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Manual on Regulatory Audit

Regulatory Audit Division

March 2016

Document 3

v

FOREWORD

Manual of Regulatory Audit has been developed to promote and ensure compliance and conformance with rules and regulations by entire election machinery. It also ensures that audit policies and procedures are applied uniformly across the country.

Successful regulatory audits require auditors to adopt a positive manner and a professional approach while using proven methods for analysis. Equally important are the overall experience and auditing skills developed by each auditor in the process. Only when all audit participants strive for the highest possible standards, can the final product be an accurate assessment of the audit organization.

Representation of the People Act, 1950/1951 and rules framed thereon and Conduct of Elections Rules 1960/1961 provide comprehensive basic law for holding free and fair election. In addition, the Commission has brought out handbooks of instructions for Returning Officer, Presiding Officer, ERO, BLO etc.. These handbooks provide a set of guidelines to be followed for conducting elections in a fair and smooth manner. Also guidelines/instructions have been issued by Election Commission of India [ECI] separately from time to time and depending upon the situations.

The purpose of regulatory audit is to see that election officials and stake holders follow laws, rules and instructions in the right manner. Although rules and instructions bind election machinery to carry out election work in a systematic manner under close supervision of ECI, aberrations can occur though it is not a regular phenomenon. To make sure that even the remote chance of an error is reduced to insignificance, regulatory audit of election machinery is necessary. Any error in the election process can affect the purity & integrity of the election process.

To achieve the above aim, a set of guidelines has been made in the shape of manual to conduct the audit. It is expected that this manual will be helpful in ensuring compliance with laws/rules & instructions of ECI.

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Amendments & Corrigenda

Amendments

S. No.

Date Subject

Corrigenda

S. No.

Date Subject

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Foreword V

Amendments & Corrigenda VII

Page

1. Chapter 1-Definitions 1-2

2. Chapter 2-Audit Policy 3-4

3. Chapter 3-General Audit Procedures 5-16

4. Checklist for verification of electoral roll (Annexure-I A) 17-19

5. Checklist for verification of Polling Station (Annexure-I B) 20)

6. Checklist for Summary Revision (Annexure-I C) 21

7. Checklist for Continuous Revision (Annexure-I D) 22

8. Checklist for EVM (Annexure-I E) 23-29

9. Check list for VVPAT (Annexure-I F) 30-34

10. Check list for Training (Annexure-I G) 35

Table of Contents

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11. Draft check list for SVEEP (NVD) (Annexure-I H) 36-37

12. Draft Check list for SVEEP (Summary Revision) (Annexure-I I) 38-41

13. Check list for Media Division (Annexure-I J) 44

14. Confirmation Request Form Annexure-I 45

15. Deficiency Reporting Form Annexure-II 46

16. Audit Finding Form Annexure-III 47

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AUDIT POLICY AND PROCEDURESCHAPTER 1

DEFINITIONS

ThefollowingterminologyisspecifictotheRegulatoryAuditPrograms(RAP)andManualofRegulatoryAudits(MRA):

Auditmeansanin-depthreviewoftheactivitiesoftheofficesofDEO,ERO,AEROandotherofficerstoverifyconformancetoregulationsandstandards.

Audit activities mean those activities and procedures through whichinformation is obtained to verify the auditee’s conformance to applicableregulations and standards. Such activitiesmay include, but are not limited to:interviewsof officials involved and the stakeholders, observations, inspectionsandthereviewoffilesanddocuments,checklistsetc.

Auditeemeanstheorganizationortheofficesofdifferentelectionofficers,tobeaudited.ThistermwillincludetheBLOs/Enumerators/otherfieldstaffatthelowestleveltotheDistrictElectionOfficer.

Audit Finding means the determination of non-conformance of a service,process,practiceorprocedureoracharacteristicthereoftoaspecifiedregulationorstandard.ThiswillbedocumentedontheAuditFindings.

Audit Managermeans the individual officer of the ECI, designated in thisbehalf, responsible for the planning and conduct of an audit, including theproductionoftheauditreport.

Audit Reportmeansareportthatoutlinestheauditprocessandprovidesasummaryoftheauditfindings.

Compliancemeansthestateofmeetingregulatoryrequirements.

Confirmation RequestForm(CRF)meansaformissuedduringtheinspectionportion of an audit to the auditee by team member of the audit requestinginformationthat isnotreadilyavailable.Theauditeewillberequestedwithinaspecifiedtimeperiod.

Conformancemeansthestateofmeetingtherequirementsofaregulationorstandard.

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Documented(evidence)recordedinwriting,photocopiedorphotographedandthensigned,datedandretainedsoastoensurethecontinuityoftheevidencesecured.

Follow-Upmeanstheactivityfollowinganauditthatisdedicatedtoprogrammodification based on an Corrective Action Plan. Follow-up ensures that thedocumentholdermeetsregulatoryrequirements.

Inspectionmeans thebasicactivityofanaudit, involvingexaminationofaspecificcharacteristicofanorganization.

Regulatory Audit Program (RAP) means the program that promotesconformancewiththeActs,RulesandECIinstructions,regulationsandstandardsthatcollectivelyprescribeanacceptablelevelofelectoralactivity.TheRAPensuresthataforesaidauditpoliciesandproceduresareapplieduniformly.

Regulatory Audit PlanmeanstheannualplanofscheduledauditsintendedtomeasuretheconformancelevelofActs,Rulesandinstructions.

Non-Compliancemeansnonadherencetoapprovedstandards,deficienciesincharacteristicsofdocumentationorprocedures.

Non-Conformancemeansthefailureofcharacteristics,documentationoraproceduretomeettherequirementsofaregulationorstandard,whichrendersthequalityofaproductorserviceunacceptableoruncertain.

Samplingmeans the inspectionof a representative portion of a particularcharacteristictoproduceastatisticallymeaningfulassessmentofthewhole.

Scopemeansthenumberoffunctionalareaswithinanofficethatwillbeaudited.

Team Leadermeanstheindividualappointedbytheauditmanagertoconductandleadtheaudit.

Team Member means the individual appointed by the team leader toparticipateintheaudit.

Verification means an independent review, inspection, examination,measurement, testing, checking, observation and monitoring to establish anddocument that services and documents conform to regulatory requirements.This includesconfirmationthatanactivity,conditionorcontrolconformstotherequirementsspecifiedinActs,Rules,instructionsetc..

Working Papersmeansalldocumentsrequiredbytheauditororauditteamto plan and implement the audit. Thesemay include audit schedules, auditorassignments,checklistsandvariousreportforms.

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CHAPTER 2AUDIT POLICY

Purpose:- The Regulatory Audit Programme (RAP) has been developed topromoteconformancewiththeelectionrelatedActs,Rules,ECIinstructionsandregulations,standardsthatcollectivelyprescribeanacceptablelevel.

Approval:- The Commission has already prescribed norms for approval oflanguage of electoral roll, list of polling stations, counting centres, scrutiny ofnominations,codeofconductforcandidates,politicalpartiesetc.andbasedonthenormsinitialapprovalsareaccordedbytheCommission.However,confirmatoryaudits are conducted to ensure that all approvals granted in the field are inconsonancewithActs,RulesandinstructionsoftheCommission.

Auditprogrammeofastate/UTisapproved inadvancebytheCommissionandisnotifiedinadvancetotheconcernedstate/UT.TheAuditManager,anofficeroftheECI,coordinateswiththeCEOofthestate/UTwhereauditteamistovisitandworksouttheauditschedulesetc.

Types of Audit:-

Thetypeofauditisdetermined bythecircumstancesunderwhichtheauditisconvened.Ingeneralacompositeauditoraroutineconformationauditcoversallaspectofelectionprocessinadistrictwhilespecialaudittakescareofspecificareas like electoral roll, EVM,Nomination, SVEEP, Training, concurrentmatters,nonadherencetonormsetc.inanyissue.

Initialapprovalof theCommission isgranted to the listofpolling stations,statutoryofficers,countingcentres,differentprogrammeforrevisionofelectoralroll, conduct of elections etc. The Commission has prescribed standard checklists forspecificapprovalsbasedonstatutory lawsandnecessaryapprovalsareaccordedafterassessingtheinformationprovided.

