Document 3

Manual on
Regulatory Audit

Regulatory Audit Division

March 2016

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iii
 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 Corrigenda
S. Date Subject S. Date Subject
No. No.

vii
 Table of Contents
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

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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 PROCEDURES
CHAPTER 1
DEFINITIONS
The following terminology is specific to the Regulatory Audit Programs (RAP)
and Manual of Regulatory Audits (MRA):
Audit means an in-depth review of the activities of the offices of DEO,ERO,
AERO and other officers to verify conformance to regulations and standards.
Audit activities mean those activities and procedures through which
information is obtained to verify the auditee’s conformance to applicable
regulations and standards. Such activities may include, but are not limited to:
interviews of officials involved and the stake holders, observations, inspections
and the review of files and documents, checklists etc.
Auditee means the organization or the offices of different election officers,
to be audited. This term will include the BLOs/Enumerators/other field staff at the
lowest level to the District Election Officer.
Audit Finding means the determination of non-conformance of a service,
process, practice or procedure or a characteristic thereof to a specified regulation
or standard. This will be documented on the Audit Findings.
Audit Manager means the individual officer of the ECI, designated in this
behalf, responsible for the planning and conduct of an audit, including the
production of the audit report.
Audit Report means a report that outlines the audit process and provides a
summary of the audit findings.
Compliance means the state of meeting regulatory requirements.
Confirmation Request Form (CRF) means a form issued during the inspection
portion of an audit to the auditee by team member of the audit requesting
information that is not readily available. The auditee will be requested within a
specified time period.
Conformance means the state of meeting the requirements of a regulation or
standard.

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 Documented (evidence) recorded in writing, photocopied or photographed and
then signed, dated and retained so as to ensure the continuity of the evidence secured.
Follow-Up means the activity following an audit that is dedicated to program
modification based on an Corrective Action Plan. Follow-up ensures that the
document holder meets regulatory requirements.
Inspection means the basic activity of an audit, involving examination of a
specific characteristic of an organization.
Regulatory Audit Program (RAP) means the program that promotes
conformance with the Acts, Rules and ECI instructions, regulations and standards
that collectively prescribe an acceptable level of electoral activity. The RAP ensures
that aforesaid audit policies and procedures are applied uniformly.
Regulatory Audit Plan means the annual plan of scheduled audits intended to
measure the conformance level of Acts, Rules and instructions.
Non-Compliance means non adherence to approved standards, deficiencies
in characteristics of documentation or procedures.
Non-Conformance means the failure of characteristics, documentation or a
procedure to meet the requirements of a regulation or standard, which renders
the quality of a product or service unacceptable or uncertain.
Sampling means the inspection of a representative portion of a particular
characteristic to produce a statistically meaningful assessment of the whole.
Scope means the number of functional areas within an office that will be audited.
Team Leader means the individual appointed by the audit manager to conduct
and lead the audit.
Team Member means the individual appointed by the team leader to
participate in the audit.
Verification means an independent review, inspection, examination,
measurement, testing, checking, observation and monitoring to establish and
document that services and documents conform to regulatory requirements.
This includes confirmation that an activity, condition or control conforms to the
requirements specified in Acts, Rules, instructions etc..
Working Papers means all documents required by the auditor or audit team
to plan and implement the audit. These may include audit schedules, auditor
assignments, checklists and various report forms.

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 CHAPTER 2
AUDIT POLICY
Purpose:- The Regulatory Audit Programme (RAP) has been developed to
promote conformance with the election related Acts, Rules, ECI instructions and
regulations, standards that collectively prescribe an acceptable level.
Approval:- The Commission has already prescribed norms for approval of
language of electoral roll, list of polling stations, counting centres, scrutiny of
nominations, code of conduct for candidates, political parties etc. and based on the
norms initial approvals are accorded by the Commission. However, confirmatory
audits are conducted to ensure that all approvals granted in the field are in
consonance with Acts, Rules and instructions of the Commission.
Audit programme of a state/UT is approved in advance by the Commission
and is notified in advance to the concerned state/UT. The Audit Manager, an officer
of the ECI, coordinates with the CEO of the state/UT where audit team is to visit
and works out the audit schedules etc.
Types of Audit:-
The type of audit is determined by the circumstances under which the audit
is convened. In general a composite audit or a routine conformation audit covers
all aspect of election process in a district while special audit takes care of specific
areas like electoral roll, EVM, Nomination, SVEEP, Training, concurrent matters,
non adherence to norms etc. in any issue.
Initial approval of the Commission is granted to the list of polling stations,
statutory officers, counting centres, different programme for revision of electoral
roll, conduct of elections etc. The Commission has prescribed standard check
lists for specific approvals based on statutory laws and necessary approvals are
accorded after assessing the information provided.
 outine Conformance Audit:-Audit is conducted on a regular basis for the
(a) R
purpose of determining conformance to the Acts, Rules and ECI instructions.
Audits are conducted for carrying out test check on the election related
activities by officials based on the instructions, rules and Acts etc. viz electoral
roll, polling station, storage and maintenance of EVM, accounts of election
expenses etc. The Auditee will be contacted approximately 30 to 60 days prior
to the planned audit date to confirm the audit schedule. The complexity of

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 the routine conformance audit will determine the lead time for contact with
the auditee.
(b) Special Purpose Audit:- The difference between a special purpose audit
and the routine conformance audit is that there is either no notice or short
notice to the auditee before the audit process commences. Obviously, this is
necessitated to gather quick and first hand information from the constituency.
Concurrent Audit:- It is undertaken to examine working of the offices of
(c) 
the CEO, DEO, R.O and their subordinate officers regarding their working,
efficiency, observance of financial rules and propriety etc.

