papers and to give the local result should the Local Returning Officer become unable to do so. • Verification assistants – an adequate number to verify the numbers of ballot papers in the ballot boxes efficiently. • Count assistants – an adequate number to count the votes efficiently. • Verification/count supervisors – to supervise the verification and count assistants respectively. • Staff to receive ballot boxes as they arrive from the polling stations – these staff can then be used to open and count the unused ballot papers and to pack up documents and stationery. • Staff at the entrance/security staff – to check entrance passes and tickets to ensure that only authorised persons are admitted to the verification and count and that order is maintained within the verification and count. • Reconciliation staff – to check the ballot paper accounts. These staff are particularly important and should be skilled with figures and at spotting irregularities. • Postal vote staff – to deal with the postal votes returned from polling stations. • Porters – for moving items, such as ballot boxes and sacks of stationery, around the venue. • Car park attendants – to supervise activity outside the venue.

1.55 Most Local Returning Officers will have a database of staff used at previous elections. Staff can often be recruited from among council employees. Also, some local authorities use bank and building society staff to count the ballot papers. If verifying immediately following the close of poll, it is preferable, if at all possible, not to use staff who have been on polling duty all day.

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1.56 Election staff should communicate directly with the individuals selected for employment at the verification and count, to ascertain their availability. Once responses have been received, formal letters of appointment should be issued with details of the reporting time at the commencement of the proceedings and an outline of the procedures to be followed. This letter of appointment could also incorporate the requirements as to secrecy and a statement setting out that they cannot assist or work for any party or candidate during the election. A copy of the relevant secrecy provisions is included in Section 8, ‘Resources’. It is advisable to request that verification and count staff confirm acceptance of their appointment. This can be done by asking them to complete and return a small, suitably worded form.

1.57 It can be useful to brief supervisory staff a day or two in advance of the verification and count so that they are aware of their duties. Verification and counting staff may then be briefed just prior to the commencement of the relevant proceedings. They should, however, be issued with guidance notes in advance.

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2 Attendance at the verification and count

2.1 The following people are entitled to attend the verification and count at European Parliamentary elections:5

• the Regional Returning Officer and staff • the Local Returning Officer and staff • individual and party list candidates, plus one guest per candidate • election agents • counting agents • Commission representatives • accredited observers

2.2 In addition to those listed above, the Local Returning Officer, at their discretion, may permit other people to attend the proceedings, provided the Local Returning Officer is satisfied that this will not impede the efficient counting of votes and they have either consulted the election agents or thought it impracticable to do so.6 Media representatives and the police have no automatic right of entry to the verification and count and it is up to the Local Returning Officer to decide whether or not to allow them to attend. All requests from persons not entitled to attend by right should be considered by the Local Returning Officer, who has the final decision on who is admitted.

2.3 Local Returning Officers should provide all those to be present at the verification and count proceedings, including staff, with badges in order to allow easy identification of those in attendance. Electoral Commission representatives and accredited observers should be permitted to use their identification badges issued by the Commission for this purpose, and not be required to wear any additional passes. Verification and counting agents

For information on the appointment of verification and counting agents, see Part C, ‘Action before the poll’, Section 4, ‘Appointment of election, polling and counting agents’. A

2.4 The Local Returning Officer must give the verification and counting agents who have been appointed notice in writing of the time and place at which both the verification and the count processes will begin.7 Observers

2.5 Local Returning Officers may limit the number of observers who may be present at any one time during the count.8 Local Returning Officers should, however, use caution in exercising this power. Electoral observation is a

5 Rules 50(2) and 52(3), EPE Rules. 6 Rules 50(3) and 52(4), EPE Rules.. 7 Rules 50(1) and 52(1), EPE Rules.. 8 Section 6E(1), Political Parties, Elections and Referendums Act 2000 (PPERA).

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legitimate and valuable part of the electoral process, and care should be taken not to hinder or obstruct the conduct of observations. It is important to note that no Local Returning Officer is entitled to bar all observers from a count, only to limit the number of observers present at any one time.

For further consideration of observers, see Part B, ‘Preparing for a European Parliamentary election’, Section 8, ‘Electoral integrity’.

Admission to the verification and count

2.6 Tickets or entrance passes should be given to everyone entitled to attend the verification and count, including media representatives. It can be useful to have different-coloured tickets or passes to identify the different categories of people attending the verification and the count, e.g. media representatives, candidates and agents, and count staff. Tickets for verification and counting agents could be handed to election agents for delivery to their verification and counting agents, due to the short timescales.

2.7 Lists of those persons entitled to attend should be provided to staff at the entrance to the verification and count for checking purposes. However, Commission representatives and accredited observers need not provide advance notification of where they intend to observe, which means that they may not be on the list. This will need to be made clear to security staff at the entrance to the venue. Commission representatives and accredited observers must show their Commission-issued identification badges in order to gain access.

2.8 All persons attending the count must be supplied with the relevant parts of Regulation 29 of the EPE Regulations relating to secrecy. A convenient way of doing so could be to incorporate this onto the reverse of the entrance passes required for admission. A copy of the relevant secrecy provisions can be found in Section 8, ‘Resources’.

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3 The verification and count process

3.1 Before the commencement of the proceedings, the verification and counting assistants should be briefed. It should be clearly explained to them what they are required to do, and any previously circulated written instructions should be reinforced. Staff should then be deployed in accordance with the verification and count plan and, at the verification, in preparation for the arrival of the ballot boxes. For a European Parliamentary election, the verification and count are two separate processes. The count may start directly after the verification or there may be a break between the proceedings, possibly of several days.

3.2 The Local Returning Officer should briefly address the candidates, agents and all others in attendance, to explain what will be happening at the verification and count and to advise them on any policy regarding smoking, drinking or using mobile phones, and any other relevant information. It is helpful to have further announcements throughout the processes setting out what parts of the process are being carried out where and when, for example to let everyone know when the final ballot box has arrived, when verification has been completed, what the turnout figures are or, at the count, when the adjudication of doubtful ballot papers is to be carried out. Receipt of ballot boxes

3.3 Staff receiving ballot boxes should be briefed to ensure that they are handed the ballot paper account and the envelope containing the postal votes returned to the polling station, along with the ballot box(es) and sacks of material. Where Presiding Officers are required to transport the boxes to the verification venue, it should be made clear to the staff receiving the boxes that no Presiding Officer should be allowed to leave until their ballot box(es) and all of these documents and packets have been received and checked off by the designated verification staff and, if possible, a cursory check of the ballot paper account could be made.

3.4 From there, ballot paper accounts should be taken to the reconciliation staff, while envelopes of postal votes handed in at polling stations should be given to those members of staff allocated to deal with them.

3.5 The sacks containing the election documents that need to be stored should be separated from those containing the items that will be reused. The packets and parcels from polling stations should be organised for easy location of any packet.

3.6 All packets of unused ballot papers must be opened and counted, with the numbers counted supplied to those staff members responsible for checking the verification totals.

3.7 It should be remembered that the Local Returning Officer is prohibited from opening the sealed packets of tendered ballot papers, corresponding number lists and certificates as to employment and the marked copies of the register and lists of proxies.

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3.8 Staff should be briefed about moving ballot boxes and carrying heavy sacks, in order to reduce the risk of any injuries. Staff should avoid lifting boxes over verification assistants where at all possible. Verification

3.9 The training of Presiding Officers in the completion of ballot paper accounts, coupled with ballot paper accounts produced in a clear, easy-to-complete format, should help to provide a firm foundation for the verification process.

The Commission will publish a template PowerPoint to support Local Returning Officers in the training of polling station staff, which will cover a the completion of ballot paper accounts. This will be available to download from www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections

3.10 Ballot paper accounts should, where possible, be given a first check on receipt while the Presiding Officer is still present, covering at least the basic arithmetic on the account. Any mistakes or discrepancies may be able to be accounted for, such as the Presiding Officer may recall an incident where an elector has walked off with a ballot paper.

3.11 The verification of used and unused ballot papers is a legal requirement9 and is essential for the declaration of an accurate result.

3.12 During the verification process, ballot papers must remain face down at all times.10

3.13 Candidates and agents should be given a description of the processes that will be followed during the verification and count so that they can understand the processes and effectively exercise their scrutiny function.

The verification process

3.14 The key stages of verification are as follows:

1. Open the packet of unused ballot papers and ascertain the number of ballot papers that were not issued by noting the number of books and number of part books of papers inside the packet.

2. In the presence of the verification agents, the verification supervisor should open the ballot box. Any ballot box with a seal attached by an agent at the close of the poll should be shown to those present as still sealed before breaking that seal. The ballot papers should be carefully tipped onto the verification table, ensuring that none have fallen onto the floor and that the box is totally empty. The empty box should be shown to the agents so that they can be satisfied that it is indeed empty. The verification assistants should unfold the ballot papers and count them into bundles of 20, 25, 50,

9 Rule 51(5), EPE Rules. 10 Rule 51(4), EPE Rules.

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100, or whatever other number is determined by the Local Returning Officer. They should be kept face down throughout this process. Accuracy at this stage is vital, so bundles should be passed to another assistant for rechecking. Any tendered ballot papers that have been mistakenly placed in the ballot box during the day should be removed and handed to the supervisor.

3. The Local Returning Officer must then verify each ballot paper account. This is done by comparing the totals given on the ballot paper account against the number of ballot papers counted and recorded as being present in the ballot box. The Local Returning Officer should also compare unused and spoilt ballot papers, as well as the tendered votes list, against the figures on each ballot paper account. It is advisable not to inform those carrying out the verification of the numbers on the ballot paper account, and thus the number of ballot papers they should expect to have, before they have given their total number of ballot papers to the reconciliation staff. If the total number of ballot papers in the ballot box agrees with the total on the ballot paper account, and with the total number of unused ballot papers, proceed to stage 5.

4. If the totals do not match, the following procedure should be undertaken:

a. Make a full check of the arithmetic on the ballot paper account. Presiding Officers often may have made basic errors when adding and subtracting under pressure, and any discrepancy may simply be because the figures provided on the ballot paper account are incorrect. Use the unused ballot papers, spoilt and tendered ballot papers as well as the other packets of returned materials and any log book of information to try to identify any reason for missing or additional ballot papers.

b. Check the record of issued ballot boxes to see if more than one box was issued to the polling station and ensure that all boxes allocated to the station are opened and accounted for.

c. Check if the ballot box has come from a multiple polling station location and, if it has, verify and check the verification of the ballot paper account(s) for the other polling station(s) within that location to see if there is a compensating error. It may be helpful to verify boxes from the same polling station location simultaneously at adjacent tables, or one immediately after the other.

d. If the ballot box is from a single polling station, or if there is no compensating error in the figures from the other polling station(s) in a polling place, recount the box at least twice, or until the same figure is counted on two consecutive occasions.

e. If after following the procedures outlined above any discrepancy still remains, the Local Returning Officer should use the figure of the number of ballot papers counted and recounted by the verification staff

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as the verified figure and make an appropriate note on the ballot paper account. The verified total and the variance between that and the number on the ballot paper account, if possible with an explanation of why that variance has occurred, should be added to the statement as to the result of verification. The statement should show that the agreed process has been followed.

5. Put the verified ballot papers together for mixing in either empty ballot boxes or other suitable receptacles. Whatever is used, it should be clearly marked that it is a ‘mixing box’ and, if it is a ballot box, should not contain any of the markings used during the poll.

6. All empty boxes should be moved from the area in order to avoid any possible confusion. Before moving these boxes, they should be double- checked to ensure that they are completely empty. They should be stored safely so that they do not present a hazard.

7. Ensure that the statement as to the result of verification is completed and signed. This is a record of the numbers on ballot paper accounts and the numbers of actual counted ballot papers, and should also include the total number of unused papers counted, along with an explanation for any variances. Any agent may make a copy of this, and indeed it may be helpful to photocopy or print copies of this for the agents present once the verification of the boxes has been completed.

8. It is vital that the verification staff have an accurate list of every ballot box that has been issued which may contain ballot papers, both from the polling stations and from the postal vote openings. Only when they are satisfied that every box has been received and opened, and all ballot papers have been verified, will verification be complete. The Local Returning Officer can then calculate the percentage turnout and should provide the candidates and election agents with details of the verified total and the overall turnout.

9. It should be noted that turnout is derived by the total number of ballot papers verified at the count divided by the total number of electors eligible to vote ×100. Postal votes that have been returned but where the ballot papers have not been sent to the count (i.e. have been rejected due to no postal vote statement being received or the fact that the statement was not duly completed) should not be included in this figure.

10. If the counting of the votes is not proceeding directly after the verification, the Local Returning Officer must then secure the ballot papers and other documents relating to the election under their own seal. Counting agents may also apply their own seal. The ballot papers and election documents should then be moved to a secure place of storage either at a place in the verification/count venue or elsewhere.

11. The Local Returning Officer must inform the Regional Returning Officer of the total number of verified ballot papers that will be included in the count.

Part F, page 20, January 2009

Combination If separate ballot boxes are used it should be noted that even if the elector i places their ballot paper in the ‘wrong’ box, their vote must still be counted. A procedure should be in place to move ballot papers to the correct box during verification. This procedure should be transparent and communicated clearly to the candidates and agents so that it is clear to all present when and why papers are being moved around the verification venue.

All ballot boxes must be opened and verified completely for all the different election types.

If electors have been asked to place all their ballot papers in the same box:11 a. the ballot papers must be sorted into their respective elections b. the European Parliamentary election ballot papers must be kept face down and all other ballot papers must be kept face up c. the verification procedure should then be completed for each separate election

If electors have been asked to use different ballot boxes for each election: a. the different ballot boxes should be verified at the same or adjacent tables and either simultaneously or one after the other b. any ballot paper placed in the ‘wrong’ box should be moved to the correct ballot box c. the European Parliamentary election ballot papers must be kept face down and all other ballot papers must be kept face up d. the verification of the different ballot boxes must be completed before proceeding to the next stage of the process

As with all aspects of the verification and count process, transparency is key and the process followed should be clear to all present.

The candidates and agents for each of the elections may be in attendance at the verification of the ballot box(es). They have the right to then add their own seal if the box containing the verified ballot papers is then going to be re-sealed and stored until the count commences.

Note: If a separate ballot box is used for each election, the verification procedure outlined above should be amended at 4(c): c. Check the ballot boxes for all election types for all polling stations within the same polling place. The verification of the ballot paper accounts for the other polling stations within that location may indicate a compensating error due to electors placing their ballot paper in the ‘wrong’ box or in a box from the wrong polling station. If the compensating errors all balance, the verification can be

11 Paragraph 6, Schedule 3, EPE Regulations; Rule 26(2), Schedule 3, Local Elections (Principal Area) (England and Wales) Rules 2006. These give Returning Officers the option to have either a single box for all elections or separate boxes for each election.