(a) Routine Conformance Audit:-Audit is conductedona regularbasis for thepurposeofdeterminingconformancetotheActs,RulesandECIinstructions.Audits are conducted for carrying out test check on the election relatedactivitiesbyofficialsbasedontheinstructions,rulesandActsetc.vizelectoralroll,pollingstation,storageandmaintenanceofEVM,accountsofelectionexpensesetc.TheAuditeewillbecontactedapproximately30to60dayspriortotheplannedauditdatetoconfirmtheauditschedule.Thecomplexityof

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theroutineconformanceauditwilldeterminetheleadtimeforcontactwiththeauditee.

(b) Special Purpose Audit:- The difference between a special purpose auditandtheroutineconformanceauditisthatthereiseithernonoticeorshortnoticetotheauditeebeforetheauditprocesscommences.Obviously,thisisnecessitatedtogatherquickandfirsthandinformationfromtheconstituency.

(c) Concurrent Audit:- It is undertaken to examine working of the offices ofthe CEO, DEO, R.O and their subordinate officers regarding their working,efficiency,observanceoffinancialrulesandproprietyetc.

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CHAPTER 3 GENERAL AUDIT PROCEDURES

Audit Activities:-The audit process consists of the following four distinctphasesofactivities:(i)Pre-audit(deskaudit)(ii)Physicalaudit(iii)Post-audit(iv)Auditfollow-up.

Pre-Audit:-Planningandpreparationduringthepre-auditphasewillensurethattheobjectivesoftheauditareachievedeffectively,efficientlyandeconomically.Thescopeanddepthoftheproposedaudit,tobeaddressedandjustifiedwithintheauditplan,willdeterminethetimeschedule,personnelandfinancialresourcesrequired.Theschemeofauditmaycoverentirestate/UTcoveringallthedistrict/administrative units or a specific district or a specific Assembly/Parliamentaryconstituencyhavingspecificconsiderationlikebeingaprimarilyanurbanorruralor having certain statistical figures indicatingpossible non conformance. Basedonauditfindingsinsomesampleunitsofelectoralmachinery,otherunitsmaybeaskedtotakeupconformancescheme.

Theteammanagerwillbrieftheteamleadersandifpossible,thememberstoo,abouttheprocedure,formatsscopeetc.beforeproceedingtothestate/UT.

Physical Audit:-Thephysicalauditphasewillbeimplementedinaccordancewith the audit plan. It includes the entry meeting with the auditee, thedeterminationofauditfindingsthroughinterviews,inspectionsandtheevaluationand verification of files and records, including recordings of proceedings ofnomination, scrutiny, conductofpoll atpolling stations, countingof votesetc.;functionalareadebriefingandtheexitmeeting.

Post-Audit:-Post-auditactivities includecompletionoftheaudit reportandparallelreport.

Audit Follow-up:-Auditfollow-upincludesthedevelopmentandapprovaloftheauditee’sCorrectiveActionPlan(CAP)andensuresfullimplementationoftheCAP.TheECIwillappointaninspectingofficerwhowillberesponsiblefortrackingandverifyingtheprogressoftheauditee’sapprovedCAP.

Co-ordination:-Audits will be co-ordinated through the ECI. The auditmanagerwillensurethattheECIisinformedofallrelevantauditmatters,andwillbeaccountabletotheECIforthemanagementofauditresourcesandtheintegrityoftheauditprocess.

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Scope and Depth

Criteria:-Thescopeanddepthoftheauditisdeterminedbythefollowing:

(a) Thesizeandcomplexityof thestate/UT. Inacompositeauditallaspectofelectionprocesswillbeaudited;

(b) Whetherwhole state/UT is coveredoronly someconstituenciesarebeingcoveredoronlyafewselectedsubjectsaretobeaudited;

(c) Thetimesincethelastaudit;

(d) ThekeyindicesasindicatedinForm1-8ofthestate/UT;and

(e) Auditresourcesavailable.

Frequency:-ThefrequencyoftheauditshallbebasedontheAnnualRegulatoryAuditProgram.

Criteria:-Audittargetingandfrequencywillconsiderthefollowingfactors:

(a) Proximityofelectioninthenearfuture;

(b) Complaintsfromstakeholders;

(c) Poorstatisticalkeyindicators;

Periodic Cycle:-Everystate/UTwillbeauditedonaperiodiccyclerangingfrom24to36months.Thisperiodiccyclecanbeextendedforsmallerstates/UTswithsoundconformancerecord,andnoneoftheriskindicatorsdescribedintheaboveforegoing paragraph. The promptness with which previous non-conformanceswerecorrectedshouldalsobeafactorinthetimingofthenextaudit.

Unit of Control:-Officersassignedtoanauditshallreporttothedesignatedauditmanagerforthedurationoftheaudit.Toensurecontinuity,officersassignedtoanauditshallnotbereleasedfromtheirauditdutiespriortothecompletionoftheauditunlesswrittenauthorizationhasbeenreceivedbytheauditmanager.

Eligibility of audit team:-TheteammanagerofanauditwillbeoftherankofSecretarytoECIandaboveandteammemberofauditteamshouldbechosenfromECIHeadQuarter&fromtheofficesofCEOsofstates/UTs.

Confidentiality:-Owingtothesensitivenatureofaudits,confidentialityisoftheutmostimportance.Teammembersshallexercisediscretionwhendiscussingauditmatters during an audit (whether on or off the site). Discussion of auditcontentshallbelimitedtotheauditteamandECI.

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Classes of Audits

ThereshallbeonlyoneteamoftheECIthatwilldothejobofaudit inthedistrictforalltheassignedsubjectslikeelectoralroll,pollingstation,EVM,SVEEPetc.

Pre-Audit:-The pre-audit for auditee begins with the selection of ateam, followedby the preparationof an audit plan, the gathering of pre-auditdocumentation and the holding of a pre-audit team meeting. This process isillustratedasfollows:

• TeamSelection

• AuditPlan

• Pre-AuditDocumentation

Team Selection:-Theauditteam,approvedbytheECI,willnormallyconsistof the auditmanager/leader; one or two teammembers for each or group ofdistricts. Forauditsof smaller states/UTs, the teamstructuremaybe the samebuttheirnumberswillbelesserforthereasonthenumberofdistrict/locationsofauditbeingsmaller.

RegulatoryAuditDivision(RAD)willbetheconveningauthority(CA)anditsresponsibilitiesshallbeasunder:-

(a) AppointtheauditmanageratleastonetotwomonthspriortotheauditwiththeapprovaloftheCommission;

(b) Overseetheselectionoftheauditteam;

(c) SeektheapprovalofECIontheobjective,scopeanddepthoftheaudit;

(d) Approvetheauditplan;

(e) Attendtheentrymeetingifpossible;attendtheexitmeeting,whenpracticable;

(f) SeektheapprovaloftheCommissionoftheauditreportandensurethattheauditeereceivesthereportwithintwentyworkingdays;

(g) Ensurethatactionistakeninanappropriate,timelymannerforcriticalsafetyissues identifiedbytheauditmanagerduringthephysicalauditandasperCAPapprovedonthebasisofdraftCAPsubmittedbyauditee.

(h) Ensurethatappropriatefollow-upactioniscompletedafterthephysicalaudit;and

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(i) Sendalettertotheauditeeconfirmingthatallauditfindingsandcorrectiveactionsarecompleteandthattheaudithasbeenclosed.

Pre-Audit Documentation:-This includes a thorough review of relevantfilesanddocumentationandtheopeningofaauditfileforaparticulardistrict.Information gathered during the pre-audit phase will assist the audit team indeterminingthespecificareas,systemsandactivitiesthatwarrantexamination;supplementingauditchecklists(Annexure-I);oramendingthescopeoftheaudit.Thisauditphaseshould:

(a) ensurethatallreferencemanualsanddocumentstobeusedduringtheauditinaccordancewiththeHandBooksprescribedbytheECIarereadilyavailable,includingthelatestapprovedamendments;

(b) review the auditee’s files and records(includes recordings) to check if theactionsareasperinstructions,timely;

(c) itemizeareaswhichrequirefurtherreview;

(d) selecttheappropriatechecklistitemsfrom,asapplicable,inaccordancewiththescope,depthandcomplexityoftheaudit;

(e) completeallpre-auditsectionsofthechecklists;

(f) ensurethatallauditdocumentationischronologicallyrecordedonthedistrictauditsub-file;and

(g) ensure that each teammember has received appropriate portions of theauditplan.