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 CHAPTER 3
GENERAL AUDIT PROCEDURES
Audit Activities:-The audit process consists of the following four distinct
phases of activities: (i) Pre-audit (desk audit) (ii) Physical audit (iii) Post-audit (iv)
Audit follow-up.
Pre-Audit:-Planning and preparation during the pre-audit phase will ensure
that the objectives of the audit are achieved effectively, efficiently and economically.
The scope and depth of the proposed audit, to be addressed and justified within
the audit plan, will determine the time schedule, personnel and financial resources
required. The scheme of audit may cover entire state/UT covering all the district/
administrative units or a specific district or a specific Assembly/Parliamentary
constituency having specific consideration like being a primarily an urban or rural
or having certain statistical figures indicating possible non conformance. Based
on audit findings in some sample units of electoral machinery, other units may be
asked to take up conformance scheme.
The team manager will brief the team leaders and if possible, the members
too, about the procedure, formats scope etc. before proceeding to the state/UT.
Physical Audit:-The physical audit phase will be implemented in accordance
with the audit plan. It includes the entry meeting with the auditee, the
determination of audit findings through interviews, inspections and the evaluation
and verification of files and records, including recordings of proceedings of
nomination, scrutiny, conduct of poll at polling stations, counting of votes etc.;
functional area debriefing and the exit meeting.
Post-Audit:-Post-audit activities include completion of the audit report and
parallel report.
Audit Follow-up:-Audit follow-up includes the development and approval of
the auditee’s Corrective Action Plan (CAP) and ensures full implementation of the
CAP. The ECI will appoint an inspecting officer who will be responsible for tracking
and verifying the progress of the auditee’s approved CAP.
Co-ordination:-Audits will be co-ordinated through the ECI. The audit
manager will ensure that the ECI is informed of all relevant audit matters, and will
be accountable to the ECI for the management of audit resources and the integrity
of the audit process.
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 Scope and Depth
Criteria:-The scope and depth of the audit is determined by the following:
(a) T he size and complexity of the state/UT. In a composite audit all aspect of
election process will be audited;
(b) W
 hether whole state/UT is covered or only some constituencies are being
covered or only a few selected subjects are to be audited;
(c) The time since the last audit;
(d) The key indices as indicated in Form 1-8 of the state/UT; and
(e) Audit resources available.
Frequency:-The frequency of the audit shall be based on the Annual Regulatory
Audit Program.
Criteria:-Audit targeting and frequency will consider the following factors:
(a) Proximity of election in the near future;
(b) Complaints from stake holders;
(c) Poor statistical key indicators;
Periodic Cycle:-Every state/UT will be audited on a periodic cycle ranging from
24 to 36 months. This periodic cycle can be extended for smaller states/UTs with
sound conformance record, and none of the risk indicators described in the above
foregoing paragraph. The promptness with which previous non-conformances
were corrected should also be a factor in the timing of the next audit.
Unit of Control:-Officers assigned to an audit shall report to the designated
audit manager for the duration of the audit. To ensure continuity, officers assigned
to an audit shall not be released from their audit duties prior to the completion of
the audit unless written authorization has been received by the audit manager.
Eligibility of audit team:-The team manager of an audit will be of the rank
of Secretary to ECI and above and team member of audit team should be chosen
from ECI Head Quarter & from the offices of CEOs of states/UTs.
Confidentiality:-Owing to the sensitive nature of audits, confidentiality is of
the utmost importance. Team members shall exercise discretion when discussing
audit matters during an audit (whether on or off the site). Discussion of audit
content shall be limited to the audit team and ECI.

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 Classes of Audits
There shall be only one team of the ECI that will do the job of audit in the
district for all the assigned subjects like electoral roll, polling station, EVM, SVEEP
etc.
Pre-Audit:-The pre-audit for auditee begins with the selection of a
team, followed by the preparation of an audit plan, the gathering of pre-audit
documentation and the holding of a pre-audit team meeting. This process is
illustrated as follows:
• Team Selection
• Audit Plan
• Pre-Audit Documentation
Team Selection:-The audit team, approved by the ECI, will normally consist
of the audit manager/leader; one or two team members for each or group of
districts. For audits of smaller states/UTs, the team structure may be the same
but their numbers will be lesser for the reason the number of district/locations of
audit being smaller.
Regulatory Audit Division (RAD) will be the convening authority (CA) and its
responsibilities shall be as under:-
(a) A
 ppoint the audit manager at least one to two months prior to the audit with
the approval of the Commission;
(b) Oversee the selection of the audit team;
(c) Seek the approval of ECI on the objective, scope and depth of the audit;
(d) Approve the audit plan;
(e) Attend the entry meeting if possible; attend the exit meeting, when practicable;
(f) S eek the approval of the Commission of the audit report and ensure that the
auditee receives the report within twenty working days;
(g) E nsure that action is taken in an appropriate, timely manner for critical safety
issues identified by the audit manager during the physical audit and as per
CAP approved on the basis of draft CAP submitted by auditee.
(h) E nsure that appropriate follow-up action is completed after the physical audit;
and