Part F, page 21, January 2009

deemed to have been successful. It may be helpful to verify all the boxes from the same polling place location simultaneously at adjacent tables, or one immediately after the other.

After the ballot boxes have been verified, the ballot papers should be moved into a ‘mixing box’ for each separate election. Once verified, it is essential that the ballot papers from the different elections are kept separate.

Postal ballot papers at the verification

3.15 The ballot boxes containing the postal votes already received and opened by the Local Returning Officer will have been delivered separately to the verification venue. The postal ballot papers should be verified as soon as the verification stage as outlined above is under way.

3.16 There may also be some unopened postal ballot papers to be processed at the verification, which may include those that have been delivered to the Local Returning Officer’s office and those that have been handed in at polling stations, as well as any collected from any final sweep conducted by Royal Mail. The Local Returning Officer may choose to open these postal votes at the verification venue itself or elsewhere, for example in the election office. Whichever location is chosen, the Local Returning Officer must give 48 hours’ notice in writing to each election agent and individual candidate detailing when and where each opening is to take place in order to allow them to inspect the process.

3.17 The Local Returning Officer can make arrangements to collect any postal votes that are handed in at polling stations throughout polling day to expedite the verification process, but there are still likely to be some postal votes handed in at polling stations that will arrive at the verification. It is important that the staff receiving the ballot boxes ensure that they are also handed the packets of postal votes, and that they know where to take them.

3.18 If the remaining postal votes are to be opened at the verification venue, it is important to have a dedicated area and staff specifically allocated to this task, as the number received may be considerable. Such staff may be able to move on to other duties once all the postal votes have been processed.

Further information on the process of opening postal votes can be found in Part D, ‘Absent voting’, Section 10, ‘Receipt, opening and storage of postal votes’. A

3.19 The lists of ballot papers received without a postal voting statement and postal voting statements received without a ballot paper, together with the corresponding ballot papers and postal voting statements, should be taken to the verification in order to enable a final check of the two lists to try to match up any postal voting statements and ballot papers which are valid but unmatched. Any ballot papers and postal voting statements that can be matched up must be included in the count. Any that cannot be matched up must be rejected and placed in the appropriate packages.

Part F, page 22, January 2009

3.20 All packets and ballot boxes containing postal ballot papers must be subject to verification in the same way as any ballot box from a polling station. As these will often be some of the first boxes being verified, it is particularly important that an accurate count and ballot paper account is produced for each box. Security of stored ballot boxes

3.21 The secure storage of ballot boxes between the verification and the count where they are to be conducted at different times is vitally important.

3.22 The total number of boxes containing the verified ballot papers should be accounted for at the end of verification, and this should be checked prior to the commencement of the counting of the votes. The boxes should be sealed by the Local Returning Officer, and any agents present should be allowed to add their own seal.

3.23 The method of storage of the boxes must be such that the Local Returning Officer is satisfied that they have taken adequate steps to ensure that the ballot papers are kept secure and cannot be interfered with.12

Counting the votes13

Receipt of the boxes

3.24 If the boxes containing the verified ballot papers are being stored away from the count venue, the return of these boxes does not have to take place in the presence of agents or during the time of the count, but the boxes must not be opened at this time. There should, however, be a check of the number of boxes returned against the number that were put into secure storage, with a system in place to ensure that all the relevant boxes have been returned, ready to be opened at the start of the count process.

3.25 No box can be opened until the start time of the count. All boxes should be opened in full view of any agents that are present. When a box has had a seal attached by an agent, particular care should be taken to show to any agents present that this seal is still intact prior to it being broken.

3.26 At a European Parliamentary general election, although the votes may be counted before polling closes in the remainder of the European Union, i.e. before 9pm on Sunday evening, there must be no disclosure of the results until after that time – ‘the material time’.14 The Local Returning Officer should liaise with the Regional Returning Officer regarding the arrangements and expected timings for the count and transmission of the local results.

12 Rule 51(8), EPE Rules. 13 Rule 53, EPE Rules. 14 Rule 53(7), EPE Rules.

Part F, page 23, January 2009

Sorting

3.27 Counting assistants should mix the ballot papers, such as postal and polling station ballot papers, and sort them into votes for each political party or individual candidate. Unlike at the verification process, the ballot papers should be kept face upwards throughout the process in order to prevent the number and other unique identifying mark on the back of the ballot papers being seen.15 The ballot papers should be placed the same way round so that they are visible at all times to the counting agents. Any doubtful ballot papers should be handed to the supervisor for adjudication by the Local Returning Officer. It may be appropriate to have a tray on the table for these to be kept in.

3.28 Under no circumstances should tendered ballot papers be included in any count or recount.

3.29 The votes for each political party or individual candidate should be counted into bundles of 20, 25, 50 or 100, depending on local preference, and should be secured with a clip or rubber band. A slip bearing the political party or individual candidate’s name should be attached to the front of the bundle. It may be helpful if this is colour-coded, for example in the appropriate party colour. These bundles should be recounted by another counting assistant to ensure the accuracy of the bundle.

3.30 The supervisor should then take the bundles of ballot papers to the main counting table, where the bundles should be double-checked by flicking through to ensure that all of the votes in the bundle are for the same party or individual candidate. The bundles should then be placed in trays or rows, with numbered cards indicating each bundle of 100 or some other predetermined number of votes. This process should carry on until all of the votes for each party or candidate have been counted. It is unlikely that the number of votes in the final bundle for each party or candidate will equal the predetermined number, and so a note should be made of the number of votes in those bundles on a suitable slip of paper which clearly identifies the bundle as an incomplete bundle, which should be attached to the front of each of those bundles.

3.31 The doubtful ballot papers set aside for the Local Returning Officer should be adjudicated, and those considered valid for a political party or individual candidate should be added to that party or candidate’s bundles. Those considered invalid should be counted and placed in the receptacle for rejected votes. Further information on the adjudication process can be found in Section 4, ‘Doubtful ballot papers’.

Reconciliation

3.32 Once all of the ballot papers have been sorted and any doubtful ballots adjudicated, the key task of reconciliation can begin.

3.33 All of the bundles and part bundles for each party and individual candidate should be counted. Additionally, all rejected ballot papers should be counted. The

15 Rule 53(3), EPE Rules.

Part F, page 24, January 2009

figures for all the parties and individual candidates should then be added to the number of rejected papers, and together this figure should exactly match the verification figure obtained at the end of verification. If the two figures agree, the Local Returning Officer should proceed to the process of giving a provisional result (see below).

3.34 If the figures do not agree, the following procedure should be undertaken:

• Check the storage area, including any area used between the verification and count, and check to ensure that all boxes have been opened and that all boxes are empty. • Check all floors and surfaces for ballot papers that may have been dropped in the count venue. • Re-check the verification figures and reconciliation for calculation mistakes. • Ensure that all rejected papers are accounted for. • Consider recounting the ballot papers in the bundles.

3.35 The Local Returning Officer must be satisfied that the result given reflects the ballots received, and so should carry out the procedure outlined above and any other checks they deem necessary in order to be so satisfied before proceeding to give a provisional result.

Provisional result

3.36 The Regional Returning Officer should be contacted and informed of the provisional result. While the Regional Returning Officer may ask for information and clarification around the figures provided to them, they have no right to require, and cannot insist on, a recount.

3.37 If it is after the material time of 9pm on Sunday 7 June, the agents can also be given the provisional result. If it is too early to give the agents the provisional result when it is first available, they must be given it at the material time.

3.38 It is at this point that any candidate, agent or authorised counting agent may request the Local Returning Officer to have the votes recounted or, following a recount, recounted again. All agents with the right to require a recount should be given the opportunity to ask for one.

3.39 The Local Returning Officer may refuse to undertake a recount or a further recount if they believe the request is unreasonable. Once any recount has been completed, the Local Returning Officer should re-start the procedure for giving a provisional result. Further information on recounts can be found in Section 5, ‘Recounts’.

3.40 Once the provisional result has been considered by the Regional Returning Officer and agents, which includes considering any requests for and undertaking any recount(s), the Local Returning Officer can proceed to declaring the local result and should not dismiss count staff until confirmation of the local results is received from the Regional Returning Officer.

Part F, page 25, January 2009

The local result

3.41 The Local Returning Officer must draw up a statement showing the number of votes given for each political party and each individual candidate (excluding rejected ballot papers).16 A statement of the numbers of rejected votes should also be sent.17

3.42 The Local Returning Officer must then give formal notification of the local result to the Regional Returning Officer.18 The procedure for doing this should be agreed with the Regional Returning Officer in advance.

3.43 Once the local result has been agreed and confirmed with the Regional Returning Officer, the Local Returning Officer must give public notice of the local result, including the statement of rejected ballot papers. In addition to making a public declaration at the count venue, the Local Returning Officer should consider publishing the statements online to allow electors access to the local result.

16 Rule 57, EPE Rules. 17 Rule 55, EPE Rules. 18 Rule 57(2), EPE Rules.

Part F, page 26, January 2009

4 Doubtful ballot papers

This section is intended as a guide only. Ultimately, the decision on any particular ballot paper rests with the Local Returning Officer and it is for I them to determine their view on the application of case law. The decision of the Local Returning Officer is final, subject only to review on an election petition.19

4.1 Any doubtful ballot papers should be placed in a tray for the supervisor to take to the Local Returning Officer for adjudication. The following ballot papers require further consideration:

• want of an official mark (not the unique identifying mark) • voting for more than one party or individual candidate • those where the voter’s intention is uncertain • having any writing or mark on any part of the paper by which the voter can be identified • any paper with anything unusual about it (for example, any paper that appears to have been altered, either with a clearly different writing instrument or with correction fluid) • any paper torn or mutilated in any way

4.2 It is important to adjudicate doubtful papers regularly as the count proceeds. Do not leave the adjudication of doubtful ballot papers until the end of the count.

4.3 The adjudication of doubtful ballot papers should be carried out by the Local Returning Officer, or any appointed Deputies, in the presence of the candidates and agents, Commission representatives and accredited observers, with reasons given for each decision.

When adjudicating doubtful ballot papers, the following principles should be followed: I • Take time to ensure that a considered decision is given in every case. • Always be clear and consistent. • Attempt to allow, not reject. • Endeavour wherever possible to discern the intention of the voter and to give effect to it.

4.4 The Local Returning Officer can only reject a ballot paper:20

• that does not bear the official mark (not the unique identifying mark) • on which votes are given for more than one registered party or individual candidate, or for both a registered party and an individual candidate • on which anything is written or marked by which the voter can be identified • that is unmarked or where the voter’s intention is uncertain

19 Rule 56, EPE Rules. 20 Rule 55, EPE Rules.

Part F, page 27, January 2009

4.5 However, unless the way the ballot paper is marked identifies the voter, a ballot paper on which the vote is marked in the following ways should not be rejected if the voter’s intention is clear

• elsewhere than in the proper place • otherwise than by means of a cross • by more than one mark

4.6 Ballot papers that appear to be altered, either with a clearly different writing instrument or with correction fluid, should be treated as ‘doubtful’, and put forward for adjudication where the Local Returning Officer will decide on their validity in the presence of candidates and agents. Although such ballot papers should still be counted if they meet the other requirements for validity, the Local Returning Officer may consider packaging them separately in case of later challenge or investigation.

4.7 A ballot paper marked with a vote for a candidate on a party list must count as a vote for that party list unless it is otherwise invalid for another reason.21

4.8 Any ballot papers that are judged as being valid should be included in the bundles for the appropriate parties or candidates.

It is important to note that, once adjudicated, ballot papers cannot be re- adjudicated, as the Local Returning Officer’s decision on any question I arising in respect of a ballot paper is final.22 This includes those ballot papers that have been found to be good for candidates or parties, not just those that have been rejected.

4.9 The Local Returning Officer must draw up a statement showing the number of ballot papers rejected under each of the following headings:23

• want of official mark • voting for more than one registered party or individual candidate • writing or mark by which the voter could be identified • unmarked or void for uncertainty

4.10 Each rejected ballot paper should have the word ‘rejected’ stamped on it and should be placed in a package for rejected ballot papers.

4.11 If any agent objects to the decision to reject, the ballot paper must also be endorsed with the words ‘rejection objected to’. Although observers should be able to observe this process, unlike agents they do not have the right to object to the rejection of a ballot paper.

21 Rule 55(3), EPE Rules. 22 Rule 56, EPE Rules. 23 Rule 55(5), EPE Rules.

Part F, page 28, January 2009

Examples

Suggested examples of allowed and rejected votes are available to order as a hard copy placemat: for order details see Part A, ‘Context’, Section 5, ‘Resources’. A

Part F, page 29, January 2009

5 Recounts

5.1 The Local Returning Officer should be satisfied that the number of votes for each registered party and individual candidate is accurate before proceeding to a provisional result. The provisional result can be given to the agents no earlier than the material time of 9pm on Sunday 7 June.

5.2 At this time, the following people have the right to ask for a recount:

• a candidate on a party list • an individual candidate • an election agent of a party list or individual candidate • a counting agent specifically authorised to ask for a recount

5.3 The basis for a recount at a European Parliamentary election will normally be because of a difference between the number of votes counted and the total number of votes found at the verification stage, or because a party or candidate feels that there has been an error in the counting of the votes. Recounts can only be carried out at local counting area level: recounts at the regional level are not permitted.

5.4 The Local Returning Officer must consider any request but may refuse if in their opinion a recount is unreasonable.24 The Local Returning Officer should inform all candidates and agents present before commencing any recount.

5.5 If a recount is allowed by the Local Returning Officer, it should follow the procedure of the original count. As with the original count, any recount should be carried out in full view of the candidates and agents, Commission representatives and accredited observers so that they may observe the process. The Local Returning Officer should check the result of the recount and, if satisfied, should inform the candidates and agents of the new provisional result. The processes described under the ‘Provisional result’ heading of Section 3, ‘The verification and count process’, above, should be undertaken again.

5.6 Under no circumstances should tendered ballot papers be included in the count or any recount.

5.7 It is possible to have more than one recount, particularly if there is a significant difference between the first and second counts. If, however, the result of the recount is the same as, or very close to, the original count, there may be little purpose in having another recount. It is the Local Returning Officer’s decision whether or not to agree to further recounts.

5.8 The Local Returning Officer should consult with the Regional Returning Officer if a recount is required so that the new estimated result time can be determined.