(h) previousinspectionorAuditReports;

Pre-Audit Team Meeting:-Thismeetingshould:

(a) confirmindividualteammembers’dutiesandresponsibilities;

(b) ensurethatallteammembershavereceivedappropriateportionsoftheauditplan;

(c) ensurethatallteammembersareawareofrestrictionsregardingauditreportdistribution;

(d) outlinetheoverallauditplan;

(e) clarifyanyoutstandingissuesorproblems;

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(f) includeabriefingbyaseniorofficeroftheCommission

(g) address the issues of conflict of interest, confidentiality and access toinformation.

Physical Audit

General:-The physical audit consists of the entry meeting, evaluation,verification,dailybriefingsandexitmeeting.

Entry Meeting:-Theentrymeetingshoulddiscusstheplanofthephysicalaudit.Itshouldbeattendedbytheauditee’sseniorofficerssuchastheDistrictCollector/Addl.DistrictCollectorandidentifiedmembersoftheauditteam.Itwilloutlinetheauditprocesstothedistrictandconfirmanyadministrativerequirementssothat thephysicalauditmaybeconductedbotheffectivelyandefficiently,whileminimizingdisruptionstotheelectionmachineryinthedistrict.

(1) The entry meeting should:

(a) takeplaceontheauditee’spremises;

(b) beattendedbytheauditee’sseniorofficers;

(c) specifyauditdetailsandprocedures;and

(d) bebrief,specificandcourteous.

(2) The audit manager shall:

(a) explainthepurposeoftheentrymeeting;

(b) introduceauditteammembers;

(c) statetheobjective,scopeanddepthoftheaudit;

(d) addressthemeansofcommunicationbetweentheauditteamandtheauditee;

(e) explainthatdistrictofficialswillbebriefeddailyonprogressoftheaudit;

(f) describethemannerinwhichanyauditfindingdetectedwillbehandled;

(g) establishalocationandtimefortheexitmeeting;

(h) emphasisethatthepurposeofanauditistoidentifynon-conformancesandthatappropriateactionmayresultfromanyofthesefindings;and

(i) respondtoallquestionsfromtheauditees.

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(3) The auditee to provide:

(a) adequateworkingspace;

(b) accesstoaphotocopierandfacsimilemachines;

(c) measuringortestequipment;

(d) accessandadmissiontoallfacilities;

(e) accesstocompanyfilesandrecords;

(f) credentialsandfacilitypasses;

(g) selectedpersonnelforinterviews;and

(h) Reliablesupportandliaisonofficers.

Evaluation:-Intheevaluationphase,theDistrictelectionmachinery’slevelofconformancewithregulationsandstandardscontainedinexistinglegislationandactualpracticewillbeassessed.Thefollowingarepossiblemeansofevaluation:

(1) Interviews:-Interviewswithkeyofficialsareimportantduringtheevaluationphase todeterminewhether the control systemdocumented inECImanuals isthatisinuse,andtoassesstheknowledgeofsupervisorypersonneloftheirdutiesand responsibilities. Interviews may also confirm the validity of audit findingsreachedthroughobservationorsampling.Thefollowingguidelineswillbeusefulwhenpreparingforaninterview:

(a) prepare carefully prior to the interview by defining the areas to beexploredandsettingspecificobjectives;

(b) explainwhytheinterviewistakingplace;

(c) useopenquestionsandavoidcomplexquestionsorphrases;

(d) listen carefully to answers and allow interviewee to do most of thetalking;

(e) avoidbeingside-trackedfromyouroriginalobjectives;

(f) ensurethatquestionsareunderstood;

(g) terminatetheinterviewiftheatmospherebecomeshighlynegative;

(h) documentallresponses;and

(I) thanktheintervieweeattheconclusionoftheinterview.

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(2) Sampling:-Thesamplesizeofapopulationandselectioncriteriahavedirectimpactonthevalidityandconfidenceleveloftheresults.Thefollowingguidelinesshouldbeused:

(a) eachsamplegroupmuststandalone.Ifthereare25EROs,100AEROs,300BLOs,eachofthethreegroupsmustbeconsideredseparately;

(b) thepurposeofauditistoachievea95percentconfidencelevelwiththeresultsof the sample tested.Often, thisgoalmaynotbeappropriate;therefore,theauditteammustcarefullyconsiderboththesamplesizeandthetimedevotedtothetask.Randomsamplingmaybeconsideredanacceptablealternative;-

(c) forsmallerpopulations,alargersamplemustbeexamined.Forexample50%oftheEROsmentionedat(a)abovemaybeexaminedbutonly35to40%ofAEROs/BLOsneedtobeexamined.

Verification:-During this phase, the audit team will gather information todeterminetheauditee’slevelofconformance.Specifically,verificationwill:

(a) determinewhetherofficialsarefunctioningasperinstructionseffectivelyandasintended;

(b) determine whether the auditee’s operation conforms to the ECIrequirementsandstandardscontainedintheauditchecklists;and

(c) analyse particular deficiencies to assess their effects and identify thecauses.

(2) District files or records should not be accessed without appropriateauthorization and , when possible, official representatives should be presentduringreviewofthesefilesandrecords.

(3) Ifthereviewandverificationphasesdonotprovidesufficientconfirmationoftheelectionmachineryinthedistrict,furthersubstantiationwillberequiredtoensurethatanyevidenceobtaineduptothatpointsupportstheauditfindingandconclusions.Inshort,othersupportingdocumentationmustbeacquiredandsecured.

(4) Verificationincludesvarioustypesofinspections.Theremaybeinspectionsof old record, files showingdisposal process, locationof polling station and itssuitability,storageandupkeepofEVMetc.Theseinspectionsmaybecarriedoutasco-ordinatedinspectionsbythesameteamdeputedinthedistrict.

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Confirmation Request Form (CRF):-

(1) TheCRF(Annexure-II)isaneffectiveaudittoolinthefollowingcases:

(a) whereevidenceindicatesanauditfinding,theauditeewillbegiventheopportunitytoshowotherwiseinDeficiencyReportingForm(Annexure-I).

(b) theauditorwilldeterminethecourseofactiontobeadoptedbasedontheauditee’sresponse;

(c) the auditor will observe the state of the office records managementsystemfromtheauditee’sperspective;

(d) arbitraryauditfindingsbasedonsubjectiveexampleswillbeeliminated;

(e) theauditwillnotbesurprisedattheendoftheaudit,asallcontentiousissueswillhavebeendiscussedopenlyduringthephysicalaudit;

(f) the auditor can concentrate on auditing rather than on researchingauditee’sfilesandrecords;and

(g) theauditeewillreceiveasigneddocumentfromtheauditforinclusioninthesupportingdocumentationpackage.

(2) TheCRFwillbesenttotheteamleaderoradelegateattheoutsettoavoiduntimelysurprises.Itshouldthenberecordedinacontrollog,theformatofwhichwillbedeterminedbytheteamleader.Itmayrangefromasimpletitle,timeanddatelogtoafileofphotocopiedduplicates.AllCRFswillbeissuedsequentiallytoensurethat,uponcompletionofthephysicalaudit,theCRFshaveresponsesandappropriateactionhasbeentaken.

(3) At theendof eachday, theCRF control log shouldbe comparedwith thereturnedCRFtoensurethat it iscurrent.Fora largeaudit, thiscanbedoneatthedailybriefingwiththeauditee.Inthismanner,boththeauditeeandtheauditteamwillbeupdatedastothestatusofthesedocuments.Regardlessofthewayinwhich the control log ismaintained, all CRFs should be cleared prior to thecompletionofthephysicalauditatthatsiteordistrict.

(4) WhentheCRFhasbeenreturnedandappropriateactiontaken,thismaterialshouldbefiledaccordingtotheappropriateauditarea,allowingdocumentationrelatingtohigh-profileitemstobemaintainedforalterreference.Thisfilewillalsoprovidebackgroundandevidence for anyenforcement action tobe takenat alaterdate.AsampleCRFcanbefoundinAppendix1.

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Audit Finding Form:-

(1) Audit finding forms(Annexure-III) must be completed accurately as theyformthebasisoftheauditreportandasuccessfulaudit.Sinceanumberofteammemberswillbecompletingauditfindingforms,itisimportantthatastandardizedapproachto inputtingdataontheformbetakentoreducethenumberofdataentryerrors.