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(i) S end a letter to the auditee confirming that all audit findings and corrective
actions are complete and that the audit has been closed.
Pre-Audit Documentation:-This includes a thorough review of relevant
files and documentation and the opening of a audit file for a particular district.
Information gathered during the pre-audit phase will assist the audit team in
determining the specific areas, systems and activities that warrant examination;
supplementing audit checklists (Annexure-I); or amending the scope of the audit.
This audit phase should:
(a) e nsure that all reference manuals and documents to be used during the audit
in accordance with the Hand Books prescribed by the ECI are readily available,
including the latest approved amendments;
(b) r eview the auditee’s files and records(includes recordings) to check if the
actions are as per instructions, timely;
(c) itemize areas which require further review;
(d) s elect the appropriate checklist items from, as applicable, in accordance with
the scope, depth and complexity of the audit;
(e) complete all pre-audit sections of the checklists;
(f) e nsure that all audit documentation is chronologically recorded on the district
audit sub-file; and
(g) e nsure that each team member has received appropriate portions of the
audit plan.
(h) previous inspection or Audit Reports;
Pre-Audit Team Meeting:-This meeting should:
(a) confirm individual team members’ duties and responsibilities;
(b) e nsure that all team members have received appropriate portions of the audit
plan;
(c) e nsure that all team members are aware of restrictions regarding audit report
distribution;
(d) outline the overall audit plan;
(e) clarify any outstanding issues or problems;

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(f) include a briefing by a senior officer of the Commission
(g) a ddress the issues of conflict of interest, confidentiality and access to
information.
Physical Audit
General:-The physical audit consists of the entry meeting, evaluation,
verification, daily briefings and exit meeting.
Entry Meeting:-The entry meeting should discuss the plan of the physical audit.
It should be attended by the auditee’s senior officers such as the District Collector/
Addl. District Collector and identified members of the audit team. It will outline
the audit process to the district and confirm any administrative requirements so
that the physical audit may be conducted both effectively and efficiently, while
minimizing disruptions to the election machinery in the district.
(1) The entry meeting should:
(a) take place on the auditee’s premises;
(b) be attended by the auditee’s senior officers;
(c) specify audit details and procedures; and
(d) be brief, specific and courteous.
(2) The audit manager shall:
(a) explain the purpose of the entry meeting;
(b) introduce audit team members;
(c) state the objective, scope and depth of the audit;
(d) a ddress the means of communication between the audit team and the
auditee;
(e) explain that district officials will be briefed daily on progress of the audit;
(f) describe the manner in which any audit finding detected will be handled;
(g) establish a location and time for the exit meeting;
(h) e mphasise that the purpose of an audit is to identify non- conformances
and that appropriate action may result from any of these findings; and
(i) respond to all questions from the auditees.

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(3) The auditee to provide:
(a) adequate working space;
(b) access to a photocopier and facsimile machines;
(c) measuring or test equipment;
(d) access and admission to all facilities;
(e) access to company files and records;
(f) credentials and facility passes;
(g) selected personnel for interviews; and
(h) Reliable support and liaison officers.
Evaluation:-In the evaluation phase, the District election machinery’s level of
conformance with regulations and standards contained in existing legislation and
actual practice will be assessed. The following are possible means of evaluation:
(1) Interviews:-Interviews with key officials are important during the evaluation
phase to determine whether the control system documented in ECI manuals is
that is in use, and to assess the knowledge of supervisory personnel of their duties
and responsibilities. Interviews may also confirm the validity of audit findings
reached through observation or sampling. The following guidelines will be useful
when preparing for an interview:
(a) p
 repare carefully prior to the interview by defining the areas to be
explored and setting specific objectives;
(b) explain why the interview is taking place;
(c) use open questions and avoid complex questions or phrases;
(d) listen carefully to answers and allow interviewee to do most of the
talking;
(e) avoid being side-tracked from your original objectives;
(f) ensure that questions are understood;
(g) terminate the interview if the atmosphere becomes highly negative;
(h) document all responses; and
(I) thank the interviewee at the conclusion of the interview.