24 Rule 54(1), EPE Rules.

Part F, page 30, January 2009

6 Notification of local result

6.1 It is essential that the arrangements for the giving of the notification of result to the Regional Returning Officer, including the format in which the notification should be made, are established well before the count takes place. At a European Parliamentary election, the Local Returning Officer must compile a local result and must then inform the Regional Returning Officer of the result as soon as possible.

6.2 The Local Returning Officer must give public notice of the local result once they have notified the Regional Returning Officer of the number of votes given for each registered party and individual candidate, and the Regional Returning Officer has agreed that the local result can be given.25

6.3 The following factors should be taken into account when considering the notification of the local result:

• It is a requirement to provide public notice of the votes given to each party and individual candidate. The notification should be given in writing at the end of the count or afterwards, from the council building or such other place. • Local Returning Officers should consider making a verbal declaration of the local result for the candidates and agents present at the end of the count. When an individual candidate has used their commonly used name to stand in the election, the Returning Officer should use both their full name and the commonly used name when declaring the result. • Media representatives present at the count will be keen to ensure that their transmission of the result is accurate and so Local Returning Officers should consider whether written or electronic copies can be issued at the time the public declaration is made. • The rejected votes must be listed on a separate notice from that stating the numbers of votes cast for each registered party and individual candidate, but could also be combined into one single results document for the local counting area comprising both the votes counted and the rejected ballots. • The local result should then be placed on the internet and posted at council offices and other places.

6.4 Once public notice of the result is given, the Local Returning Officer has no power to amend the result, even if uncounted ballot papers are subsequently found. It is therefore essential that the result is correct and that empty ballot boxes are checked before the end of the count. Therefore the reconciliation procedure as documented in Section 3, ‘The verification and count process’, above, including checking that the total number of verified votes and postal votes equates to the total number of votes given for each registered party and individual candidate plus the rejected votes, which ensures that all votes are accounted for, is vital. This check should be overseen by a senior member of the supervising team and should be confirmed to the Local Returning Officer. Careful planning should help to avoid the occurrence of any problems.

25 Rule 57, EPE Rules.

Part F, page 31, January 2009

Once the result is declared, it is final and cannot be amended. The power to correct procedural errors does not empower a Local Returning Officer I to correct an incorrect result once it has been declared.26 See also Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’.

6.5 The Local Returning Officer should review the election results provision on their local authority website with a view to making declared results available as speedily and as readily as practicable.

6.6 The Regional Returning Officer will collate the figures from all Local Returning Officers, allocate seats in accordance with the election rules, and declare the result and those who have been elected. These results should be linked to or posted by the Local Returning Officer to accompany the local results.

26 Regulation 4A, EPE Regulations.

Part F, page 32, January 2009

7 Storage and disposal of documents

7.1 After the election, the Local Returning Officer must forward the relevant election documents to the relevant officer.

For further information on forwarding documents, including a description of which documents are to be forwarded, see Part G, ‘After the A declaration of result’, Section 1, ‘Storage, inspection and disposal of election documents’.

7.2 It is important that parcels of documents are prepared correctly, and so it is essential that everyone involved in parcelling or collecting materials from the count venue knows exactly what is required.

Further guidance on the preparation of parcels for transferring to storage is given in Part G, ‘After the declaration of result’, Section 1, ‘Storage, inspection and disposal of election documents’. A

7.3 All packets and receptacles containing election documents should be stored securely so that no unauthorised persons can tamper with them. The earliest destruction date should also be stated on them to avoid inadvertently disposing of them before the end of the retention period.

7.4 Arrangements should be made to return any election equipment, such as the empty ballot boxes, to storage.

Part F, page 33, January 2009

8 Resources Notification of secrecy requirements

Regulation 29, European Parliamentary Elections Regulations 2004 (as amended)

[ ... ]

(2) Every person attending at the counting of the votes shall maintain and aid in maintaining the secrecy of voting and shall not –

(a) ascertain or attempt to ascertain at the counting of the votes the number or other unique identifying mark on the back of any ballot paper;

(b) communicate any information obtained at the counting of the votes as to the candidate for whom any vote is given on a particular ballot paper.

[ ... ]

Part F, page 34, January 2009

Verification procedure

Receive Receive Receive and and check and check check in other in ballot box in ballot election paper packets account

Open ballot First check Count spoilt box. Break all of basic ballot papers; seals in front arithmetic check PO of agents on ballot records and present paper tendered account votes

Count Count unused number of ballot papers ballot papers (re-check as necessary)

Verify ballot paper account: ballots counted should equal the number recorded

Numbers match Variance in exactly: ballot figures: follow papers can move variance forward to the procedure count

Part F, page 35, January 2009 Part G – After the declaration of result

Contents

2 Candidates’ election expenses Candidates’ returns – election expenses

3 Returns to the Electoral Commission Candidates’ expenses Performance standards Other returns

4 Election petitions Form of petition

5 Review of election procedures

6 Resources Access to election documentation after the election

1 Storage, inspection and disposal of election documents Forwarding documents to the relevant officer

1.1 Following the election, the Local Returning Officer is required to send a number of specified documents to the relevant registration officer.1 The relevant registration officer should be interpreted as follows:

• In England and Wales, the relevant registration officer is the Electoral Registration Officer for the local authority in whose electoral area the election is held. If there is more than one local government area in the local counting area, the documents are forwarded to the Electoral Registration Officer of the authority with the greater number of European Parliamentary electors. • In Scotland, the Local Returning Officer is required to retain the documents on behalf of the Regional Returning Officer.2 • In Gibraltar, the Local Returning Officer is required to retain the documents.3

1.2 Throughout this guidance, the term ‘relevant officer’ will be used to refer to those persons set out above.

Before the poll

1.3 Election staff should prepare containers and labels to show the contents of the various packets in advance of the election.

1.4 Appropriately robust packaging should be used with labels clearly showing the contents of each sack. The use of clear sacks should be considered to permit a check of the contents at a later time without having to open the packets.

1.5 Local Returning Officers should consider including in any information provided to registered parties, candidates and their agents an indication of the items that will be stored by the relevant officer, when and where these will be available for inspection and the period for which they will be held.

During the verification and count

1.6 Depending on the space available within the verification and count venue and the way the proceedings are organised, Local Returning Officers might consider using the staff who administered the reception of the ballot boxes and parcels from the polling stations for the identification and separation of the items from the parcels that have to go to the relevant officer for storage.

1.7 After all ballot paper accounts and ballot boxes have been delivered to the verification venue and the verification process has been completed, a separate

1 Rule 64, European Parliamentary Elections Rules (EPE Rules), Schedule 1, European Parliamentary Elections Regulations 2004 (EPE Regulations), as amended by European Parliamentary Elections (Amendment) Regulations 2009. 2 Rule 64(2), EPE Rules. 3 Rule 64(3), EPE Rules. Part G, page 1, January 2009

secure area, if available, could be identified and used for separating the contents of the parcels into the elements to be forwarded to the relevant officer for storage.

1.8 By laying out the large sacks on the floor and placing the appropriate items on top, a visual check can be made, with reference to the ballot box control sheet, of the contents of each sack to ensure that the items appropriate for that particular sack are included.

1.9 At the conclusion of this process, these checks should reveal any gaps where a particular register, envelope or package is missing, and a list should be kept of missing articles. Any missing documents should then be located and matched up with the correct package.

After the count

1.10 The documents that must be forwarded to the relevant officer are:4

• all ballot papers, which includes counted ballot papers, uncounted ballot papers, rejected ballot papers, unused ballot papers (both ordinary and tendered), spoilt ballot papers and used tendered ballot papers • ballot paper accounts and statements of rejected ballot papers and the result of the verification of the ballot paper accounts • declarations made by the companions of voters with disabilities • list of tendered votes • list of votes marked by the Presiding Officer • list of voters with disabilities assisted by companions • statement of the number of votes marked by the Presiding Officer • marked copies of the absent voters list, proxy postal voters list and the lists of lost ballot papers and spoilt ballot papers • marked copies of the register of electors (including any notices of alteration) and list of proxies • list of persons to whom ballot papers are delivered after the Electoral Registration Officer determines that there is a clerical error in the register (if not included in the marked register) • the packets containing the completed polling station and postal vote corresponding number lists • certificates of employment on duty on polling day • packets of the contents of the receptacles for postal voting statements and for votes rejected • postal ballot paper envelopes and postal ballot papers marked ‘rejected’ • postal ballot papers, statements and envelopes cancelled as a result of being returned as spoilt or lost • unopened postal ballot packs received after the close of poll or returned as undelivered

1.11 Once all of the relevant documentation is secured in the appropriate corresponding packets, each packet should be endorsed with a description of its contents, the date of the election and the name of the electoral region and local counting area to which it relates. At the conclusion of the exercise, all items

4 Rule 64, EPE Rules; Paragraph 70, Schedule 2, EPE Regulations. Part G, page 2, January 2009

should be in their appropriate sacks with the tops sealed temporarily and the sacks stored securely. Agents may not affix their own seals to the sacks and packets.

1.12 A comprehensive check of the contents of each sack can then be made to ensure that all of the packets that need to be retained are present and, if necessary, the search can resume for any missing articles. On completion, the sacks can finally be sealed (again, no agents seal may be affixed) and endorsed and locked securely in a controlled storage area until such time as they can be forwarded on to the appropriate location for storage by the appropriate officer. Retention and public inspection of documents

1.13 All items should be stored securely for one year, after which, unless otherwise directed by an order of the Court of Session, High Court, Crown Court, a magistrates’ court or an election court, they must be disposed of in a secure manner.5

1.14 Documents may be kept for longer than one year by order of a court as listed above. If the relevant officer is aware that an investigation or petition is ongoing or being considered they should consider contacting the interested parties to inform them of the destruction date of the documents, and to highlight the ability for them to apply for the documents to be retained for a longer period.

A number of significant changes to inspection arrangements have been introduced since the last European Parliamentary election. i Much will depend upon whether the person wishing to inspect the documentation is directly involved in the election as a candidate, agent, political party representative, etc., or is simply a member of the general public.

A summary of these new provisions can be found in Section 6, ‘Resources’.

1.15 Most of the documents relating to the election must be available for inspection. The documents that are not available for inspection after the declaration of the result of the election are the:6

• ballot papers • completed corresponding number lists • certificates of employment on duty on polling day

1.16 Any person wishing to make an inspection must make their request in writing to the relevant officer and must:7

• specify which register or document they wish to inspect • where the request is to inspect the marked register or lists, state any reason why inspecting the full register or unmarked lists would not be sufficient to achieve that purpose

5 Rule 66, EPE Rules. 6 Rule 69(1)(b), EPE Rules. 7 Rule 68, EPE Rules. Part G, page 3, January 2009

• state whether they wish to inspect a printed or data copy (where appropriate) • state the purposes for which the information will be used (information can only be used for research purposes within the meaning of Section 33 of the Data Protection Act 1998, or for electoral purposes) • state who will be inspecting the documents • state the date on which they wish to make the inspection

1.17 The relevant officer must then make the relevant documents available for inspection under supervision within 10 working days of the date of receipt of the request. However, where a request has been made for the inspection of the marked register of electors or the marked absent voters lists and the relevant officer determines that the requestor’s purposes can be met by the inspection of the full register or the unmarked absent voters lists, they should advise the requestor of that fact and instead make the full register or the absent voters lists available for inspection under supervision.8

1.18 The documents that are open to inspection can be kept in adequately secure storage at any place where the relevant documents can be retrieved and made available for inspection within the 10 working day time limit for inspection. Marked register of electors and absent voters lists

1.19 The relevant officer must, if requested, supply to the Electoral Commission, elected representatives, local constituency parties, registered political parties, candidates, police forces and security agencies, and government departments and other bodies, copies of the marked register of electors and the marked lists of absent voters.9 Those who are able to apply for supply of the marked register fall into one of the categories of people entitled to a full register mentioned in the Representation of the People Regulations 2001 (RPR) (as amended) under:

• in England and Wales, Regulation 100, 103, 105, 106, 108, 109 or 113 • in Scotland, Regulation 99, 102, 104, 105, 107, 108 or 112

1.20 Requests for the supply of copies of the marked register of electors or the marked absent voters lists must be made in writing and specify:10

• which of the marked register or lists are requested • the purposes for which the marked register or lists will be used and why the supply or purchase of a copy of the full register or unmarked lists would not be sufficient to achieve that purpose • whether they wish to receive a printed or data copy

1.21 Recipients of the marked register and absent voters lists may only use the information for research purposes within the meaning of Section 33 of the Data Protection Act 1998, for electoral purposes, or for any purposes set out in the

8 Rule 69(3), EPE Rules. 9 Rule 69, EPE Rules. 10 Rule 69(2), EPE Rules. Part G, page 4, January 2009

regulation that separately gives them the right to receive a copy of the full register of electors.11

1.22 Eligible applicants are entitled to buy a copy or copies of the marked register, although they may only buy a copy or copies of the marked register for the area for which they were entitled to a free copy of the register. For example, a district councillor may purchase the marked copy of the European Parliamentary register for their ward, whereas an MP can purchase a copy for their constituency area.

1.23 The fee for the provision of the marked register of electors and the marked absent voters lists is prescribed: for data copies, this is a £10 administration fee plus £1 for each 1,000 entries (or part of 1,000 entries), and for paper copies, this is a £10 administration fee plus £2 for each 1,000 entries (or part of 1,000 entries).12

1.24 The single £10 administration fee is for each request and will cover the whole of the area that the applicant is entitled to. For example, a local constituency party should be charged one fee for all of the register for that part of the Electoral Registration Officer’s area which falls within their UK Parliamentary constituency and the European Parliamentary electoral region. Additional administration fees should not be charged based on the number of wards or polling districts in the area. Similarly, in calculating the number of thousand or part thousand electors on the list, this should be calculated for the whole of the relevant area, not by ward or polling district within that area.

1.25 The administration fee covers one copy in one format (either printed or data). Additional copies of any part or in a different format will require an additional fee. Therefore, in practice, applying for a marked copy of the register in data and printed formats will attract an administration fee of £20 plus £3 for each 1,000 or part 1,000 entries in the area as a whole.