(2) All supporting documentation will be included with the completed auditfindingformforreviewbytheauditmanager.Althoughthisdocumentationwillnotbeincludedintheauditreport,itwillberetainedintheauditfile.

(3) All hand-written copies of audit finding forms will be filed according tofunctionalareaandwillformPartofthesupportingdocumentationintheauditreportforeaseofreference.

Completion of Audit Finding Form:-Non-conformancesarerecordedonauditfinding forms. When completing these forms, auditors shall use the followingchecklist:

(a) atthetopoftheauditfindingform:

(1) correctlyidentifythenameofthedistrict;

(2) enterthesubject,nameanddesignationof theofficer, locationof theoffice;

(3) identifytheauditfindingnumberinaccordancewiththechecklistorasdirectedbytheauditmanager.

(b) inthe“Non-ConformanceWith”sectionoftheauditform:

(1) correctly identify the title of the regulatory requirement to bereferenced,withoutusingacronymsorabbreviations;

(2) isolatetherelevantportionoftheregulatoryrequirementbyreferencetothechapter,section,sub-sectionandparagraphasappropriate;

(3) referthenon-conformancetothemostapplicableregulatoryrequirement;

(4) whensegmenting,quoteasufficientportionofthetexttoclearlyidentifytheregulatoryrequirementwhileavoidingtheuseofunnecessarywords.

(c) inthe“Examples”section:

(1) identifytheauditorsanddateofthefinding:

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(2) specifythethreemostapplicableexamplesofthenon- conformance,wherepracticable;

(3) ensurethattheexamplesillustratenon-conformancewiththeparticularstandards;

(4) useanappropriateleadinstatementtointroducetheexamples;and

(5) support the audit finding with secured evidence (i.e. photocopies,photographstoberetainedinanappropriatelocation).

Daily Briefings:-

(1) Teambriefingswillnormallybeheldattheendofeachdayduringtheauditto:

(a) ensureadherencetotheauditplan;

(b) validateconfirmationrequestsandauditfindings;

(c) resolveissuesorproblemsarisingfromtheday’sactivities;and

(d) updatetheteamleader,ifnecessary.

(2) Briefingsshouldbeheldattheendofeachday,followingteambriefings,toupdatetheauditee’smanagementonauditprogress.Theauditteamleadermayelecttohavespecialistteammember’sbriefauditeeofficialsonspecificitems.

Exit Meeting:-The exit meeting with the auditee’s senior officers shouldprovide an overview of the audit. The meeting should summarise the auditfindings,statingareasofstrengthandweakness.Acontroversialdiscussionwithauditee representatives of the auditee regarding audit report contentmust beavoided.Theprocessfortheexitmeetingisasfollows:

(1) Normally, theDistrict Collector andDEO, audit team leader,memberswillattendtheexitbriefing.Theteamleaderwillattendthemeetingwiththeteam.

(2) Allauditfindingsshouldhavebeendiscussedwithofficialsoftheauditeeaseachfunctionalareawascompleted.Newauditfindingsshouldnotnormallybeidentifiedattheexitmeeting.Themeetingshouldprovideanoverviewoftheauditandnotbecomeadebatebetweentheteamandtheorganization.Theauditeeshouldbeadvisedthattheywillhaveanopportunitytorespondformallytotheauditreport.

(4) Theauditeewillbeadvisedof thoseauditfindings thatmaybe subject toappropriateaction.Theauditeewillalsobeadvisedoftheauditee’sresponsibility

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to take appropriate action to correct all non-conformance and prevent theirrecurrence.

(5) The audit team leader shall advise the auditee that the audit report willbe forwarded to the officewithin thirtyworking days and that a CAPmust besubmitted toRADdivisionof theCommissionwithin30workingdaysafter theauditeehasreceivedthereport.

Post-Audit

General:-Thisphaseincludespreparationoftheauditreportandtheparallelreport.

Audit Report:-

(1) Everyunitofauditie.anA.C/PC/Districtshouldbecoveredbytheauditteaminnotmorethan5daysandofthat2daysmaybetakentocheckrecordsintheofficesoftheauditeeandremainingtimeinthefieldvisitsforphysicalverification,interviews etc. in the field. The team leader should file the final report to theRADof ECI in the next 5 dayswhile the RAD is expected to seek the approvalontheproposedactionwithinnext5days.Theauditreportshouldnormallybepresentedtotheauditeewithin30workingdays.Anydelaymustbedocumentedsincethevalidityoftheauditwillbecompromisedifthereportisnotpresentedinatimelymanner.Draftauditfinding formsmaybe leftwith theauditeeasacourtesythoughthisisnotmandatory.

(2) TheteamleaderisresponsibleforthepreparationoftheauditreportanditsapprovalbytheECI.

Audit Follow-Up

General:-Upon completion of the audit, the RAD will delegate follow-upresponsibilities to the Zonal Secretary/Pr. Secretary who will then ensure thatallauditfindingshavebeenresolvedinaccordancewithanapprovedCorrectiveActionPlan(CAP).

Corrective Action Plan (CAP):-

(1) Thecovering letterof theaudit reportwill advise theauditee that itmustsubmitaCAPaddressingtheauditfindingswithin30workingdays.Normally,thisdeadlinewillnotbeextendedwithouttheapprovalofECI.

(2) It is important to review theorganization’sCAP todeterminewhether theauditee has developed a reasonable timetable for corrective action. It is also

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essential to ensure that the timetable has prioritized the corrective actions toaddressthemostcriticalfindingsfirst.

(3) Depending on the nature of the audit findings, the auditee’s CAP shouldinvolveimmediatenecessaryactions.

(4) AnauditwillformallybeclosedwheneveryauditfindinghasbeencorrectedthroughtheCAPandthesamehasbeenacceptedbytheECI.

(5) Trendsandfindingsmustbemadeapplicabletoentirestate/UTasalessonlearntandtheCEOof thestatemustdirectall theDEOstosubmitasuomotuactiontakenandcompliancereport.

Post Audit Surveillance-

Duringauditfollow-up,surveillanceistheonlymeanstoensurethatelectionmachineryinthedistrictcomplywiththeECIinstructions.Post-auditsurveillancecanbeconductedas informalvisitsorasamorestructured follow-upauditoncontinuousmonitoringapproach.

Audit Team will observe sound ethical code while conducting audit in aterritory.

17

Annexure-I-A

Check list for verification of Electoral Roll:

Sr. No. Name of the activity Reference in the Handbook

for ERO

Whether action taken

Yes NO

Remarks

1. RationalisationofPollingStation-publicationoflistofpollingstationandinvitesuggestionsfromMP/MLAsandothers.

ChapterIV,Para27Ch.IPara45

2. Name,telephonenumberofBLOisadequatelypublicizedinthelocality

ECIinstruction

3. VulnerabilityofvoterskeptinviewwhiledrawinglistofP.S

ECIinstruction

4. Areceiptofallformsreceivedhasbeenissuedandreplyregardingacceptance/rejectionhasbeensent.

Ch.V,Para21Ch.V,Para40

5. AllthedeletionsofpreviouslyregisteredvotershavebeendonebysendingtheirnamestoEROsofpreviousplace.

Ch.VIII,Para26

6. BLOshaveverifiedalltheclaims/objectionsandvisitedtheirlocalities.

ECIinstruction

7. Copiesofdraftrollswithsoftcopyhandedovertorecognizedpoliticalparties.

Ch.IV,Para40

8. DraftrollreadoutintheGramSabhas,housingsocietiesanddisplayedatproperplace.

ECIinstruction

9. Listofdeadpersons,shiftedvotersalreadypreparedandactedupon.

ECIinstruction

10. Keyparametersofstatisticaldata,suchasEPratio,genderratioetc.takencareof.

Ch.IV,Para81-90

18

11. De-duplicationsoftwarerunwithintheconstituencyandacrosstheconstituenciesandprobablerepeatedentriesverifiedandproperprocedurefollowedfordeletionetc.