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(2) Sampling:-The sample size of a population and selection criteria have direct
impact on the validity and confidence level of the results. The following guidelines
should be used:
(a) e ach sample group must stand alone. If there are 25 EROs, 100 AEROs,
300 BLOs, each of the three groups must be considered separately;
(b) t he purpose of audit is to achieve a 95 per cent confidence level with the
results of the sample tested. Often, this goal may not be appropriate;
therefore, the audit team must carefully consider both the sample size
and the time devoted to the task. Random sampling may be considered
an acceptable alternative;-
(c) f or smaller populations, a larger sample must be examined. For example
50% of the EROs mentioned at (a) above may be examined but only 35 to
40% of AEROs/BLOs need to be examined.
Verification:-During this phase, the audit team will gather information to
determine the auditee’s level of conformance. Specifically, verification will:
(a) d
 etermine whether officials are functioning as per instructions effectively
and as intended;
(b) d
 etermine whether the auditee’s operation conforms to the ECI
requirements and standards contained in the audit checklists; and
(c) a nalyse particular deficiencies to assess their effects and identify the
causes.
(2) District files or records should not be accessed without appropriate
authorization and , when possible, official representatives should be present
during review of these files and records.
(3) If the review and verification phases do not provide sufficient confirmation of the
election machinery in the district, further substantiation will be required to ensure that
any evidence obtained up to that point supports the audit finding and conclusions. In
short, other supporting documentation must be acquired and secured.
(4) Verification includes various types of inspections. There may be inspections
of old record, files showing disposal process, location of polling station and its
suitability, storage and upkeep of EVM etc. These inspections may be carried out
as co-ordinated inspections by the same team deputed in the district.

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Confirmation Request Form (CRF):-
(1) The CRF (Annexure-II) is an effective audit tool in the following cases:
(a) w
 here evidence indicates an audit finding, the auditee will be given the
opportunity to show otherwise in Deficiency Reporting Form (Annexure-I).
(b) t he auditor will determine the course of action to be adopted based on
the auditee’s response;
(c) t he auditor will observe the state of the office records management
system from the auditee’s perspective;
(d) arbitrary audit findings based on subjective examples will be eliminated;
(e) t he audit will not be surprised at the end of the audit, as all contentious
issues will have been discussed openly during the physical audit;
(f) t he auditor can concentrate on auditing rather than on researching
auditee’s files and records; and
(g) t he auditee will receive a signed document from the audit for inclusion in
the supporting documentation package.
(2) The CRF will be sent to the team leader or a delegate at the outset to avoid
untimely surprises. It should then be recorded in a control log, the format of which
will be determined by the team leader. It may range from a simple title, time and
date log to a file of photocopied duplicates. All CRFs will be issued sequentially to
ensure that, upon completion of the physical audit, the CRFs have responses and
appropriate action has been taken.
(3) At the end of each day, the CRF control log should be compared with the
returned CRF to ensure that it is current. For a large audit, this can be done at
the daily briefing with the auditee. In this manner, both the auditee and the audit
team will be updated as to the status of these documents. Regardless of the way
in which the control log is maintained, all CRFs should be cleared prior to the
completion of the physical audit at that site or district.
(4) When the CRF has been returned and appropriate action taken, this material
should be filed according to the appropriate audit area, allowing documentation
relating to high-profile items to be maintained for alter reference. This file will also
provide background and evidence for any enforcement action to be taken at a
later date. A sample CRF can be found in Appendix 1.

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Audit Finding Form:-
(1) Audit finding forms(Annexure-III) must be completed accurately as they
form the basis of the audit report and a successful audit. Since a number of team
members will be completing audit finding forms, it is important that a standardized
approach to inputting data on the form be taken to reduce the number of data
entry errors.
(2) All supporting documentation will be included with the completed audit
finding form for review by the audit manager. Although this documentation will
not be included in the audit report, it will be retained in the audit file.
(3) All hand-written copies of audit finding forms will be filed according to
functional area and will form Part of the supporting documentation in the audit
report for ease of reference.
Completion of Audit Finding Form:-Non-conformances are recorded on audit
finding forms. When completing these forms, auditors shall use the following
checklist:
(a) at the top of the audit finding form:
(1) correctly identify the name of the district ;
(2) e nter the subject, name and designation of the officer, location of the
office;
(3) identify the audit finding number in accordance with the checklist or as
directed by the audit manager.
(b) in the “Non-Conformance With” section of the audit form:
(1) c orrectly identify the title of the regulatory requirement to be
referenced, without using acronyms or abbreviations;
(2) isolate the relevant portion of the regulatory requirement by reference
to the chapter, section, sub-section and paragraph as appropriate;
(3) refer the non-conformance to the most applicable regulatory requirement;
(4) w
 hen segmenting, quote a sufficient portion of the text to clearly identify
the regulatory requirement while avoiding the use of unnecessary words.
(c) in the “Examples” section:
(1) identify the auditors and date of the finding:

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 (2) s pecify the three most applicable examples of the non- conformance,
where practicable;
(3) e nsure that the examples illustrate non-conformance with the particular
standards;
(4) use an appropriate lead in statement to introduce the examples; and
(5) s upport the audit finding with secured evidence (i.e. photocopies,
photographs to be retained in an appropriate location).
Daily Briefings:-
(1) Team briefings will normally be held at the end of each day during the audit to:
(a) ensure adherence to the audit plan;
(b) validate confirmation requests and audit findings;
(c) resolve issues or problems arising from the day’s activities; and
(d) update the team leader, if necessary.
(2) Briefings should be held at the end of each day, following team briefings, to
update the auditee’s management on audit progress. The audit team leader may
elect to have specialist team member’s brief auditee officials on specific items.
Exit Meeting:-The exit meeting with the auditee’s senior officers should
provide an overview of the audit. The meeting should summarise the audit
findings, stating areas of strength and weakness. A controversial discussion with
auditee representatives of the auditee regarding audit report content must be
avoided. The process for the exit meeting is as follows:
(1) Normally, the District Collector and DEO, audit team leader, members will
attend the exit briefing. The team leader will attend the meeting with the team.
(2) All audit findings should have been discussed with officials of the auditee as
each functional area was completed. New audit findings should not normally be
identified at the exit meeting. The meeting should provide an overview of the audit
and not become a debate between the team and the organization. The auditee
should be advised that they will have an opportunity to respond formally to the
audit report.
(4) The auditee will be advised of those audit findings that may be subject to
appropriate action. The auditee will also be advised of the auditee’s responsibility

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to take appropriate action to correct all non-conformance and prevent their
recurrence.
(5) The audit team leader shall advise the auditee that the audit report will
be forwarded to the office within thirty working days and that a CAP must be
submitted to RAD division of the Commission within 30 working days after the
auditee has received the report.
Post-Audit
General:-This phase includes preparation of the audit report and the parallel
report.
Audit Report:-
(1) Every unit of audit ie. an A.C/PC/District should be covered by the audit team
in not more than 5 days and of that 2 days may be taken to check records in the
offices of the auditee and remaining time in the field visits for physical verification,
interviews etc. in the field. The team leader should file the final report to the
RAD of ECI in the next 5 days while the RAD is expected to seek the approval
on the proposed action within next 5 days. The audit report should normally be
presented to the auditee within 30 working days. Any delay must be documented
since the validity of the audit will be compromised if the report is not presented
in a timely manner. Draft audit finding forms may be left with the auditee as a
courtesy though this is not mandatory.
(2) The team leader is responsible for the preparation of the audit report and its
approval by the ECI.
Audit Follow-Up
General:-Upon completion of the audit, the RAD will delegate follow-up
responsibilities to the Zonal Secretary/Pr. Secretary who will then ensure that
all audit findings have been resolved in accordance with an approved Corrective
Action Plan (CAP).
Corrective Action Plan (CAP):-
(1) The covering letter of the audit report will advise the auditee that it must
submit a CAP addressing the audit findings within 30 working days. Normally, this
deadline will not be extended without the approval of ECI.
(2) It is important to review the organization’s CAP to determine whether the
auditee 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 to
address the most critical findings first.
(3) Depending on the nature of the audit findings, the auditee’s CAP should
involve immediate necessary actions.
(4) An audit will formally be closed when every audit finding has been corrected
through the CAP and the same has been accepted by the ECI.
(5) Trends and findings must be made applicable to entire state/UT as a lesson
learnt and the CEO of the state must direct all the DEOs to submit a suo motu
action taken and compliance report.
Post Audit Surveillance-
During audit follow-up, surveillance is the only means to ensure that election
machinery in the district comply with the ECI instructions. Post-audit surveillance
can be conducted as informal visits or as a more structured follow-up audit on
continuous monitoring approach.
Audit Team will observe sound ethical code while conducting audit in a
territory.

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 Annexure-I-A
Check list for verification of Electoral Roll:

Sr. No. Name of the activity Reference in Whether Remarks

the Handbook action taken
for ERO Yes NO
1. Rationalisation of Polling Chapter IV,
Station-publication of list Para 27
of polling station and invite Ch.I
suggestions from MP/MLAs Para 45
and others.
2. Name, telephone number of ECI instruction
BLO is adequately publicized
in the locality
3. Vulnerability of voters kept in ECI instruction
view while drawing list of P.S
4. A receipt of all forms received Ch. V, Para 21
has been issued and reply Ch. V, Para 40
regarding acceptance/
rejection has been sent.
5. All the deletions of previously Ch. VIII, Para 26
registered voters have been
done by sending their names
to EROs of previous place.
6. BLOs have verified all the ECI instruction
claims/objections and visited
their localities.
7. Copies of draft rolls with Ch. IV,
soft copy handed over to Para 40
recognized political parties.
8. Draft roll read out in the Gram ECI instruction
Sabhas, housing societies and
displayed at proper place.
9. List of dead persons, shifted ECI instruction
voters already prepared and
acted upon.
10. Key parameters of statistical Ch.IV,
data, such as EP ratio, gender Para 81-90
ratio etc. taken care of.