1.26 Although the marked register of electors and absent voters lists may be inspected by any person (subject to satisfying the relevant officer as to the necessity of seeing the information), copies may only be supplied to those specifically referred to above. All others making inspections of the marked register of electors or marked absent voters lists may only make handwritten notes. The use of copying machines, photography and laptop computers is not permitted. Copies of other documentation open to public inspection

1.27 The other documentation that is open to public inspection may not be copied, either electronically or by handwritten notes. The only exception to this is where a person or organisation covered by:

• in England and Wales, Regulation 109, RPR 2001 • in Scotland, Regulation 108, Representation of the People (Scotland) Regulations 2001 (RPR (Scotland))

11 Rule 70, EPE Rules. 12 Rule 71, EPE Rules. Part G, page 5, January 2009

(i.e. police forces, the security services, etc.) requires the information. In such cases, the copies must be supplied free of charge.13

13 Rule 69(8), EPE Rules. Part G, page 6, January 2009

2 Candidates’ election expenses Candidates’ returns – election expenses

2.1 The receipt of candidates’ expenses is a matter for the Regional Returning Officer, and so any candidates with a question about the submission of a return should be directed to the appropriate contact point identified by the Regional Returning Officer.

2.2 Questions about the completion of expenses forms should be directed to the Commission at:

• 020 7271 0616 • [email protected]

A guide for candidates and agents is available on the Commission’s website at www.electoralcommission.org.uk, and can also be ordered A from the Commission’s distributor free of charge. Individual candidates and their agents can download explanatory notes on completing expenses forms, the form of return of candidates’ election expenses, the declaration by the election agent as to election expenses and the declaration as to candidates’ election expenses from the Commission’s website.

Party list candidate expenses are party expenditure and are the responsibility of the party treasurer (or campaigns officer if the party has registered one).

Part G, page 7, January 2009

3 Returns to the Electoral Commission Candidates’ expenses

3.1 The Local Returning Officer does not have any responsibility for dealing with candidates’ expenses returns at a European Parliamentary election: this is a matter for the Regional Returning Officer. Performance standards

3.2 We intend to publish standards for Returning Officers in February 2009, in advance of the elections in June 2009. These standards will be accompanied by guidance on how to assess performance against the published standards. This guidance will be made available in due course, and will be designed to be inserted into this manual as Part I.

3.3 Returning Officers will be asked to report on their performance against the standards and, once the self-assessment has been completed and returned, we will carry out a limited verification exercise, which may include asking for additional evidence to support the assessment made against the standards. This will enable the Commission to provide a level of reassurance to all stakeholders about the consistency of the assessment.

3.4 After submission of the reports from Returning Officers, we plan to publish an assessment of the level of performance by Returning Officers against the standards. Our assessment should provide an overall picture of levels of performance, identifying those procedures, policies or practices where performance is particularly weak and to which Returning Officers may need to pay particular attention in future. It will also identify where performance is particularly strong and from which other Returning Officers may be able to benefit in future. We intend to make available publicly the assessments submitted by each individual Returning Officer of their performance against the standards. Other returns

Statement as to postal ballot papers

3.5 Local Returning Officers are required after the election to send to the Commission and the Secretary of State a copy of the statement as to postal ballot papers (Form R). The Commission will provide a form and explanatory notes for this purpose with details of where to return it.

Election reporting

3.6 The Commission is statutorily required to report on the administration of European Parliamentary elections. As a result, the Commission asks Returning Officers (and other key stakeholders) to assist with factual data gathering and to submit further information and feedback following the election.

Part G, page 8, January 2009

3.7 Details as to what information and assistance the Commission will be seeking from Local Returning Officers will be confirmed by way of a circular in advance of the election.

3.8 Your cooperation and help is much appreciated – such data is vital to us, and others, as we work to make evidence-based policy recommendations.

For further information on the review of election procedures, see Section 5, ‘Review of election procedures’. a

Part G, page 9, January 2009

4 Election petitions

4.1 Election petitions are used to challenge the result of elections. The procedure for issuing an election petition relating to a European Parliamentary election is described below.

4.2 Any person wishing to consider a petition should be advised to take their own legal advice, including to ensure that the information provided below, including court fees and likely costs involved, remain accurate at that time.

4.3 An election petition can be issued by:14

• a person who voted as an elector at the election or had a right to vote, except for an anonymously registered elector • a person claiming to have had a right to be elected or returned at the election • a person alleging to have been a candidate at the election

4.4 The allowable grounds for a petition are that there has been an:15

• undue election, or • undue declaration

4.5 The person(s) whose election is questioned by the petition must be made a respondent to the petition. If the petition complains about the conduct of the Returning Officer or their staff during the election, the Returning Officer must also be a respondent. Therefore, depending on circumstances, the Regional and/or Local Returning Officer may be a respondent to a petition. In any event, the Local Returning Officer may be required to give evidence on any event or process at issue, and so a written note of any issues, such as any correction of procedural errors, made contemporaneously may assist with an accurate recall of events.

As they are personally liable, Local Returning Officers should ensure that they have adequate insurance cover. The Ministry of Justice (MoJ) is I examining the practicalities and costs associated with purchasing either insurance or an indemnity for Local Returning Officers.

For further information, see Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’.

4.6 The petition must be presented within 21 days after the day on which the election result was declared and can be issued at any time up to, but not later than, 12 midnight on the last day.16 There may be provision to launch a petition after this time if the reason is an unlawful payment made after the petition deadline, although independent legal advice should be taken if this is being considered.

14 Regulation 89(1), EPE Regulations. 15 Regulation 88(1), EPE Regulations. 16 Regulation 90, EPE Regulations. Part G, page 10, January 2009

Form of petition

4.7 The petition itself should follow the form prescribed by Part 4 of the EPE Regulations.

4.8 The petition must be signed personally by each petitioner. The petition must be delivered to the appropriate officer at the address given below.

Costs

4.9 A fee of £360 in England and Wales or £175 in Scotland is payable on the issue of an election petition. In addition, an application to fix the amount of security for costs must be issued, and the fee for this is £40 in England and Wales and £45 in Scotland. The amount of security for costs will be fixed by the Prescribed Officer of the court.

4.10 It is important to note that while the security for costs will not be more than £5,000, the total costs to be paid by the petitioner will almost certainly exceed that amount if the petition is unsuccessful.

4.11 For more detailed information on the processes to be followed in issuing an election petition, contact:

In England and Wales:

Supreme Court Cost Office Room 2.14 Cliffords Inn Fetter Lane London EC4A 1DQ

Tel: 020 7947 6423 Fax: 020 7947 6807

In Scotland:

Petitions Department Court of Session Parliament House Parliament Square Edinburgh EH1 1RQ

Tel: 0131 240 6747 Fax: 0131 240 6755

4.12 A person seeking to make an election petition, and any person who is a respondent to such a petition, would be well advised to take legal advice at the earliest possible opportunity.

Part G, page 11, January 2009

Public notice of an election petition

4.13 The prescribed officer of the court will send a copy of any election petition to the Regional Returning Officer. This will be published in the electoral region and the Local Returning Officer may be asked to publish a copy in their area.17

17 Regulation 89(4), EPE Regulations. Part G, page 12, January 2009

5 Review of election procedures

5.1 Following completion of the statutory post-election procedures, it is good practice to carry out an evaluation of the conduct of the election. It may be particularly valuable to assess how effectively any legislative changes were managed, and what lessons can be learnt for future elections.

5.2 The evaluation should ideally be completed within four weeks from the close of poll when all the issues will still be clear in the minds of the members of staff involved in the conduct of the election.

5.3 The scope of the review should cover all aspects of the election, but areas deserving particular scrutiny are likely to be working with the Regional Returning Officer, polling stations, the quality of the register, the performance of contractors and suppliers, staffing, equipment and supplies, finance, security and integrity of the election, verification and count arrangements, communications (both internal and external) and postal voting processes.

5.4 It may be pertinent to invite some of the more experienced polling station staff to a discussion along with ‘first timers’ in order to address all aspects of the polling station process, from training and briefing sessions through to dealing with difficult situations during polling day. It would also be beneficial to involve political parties, individual candidates and their agents in the review process to gather their feedback on the various aspects of the election.

5.5 The Commission will hold a series of seminars shortly after elections have taken place as part of its statutory remit to report on the conduct of elections. These are an ideal opportunity for those involved in running elections to share experiences with the Commission as to how the elections went and to raise any particular issues of concern. This information will then feed into the writing of the Commission’s statutory report. In addition, the Commission welcomes feedback from Returning Officers and their staff from internal reviews of election procedures that they may have undertaken.

Contact details for the Commission are given in Part A, ‘Context’, Section 5, ‘Resources’.

5.6 The Regional Returning Officer may also wish to conduct a review of the election.

5.7 The information collected through post-election reviews can be used to inform the project plan and contingency planner for the next election.

The important role that post-election evaluation has to play in informing the planning process for future elections is also discussed in Part B, ‘Preparing for a European Parliamentary election’. A

Part G, page 13, January 2009

6 Resources Access to election documentation after the election

Documents not open to inspection except by court order

6.1 The following documentation is not available for inspection, except by court order:18

• ballot papers • completed corresponding number lists • certificates of employment on duty on polling day

Access to restricted documents19

6.2 The following documents:

• rejected ballot papers • counted ballot papers • corresponding number lists and certificates of employment

may be accessed if a High Court or a county court in England and Wales or the Court of Session or Sheriff in Scotland is satisfied by evidence on oath that the application is for one of the following reasons:

• instituting or maintaining a prosecution for an offence in relation to ballot papers • the purpose of a European Parliamentary election petition

6.3 The court will make certain conditions about access to the documents, for example how any particular person voted must not be disclosed until it has been proved by a court that the vote was invalid.

6.4 An appeal to any decision on access can be made to the High Court in England and Wales or the Court of Session in Scotland.20

6.5 Applications do not have to be made in open court: they can be made by a judge from the relevant court either in open court or otherwise.21

18 Rule 66(2), EPE Rules. 19 Rule 65, EPE Rules. 20 Rule 65(4), EPE Rules. 21 Rule 65(5), EPE Rules. Part G, page 14, January 2009

Table 1: Public inspection of election documentation

Document type Any person may request that the following be made available for inspection:

• marked register of electors • marked postal voters list • marked list of proxies • marked proxy postal voters list • any other document relating to the election (except the ballot papers, completed corresponding number lists and certificates of employment on duty on polling day) Conditions The request must: • be made in writing • specify who will be inspecting the documents • specify the date on which they wish to inspect the documents • specify whether they would prefer to inspect the documents in printed or electronic data format

In the case of a request to inspect the marked register or lists, the request must: • state the purpose for which the information will be used and why the inspection of a copy of the full register or unmarked list(s) would not be sufficient to achieve that purpose

Where the Electoral Registration Officer determines that the purposes for which the applicant wishes to use the information may be achieved by inspecting a copy of the full register, they shall advise the applicant of their decision and make the full register available for inspection under supervision.

The relevant documentation must be made available for inspection within 10 days of the receipt of the request: • Only handwritten notes of the marked register of electors and the marked absent voters lists may be made; laptop computers and other recording equipment may not be used. • Copies of the other election documentation open to inspection may not be made in any form.

Part G, page 15, January 2009

Table 1 (continued): Public inspection of election documentation

Any information obtained through the inspection of the election documentation may only be used for:

• research purposes within the meaning of Section 33 of the Data Protection Act 1998 (research, history and statistics) • electoral purposes May be • any person inspected by

Part G, page 16, January 2009

Table 2: Copies of the marked register of electors and absent voters lists

Document type • On request and on payment of a fee calculated by reference to Rule 68 of the EPE Rules, specified individuals and organisations are entitled to copies of the:

• relevant part of the marked register of electors • relevant part of the marked postal voters list • relevant part of the marked list of proxies • relevant part of the marked proxy postal voters list Conditions The request must:

• be made in writing • specify which marked register or list(s) (or relevant part) is required • state whether a printed or data copy of the marked register or list(s) is required • state the purpose for which the marked register or list(s) will be used and why the supply or purchase of a copy of the full register or unmarked list(s) would not be sufficient to achieve that purpose

There must be payment of a fee comprising a single administration fee of £10 plus £1 per 1,000 entries or part of 1,000 entries for data copies and £2 per 1,000 entries or part of 1,000 entries for printed copies.

If the Electoral Registration Officer is not satisfied that the requestor needs to see the marks on the marked register or list(s) for the purpose for which it is requested, they may treat the request as one for information in unmarked lists or for a copy of the full register, or both.

The marked register of electors and lists may only be used for:

• research purposes within the meaning of Section 33 of the Data Protection Act 1998 (research, history and statistics) • electoral purposes • purposes that are applicable under the regulation entitling the individual or body to the use of the full register of electors

Part G, page 17, January 2009

Table 2 (continued): Copies of the marked register of electors and absent voters lists

Must be supplied • the Electoral Commission on satisfaction of • elected representatives for electoral purposes the above • local constituency parties conditions to • registered political parties • candidates • police forces and other security agencies • government departments and other bodies

Part G, page 18, January 2009

Table 3: Copies of other election documentation

Document type Any election documentation open to public inspection, and any other document relating to the election, excluding:

• ballot papers • completed corresponding number lists • certificates as to employment on duty on polling day May be inspected • any police force in Great Britain by and supplied • the Police Service of Northern Ireland and the on request to Police Service of Northern Ireland (Reserve) • the Serious Organised Crime Agency • the Police Information Technology Organisation • any body of constables established under an Act of Parliament • the Security Service • the Government Communications Headquarters • the Secret Intelligence Service Conditions Supply of a copy of the documents and access for inspection is free of charge.

Information supplied may only be used for the purposes set out in the regulation under which the body can obtain the full register.

Part G, page 19, January 2009 Part H – Combination of polls

Contents

1 Introduction

2 Combination arrangements Combined or not combined Postponement of any poll at parish or community council elections The Returning Officers Timetables

3 The franchise

4 Postal votes Combined issue of postal votes Postal votes issued separately

5 Notices and ballot boxes Notice of poll Poll cards Polling station notices Ballot boxes

6 The poll Marking the register Corresponding number lists Official mark on ballot papers Close of poll

7 The count and after Attendance of counting agents Verification procedure and the count Death of a candidate Expenses

1 Introduction

1.1 There are specific provisions in electoral legislation to deal with the combination of the poll at a European Parliamentary election with that at another election, and these are outlined below.

1.2 Issues specific to a combined European Parliamentary and county election in England, in so far as they impact on the Local Returning Officer, have been highlighted throughout this manual.

It is recognised, however, that many county Returning Officers will designate European Parliamentary Local Returning Officers as deputy A county Returning Officers, which means that the same person will, in practice, be administering both polls. In that case, Local Returning Officers should use this manual in conjunction with the relevant parts of the Electoral Commission’s manual Managing a local government election in England and Wales.1 The main part of the manual covers issues relevant to a combination with the polls at a parish election, whereas Part H, ‘Combination of polls’ highlights responsibilities that fall to the local government Returning Officer at other combined polls.