Ch.IV,Para23

12. Copyofrolluploadedonthewebsiteonthedateofdraftpublication/finalpublicationandhelplinesareworking.

Ch.IV,Para32

13. NamesofMPs,MLAsandpersonswithnotifiedofficesverifiedintheroll.

Ch.III,Para32

14. Actiontakentocollectnon-photovoters,photographhasbeentakenandreadyEPICsdistributed.

ECIinstruction

15. Allclaimshavebeendisposedoffbyspecifieddate,ordershavebeenpassedoneachapplicationwithlegiblenamesanddateandrequiredpercentageofsupercheckbyEROandAEROdone.

Ch.IV,Para26Ch.V,Para56-60

16. Namesofaddition/deletionandcorrectionpreparedandintegratedifrequiredanddraftlistprepared.

Ch.IV,Para25.1-25.2

17. Onlineapplicationreceivedhasbeendisposedoff,checkedandanyrepetitioninthehardcopychecked.

ECIinstruction

18. Properstorageofrecordsofrollmaintained.

ECIinstruction

19. BLOshavegonethroughthecopyofelectoralrolltocheckthatnamesoffamilymembersareenlistedinoneplace.Therearenorepeatedentriesetc.

ECIinstruction

19

20. Totalnumberoftheentriesintheelectoralrollsshouldtallywiththedetailsintheheaderpage.

ECIinstruction

21. BLOshavecarriedoutfieldvisitsandEROshavealsosupervisedtheirwork.

ECIinstruction

22. Actiontakenforupdatinglastpartofrollforservicepersonnel.

ChapterX.para20-28

23. ActiontakentoincludeForm6AfromNRIs,ifany.

ChapterXI,para2-6

20

Sr. No. Name of the activity Reference in the Handbook for RO


Yes NO

Remarks

1. Therearenopollingstationslocatedinreligiousplaces,firstfloorofanybuilding,buildingbelongingtopoliticalparties,hospitaletc.

ECIinstruction

2. Thereisnopollingstationforwhichavoterhastotravelmorethantwokilometers.

Ch.I,Para41

3. Basicminimumfacilitysuchaswater,shelterforprotectionfromsun,toilet,ramp,electricityetc.areavailableatthepollingstation.

4. Draftproposedofpollingstationwaspublishedinlocalityinvitingsuggestion/objectionandallpartymeetingwasheldtodiscussandactonthesuggestions.

5. Whiledrawinglistofpollingstation,duecarehasbeentakenforvulnerablesectionsofsociety,issuesinvolvingpolarityinlocality,geographicalbarriarsetc.

Annexure-I-B

Check list for verification of Polling Station:

21

Sr. No. Name of the activity Reference in the Handbook

for ERO


Yes NO

Remarks

1. WasdraftpublishedonprescribeddateandcopiesgiventoPoliticalParties,MLA/MPs?

2. Numberofclaims/objectionsreadandwhetheractiontakenonallclaimsbeforepublication.

3. Supplementsofcontinuousupdationincludedindraftroll.

4. Whetherdataentryofallformsdoneandacknowledgementissued

5. Allclaimantsinformedofactiontaken

6. BLO’svisitedtheirareaofjurisdictionandsubmittedinformationaboutdead,shifted,newvoters.

7. Collectedphotosorphotographedresidualvoters.

8. ProgrammeforEPICfinalizedfornewvoters.

9. Runde-duplicationsoftwareandverificationofduplicatesdoneandfurtheractiontaken.

Annexure IC

Checklist for Summary Revision:

22

Annexure ID

Checklist for Continuous Revision:

Sr. No. Name of the activity Reference in the Handbook for ERO


Yes NO

Remarks

1. SupplementssenttoERO’son7th of the monthbytheBLOs.

2. Photographofresidualvoterscollected.

3. EPICdistributed

4. Actiontakenonformsreceived.

5. Action taken oncomplaintreceived.

23

Annexure IE

Check list for verification of Electronic Voting Machines:

Sl. No. Check point Observation

Storage and Safety arrangement of EVMs

1. WhetheracommitteeconsistingofofficernominatedbyDistrictElectionOfficer(notbelowtherankofSub-DivisionalMagistrate),ElectionSupervisorandWarehouse-in-chargeofEVMshavebeenconstitutedforthedistrict?

2. WhetherMasterStockRegisterforEVMshasbeenmaintainedwarehouse-wiseforthedistrict?

3. a) No.ofBallotUnitsavailableinthewarehouse(s)asperMasterStockRegisterb) No.ofControlUnitsavailableinthewarehouse(s)asperMasterStockRegister

4. WhetherEVMsavailableinthewarehouseareinvolvedinanyElectionPetitionorCourtcase?

5. Ifyes,detailsofcase?

6. WhetherdetailsofallEVMsavailableinthedistricthavebeenenteredintheMSRofrespectivewarehouseaswellasintheLedgerofEVMs?

7. EVMsarestoredinTreasuryorwarehouseatDistrictHeadquartersorwarehouseatTehsilheadquarters.

8. WhetherEVMshavebeenstoredinaseparatewarehousewherenothingotherthanEVMiskept?

9. EVMstoragewarehousehasone(1)entrypoint.Ifthereareanyotherdoorsorwindowsinthewarehouse,theyhavebeensealedusingbrick-masonry/concreteornot.

10. WhetherentryofEVMstoragewarehousehasbeensecuredbyadoublelocksystemornot?

11. Whetherwarehouseisfreefromanydampness,pests,rodentsetc.?

24

12. Whetherproperfire-fightingarrangementhasbeenmadeavailable?

13. Whetheradequatesecurityarrangementhasbeenmadeatwarehousebydeputingpolice/securityguard?

14. WhetherDEOhasnominatedone(1)officernotbelowtherankofTehsildartobein-chargeofeveryEVMwarehouseforthepurposeofopening/closingofwarehouse?

15. Whetherlogbookforopening/closingofwarehousehasbeenmaintained?

16. WhethercopiesofthewrittenordersoftheDEOforopeningofwarehouseisavailable?

17. WhethercopiesofinvitationtoNationalandStaterecognizedpoliticalpartiesregardingdateandtimeofopeningandclosureofEVMwarehouseareavailable?

18. WhethersignaturesofauthorizedrepresentativesofNationalandStaterecognizedpoliticalpartiespresentatthetimeofopeningandclosureofthewarehousehavebeentakeninalogbookmaintainedforthispurpose?

19. WhethercopiesofwrittenordersoftheDEOregardingmovementofEVMsinandoutoftheEVMwarehouseisavailable?

20. WhetheramovementregisterforEVMsismaintained?

21. Whetherthewarehousein-chargehastakenawrittenacknowledgementfromtheofficerreceivingtheEVM?

22. WhenEVMswerereturnedtothewarehousewhetheranentrytothateffectwasmadeinthemovementregister?

23. 100%physicalverificationofEVMshasbeencarriedoutbytheCommitteementionedat1aboveduringlastyear.

First Level Checking of EVMs

24. WhetherDEOpreparedaschedulefortheFLCofEVMinconsultationwiththeEVMmanufacturers(ECIL&BEL)andtheCEO?

25

25. WhetherschedulewasmadeinsuchamannerthatsufficienttimeisavailableforFLCofEVMsbyengineersofmanufacturers?

26. WhetherthescheduleforFLCwascommunicatedtoeverynationalandstatelevelrecognizedpoliticalpartyinwritingbytheDEOatleastoneweekbeforethebeginningoftheFLCinthedistrict?

27. WhetherrepresentativesofallnationalandstatelevelrecognizedpoliticalpartiesauthorizedbytheDistrictPresidentofthepartyare/werepresentatthetimeofFLC?Specificdetailsofparties.