17
11. De-duplication software run Ch. IV,
within the constituency and Para 23
across the constituencies and
probable repeated entries
verified and proper procedure
followed for deletion etc.
12. Copy of roll uploaded on the Ch. IV,
website on the date of draft Para 32
publication/final publication
and helplines are working.
13. Names of MPs, MLAs and Ch. III,
persons with notified offices Para 32
verified in the roll.
14. Action taken to collect non- ECI instruction
photo voters, photograph has
been taken and ready EPICs
distributed.
15. All claims have been disposed Ch. IV,
off by specified date, orders Para 26
have been passed on each Ch. V,
application with legible Para 56-60
names and date and required
percentage of super check by
ERO and AERO done.
16. Names of addition/deletion Ch. IV,
and correction prepared and Para 25.1-25.2
integrated if required and
draft list prepared.
17. Online application received ECI instruction
has been disposed off,
checked and any repetition in
the hard copy checked.
18. Proper storage of records of ECI instruction
roll maintained.
19. BLOs have gone through the ECI instruction
copy of electoral roll to check
that names of family members
are enlisted in one place. There
are no repeated entries etc.

18
20. Total number of the entries in ECI instruction
the electoral rolls should tally
with the details in the header
page.
21. BLOs have carried out field ECI instruction
visits and EROs have also
supervised their work.
22. Action taken for updating Chapter X. para
last part of roll for service 20-28
personnel.
23. Action taken to include Form Chapter XI,
6A from NRIs, if any. para2-6

19
 Annexure-I-B
Check list for verification of Polling Station:

Sr. No. Name of the activity Reference in the Whether Remarks

Handbook for RO action taken
Yes NO
1. There are no polling stations ECI instruction
located in religious places, first
floor of any building, building
belonging to political parties,
hospital etc.
2. There is no polling station for Ch. I, Para 41
which a voter has to travel
more than two kilometers.
3. Basic minimum facility such as
water, shelter for protection
from sun, toilet, ramp,
electricity etc. are available at
the polling station.
4. Draft proposed of polling
station was published in
locality inviting suggestion/
objection and all party
meeting was held to discuss
and act on the suggestions.
5. While drawing list of polling
station, due care has
been taken for vulnerable
sections of society, issues
involving polarity in locality,
geographical barriars etc.

20
 Annexure IC
Checklist for Summary Revision:

Sr. No. Name of the activity Reference in Whether action Remarks

the Handbook taken
for ERO Yes NO
1. Was draft published on
prescribed date and copies given
to Political Parties, MLA/MPs?
2. Number of claims/objections
read and whether action taken
on all claims before publication.
3. Supplements of continuous
updation included in draft roll.
4. Whether data entry of all forms
done and acknowledgement
issued
5. All claimants informed of action
taken
6. BLO’s visited their area of
jurisdiction and submitted
information about dead, shifted,
new voters.
7. Collected photos or
photographed residual voters.
8. Programme for EPIC finalized for
new voters.
9. Run de-duplication software and
verification of duplicates done
and further action taken.

21
 Annexure ID
Checklist for Continuous Revision:

Sr. No. Name of the activity Reference in the Whether action Remarks
Handbook for ERO taken
Yes NO
1. Supplements sent to
ERO’s on 7th of the
month by the BLOs.
2. Photograph of residual
voters collected.
3. EPIC distributed
4. Action taken on forms
received.
5. Action taken on
complaint received.

22
 Annexure IE
Check list for verification of Electronic Voting Machines:

Sl. No. Check point Observation

Storage and Safety arrangement of EVMs
1. Whether a committee consisting of officer nominated
by District Election Officer (not below the rank of Sub-
Divisional Magistrate), Election Supervisor and Warehouse-
in-charge of EVMs have been constituted for the district?
2. Whether Master Stock Register for EVMs has been
maintained warehouse-wise for the district?
3. a) No. of Ballot Units available in the warehouse(s) as per
Master Stock Register
b) No. of Control Units available in the warehouse(s) as
per Master Stock Register
4. Whether EVMs available in the warehouse are involved in
any Election Petition or Court case?
5. If yes, details of case?
6. Whether details of all EVMs available in the district have
been entered in the MSR of respective warehouse as well
as in the Ledger of EVMs?
7. EVMs are stored in Treasury or warehouse at District
Headquarters or warehouse at Tehsil headquarters.
8. Whether EVMs have been stored in a separate warehouse
where nothing other than EVM is kept?
9. EVM storage warehouse has one (1) entry point. If there
are any other doors or windows in the warehouse, they
have been sealed using brick-masonry/concrete or not.
10. Whether entry of EVM storage warehouse has been
secured by a double lock system or not?
11. Whether warehouse is free from any dampness, pests,
rodents etc.?

23
12. Whether proper fire-fighting arrangement has been made
available?
13. Whether adequate security arrangement has been made
at warehouse by deputing police/security guard?
14. Whether DEO has nominated one (1) officer not below the
rank of Tehsildar to be in-charge of every EVM warehouse
for the purpose of opening/closing of warehouse?
15. Whether logbook for opening/closing of warehouse has
been maintained?
16. Whether copies of the written orders of the DEO for
opening of warehouse is available?
17. Whether copies of invitation to National and State
recognized political parties regarding date and time of
opening and closure of EVM warehouse are available?
18. Whether signatures of authorized representatives of
National and State recognized political parties present at
the time of opening and closure of the warehouse have
been taken in a logbook maintained for this purpose?