A template project planner and risk register for county Returning Officers, which would also be relevant for Local Returning Officers who have been appointed as deputies to run the local government election, can be found on the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/european-parliamentary-elections

1.3 This part of the manual is designed to highlight other possible permutations for the combination of the poll at a European Parliamentary election with that at another election and what impact such combinations may have on the role of the Local Returning Officer. It also highlights particular areas for consideration such as the impact of combination on polling and counting processes.

1.4 The combination of certain polls is mandatory, whereas other combinations are optional, or explicitly prohibited.2 This is set out in more detail in Section 2, ‘Combination arrangements’.

1.5 The key legislation regarding the arrangements for the combination of the poll at a European Parliamentary election with that at another election is set out in:

• Representation of the People (Scotland) Regulations 1986 (RPR (Scotland)) • Schedule 3: Modification of European Parliamentary Elections Rules for Combined Polls, The European Parliamentary Elections Regulations

1 The manual can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral-administrators/local- elections/local-government-elections-in-england 2 Section 15, Representation of the People Act 1985 (RPA 1985).

Part H, page 1, January 2009 2004 (EPE Regulations) (as amended by the European Parliamentary Elections (Amendment) Regulations 2009) • Representation of the People (Combination of Polls) (England and Wales) Regulations 2004 (RPR 2004) (as amended by the Representation of the People (Combination of Polls) (England and Wales) (Amendment) Regulations 2006 and 2007) • Schedule 3: Rules for Conduct of an Election of Councillors of a Principal Area where the poll is taken together with the poll at a relevant Election or Referendum, Local Elections (Principal Areas) (England and Wales) Rules 2006 • Schedule 3: Rules for Conduct of an Election of Councillors of a Parish or Community where the poll is taken together with the poll at a relevant Election or Referendum, Local Elections (Parishes and Communities) (England and Wales) Rules 2006 • Schedule 2, Scottish Local Government Elections Order 2007

1.6 This guidance does not give consideration to arrangements for the combination of a European Parliamentary election with an election to the Greater London Authority, a referendum on local authorities’ executive arrangements or a mayoral election.

1.7 There are no legislative provisions that allow for the combination of a European Parliamentary election with an election to the Scottish Parliament or the National Assembly for Wales.

Part H, page 2, January 2009 2 Combination arrangements Combined or not combined

2.1 There are a number of instances where the polls at different elections held on the same day must be combined, where they may be combined and where they may not be combined. These are summarised below.

2.2 Circumstances where the polls must be combined:

• parish council and district council (where the parish or parish ward is coterminous with or situated within the district council ward) • community council and county or county borough council elections (if the elections are for related electoral areas) • UK Parliamentary general election and European Parliamentary general election • UK Parliamentary general election and ordinary local government election • European Parliamentary general election and ordinary local government election

2.3 Circumstances where the polls may be combined:

• UK Parliamentary general election and European Parliamentary by- election • UK Parliamentary general election and local government casual vacancy election • UK Parliamentary general election and parish or community council casual vacancy election (where polling day is not the same as the ordinary day of election for local government elections) • UK Parliamentary by-election and European Parliamentary by-election • UK Parliamentary by-election and local government casual vacancy election (where polling day is not the same as the ordinary day of election for local government elections) • UK Parliamentary by-election and parish or community council casual vacancy election (where polling day is not the same as the ordinary day of election for local government elections) • European Parliamentary general election and UK Parliamentary by- election • European Parliamentary general election and local government casual vacancy election • European Parliamentary general election and parish or community council casual vacancy election • European Parliamentary by-election and local government casual vacancy election (where polling day is not the same as the ordinary day of election for local government elections) • European Parliamentary by-election and parish or community council casual vacancy election (where polling day is not the same as the ordinary day of election for local government elections)

Part H, page 3, January 2009 2.4 Circumstances where the polls may not be combined (except where separate legislation is passed):

• UK Parliamentary general election and parish or community council election where polling day is the same as the ordinary day of election for district councillors • European Parliamentary general election and parish or community council election where polling day is the same as the ordinary day of election for county borough councillors

2.5 For elections in 2009, however, the Local Elections (Ordinary Day of Elections in 2009) Order 2008 expressly allows for parish elections to be held on the same day as the European Parliamentary election.

2.6 In the circumstances where polls may be combined, it is for the Returning Officers of the respective areas to agree that it is practicable for the polls to be combined. One of the issues to be considered will be cost, as it will likely be cheaper to run the polls combined rather than separately. The costs should then be divided equally between the elections, except where any particular cost, such as the printing of ballot papers, can be attributed solely to one election. However, any decision regarding whether or not to combine should not be based exclusively on cost and administrative issues, but should also consider the impact of combination on voters. Postponement of any poll at parish or community council elections

In general, when a European Parliamentary or UK Parliamentary general election is announced for the ordinary day of elections of I councillors for local government areas in England and Wales, any poll at an election of parish or community councillors to be held on that day must be postponed for three weeks.3 This includes both ‘ordinary day’ elections and elections to fill casual vacancies on that day.

However, the Local Elections (Ordinary Day of Elections in 2009) Order 2008 has suspended the requirement to postpone parish elections where these fall on the ordinary day of the election of councillors for local government areas in England in 2009.4 As a result, parish council elections, including by-elections, can be held in England on 4 June 2009.

Also, if a UK Parliamentary election is called to coincide with the European Parliamentary elections in 2009, parish council elections in England would not need to be postponed.

Where 4 June 2009 is the ordinary day for electing parish councillors, the parish election must be combined with the European Parliamentary and county council elections (and, in the event that one is called, a UK

3 Section 16(1)(a), RPA 1985. 4 Paragraph 3, The Local Elections (Ordinary Day of Elections in 2009) Order 2008.

Part H, page 4, January 2009 Parliamentary election). Where a parish election to fill a casual vacancy is held on that day, the polls do not have to be combined, but may be combined at the relevant Returning Officers’ discretion.

The Returning Officers

2.7 Where polls are combined, one Returning Officer will take on some of the functions of the Returning Officer for the other election. Local Returning Officers for a European Parliamentary election are in a unique position, in that they can never take on any of the functions of the Returning Officer for the other election:5 it will always be the Returning Officer for the other election who will have legal responsibility for discharging certain functions of the Local Returning Officer.

2.8 Where, for example, a European Parliamentary election is combined with a UK Parliamentary election, the Returning Officer for the UK Parliamentary election will have responsibility for certain functions of the Local Returning Officer at the European Parliamentary election.

2.9 Where a European Parliamentary election is combined with a UK Parliamentary general election and a local government election, the Returning Officer for the UK Parliamentary election will be legally responsible for certain functions of the Local Returning Officer at the European Parliamentary election and of the Returning Officer for the local government election.

There may be instances where the Returning Officer for the other election will designate European Parliamentary Local Returning A Officers as deputy Returning Officers, which means that the same person will, in practice, be administering both (or all) polls. In that case, Local Returning Officers should also consult the relevant guidance manual(s) for Returning Officers for the other election produced by the Commission, and in particular Part H, ‘Combination of polls’ of the relevant manual, which will give consideration to combination issues.

If a UK Parliamentary election is called for 4 June 2009, Local Returning Officers who have been appointed as deputy Returning Officers to run all elections in their local counting areas should consult Part H of the Commission’s manual Managing a UK Parliamentary election, available at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/uk-parliamentary-elections

All Returning Officers’ manuals can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators

2.10 It is important to note that it is the polls which are combined and not every aspect of the elections. The functions in a combined European

5 Regulation 4, RPR 2004; and RPR (Scotland) 1986.

Part H, page 5, January 2009 Parliamentary poll that become the responsibility of the other Returning Officer are:

• the notice of the situation of polling stations • the provision and equipment of polling stations • the appointment of Presiding Officers and Poll Clerks • the notification of secrecy requirements at polling stations • signing certificates of employment • appointing someone to remove persons from the polling station on the Presiding Officer’s request • separating and verifying the ballot papers

2.11 If all the Returning Officers concerned agree, proceedings on the issue and receipt of postal ballot papers in respect of each election may also be taken together. In that case, the Returning Officer for the other election will take overall legal responsibility for the combined issue and receipt of postal ballot papers.

2.12 The legislation sets out and separates the specific responsibilities for each Returning Officer in combined polls, and this must be followed. However, there should still be a close working relationship between Returning Officers and their staff with regard to the undertaking of duties across the board.

2.13 Agreement should be reached early in the planning stage about appropriate delegation and who is best placed to undertake the various duties imposed by law, including how this should be done. There should be continuous liaison between the Returning Officers and their respective members of staff throughout the election period. A failure to cooperate fully may reduce effectiveness and could affect the customer service provided to voters. Timetables

2.14 The timetable used for a European Parliamentary election does not coincide with the timetable of a UK Parliamentary election or local government election.

2.15 The situation could arise where a UK Parliamentary election is called after the publication of notice of election for the European Parliamentary election. By the time of the receipt of the writ, nominations for the European Parliamentary election could potentially have closed and the statement of parties and individual candidates nominated could have been published. However, even though part of the election timetable will be different, the only functions of the Local Returning Officer that have different timings in legislation are the deadlines for the appointments of polling and counting agents, which in any event will be taken on by the Returning Officer for the other election(s).

Part H, page 6, January 2009 3 The franchise

3.1 The franchise for European Parliamentary elections is different to that of any other elections in the UK. It is based on the UK Parliamentary franchise, but also includes those citizens of relevant EU member states who have filled in a separate declaration. Citizens of EU member states who are also qualifying Commonwealth citizens (i.e. from Cyprus or Malta) or who are UK or Irish citizens do not need to complete a separate declaration.

3.2 The same register of electors (and notices of alteration to the register as a result of the amendment of clerical errors), together with the same list of votes marked by the Presiding Officer, list of voters with disabilities assisted by companions and list of tendered votes, may, however, be used for all combined elections.6

Further information on the European Parliamentary register is available in Part B, ‘Preparing for a European Parliamentary election’, Section 5, ‘Electoral registration issues’.

A A list of all possible franchise markers that could appear next to electors’ names, together with an explanation of those electors’ A eligibility to vote, is contained in the Commission’s guidance manual Managing electoral registration in Great Britain, Part B, ‘Entitlement to register’, Section 2, ‘Entitlement to vote’. This manual can be downloaded from the Commission’s website at www.electoralcommission.org.uk/guidance /resources-for-electoral-administrators/electoral-registration/managing- electoral-registration-services

The franchise markers are also reproduced in the stand-alone and combined versions of the Commission’s Handbook for polling station staff, for use at the European Parliamentary elections.

3.3 Where the European Parliamentary election is combined with another election, it is essential that whoever takes responsibility for briefing polling station staff instructs them to pay particular attention to the identifying letters printed next to electors’ names. These identifying letters indicate whether an elector can vote at the European Parliamentary election, a local government election, a UK Parliamentary election, or any combination of these.

6 Paragraphs 13–16, Schedule 2, RPR 2004.

Part H, page 7, January 2009 4 Postal votes

4.1 Although it may be mandatory for two polls on the same day to be combined, the issue and receipt of postal ballot papers may only be combined if all Returning Officers concerned agree.7 Combined issue of postal votes

4.2 If the issue and receipt of postal votes are combined, the Returning Officer for the other election will discharge those functions of the Local Returning Officer that relate to the issue and receipt of postal votes. Postal votes issued separately

4.3 Should it be decided to issue and receive postal votes separately, the changes from the single election procedure are minimal. The postal voting statements to be used for postal ballot papers are set out in Schedule 2 of the EPE Regulations and in the Appendix of forms. The ‘A’ and ‘B’ envelopes used in the process also have to state the colour of the ballot paper for which they are to be used.8

7 Paragraph 41, Schedule 2, EPE Regulations. 8 Paragraph 50(4), Schedule 2, EPE Regulations.

Part H, page 8, January 2009 5 Notices and ballot boxes Notice of poll

5.1 The notice of poll for each election must state that the poll is being combined with another election and specify the details of that other election. This is in addition to the usual information, such as the situation of the polling stations and the description of the voters entitled to vote there, that must be included on the notice of poll. Poll cards

5.2 The issue of poll cards is the responsibility of each Returning Officer, although poll cards can be combined if the Returning Officers agree.9 Where there is this agreement, the responsibility falls not to the Local Returning Officer, but to the Returning Officer for the other election. Where combined poll cards are issued, the Returning Officer for the other election must provide information about both elections. Polling station notices

5.3 A notice giving guidance to voters has to be posted inside and outside every polling station. This form must be adapted by the Returning Officer for the other election(s) to include information about all elections being held.

5.4 In addition to the guidance to voters notice referred to above, a notice also has to be placed in each polling booth by the other Returning Officer, and this again has to be adapted to include information about all elections. Ballot boxes

5.5 The same ballot box may be used for both or all elections. It is for the Returning Officer for the other election(s) to decide whether they wish to use the same ballot box or separate ones, and to ensure that they are marked in accordance with legislation.

9 Paragraph 6, Schedule 2, RPR 2004.

Part H, page 9, January 2009 6 The poll

6.1 The provision of polling stations and supply of equipment will be the responsibility of the Returning Officer for the other election(s). The Local Returning Officer should, however, work closely with the Returning Officer for the other election(s) to ensure that all of the equipment specific to the European Parliamentary election is supplied in a timely fashion and that no equipment or documentation is missed out. Marking the register

6.2 The same register of electors may be used at the polling station for both elections (and notices of alteration to the register as a result of the amendment of clerical errors). It is also permissible to use the same list of votes marked by the Presiding Officer, list of voters with disabilities assisted by companions and list of tendered votes. Corresponding number lists

6.3 The same corresponding number list must be used for all elections to record the elector number against the ballot papers issued. It is the responsibility of the Returning Officer for the other election(s) to prepare the corresponding number lists to be used in polling stations and at the issue of postal votes.10 Official mark on ballot papers

6.4 There is no mention of the official mark in the legislation governing combined polls. In view of this, it is the Commission’s view that it is acceptable to use the same official mark to validate all ballot papers issued at polling stations, irrespective of election, as long as the official mark used complies with the other rules, i.e. the same mark must not have been used, for the purposes of a European Parliamentary election, in the previous five years at elections for the same local counting area. Close of poll

6.5 As with all elections, at the close of poll the Presiding Officer must make up into packets the various documents used in the poll. However, with combined polls, some items used will cover both elections, whereas some will be separate for each.

6.6 The Local Returning Officer should liaise with the Returning Officer for the other election(s) to decide on the handover procedures for any relevant packets.