28. WhetherDEOhasnominatedoneofficernotbelowtherankofAdditionalDistrictMagistratetosupervisetheentireprocessofFLC?

29. WhethernominatedofficerpresentsintheFLChallfortheentiredurationofFLC?

30. WhethertheprocessofFLCis/wascontinuouslyvideographed?

31. WhetherCCTVcamerasare/wereputintheFLChall?

32. AregisterhasbeenkeptbytheDEOinwhichsignaturesofallpoliticalpartiesare/weretakeneverydayastokenoftheirpresence.

33. DateofstartingFirstLevelCheckingofEVMs.

34. FirstLevelCheckingofEVMsisstillgoingonorcompleted.

35. IfFLCiscompleted,dateofcompletion.

36. No.ofBallotUnitsandControlUnitsaresubjectedtoFLC.

37. FLChasbeenconductedinno.ofBallotUnitsandControlUnitstilldate.

38. No.ofBallotUnitsandControlUnitsfounddefectiveintheprocessofFLC.

39. FLCiscarriedoutinalargehallwhichaccommodatesEVMstobechecked.

26

40. Whethereveryentrytothehallisguardedbypoliceforce?

41. Whethereveryhallhasadoorframe,metaldetector?

42. Whethereverypersonwhoentersthehallisfriskedateveryentry?

43. WhetherentrytothishallisonproductionofIdentityCardoftheauthorizedofficials/passesissuedbytheDistrictElectionOfficer?

44. Whethernobodyisallowedtocarryanyelectronicdeviceinsidethehallincludingcellphones,cameraandspypensetc.?

45. WhetherFLCiscarriedoutonlybyauthorizedengineersofBELandECIL?

46. WhetherBEL/ECILengineerscarryouttestprescribedbythemanufacturerstoconfirmthatallcomponentsoftheEVMareoriginalandcertifythatallthecomponentsoftheEVMsareoriginal?

47. Whetherdetailedstep-by-stepinstructionsofcheckingofthemachinewereissuedbyBEL/ECILfortheirrespectivemachines?

48. Whethertheseinstructionsincludealistofequipment,whichtheengineerscarrywiththeminFLChall?

49. Whetherin5% percentofEVMsatleast1000votespolledduringthemockpoll?

50. Whetheraprintoutoftheresultsofmockpollaswellasasequentialprintoutofeveryvotepolledduringthemockpollare/weretakenoutforatleast5%ofEVMsandshowntotherepresentativesofpoliticalparties?

51. Whethersignaturesofrepresentativesofpoliticalpartiesare/weretakeninaregisterasatokenofhavingseentheprintoutandconfirmthatthereis/wasnodiscrepanciesbetweenthevotespolledduringthemockpollandresultsintheprintout?

27

52. AfterfixingthePinkPaperSealonControlUnit,whethertheEngineeroftheManufacturerputshissignatureonthePinkPaperSeal?

53. WhethertherepresentativesofthePoliticalPartiesalsoputtheirsignatureonthesaidsealwithpartynameinabbreviationbelowthesignature?

54. Whethersignaturesofrepresentativesofpoliticalpartiesare/wereobtainedontheregistermaintainedtonotedowntheserialnumberofthepinkpapersealusedontheControlUnitbyclearlymentioningtheuniqueIDnumberofControlUnitandthePinkPaperSealnumber?

55. WhetherphotocopyofthisregisterhasbeengivenfreeofcosttoallNationalandStatelevelrecognizedpoliticalpartiesassoonasFLCisover.

56. AfterFLCisover,whethertheDEOfixascheduleforfirstrandomizationofEVMs?

57. WhetherfirstrandomizationofEVMsofBallotUnits(BUs)andControlUnits(CUs)isdonetorandomlyassignEVMstoAssemblyConstituencies(ACs),trainingandAwarenessProgrammes?

58. AfterfirstrandomizationwhethertheR.Ooftheconstituency,takeschargeoftheCUsandBUsrandomlyallottedtohisconstituency?

59. WhethertheCUsandBUsmeantforuseattheelectionareseparatelytakentoR.O’sstrongroomunderproperescortandisguarded24X7?

60. Atthetimeofsealingthestrongroom,whethertherepresentativesofpoliticalpartiesremainpresentandtheyalsoaffixtheirsealonthelock?

61. ThetrainingEVMsaredistributedtotherelevantofficersforthetrainingpurpose?

Preparation of EVMs (Candidate setting)

62. WhetheracopyofthislistoffirstrandomizationofEVMsisgiventoallthecandidatesafterthelastdateofwithdrawalofcandidatures?

28

63. WhethertheReturningofficerfixesthedateofpreparationofEVMsforpoll(Candidateset)andintimatetoallcandidatestoremainpresentorsendtheirrepresentativesduringtheprocess?

64. WhetheronthedayofpreparationofEVMssecondrandomizationofEVMs(BUs&CUs)isdonebeforedoingtheprocessofpreparationofEVMsforpolls?

65. WhethercandidatesortheirrepresentativesarepresentatthetimeofPreparationofEVMsforelection?

66. WhethercandidatesortheirrepresentativesarepresentatthetimeofPreparationofEVMs?Specificdetailsofcandidates.

67. WhethertheprocessofpreparationofEVMsiscontinuouslyvideographed?

68. AregisterhasbeenkeptbytheROinwhichsignaturesofcandidates/theirrepresentativesaretakeneverydayastokenoftheirpresence.

69. DateofstartingPreparationofEVMs.

70. DateofcompletionofpreparationofEVMs.

71. No.ofBallotUnitsandControlUnitsfounddefectiveduringpreparationofEVMs.

72. WhetherpreparationofEVMsiscarriedoutinalargehallwhichaccommodatesEVMstobeprepared.




76. WhetherentrytothishallisonproductionofIdentityCardoftheauthorizedofficials/passesissuedbytheDistrictElectionOfficer/ReturningOfficer?


29

78. WhetherpreparationofEVMsiscarriedoutinthepresenceofauthorizedengineersofBELandECIL?

79. WhetherBEL/ECILengineerscarryouttestprescribedbythemanufacturerstoconfirmthatallcomponentsoftheBallotUnitsareoriginalandcertifythatallthecomponentsoftheBallotUnitsareoriginal?

80. Whetherin5% percentofEVMsatleast1000votespolledduringthemockpoll?

81. Whetheraprintoutoftheresultsofmockpollaswellasasequentialprintoutofeveryvotepolledduringthemockpollare/weretakenoutforatleast5%ofEVMsandshowntotherepresentativesofpoliticalparties?

82. Whethersignaturesofrepresentativesofpoliticalpartiesare/weretakeninaregisterasatokenofhavingseentheprintoutandconfirmthatthereis/wasnodiscrepanciesbetweenthevotespolledduringthemockpollandresultsintheprintout?

83. AfterfixingthePinkPaperSealonBallotUnit,whethertheEngineeroftheManufacturerputshissignatureonthePinkPaperSeal?

84. Whethercandidates/theirrepresentativesalsoputtheirsignatureonthesaidsealwithpartynameinabbreviationbelowthesignature?

85. Whethersignaturesofcandidates/theirrepresentativesareobtainedontheregistermaintainedtonotedowntheserialnumberofthepinkpapersealusedontheBallotUnitbyclearlymentioningtheuniqueIDnumberofBallotUnitandthePinkPaperSealnumber?

86. Whetherphotocopyofthisregisterhasbeengivenfreeofcosttoallcandidates/theirrepresentativesassoonasPreparationofEVMsisover?

30

Annexure IF

Check list for verification of Voter Verifiable Paper Audit Trail

Sl. No. Check point Observation

Storage and Safety arrangement of VVPATs

1. WhetheranyMasterStockRegisterforVVPATshasbeenmaintainedwarehouse-wiseforthedistrict?

2. No.ofVVPATsavailableinthewarehouse(s).3. WhetherdetailsofallVVPATsavailableinthedistricthave

beenenteredintheMSRofrespectivewarehouseaswellasintheLedgerofVVPATs?

4. Whetherwarehouseisfreefromanydampness,pests,rodentsetc.?

5. Whetherproperfire-fightingarrangementhasbeenmadeavailable?

6. Whetheradequatesecurityarrangementhasbeenmadeatwarehousebydeputingpolice/securityguard?

7. WhetherDEOhasnominatedone(1)officernotbelowtherankofTehsildartobein-chargeofeverywarehouse,whereVVPATshavebeenkept,forthepurposeofopening/closingofwarehouse?

8. Whetherlogbookforopening/closingofwarehousehasbeenmaintained?

9. WhethercopiesofthewrittenordersoftheDEOforopeningofwarehouseisavailable?

10. WhethercopiesofinvitationtoNationalandStaterecognizedpoliticalpartiesregardingdateandtimeofopeningandclosureofwarehouse,whereVVPAThavebeenkept,areavailable?

11. WhethersignaturesofauthorizedrepresentativesofNationalandStaterecognizedpoliticalpartiespresentatthetimeofopeningandclosureofthewarehousehavebeentakeninalogbookmaintainedforthispurpose?