19. Whether copies of written orders of the DEO regarding

movement of EVMs in and out of the EVM warehouse is
available?
20. Whether a movement register for EVMs is maintained?
21. Whether the warehouse in-charge has taken a written
acknowledgement from the officer receiving the EVM?
22. When EVMs were returned to the warehouse whether an
entry to that effect was made in the movement register?
23. 100% physical verification of EVMs has been carried out by
the Committee mentioned at 1 above during last year.
First Level Checking of EVMs
24. Whether DEO prepared a schedule for the FLC of EVM in
consultation with the EVM manufacturers (ECIL & BEL) and
the CEO?

24
25. Whether schedule was made in such a manner that
sufficient time is available for FLC of EVMs by engineers of
manufacturers?
26. Whether the schedule for FLC was communicated to every
national and state level recognized political party in writing
by the DEO at least one week before the beginning of the
FLC in the district?
27. Whether representatives of all national and state level
recognized political parties authorized by the District
President of the party are/were present at the time of FLC?
Specific details of parties.
28. Whether DEO has nominated one officer not below the
rank of Additional District Magistrate to supervise the
entire process of FLC?
29. Whether nominated officer presents in the FLC hall for the
entire duration of FLC?
30. Whether the process of FLC is/was continuously
videographed?
31. Whether CCTV cameras are/were put in the FLC hall?
32. A register has been kept by the DEO in which signatures of
all political parties are/were taken every day as token of
their presence.
33. Date of starting First Level Checking of EVMs.
34. First Level Checking of EVMs is still going on or completed.
35. If FLC is completed, date of completion.
36. No. of Ballot Units and Control Units are subjected to FLC.
37. FLC has been conducted in no. of Ballot Units and Control
Units till date.
38. No. of Ballot Units and Control Units found defective in the
process of FLC.
39. FLC is carried out in a large hall which accommodates
EVMs to be checked.

25
40. Whether every entry to the hall is guarded by police force?
41. Whether every hall has a door frame, metal detector?
42. Whether every person who enters the hall is frisked at
every entry?
43. Whether entry to this hall is on production of Identity Card
of the authorized officials/passes issued by the District
Election Officer?
44. Whether nobody is allowed to carry any electronic device
inside the hall including cell phones, camera and spy pens
etc.?
45. Whether FLC is carried out only by authorized engineers of
BEL and ECIL?
46. Whether BEL/ECIL engineers carry out test prescribed by
the manufacturers to confirm that all components of the
EVM are original and certify that all the components of the
EVMs are original?
47. Whether detailed step-by-step instructions of checking of
the machine were issued by BEL/ECIL for their respective
machines?
48. Whether these instructions include a list of equipment,
which the engineers carry with them in FLC hall?
49. Whether in 5% percent of EVMs at least 1000 votes polled
during the mock poll?
50. Whether a printout of the results of mock poll as well as a
sequential print out of every vote polled during the mock
poll are/were taken out for at least 5% of EVMs and shown
to the representatives of political parties?
51. Whether signatures of representatives of political parties
are/were taken in a register as a token of having seen the
print out and confirm that there is/was no discrepancies
between the votes polled during the mock poll and results
in the print out?

26
52. After fixing the Pink Paper Seal on Control Unit, whether
the Engineer of the Manufacturer puts his signature on the
Pink Paper Seal?
53. Whether the representatives of the Political Parties also
put their signature on the said seal with party name in
abbreviation below the signature?
54. Whether signatures of representatives of political parties
are/were obtained on the register maintained to note
down the serial number of the pink paper seal used on the
Control Unit by clearly mentioning the unique ID number
of Control Unit and the Pink Paper Seal number?
55. Whether photocopy of this register has been given free
of cost to all National and State level recognized political
parties as soon as FLC is over.
56. After FLC is over, whether the DEO fix a schedule for first
randomization of EVMs?
57. Whether first randomization of EVMs of Ballot Units (BUs)
and Control Units (CUs) is done to randomly assign EVMs
to Assembly Constituencies (ACs), training and Awareness
Programmes?
58. After first randomization whether the R.O of the
constituency, takes charge of the CUs and BUs randomly
allotted to his constituency?
59. Whether the CUs and BUs meant for use at the election
are separately taken to R.O’s strong room under proper
escort and is guarded 24X7?
60. At the time of sealing the strong room, whether the
representatives of political parties remain present and they
also affix their seal on the lock?
61. The training EVMs are distributed to the relevant officers
for the training purpose?
Preparation of EVMs (Candidate setting)
62. Whether a copy of this list of first randomization of EVMs is
given to all the candidates after the last date of withdrawal
of candidatures?