10 Regulation 5(2)(za)(zb), RPR 2004.

Part H, page 10, January 2009 6.7 The following must be made up into separate packets for each election:

• the unused and spoilt ballot papers • the tendered ballot papers • the certificates as to employment on duty on the day of the poll

6.8 The following must also be made up into packets, but only one of each of these is required to cover both elections:

• the marked register (including any marked copies of notices of alteration) • the corresponding number list • the list of tendered ballot papers • the list of voters with disabilities assisted by companions • the declarations of companions of people with disabilities • the list of voters with disabilities assisted by the Presiding Officer

6.9 Following the verification of ballot paper accounts, the Local Returning Officer will receive the ballot papers for the European Parliamentary election, and all of the documentation above as relates to the European Parliamentary election.

Part H, page 11, January 2009

7 The count and after Attendance of counting agents

7.1 At a combined election, all counting agents appointed for both elections have the right to attend the separation of votes and the verification of the ballot paper accounts.11 However, once the ballot paper accounts have been verified, the counting agents who have been specifically appointed for the European Parliamentary election cannot attend the counting of the votes for the other election(s). Verification procedure and the count

7.2 When the ballot boxes are received from polling stations, the Returning Officer for the other election must:12

1. open each ballot box, separate the papers for the different elections and count the number of ballot papers for each 2. verify each ballot paper account 3. if the issue and receipt of postal votes have been combined, count the postal ballot papers that have been correctly returned, separate and count them for each election, and record the number counted for each election 4. pack up the ballot papers for the European Parliamentary election and pass them to the Local Returning Officer, along with the relevant ballot paper accounts and the statement as to the verification of those ballot papers (ensuring secure transport and storage) 5. mix the other election ballot papers from different ballot boxes and the postal votes and then count the votes in the normal way

7.3 The Local Returning Officer, having received the items listed in point four above, must:13

1. open the receptacles containing the ballot papers 2. if the issue and receipt of postal ballot papers have not been combined, count those postal votes that have been correctly returned and record the numbers 3. mix the postal ballot papers with all the other ballot papers and count the votes in the normal way (the ballot paper accounts will not have to be verified because that will have been done by the Returning Officer for the other election(s) when the boxes were first opened after having been received from the polling stations)

11 Rule 22, Schedule 2, RPR 2004. 12 Rule 22, Schedule 2, RPR 2004. 13 Paragraph 24, Part 1, Schedule 3 and Paragraph 23, Part 2, Schedule 3, EPE Regulations.

Part H, page 12, January 2009 Death of a candidate

7.4 The procedure to be followed when a candidate dies depends on the type of election and on the status of the candidate.

7.5 At a European Parliamentary election, the death of a candidate does not affect the conduct of the poll, except that notices informing voters of the death of a candidate will need to be published inside the polling booths.

7.6 At a UK Parliamentary election, if a candidate standing on behalf of a registered political party dies, the poll for that election should be countermanded or abandoned. However, the poll for any other election that was to have been combined with the countermanded or abandoned poll should continue.

7.7 If a UK Parliamentary candidate standing as either an ‘Independent’ or with no description dies, the UK Parliamentary election will not be countermanded or abandoned, and so all elections and thus the combined poll should continue.

7.8 At a principal area election, if proof of death is notified before the poll opens, the notice of poll is countermanded and the poll does not take place. If proof of death is received after the opening of the poll but before the declaration of the result, the poll is abandoned. However, the poll for any other election that was to have been combined with the countermanded or abandoned poll is unaffected. Expenses

7.9 Where polls are combined, the costs of holding the combined polls (excluding any cost that can be clearly attributed to one of the elections) and any cost attributed to their combination must be divided equally between the elections.14 These costs would include, for example, payments to polling station staff and, if combined, the costs of the issue and receipt of postal votes and the production and delivery of poll cards.

7.10 With regard to the verification and count, the separation of the ballot papers is clearly a combined function and the cost should be apportioned equally between the elections. However, the costs of counting the ballot papers should be allocated to each individual election. This principle should be adopted throughout the cost allocation process.

14 Section 15(4), RPA 1985.

Part H, page 13, January 2009 Part I – Performance standards for Returning Officers in Great Britain

Contents

1 Introduction

2 Development of performance standards for Returning Officers

3 The performance standards framework

4 The self-assessment process Performance standard 1: Skills and knowledge of the Returning Officer Performance standard 2: Planning processes in place for an election Performance standard 3: Training Performance standard 4: Maintaining the integrity of an election Performance standard 5: Planning and delivering public awareness activity Performance standard 6: Accessibility of information to electors Performance standard 7: Communication of information to candidates and agents

5 Legislation

6 Vision for quality electoral services

1 Introduction

1.1 The purpose of this guidance is to assist Returning Officers to complete their self-assessment reports against the Electoral Commission’s performance standards.

The self-assessment form can be downloaded from our website at www.electoralcommission.org.uk/performance-standards/assessment- criteria a

1.2 The Electoral Administration Act 2006 (EAA) amended the Political Parties, Elections and Referendums Act 2000 (PPERA) to give the Commission powers to set standards of performance for Electoral Registration Officers, Returning Officers1 and Referendum Counting Officers in Great Britain.2 Under these provisions, the Commission may:

• determine and publish standards of performance for relevant electoral officers in Great Britain (Electoral Registration Officers, Returning Officers and Referendum Counting Officers) • direct relevant officers to provide the Commission with reports regarding their performance against the published standards • publish its assessment of the level of performance by relevant officers against the published standards

1.3 In March 2009 we published the performance standards for Returning Officers in Great Britain (see Section 4, ‘The self-assessment process’). Returning Officers have been asked to report against the standards in June and we will publish our assessment of performance in October 2009 within the Commission’s overall report on the 2009 elections.

1.4 The standards will apply to all Local Returning Officers at European Parliamentary elections and Deputy Returning Officers at County Council elections.

1 The performance standards provisions introduced by the EAA do not apply to local government elections in Scotland. 2 Sections 9A and 9B, PPERA 2000, as amended by Section 67, EAA. See Section 5 for the full legislative text.

Part I, page 1, March 2009

2 Development of performance standards for Returning Officers Consultation and development of standards

2.1 We consulted on a draft set of performance standards for Returning Officers between September and December 2008 and received 43 responses, as well as discussing the contents of the standards at a number of seminars nationwide and face-to-face with a number of electoral administrators. We published a response to the consultation exercise outlining the comments that we received and explaining the reasons for changes to the standards in light of these, before they were published in March 2009.

The response to the consultation paper can again be downloaded from our website at www.electoralcommission.org.uk/performance- standards a

Links with guidance and support from the Commission

2.2 The Commission has statutory powers to provide advice and assistance to Returning Officers on the interpretation and administration of electoral law, and on the promotion of electoral participation. We currently provide a range of guidance and advisory services, briefing events, research and practical tools for use by Returning Officers and their staff, which are delivered through our devolved and regional offices across Great Britain as well as through our head office team based in London.

2.3 The performance standards for Returning Officers are intended to both reflect and support our guidance. In particular, they reflect those priority areas where we believe there would be significant risk to confidence in the effectiveness of the electoral process if the standards were not met.

Part I, page 2, March 2009 3 The performance standards framework

3.1 The performance standards framework intends to provide a clear picture of what needs to be achieved to support a well-run election, and to provide an objective process for assessing performance against commonly agreed standards. Objectives for performance standards

3.2 The standards outline the key requirements to support the effective delivery of a Returning Officer’s statutory duty. The performance standards framework, including the reporting and assessment process, will have a number of related purposes:

• public accountability – providing assurance that a well-run election process is in place • service benchmarking – enabling individual Returning Officers to compare performance against their peers, identify and share good practice and identify opportunities for improvement over time • policy development and evaluation – providing evidence to policy makers to support improvements in the overall legislative and funding framework for elections

3.3 We expect that the framework will be used by a range of individuals and groups, including:

• electors – dependent on well-run elections to exercise their right to vote. • Returning Officers – responsible for delivering the statutory function of running elections. The standards will help to ensure that delivery of elections is well planned and managed by making clear the expected approach in relation to a number of key areas. • councillors – responsible for appointing Returning Officers, and providing resources for Returning Officers to carry out their statutory duties. The standards framework will help to provide assurance that elections are delivered effectively and provide value for money. • electoral administrators – who administer the election on behalf of Returning Officers. The standards will support the development of effective plans for the delivery of an election. • governments and policy makers – responsible for ensuring that an effective legal framework is in place to support the delivery of elections The standards framework will help to assess the performance of the legal framework, and to identify areas where performance improvement may need to be supported by legislative change or further guidance and advice. • elected representatives/members of legislatures – responsible for scrutinising government policy and legislative proposals. The standards framework will help to provide assurance in relation to the delivery of elections, and evidence provided by the framework will help to support the scrutiny of policy or legislative proposals.

Part I, page 3, March 2009

3.4 The performance standards framework will focus initially on identifying agreed and consistent minimum standards of performance for Returning Officers. However, we also aim to support improvement beyond the minimum standard wherever possible. The framework will help to highlight where additional work may be required to support an election. However, the Commission has no legal powers to direct Returning Officers in the conduct of their statutory duties, and the responsibility for delivering any improvement will remain with individual Returning Officers.

Part I, page 4, March 2009 4 The self-assessment process Completing the performance standards

4.1 This section explains in more detail the self-assessment process for Returning Officers and contains explanatory notes on completing the assessment against the seven performance standards.

4.2 As highlighted in Section 5, ‘Legislation’, the Electoral Commission has legal powers to direct Returning Officers to provide a report on their performance against the published standards. Therefore, the standards should be reflective of the work, knowledge and experience of the Returning Officer. In particular, the first performance standard ‘Skills and knowledge of the Returning Officer’ is aimed solely at the Returning Officer, and should as such be completed by that person. We appreciate that much of the operational work and day-to-day duties may be carried out by other electoral services staff and this has been reflected in standards 2 to 7 by using the words ‘The Returning Officer ensures…’ before each provision. However, it must be remembered that the legal responsibility for the delivery of the election remains with the Returning Officer.

4.3 The aim of the self-assessment process is to support a simple, but comprehensive and systematic review of the statutory duties of a Returning Officer. The result should be an honest assessment which recognises areas not only where performance is at or above the specified standard, but also where there may be room for improvement.

4.4 The basis of the self-assessment is derived from four key questions within the performance standards framework.

• Do Returning Officers have the appropriate plans and processes in place to satisfy the definition of the standards? • How well do these plans and processes meet the needs and interests of the key stakeholders? • Do Returning Officers review and evaluate the plans and processes they have, making changes or improvements where necessary? • How well are the plans and programmes supported?

4.5 Although Returning Officers should use the four questions as the basis of their approach, the questions should be flexibly interpreted in the light of the individual Returning Officer’s specific goals and taking into account any contextual factors. Under each standard there is space provided which Returning Officers can use to provide additional information to further support their assessment.

4.6 The nature of self-assessment will vary according to the criteria in each standard. Returning Officers will need to demonstrate an understanding of what they do well, what needs improving, and how this improvement can be monitored, achieved and evaluated over time. The key test of the resulting self-assessment report is its ability to demonstrate how high quality is

Part I, page 5, March 2009 sustained and improvement is ensured. An annual self-assessment report gives the opportunity to evaluate what is done well, what needs to improve and to ensure that improvement is achieved.

The Returning Officer should assess themselves against the seven standards by putting one tick in the box for each standard that most I closely matches their current level of performance. Where a Returning Officer feels that their performance falls between two standards, the Returning Officer should mark themselves at the lower level and use the free text boxes to explain the assessment they choose.

4.7 The sections within each standard are cumulative. Therefore, if the Returning Officer assesses themselves against ‘Above the standard’ we expect that they also carry out all the measures listed in the “Meeting the ‘Performance standard’” as well.

4.8 The self-assessment form should be returned to the relevant Electoral Commission devolved or English office approximately one month after polling day. Once the self-assessment form has been returned and the returns collated, we will contact a random sample of Returning Officers to seek clarification or further evidence, or to arrange a visit. Any verification activities carried out by us will look at the evidence held by Returning Officers, not only to demonstrate that their self-assessment is accurate, but also to look at initiatives and practices representing good practice which can be shared, with a view to improving performance more widely. Furthermore, a thorough analysis of the information will enable us to identify general and specific activities that might be required to support Returning Officers who are performing below the required standard.

Returning Officers are not required to send in any evidence at this stage. However, the Commission will ask to see evidence from a sample of Returning Officers at a later date during the verification I process in July–August 2009. 4.9 After all the self-assessment forms have been received and the selected sample verified, we will publish details of each Returning Officer’s assessment of their performance against the standards on the Commission’s website at www.electoralcommission.org.uk/performance-standards.

4.10 We will also undertake a broader analysis which will aim to build a national picture of performance and identify any trends or anomalies, as well as areas where there may be evidence of good practice which could be shared and considered further during the course of the year. In addition, the analysis will assist in identifying areas where we need to provide further assistance or guidance. The analysis will form part of the Commission’s overall report on the administration of the European Parliamentary elections in 2009. Further, it will play a role in reviewing the standards and ensuring that they contain relevant and appropriate information.

Part I, page 6, March 2009 4.11 The following pages contain the published performance standards for Returning Officers in Great Britain and explanatory notes to assist in the completion of the self-assessment form. We have made references to the relevant parts of the Commission’s guidance for Returning Officers where appropriate.

Part I, page 7, March 2009 Planning and organisation

Performance standard 1: Skills and knowledge of the Returning Officer Supports vision theme:

Subject: Planning and organisation Professionalism – a clear and consistent approach to delivery This standard aims to ensure that Returning Officers have sufficient skills and knowledge to carry out their statutory duties. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer is aware of the personal currently nature of the duties and responsibilities of the role but meeting the does not meet the criteria outlined below. performance standard Performance 2. The Returning Officer: • Appointment agreement including standard an acknowledgement of role, duties • is aware of the contents of the Electoral and responsibilities Commission’s guidance materials for the • Election team management administration of elections and has a working structure showing the roles of the knowledge of electoral legislation Returning Officer and their election • is able to identify and oversee the necessary team members actions to rectify any errors in procedure • commands the required staff and resources required for a well-run election

Part I, page 8, March 2009 Performance against the standard Assessment Evidence to support assessment • supports the staff administering the election and provides appropriate oversight of their work • oversees the planning, project management and risk analysis elements of the election and provides direction and receives regular feedback on activities and monitors progress • understands the main processes and procedures at the election in order to review the planning, question any aspect of and quality assure the whole election process • ensures that election accounts are completed in a timely manner • has a working relationship with the Electoral Registration Officer Above the 3. The Returning Officer, in addition to the above: • Record of training and briefing performance events attended standard • can demonstrate a strong knowledge of electoral • Continuing Professional law and both existing and developing practice Development programme/training • undertakes continuous personal development in plan regards to election management

Part I, page 9, March 2009 Performance standard 1 – Skills and knowledge of the Returning Officer Level 2 – Meeting the ‘performance standard’

4.12 In order to meet the ‘performance standard’ the Returning Officer should meet all the requirements as outlined in the standard. This includes having a working knowledge of the legislation to conduct the election and supporting the staff administering the election.