12. WhethercopiesofwrittenordersoftheDEOregardingmovementofVVPATsinandoutofthewarehouseisavailable?

31

13. WhetheramovementregisterforVVPATsismaintained?

14. Whetherthewarehousein-chargehastakenawrittenacknowledgementfromtheofficerreceivingtheVVPAT?

15. WhenVVPATswerereturnedtothewarehousewhetheranentrytothateffectwasmadeinthemovementregister?

16. 100%physicalverificationofVVPATshasbeencarriedoutduringlastyear.

First Level Checking of VVPATs

17. WhetherDEOpreparedaschedulefortheFLCofVVPATinconsultationwiththeVVPATmanufacturers(ECIL&BEL)andtheCEO?

18. WhetherschedulewasmadeinsuchamannerthatsufficienttimeisavailableforFLCofVVPATsbyengineersofmanufacturers?

19. WhetherthescheduleforFLCwascommunicatedtoeverynationalandstatelevelrecognizedpoliticalpartyinwritingbytheDEOatleastoneweekbeforethebeginningoftheFLCinthedistrict?

20. WhetherrepresentativesofallnationalandstatelevelrecognizedpoliticalpartiesauthorizedbytheDistrictPresidentofthepartyare/werepresentatthetimeofFLC?Specificdetailsofparties.

21. WhetherDEOhasnominatedoneofficernotbelowtherankofAdditionalDistrictMagistratetosupervisetheentireprocessofFLC?

22. WhethernominatedofficerpresentsintheFLChallfortheentiredurationofFLC?

23. WhethertheprocessofFLCis/wascontinuouslyvideographed?

24. WhetherCCTVcamerasare/wereputintheFLChall?

25. AregisterhasbeenkeptbytheDEOinwhichsignaturesofallpoliticalpartiesare/weretakeneverydayastokenoftheirpresence.

26. DateofstartingFirstLevelCheckingofEVMs.

32

27. IfFLCiscompleted,dateofcompletion.28. No.ofVVPATsaresubjectedtoFLC.29. FLChasbeenconductedinno.ofVVPATstilldate.30. No.ofVVPATsfounddefectiveintheprocessofFLC.31. FLCiscarriedoutinalargehall,whichaccommodates

VVPATstobechecked.32. Whethereveryentrytothehallisguardedbypoliceforce?33. Whethereveryhallhasadoorframe,metaldetector?34. Whethereverypersonwhoentersthehallisfriskedatevery

entry?35. WhetherentrytothishallisonproductionofIdentityCardof

theauthorizedofficials/passesissuedbytheDistrictElectionOfficer?


37. WhetherFLCiscarriedoutonlybyauthorizedengineersofBELandECIL?

38. WhetheraprintedpaperslipsofthemockpollaswellastheelectronicdataoftheControlUnitofEVMtalliedandshowntotherepresentativesofpoliticalparties?

39. Whethersignaturesofrepresentativesofpoliticalpartiesare/weretakeninaregisterasatokenofhavingseenthecountingandconfirmthatthereis/wasnodiscrepanciesbetweentheprintedpaperslipsandelectronicdataoftherespectiveControlUnit,duringthemockpoll?

40. AfterFLCisover,whethertheDEOfixascheduleforfirstrandomizationofVVPATs?

41. WhetherfirstrandomizationofVVPATsisdonetorandomlyassignVVPATstoAssemblyConstituencies(ACs),trainingandAwarenessProgrammes?

42. AfterfirstrandomizationwhethertheR.Ooftheconstituency,takeschargeoftheVVPATsrandomlyallottedtohisconstituency?

33

43. WhethertheVVPATsmeantforuseattheelectionareseparatelytakentoR.O’sstrongroomunderproperescortandisguarded24X7?

44. Atthetimeofsealingthestrongroom,whethertherepresentativesofpoliticalpartiesremainpresentandtheyalsoaffixtheirsealonthelock?

45. ThetrainingVVPATsaredistributedtotherelevantofficersforthetrainingpurpose?

Preparation of VVPATs

46. WhetheracopyofthelistoffirstrandomizationofVVPATsisgiventoallthecandidatesafterthelastdateofwithdrawalofcandidatures?

47. WhethertheReturningofficerfixesthedateofpreparationofVVPATsforpoll(SymbolLoading)andintimatetoallcandidatestoremainpresentorsendtheirrepresentativesduringtheprocess?

48. WhetheronthedayofpreparationofVVPATssecondrandomizationofVVPATsisdonebeforedoingtheprocessofpreparationofVVPATsforpolls?

49. WhethercandidatesortheirrepresentativesarepresentatthetimeofPreparationofVVPATs?Specificdetailsofcandidates.

50. WhethertheprocessofpreparationofVVPATsiscontinuouslyvideographed?

51. AregisterhasbeenkeptbytheROinwhichsignaturesofcandidates/theirrepresentativesaretakeneverydayastokenoftheirpresence.

52. DateofstartingPreparationofVVPATs.

53. WhetherfreshPaperRollandnewPowerPackare/wereinstalledintheVVPATprinterunitbyfollowingtheproceduregivenintheusermanualforVVPATsystems?

54. Whethertestprintoutoftheserialnumberofthecandidatesandsymbolsallottedtothemis/wastakenandcheckedwiththeBallotPaperplacedonBallotUnit?

34

55. Whetheronevotetoeachcandidateis/wasgiventoensurethatVVPATiscorrectlyprintingthepaperslipsinrespectofallcandidates?

56. DateofcompletionofpreparationofVVPATs.

57. No.ofVVPATsfounddefectiveduringpreparationofVVPATs.

58. WhetherpreparationofVVPATsiscarriedoutinalargehallwhichaccommodatesVVPATstobeprepared.




62. WhetherentrytothishallisonproductionofIdentityCardoftheauthorizedofficials/passesissuedbytheDistrictElectionOfficer/ReturningOfficer?


64. WhetherpreparationofVVPATsiscarriedoutinthepresenceofauthorizedengineersofBELandECIL?

65. WhetheraprintedpaperslipsofthemockpollaswellastheelectronicdataoftheControlUnitofEVMtalliedandshowntotherepresentativesofpoliticalparties?

66. Whethersignaturesofrepresentativesofpoliticalpartiesare/weretakeninaregisterasatokenofhavingseenthecountingandconfirmthatthereis/wasnodiscrepanciesbetweentheprintedpaperslipsandelectronicdataoftherespectiveControlUnit,duringthemockpoll?

67. Whetherphotocopyofthisregisterhasbeengivenfreeofcosttoallcandidates/theirrepresentativesassoonasPreparationofEVMsisover?

35

Annexure IG

Check list for Training Activities:

S. No. Audit points Reference

1. TrainingsforALMTshavebeenorganizedforSummaryRevision

Yes/No InstructionsissuedbytheTrainingDivisionfromtimetotime

2. IfYes,No.ofALMTstrained

3. BLOshavebeentrainedforSummaryRevision

Yes/No

4. Ifyes,totalnumberofBLOstrained

5. StudyMaterial/latestinstructionshavebeenprovidedtoALMTs/BLOsduringtraining

Yes/No

6. InstructionshavebeenissuedbytheTrainingDivisionofECIforSummaryRevision/ConductofElection

Yes/No

7. Ifyes,DEOhasfollowedinstructionsissuedbyTrainingDivisionoftheECI(PleasementionECI’scircular)

Yes/No

8.

8A

FundfortrainingsreceivedfromtheECI/StateUtilisationreportsentforfundsreceivedfortraininginpreviousyears.

Yes/No

Yes/No

9. HasfundbeendemandedfromtheStateaswellasfromtheECI

Yes/No

10. TrainingObservershavebeenappointedformonitoringoftrainings

Yes/No

36

Annexure IH

Check list for SVEEP (NVD) Activities:

Sl. No. Name of the activity

Reference in the

Handbook for ERO


Yes NO

Remarks

1 NumberofPSlocationswhereNVDwillbe/wasorganised

NA

2 Totalelectors tobe/wasdistributedEPIC onNVD(includesthosegivenEPICbetweenfinalpublicationofERandNVD)

Male NA

Female

Others

3 Ofthese,howmanyin18-19yragegroup(newlyeligible)

Male NA

Female

Others

4 Numberofbadgestobe/wasdistributedtonewelectors

NA

5 NumberofEducationalInstitutionsorganisingNVDfunction

NA

6 No.OfSpecialcampsplanned/organisedforsurrenderofduplicates,correctionofentries,newregistrations

NA

7 ChiefGuestproposed/attendedtheStateNVDfunction

NA

37

8 NameofPartnerAgenciesbeing/wereropedinforNVD

NA

9 AnyonlineeventlikeQuiz,Discussion,etc.Planned/held

NA

10 Concurrentactivitiesproposed/takenupaspartofNVDatstatelevel.

NA

11 Concurrentactivitiesproposed/takenupaspartofNVDatdistrictlevel

NA

12 NewspapersinwhichNVDadvertisementisplanned/wasgivenon25thJanuary,2015.

NA

Signature:

38

Annexure II

Draft checklist for SVEEP (Summary Revision) activities:

Sl.No Nameoftheactivity ReferenceintheHandbook

forERO

Whetheractiontaken

Yes NO

Remarks

1 Numberofexcludedgroups/communitiesidentified

NA

2 Numberofphysicaleventsorganisedfortheseidentifiedgroups

NA

3 Numberofmediainsertionsfortheseidentifiedgroups

NA

4 Physicaleventsorganisedformeetinggendergapa.Meetings(withfunctionarieslikeAWW/ASHA,CSOsetc)b.SpecialCampsc.StreetPlays/Folkartcompetitionsetcd.Rallies/Runse.SpecialeventwithIconf.Otherevents

NA

5 Numberofgenderspecificmediainsertionsa.Posters,pamphlets,bannersb.Radiosports/pgmc.Televisionspots/pgmd.Newspaperadvertisementse.OutdoorHoardings/Buspanelsetcf.SMS/Callertuneetcg.Internetinsertions

NA

39

6 Youthspecificphysicaleventsorganiseda.Numberofeventslikecompetitions,festivals,streetplaysetcb.NumberofEducationalInstitutionsthatparticipatedineventsc.Specialregistrationcampsineducationalinstitutionsd.SpecialCampsforyouthoutsidetheeducationalsysteme.SpecialeventwithIconf.Rallies/Runsg.Anyotherinitiative

NA

7 YouthSpecificmediainsertionsa.Posters,pamphlets,bannersb.Radiospots/pgmc.Televisionspots/pgmd.Newspaperadvertisementse.OutdoorHoardings/Buspanelsetcf.SMS/Callertuneetc.g.Internetinsertions

NA

8 Physicaleventsorganisedforfightingurbanapathya.BLO/RWAmeetingsb.SpecialCampsc.Rallies/Runsd.AppealLetters(fromDEOs/CEO)e.PressNotesf.SpecialeventwithIcong.Otherevents

NA

40

9 Urbanspecificmediainsertionsa.Posters,pamphlets,bannersb.Radiospots/pgmc.Televisionspots/pgmd.Newspaperadvertisementse.OutdoorHoardings/Buspanelsetc.f.SMS/Callertuneetc.g.Internetinsertions

NA

10 NumberofpartnerAgenciesa.GovernmentDepartments/GovtMediab.CSOsc.PrivateMediad.PSUs/Corporatee.OtherorganisationslikeNYKS,NSS,CooperativesSocieties,RWAsetc

NA

11 NumberofCampusAmbassadorsappointeda.Maleb.Female

NA

12 NumberofmeetingsofCampusAmbassadorswithCEOs/CEO’soffice

NA

13 NumberofmeetingsofCampusAmbassadorswithinthedistrictwithDEO/DEOsoffice

NA

14 InitiativestakentoenrolServiceVoters(pl.Specify)

NA

15 Others(anyotherinitiativethatyoumayliketohighlight)

NA

41

16 SpecificnoofcreativitiesusedfromECI’swebsiteSVEEPPortalhttp://eci.nic.in/eci_main1/sveep.aspxRegistrationPosters,AudiomessagesbyIconsPhotosIconsPhotosVoterEducationChannelhttp://www.youtube.com/eciRegisterNowtoVoteMSDhoniSainaNehwalTeekaLagao(ViratKohli)WorliArt-Gujarat

NA

42

INDICATORS

(to be submitted on 31st December 2014)

I NewenrolmentfromexcludedgroupsduringSRperiod

II Genderratioonrollinfinalrollw.r.t.1.1.2014Genderratioonroll(attimeofreporting)

III EPRatioinurbancentres(inFinalrollw.r.t.1.1.2014)EPratioinurbancentres(attimeofreporting)

IV Newenrolmentof18-19yrold(inlastSummaryrevision)Newenrolmentof18-19yrold(asondate)

V NewenrolmentofServiceElectors

VI Totalnumberofform6receivedduringtheSummaryRevisionperiod

Signature:

Date:

43

Calendar of SVEEP Activities for Summary Revision (w.r.t. 1.1.2016)

Intervention/Activities August September October Remarks

44

Annexure IJ

Check list for Media Division :

Sl. No. Name of activity Reference Whether Action Taken

Yes NO

Remarks

1. ConstitutionofDistrictMediaCertificationandMonitoringCommittee(MCMC)

*Compendium-Letterdated27th August,2012.Page-49

2. PaidNewsreportandMonitoringofpoliticaladvertisementsinmedia

*Compendium-Letterdated27th August,2012.Page-49

3. IssuingAuthorityLetters,forwardedbytheCommission,tomediapersons

Rules32(c)and53(1)(b)ofConductofElectionRules,1961

4. MediaMonitoringandInteractionwithmedia

ECIinstructionsgivenfromtimetotime

*CompendiumofInstructionsonPaidNewsandRelatedMatters(February-2014)

45

Annexure-I

Confirmation Request Form

NAMEOFDISTRICT DATE:DD/MM/YYYY

NAMEOFOFFICER DESIGNATION

AREAOFINSPECTION(Asperchecklist) CRFNO.(tobedevelopedbytheteamleader)

SUBJECTMATTER:

NAMEOFOFFICER:

SIGNATURE:

DATE:DD/MM/YYYY

TIME

RESPONSEFROMAUDITEE:

NAMEANDSIGNATUREOFOFFICER DATE:DD/MM/YYYY

TIME

FORECIUSEONLY:

RESPONSEACCEPTED: () YES () NO

AUDITFINDING: () YES () NO

COMMENTS:

ECIOFFICERName:Designation:

SIGNATURE

DATE:DD/MM/YYYY

46

Annexure-II

Deficiency Reporting Form (Form-2001)

ELECTION COMMISSION OF INDIA

DEFICIENCY REPORTING FORM (FORM-2001)

1.NAMEOFTHEDISTRICT 2.REFERENCENO. 3.ISSUEDATE

4.AREAOFAUDIT 5.NAMEOFTHERESPONSIBLEOFFICER

6.DATEOFAUDIT

7.NON-CONFORMITY/DEFICIENCYDETAILS:

8.LEVELOFFINDING 9.REFERENCENO. 10.ENCLOSURES

11.NAMESOFTHEAUDITOR&TEAMLEADER

12. SIGNATURE OFTHETEAMLEADER

13.DATE 14.TARGET

RESPONSEOFTHEAUDITEE

16.CORRECTIVEACTIONDETAILS&NUMBEROFATTACHMENTPAGES

17. NAME OF THERESPONSIBLEOFFICER

18. SIGNATURE OFTHERESPONSIBLEOFFICER

19.DATE

20.COMMENTSOFTHEAUDITORWITHREFERENCETOTHEACTIONTAKEN

47

Annexure-III

ELECTION COMMISSION OF INDIA

AUDIT FINDING FORM

NAMEOFTHEDISTRICT:-

Area of Audit-Electoral Roll/Polling Station/EVM DATEOFAUDIT

NON-CONFORMITY/DEFICIENCYDETAILS:

SR.NO. SUBJECT CONFIRMATIONREQUESTFORMNo./PHYSICALINSPECTIONDONEONBYSh.…….&OTHERS

PHOTOCOPYOFPROOF

1.

2.

3.

4.

Index RAD ManualRAD Manual

Documents

Manual on Regulatory Audit - ceomadhyapradesh.nic.in › Handbooks › Manual on...ansme an in-depth review of the activities of the offices of DEO,ERO, AERO and other officers to