Working knowledge of the legislation

4.13 The Returning Officer should have an understanding of the legislation which is relevant to that particular election and an overview of what that legislation contains.

Part A, ‘Context’, Section 1, ‘Introduction’ provides a list of relevant legislation for the European Parliamentary elections. a Supporting staff

4.14 In supporting staff, the Returning Officer provides resources and is available to be approached when required, for example, to clarify queries and answer questions. Staff are able to escalate any issues that arise with confidence that the issues would be addressed.

Election accounts

4.15 Guidance on the fees and charges order, including forms and related procedures, will be provided by the Ministry of Justice and published at www.justice.gov.uk/guidance/european-elections-june-09.htm

Appointment agreement

4.16 The Returning Officer should be able to provide an appointment agreement, as evidence to support the assessment. This appointment agreement should include an acknowledgment of the role and outline the duties and responsibilities of the Returning Officer. If an appointment agreement is not available other documentation may include the Returning Officer’s contract of employment for which there should be a person specification and a job outline.

Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management’ provides a list of responsibilities of a the Local Returning Officer which should be referred to when making an assessment against this standard.

Part I, page 10, March 2009 Level 3 – ‘Above the performance standard’

4.17 In order to be assessed ‘Above the performance standard’, in addition to the requirements at level 2, the Returning Officer should be able to demonstrate that they have a strong knowledge of electoral law and both existing and developing practice, and that they undertake continuous professional development in regards to election management. Specifically, they should be able to provide a record of training and briefing events attended as evidence to support the assessment.

Strong knowledge of electoral law

4.18 The Returning Officer should have an understanding of the framework of electoral legislation. The Returning Officer is able to identify and interpret relevant provisions when necessary and appreciate the practical implications of such interpretation. The Returning Officer should ensure that this understanding is kept up to date with any changes in the legislation.

Continuous professional development (CPD)

4.19 The Returning Officer should keep up to date with new innovations, new practices and new legislation and attend training as necessary. This should be documented in a CPD programme or training plan.

Part I, page 11, March 2009 Performance standard 2: Planning processes in place for an election Supports vision theme:

Subject: Planning and organisation Professionalism – a clear and consistent approach to delivery This standard aims to ensure Returning Officers have developed robust planning processes for an election. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer does not ensure that a written currently plan is in place and relies on unstructured management meeting the controls such as oral or written updates and past performance experience only. Objectives, risks, any external contracts standard and available resources are not formally documented. Performance 2. The Returning Officer ensures that formal, written • Plan(s) standard plans are in place for an election. These should include: • Risk register • Business continuity arrangements • clearly defined objectives and success measures • Plan of layout of the count • risks – identification and mitigation premises • recruitment of temporary/permanent staff where • Contracts and contingency plans needed • business continuity arrangements • consideration of physical and communication accessibility, including a plan of the layout of the count premises • an outline of the roles and duties of all the staff present at the count

As well as a written plan, the Returning Officer ensures that contracts are in place for all outsourced functions or supplies and that contingency plans are prepared in case of failure of any of these contracts.

Part I, page 12, March 2009 Performance against the standard Assessment Evidence to support assessment Above the 3. The Returning Officer, in addition to the above, • Evaluation plan performance ensures that: • Documented feedback standard • a thorough evaluation of all processes outlined in the plan is carried out • feedback is sought from all appropriate stakeholders including candidates, agents and staff (both temporary and permanent) • the plan is amended, where necessary, for future elections as a result of the evaluation findings

Part I, page 13, March 2009

Performance standard 2 – Planning processes in place for an election Level 2 – Meeting the ‘performance standard’

4.20 To meet the ‘performance standard’ the Returning Officer should have a written plan in place for an election. All plans should cover:

• clearly defined objectives and success measures • detail of tasks and deadlines • risks – identification and mitigation • recruitment of temporary/permanent staff where needed • business continuity arrangements to cover for loss of election staff, loss of service and loss of venue during the election period • consideration of physical and communication accessibility including a plan of the layout of the count premises • an outline of the roles and duties of all the staff present at the count

4.21 The above plans and information should be sufficiently clear and detailed so that they can be followed by any persons delegated to carry out work on behalf of the Returning Officer.

Part B, ‘Preparing for a European Parliamentary election’, Section 1, ‘Planning and risk management, provides more information. a The Commission has also developed a template election planner and risk register, both of which are available on the Commission’s website in Microsoft Word format, for administrators to adapt for their own use: www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators

Part B, ‘Preparing for a European Parliamentary election’, Section 4, ‘Equal access’ provides information on planning in respect of access.

Level 3 – ‘Above the performance standard’

4.22 To be assessed ‘Above the performance standard’, in addition to the above, the Returning Officer should carry out a thorough evaluation of all processes outlined in the plan, seeking feedback from stakeholders and amending the plan, where necessary, for future elections. An evaluation plan and documented feedback should be available as evidence to support the assessment.

Evaluation plan

4.23 The evaluation plan should document all activities which are planned as part of the evaluation process, who they involve, what will be covered and when these will be carried out. This may cover such activities as seeking

Part I, page 14, March 2009 feedback from stakeholders and staff (including, verbal feedback or through a structured survey or report).

4.24 Particular parts of the process which may be considered as part of the evaluation may include:

• polling places and polling stations • contract management • staffing • equipment and supplies • finance • count arrangements • the management of postal voting

Part B, ‘Preparing for a European Parliamentary election’, Section 4, ‘Equal access’ provides information on reviewing access to the a electoral process.

Part G, ‘After the declaration of result’, Section 5, ‘Review of election procedures’ provides further information on reviewing election procedures.

Part I, page 15, March 2009

Performance standard 3: Training Supports vision theme:

Subject: Planning and organisation Professionalism – a clear and consistent approach to delivery This standard aims to ensure Returning Officers have provided appropriate training for all staff used to deliver an election. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer does not ensure provision currently of any training to either permanent or temporary staff meeting the other than a basic induction. performance 2. The Returning Officer ensures provision of basic • Schedule of training activities standard training for permanent members of staff only, to ensure awareness and understanding of legislative requirements. Performance 3. The Returning Officer ensures provision of • Schedule of training activities standard training to both permanent and temporary staff on an • Training materials ongoing basis, to ensure awareness and • Evaluation of the individual training understanding of legislative requirements. activities

The Returning Officer has ensured that training for polling station and count staff includes information and a briefing on access issues and procedures, and disability awareness training as appropriate.

The Returning Officer ensures that evaluation of individual training activities is carried out.

Part I, page 16, March 2009

Performance against the standard Assessment Evidence to support assessment Above the 4. The Returning Officer, in addition to the above, • Training plan performance ensures that a written training plan for both permanent • Evaluation plan standard and temporary staff is in place, and evaluation of the effectiveness of the plan, including identification of training needs for the future, is carried out on a regular basis.

Part I, page 17, March 2009

Performance standard 3 – Training Level 3 – Meeting the ‘performance standard’

4.25 To meet the ‘performance standard’ all staff should receive training to understand and carry out their roles whether permanent or temporary and as such different training will be appropriate for different roles.

Part B, ‘Preparing for a European Parliamentary election’, Section 7, ‘Staffing’ provides information on training of election staff. a The Commission has also developed a range of template support materials to assist with the training and briefing of staff including, a template PowerPoint presentation for the training of polling station staff. The materials are available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/ resources-for-electoral-administrators/european-parliamentary-elections

Access issues and procedures and disability awareness

4.26 As part of the provision of training to meet the ‘Performance standard’, polling station and count staff should receive training on access issues and disability awareness training.

4.27 It may be appropriate for this to be provided by the council’s Access Officer or by local groups of disabled people who have the necessary expertise.

4.28 Particular aspects to be considered as part of this training may include all polling staff to be:

• trained in the use of tactile templates, which enable blind or partially sighted electors to vote without assistance • made aware of the large-print ballot paper to be displayed in the polling station, the hand-held enlarged copy of the ballot paper which will be available for issue to voters, and any translations of official notices into alternative formats that the Local Returning Officer has deemed appropriate and will be providing to polling stations • made aware of the importance of the layout of the polling station, including how to place notices, taking into account lighting levels, and how to offer assistance to disabled people • made aware of the provisions which allow disabled people to have a companion to assist them to vote or to require the Presiding Officer to assist them • made aware of the importance of speaking clearly to people who have a learning disability or hearing difficulties • given advice on how to assist voters • provided with guidance notes on access issues to refer to on polling day

Part I, page 18, March 2009

• provided with a checklist for issues to consider when setting up a polling station • if appropriate, shown how to install any temporary ramps safely

Part B, ‘Preparing for a European Parliamentary election’, ‘Section 7, ‘Staffing’ provides information on the training of staff. a Materials which contain information on access issues and procedures and can be used in the training of polling station staff are:

• a template PowerPoint presentation • a Handbook for polling station staff (this includes a polling station set-up list and outlines equality issues that staff need to be aware of)

The materials will be available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/european-parliamentary-elections

Schedule of training activities

4.29 This schedule will list the topics to be covered in the training, and should cover when and how that training will be delivered. The schedule should cover all training, whether provided by internal or external sources, for both permanent and temporary staff working for the Returning Officer.

Evaluation of individual training activities

4.30 The evaluation should monitor the effectiveness of the training. Methods of evaluating individual training activities may include the provision of feedback forms for staff attending training activities. The evaluation should include how the training can be adapted to enable continuous improvement. Level 4 – ‘Above the performance standard’

4.31 To be assessed ‘Above the performance standard’, in addition to the above, the Returning Officer should also be able to provide a training plan and an evaluation plan.

Training plan

4.32 The training plan will expand on the schedule by including details of the information that will be covered and the methods and activities by which these are to be delivered. The plan may include copies or links to presentations and notes of information to be conveyed.

Part I, page 19, March 2009

Evaluation plan

4.33 Any evaluation plan, whether contained in the training plan or forming a separate document, should include methods of evaluating the training sessions and materials, in order to inform future planning.

4.34 It is important to note that this need not be a separate evaluation plan from the evaluation plan required in performance standard 2. Indeed, if the evaluation of the training sessions and materials is covered under the evaluation plan in performance standard 2 this will suffice for evidence to support the assessment for this standard also.

Part I, page 20, March 2009

Integrity

Performance standard 4: Maintaining the integrity of an election Supports vision theme:

Subject: Integrity Integrity – a secure process for registration and voting This standard aims to ensure Returning Officers have a process in place to identify any patterns of activity that might indicate electoral malpractice and any security issues that may arise. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer does not ensure that there is currently a system in place to assess risks of electoral meeting the malpractice when planning for an election. performance 2. The Returning Officer ensures that there is an standard informal system in place to assess risks of electoral malpractice but does not document this. Performance 3. The Returning Officer has ensured that links have • Records of meetings/discussions/ standard been developed with the local police/single point of correspondence with local contact (SPOC) to enable any concerns around Police/SPOC, political parties, electoral malpractice and any public order and safety independent candidates and other issues to be referred. relevant bodies including the Electoral Registration Officer The Returning Officer ensures that there is a written • Plan plan outlining what steps are to be taken to deal with • Risk assessment documentation concerns about electoral malpractice. The plan contains a risk assessment that will identify and note action to take to tackle any concerns about electoral malpractice.

Part I, page 21, March 2009

Performance against the standard Assessment Evidence to support assessment The Returning Officer ensures that work, with political parties and independent candidates, is carried out as well as working with other relevant bodies including the Electoral Registration Officer. Above the 4. In addition to the above, the Returning Officer • Evaluation document performance carries out an evaluation of the processes outlined • Documented details of initiatives standard above and implements initiatives to protect those who may be at risk of electoral malpractice.

Part I, page 22, March 2009

Performance standard 4 – Maintaining the integrity of an election Electoral malpractice

4.35 Electoral malpractice can be defined to include actions or conduct which is contrary to electoral legislation or other legislation relevant to the election period and processes.

Part B, ‘Preparing for a European Parliamentary election’, Section 8, ‘Electoral integrity’, provides information on electoral integrity. a This section also contains a list of key electoral offences specified in the Representation of the People Act 1983.

Level 3 – Meeting the ‘performance standard’

4.36 In order to meet the ‘performance standard’ the Returning Officer is required to ensure that links with local police and/or single point of contact (SPOC) have been developed, have a written plan in place outlining steps to be taken to deal with concerns about electoral malpractice and works with political parties, independent candidates and other relevant bodies.

4.37 The plan should contain as a minimum:

• an outline of steps to be taken to deal with concerns of electoral malpractice • a risk assessment that will identify and note action to take to tackle any concerns about electoral malpractice

The Commission has published a range of products and guidance to promote electoral integrity. These include: a • Guidance on preventing and detecting electoral malpractice which includes a list of topics that might be discussed at pre-election planning meetings between the local authority contact and the police election SPOC officer • a pocket guide Policing elections in England and Wales • Postal voting – a quick guide for party workers • Postal voting – a quick guide for Royal Mail drivers and delivery staff

The materials are available to download from the Commission’s website at www.electoralcommission.org.uk/guidance/resources-for-electoral- administrators/integrity-guidance/electoral-events

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Level 4 – ‘Above the performance standard’

4.38 To be assessed ‘Above the performance standard’, in addition to the requirements above, the Returning Officer should also be able to provide an evaluation of the processes outlined above and evidence of carrying out initiatives to protect those who may be at risk of electoral malpractice.

4.39 As part of an evaluation, the Returning Officer carries out a review of arrangements in place for previous elections and in particular reviews any security issues that were raised and identifies any potential new risks specific to any forthcoming election.

Initiatives to protect those at risk of electoral malpractice

4.40 In order to undertake such initiatives the Returning Officer will first need to identify those who may be at risk. This may include those in Houses in Multiple Occupation (HMOs), care homes and student accommodation. An example of such an initiative could be hand delivery of absent votes to HMOs or an agreed distribution person/place within the HMO.

Part I, page 24, March 2009

Participation

Performance standard 5: Planning and delivering public awareness activity Supports vision theme:

Subject: Participation User focus – an easy and accessible process for candidates and electors This standard aims to ensure Returning Officers effectively plan and deliver public awareness activity to communicate election information to electors. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer has not ensured currently implementation of any public awareness activity and only meeting the provides statutory information to electors. There are no performance response mechanisms in place (such as phone, website standard or email) to ensure that information is correctly and appropriately communicated. Performance 2. The Returning Officer ensures that a written public • Written strategy standard awareness strategy, which covers internal and external • Examples of outgoing communication is in place. communication • Records of meetings/discussion/ The Returning Officer ensures that all outgoing correspondence with other communication provides appropriate contact details to departments allow interested parties to respond and find out further information.

The Returning Officer ensures that there is active engagement with other departments of the local authority.

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Performance against the standard Assessment Evidence to support assessment Above the 3. In addition to the above, the Returning Officer • Records of meetings/discussions/ performance ensures that external bodies (such as other authorities, correspondence with external standard other Returning Officers and Electoral Registration bodies Officers, local media and community groups) have been • Record of work undertaken (if identified and consulted with to determine whether determined to be appropriate) working with partners to pool resources and communication channels with other partners is worthwhile and, where appropriate, this joint work has been undertaken. 4. The Returning Officer, in addition to the above, • Evaluation methodology ensures that an evaluation methodology for all activities undertaken (including those with external partners, the public awareness strategy and different dissemination methods), has been developed.

Future work is planned taking account of the outcomes of this evaluation.

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Performance standard 5 – Planning and delivering public awareness activity Duty to encourage electoral participation

4.41 Section 69 of the Electoral Administration Act 2006 introduces a new duty on Electoral Registration Officers and Returning Officers to take such steps as they think appropriate to encourage participation of electors in the electoral process. Election information

4.42 Election information covers any information required by the elector in order to successfully participate. This will vary depending upon local circumstances and upon the electoral event occurring, but may include information in advance of and on election day itself relating to:

• the nature of the election taking place • the institution being elected (its role and structure) • the details of the candidates and parties standing for election • the date and hours of poll • the location of polling stations • any key deadlines (e.g. deadlines for applying for postal or proxy votes) • how to vote (i.e. how to fill in ballot papers correctly) • what assistance is available to electors with voting (i.e. information for disabled voters) • how votes are counted • how the result will be made known

Level 2 – Meeting the ‘performance standard’

Public awareness strategy

4.43 To meet the ‘performance standard’, the Returning Officer must have a written strategy. It is important to note that this need not be a separate strategy from the strategy required to meet performance standard 6 of the Commission’s Performance standards for Electoral Registration Officers. Indeed, depending upon the structure and split of responsibilities of the local registration and elections functions, there may well be benefits in a joint strategy for both registration and elections, given the obvious overlap between the two in terms of participation and communication activity. A joint strategy may also encourage effective working partnerships between Electoral Registration Officers and Returning Officers, communications teams and others within the council.

4.44 Regardless of how the strategy is produced and formatted, it should contain a clear plan for the effective delivery of election information to electors, including:

Part I, page 27, March 2009

• identifying target audiences • clearly defined objectives and success measures • risks – identification and mitigation • resources (financial and staffing)

The Commission’s Do Politics Centre contains practical materials (including a template for developing a public awareness strategy) and a advice and guidance for practitioners aiming to increase voter awareness. All materials are free to access and include case studies, event plans, campaign techniques and templates for communication materials. These can be accessed at www.dopolitics.co.uk

Level 3 – Above the ‘performance standard’

4.45 To meet the ‘Above the performance standard’ the Returning Officer must have engaged with external bodies regarding working with partners and should be able to provide records of meetings/correspondence and a record of work undertaken to support the assessment.

External bodies

4.46 These will depend on local circumstances, but may include:

• other Returning Officers or Electoral Registration Officers • local media such as newspapers or radio stations • voluntary sector groups who may represent, or have influence with target audiences (e.g. youth democracy organisations and disability organisations)

Level 4 – ‘Above the performance standard’

4.47 To be assessed at level 4 ‘Above the performance standard’, in addition to the above, the Returning Officer should also be able to provide evidence of evaluation of participation activity.

4.48 The purpose of evaluation is to analyse the activity and results of participation activity in order to agree lessons learned that can inform recommendations for new or improved participation activity for the future. Evaluation might include evaluation meetings with key stakeholders/partners, lessons learned reports, or comparison of the results achieved compared to the targets that were set, in order to understand what worked well and what did not.

The Do Politics Centre at www.dopolitics.co.uk provides information on evaluating participation activity including: a • a template evaluation report • a glossary of evaluation terms • more in-depth information about how to evaluate public awareness work

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Performance standard 6: Accessibility of information to electors Supports vision theme:

Subject: Participation User focus – an easy and accessible process for candidates and electors This standard aims to ensure that Returning Officers provide a simple and user friendly way for electors to access information. Performance against the standard Assessment Evidence to support assessment Not 1. The Returning Officer ensures that information is currently provided in one format and has not taken account of the meeting the needs of different audiences (for example, translation or performance alternative formats). standard Performance 2. The Returning Officer ensures that: • Examples of how the appropriate standard languages and formats have been • relevant research (in consultation with appropriate decided organisations) has been carried out to determine • Details of what demographic the appropriate languages and formats required to monitoring takes place communicate with relevant audiences • Details of dissemination methods • they are responsive to changes in the • Record of polling station inspector demographics of the electoral area and takes note reports on signage of research as to whether further formats or languages are necessary • information is produced and disseminated in a number of mediums appropriate to the audience • signage (both internal and external) and information to be provided to all polling stations are in appropriate formats and easily accessible

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Performance against the standard Assessment Evidence to support assessment Above the 3. The Returning Officer, in addition to the above, • Records of meetings/discussions/ performance ensures a process is in place for consultation with local correspondence with those standard organisations (including disability groups) about ways in consulted which election documents can be improved and ensures that an evaluation of the accessibility of information is carried out.

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Performance standard 6 – Accessibility of information to electors Level 2 – Meeting the ‘performance standard’

4.49 To meet the ‘performance standard’, the Returning Officer should ensure that research has been carried out to determine appropriate languages and formats, ensure that information is disseminated in a number of mediums and ensure that signage in polling stations is easily accessible.

Research and/or consultation with appropriate organisations

4.50 The Returning Officer will need to ensure that specific research and/or consultation has been undertaken, with appropriate organisations, to determine appropriate languages and formats. It is important to note that this need not be separate research required to meet performance standard 8 of the Commission’s Performance standards for Electoral Registration Officers.

4.51 Appropriate organisations that can help with research into appropriate languages and formats may include:

• relevant departments within the local authority (e.g. communications, youth and community service teams) • other Returning Officers/Electoral Registration Officers • other organisations, such as the Commission, Local Government Association or government departments • organisations which represent certain audiences who may have carried out relevant research such as Operation Black Vote, Scope, the Federation of Poles in Great Britain, or the UK Youth Parliament

Appropriate languages and formats

4.52 There are a number of legal provisions regarding language, format and content of election information which are summarised in Part B, ‘Preparing for a European Parliamentary election’, Section 4, ‘Equal access’.

4.53 However, there is no blanket approach for the production of information in alternative formats or languages. The Returning Officer should be led by the principle that participation in elections should be made as easy as possible for all eligible electors. They should be sensitive to all requests for alternative formats and languages, and consider these in relation to the needs of the local community. Equally, though, it is not a sensible or cost-effective approach for Returning Officers to automatically produce all materials in several alternative formats and languages if these are unlikely to be needed. The Returning Officer should consider the languages spoken and needs within the local community (and may wish to consult with appropriate organisation as listed above).

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The Commission’s Do Politics Centre at www.dopolitics.co.uk provides a range of free alternative format and translated materials for download a and to order in hard copy.

Communicating information in the most accessible way 4.54 Different audiences will need to be approached differently, and a single communication method or format will not necessarily be sufficient to reach all audiences. The Returning Officer should consider and document:

• the communication needs of different audiences – what do they need to know? What barriers do they have which make it difficult for them to participate? • the communication habits of different audiences – how do they like to receive information? How much detail do they need? What kind of media do they engage with most? (For example: radio; press; face-to-face or leaflets through the door)

Signage and information provided to polling stations 4.55 There are a number of legal provisions regarding signage and information provided to polling stations which are summarised in Part B, ‘Preparing for a European Parliamentary election’, Section 6, ‘Venues for election activities’. However, in addition, if the Returning Officer thinks appropriate, all election notices and documentation, except for the ballot papers provided to polling stations, may be provided in alternative languages and formats.

The Commission’s Handbook for polling station staff includes a polling station set-up list which includes points that should be considered a when ensuring that the necessary signage and information is provided to polling stations.

Level 3 – ‘Above the performance standard’

4.56 To be assessed ‘Above the performance standard’, in addition to the above, the Returning Officer should also be able to show that they consult with local organisations about ways in which election documents can be improved and respond to change in demographics of the electoral area. The Returning Officer should also be able to provide evidence of evaluation of the accessibility of information.

Changes in the demographics

4.57 It is important that the Returning Officer remains responsive to changes in the demographics of the area by actively researching whether further formats or languages are necessary. Monitoring may include:

• meeting regularly with stakeholders such as other local authority departments and community groups which will help the Returning Officer to stay abreast of such changes

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• reviewing feedback about accessibility needs (such as requests for additional translations) which should be logged systematically and reviewed so that new materials or information required can be scheduled and implemented

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Performance standard 7: Communication of information to candidates and agents Supports vision theme:

Subject: Participation User focus – an easy and accessible process for candidates and electors This standard aims to ensure that Returning Officers effectively communicate election information to candidates and agents. Performance against the standard Assessment Evidence to support assessment Not currently 1. The Returning Officer does not ensure that meeting the candidates and/or election agents are issued with any performance written guidance on the nomination process or count standard procedure. Briefing sessions with candidates and/or election agents are not offered. Performance 2. The Returning Officer ensures briefing sessions for • Examples of information given to standard candidates and/or election agents are offered and that candidates and/or agents all candidates and/or election agents are issued with • Log of appointments/meetings with written guidance on the election process. candidates

The Returning Officer ensures that candidates have the opportunity to have their nomination papers informally checked prior to formal submission of their nomination. Above the 3. The Returning Officer, in addition to the above, • Details of evaluation of information performance ensures that an evaluation of the effectiveness of all provided standard information provided to candidates and agents and the communication methods used is carried out.

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Performance standard 7 – Communication of information to candidates and agents

Level 2 – Meeting the ‘performance standard’

The ‘Meet the standard’ section contains two statements of which the second ‘The Returning Officer ensures that candidates have the i opportunity to have their nomination papers informally checked prior to formal submission of their nomination’ does not apply to Local Returning Officers for the purposes of European Parliamentary elections. As such, Local Returning Officers can meet this standard by satisfying the first criteria only.

4.58 To meet the ‘performance standard’ the Returning Officer should be able to provide examples of information given to candidates and/or agents to explain all aspects of the election process.

Information to candidates and agents 4.59 Information to be provided to candidates and agents through briefing sessions and within the written guidance should include information on the nomination process, postal vote opening, verification and count process, giving details of what to expect and setting out the procedures to be followed.

The Commission has published guidance for candidates and agents, which includes: a • Guidance on standing for election to the European Parliament • Guidance for candidates and agents: Local government elections in England

The Commission’s website also provides guidance on election spending at www.electoralcommission.org.uk

Level 3 – ‘Above the performance standard’

4.60 To be assessed ‘Above the performance standard’, in addition to the above, the Returning Officer should also evaluate the effectiveness of all information provided to candidates and agents and the communication methods used. This may include inviting candidates and agents to comment on the information provided.

4.61 It is important to note that this need not be a separate evaluation from the evaluation required in performance standard 2. Indeed, if the evaluation of the materials and methods of communication to candidates and agents is covered under the evaluation plan in performance standard 2, this will suffice for evidence to support the assessment for this standard also.

Part I, page 35, September 2008 5 Legislation Sections 9A and 9B, Political Parties, Elections and Referendums Act 2000 9A Setting of performance standards

(1) The Commission may from time to time— (a) determine standards of performance for relevant officers, and (b) publish, in such form and in such manner as they consider appropriate, the standards so determined.

(2) The standards of performance are such standards as the Commission think ought to be achieved by— (a) electoral registration officers in the performance of their functions; (b) returning officers in the administration of the elections specified in subsection (6); (c) counting officers in the administration of the referendums specified in subsection (7).

(3) Before determining standards under subsection (1), the Commission must consult— (a) the Secretary of State, and (b) any other person they think appropriate.

(4) The Commission may determine different standards for different descriptions of relevant officers.

(5) When the Commission publish standards under subsection (1) they must send a copy of the published standards to the Secretary of State who must lay a copy of the published standards before each House of Parliament.

(6) The elections specified in this subsection are— (a) an election mentioned in section 5(2); (b) a parliamentary by-election; (c) an election under section 9 of the Scotland Act 1998 (constituency vacancies); (d) an election under section 8 of the Government of Wales Act 1998 (vacancies in constituency seats); (e) a local government election in England or Wales.

(7) The referendums specified in this subsection are— (a) a referendum to which Part 7 applies; (b) a referendum under Part 2 of the Local Government Act 2000.

(8) For the purposes of this section and sections 9B and 9C, the relevant officers are— (a) electoral registration officers; (b) in relation to elections within subsection (6), returning officers;

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9B Returns and reports on performance standards

(1) The Commission may from time to time issue directions to relevant officers to provide the Commission with such reports regarding their level of performance against the standards determined under section 9A(1) as may be specified in the direction.

(2) A direction under subsection (1)— (a) must specify the relevant officer or officers to whom it is issued (and may specify a description or descriptions of relevant officers), (b) may require the report or reports to relate to such elections or referendums (or both) as may be specified in the direction, and (c) may require the report or reports to be provided in a form specified in the direction.

(3) A report provided to the Commission in pursuance of subsection (1) may be published by the relevant officer to whom it relates.

(4) The Commission shall from time to time prepare and publish (in such manner as the Commission may determine) assessments of the level of performance by relevant officers against the standards determined under section 9A(1).

(5) An assessment under subsection (4)— (a) must specify the relevant officer or officers to whom it relates; (b) must specify the period to which it relates; (c) may specify the elections or referendums (or both) to which it relates.

(6) The Commission must not prepare an assessment under subsection (4) unless they have received reports in pursuance of subsection (1) from the relevant officer or officers for the matters to which the assessment relates.

(7) Before publishing an assessment under subsection (4), the Commission shall— (a) provide to each relevant officer a copy of those parts of the assessment which relate to him; (b) have regard to any comments made by him regarding the factual accuracy of the assessment.

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6 Vision for quality electoral services

Part I, page 38, March 2009