27
63. Whether the Returning officer fixes the date of preparation
of EVMs for poll (Candidate set) and intimate to all
candidates to remain present or send their representatives
during the process?
64. Whether on the day of preparation of EVMs second
randomization of EVMs (BUs & CUs) is done before doing
the process of preparation of EVMs for polls?
65. Whether candidates or their representatives are present at
the time of Preparation of EVMs for election?
66. Whether candidates or their representatives are present
at the time of Preparation of EVMs? Specific details of
candidates.
67. Whether the process of preparation of EVMs is
continuously videographed?
68. A register has been kept by the RO in which signatures of
candidates/their representatives are taken every day as
token of their presence.
69. Date of starting Preparation of EVMs.
70. Date of completion of preparation of EVMs.
71. No. of Ballot Units and Control Units found defective
during preparation of EVMs.
72. Whether preparation of EVMs is carried out in a large hall
which accommodates EVMs to be prepared.
73. Whether every entry to the hall is guarded by police force?
74. Whether every hall has a door frame, metal detector?
75. Whether every person who enters the hall is frisked at
every entry?
76. Whether entry to this hall is on production of Identity Card
of the authorized officials/passes issued by the District
Election Officer/Returning Officer?
77. Whether nobody is allowed to carry any electronic device
inside the hall including cell phones, camera and spy pens
etc.?

28
78. Whether preparation of EVMs is carried out in the
presence of authorized engineers of BEL and ECIL?
79. Whether BEL/ECIL engineers carry out test prescribed by
the manufacturers to confirm that all components of the
Ballot Units are original and certify that all the components
of the Ballot Units are original?
80. Whether in 5% percent of EVMs at least 1000 votes polled
during the mock poll?
81. Whether a printout of the results of mock poll as well as a
sequential print out of every vote polled during the mock
poll are/were taken out for at least 5% of EVMs and shown
to the representatives of political parties?
82. Whether signatures of representatives of political parties
are/were taken in a register as a token of having seen the
print out and confirm that there is/was no discrepancies
between the votes polled during the mock poll and results
in the print out?
83. After fixing the Pink Paper Seal on Ballot Unit, whether the
Engineer of the Manufacturer puts his signature on the
Pink Paper Seal?
84. Whether candidates/their representatives also put their
signature on the said seal with party name in abbreviation
below the signature?
85. Whether signatures of candidates/their representatives
are obtained on the register maintained to note down the
serial number of the pink paper seal used on the Ballot
Unit by clearly mentioning the unique ID number of Ballot
Unit and the Pink Paper Seal number?
86. Whether photocopy of this register has been given free
of cost to all candidates/their representatives as soon as
Preparation of EVMs is over?

29
 Annexure IF
Check list for verification of Voter Verifiable Paper Audit Trail

Sl. No. Check point Observation

Storage and Safety arrangement of VVPATs
1. Whether any Master Stock Register for VVPATs has been
maintained warehouse-wise for the district?
2. No. of VVPATs available in the warehouse(s).
3. Whether details of all VVPATs available in the district have
been entered in the MSR of respective warehouse as well as
in the Ledger of VVPATs?
4. Whether warehouse is free from any dampness, pests,
rodents etc.?
5. Whether proper fire-fighting arrangement has been made
available?
6. Whether adequate security arrangement has been made at
warehouse by deputing police/security guard?
7. Whether DEO has nominated one (1) officer not below the
rank of Tehsildar to be in-charge of every warehouse, where
VVPATs have been kept, for the purpose of opening/closing
of warehouse?
8. Whether logbook for opening/closing of warehouse has been
maintained?
9. Whether copies of the written orders of the DEO for opening
of warehouse is available?
10. Whether copies of invitation to National and State
recognized political parties regarding date and time of
opening and closure of warehouse, where VVPAT have been
kept, are available?
11. Whether signatures of authorized representatives of National
and State recognized political parties present at the time of
opening and closure of the warehouse have been taken in a
logbook maintained for this purpose?
12. Whether copies of written orders of the DEO regarding
movement of VVPATs in and out of the warehouse is
available?

30
13. Whether a movement register for VVPATs is maintained?
14. Whether the warehouse in-charge has taken a written
acknowledgement from the officer receiving the VVPAT?
15. When VVPATs were returned to the warehouse whether an
entry to that effect was made in the movement register?
16. 100% physical verification of VVPATs has been carried out
during last year.
First Level Checking of VVPATs
17. Whether DEO prepared a schedule for the FLC of VVPAT in
consultation with the VVPAT manufacturers (ECIL & BEL) and
the CEO?
18. Whether schedule was made in such a manner that
sufficient time is available for FLC of VVPATs by engineers of
manufacturers?
19. Whether the schedule for FLC was communicated to every
national and state level recognized political party in writing
by the DEO at least one week before the beginning of the FLC
in the district?
20. Whether representatives of all national and state level
recognized political parties authorized by the District
President of the party are/were present at the time of FLC?
Specific details of parties.
21. Whether DEO has nominated one officer not below the
rank of Additional District Magistrate to supervise the entire
process of FLC?
22. Whether nominated officer presents in the FLC hall for the
entire duration of FLC?
23. Whether the process of FLC is/was continuously
videographed?
24. Whether CCTV cameras are/were put in the FLC hall?
25. A register has been kept by the DEO in which signatures of
all political parties are/were taken every day as token of their
presence.
26. Date of starting First Level Checking of EVMs.

31
27. If FLC is completed, date of completion.
28. No. of VVPATs are subjected to FLC.
29. FLC has been conducted in no. of VVPATs till date.
30. No. of VVPATs found defective in the process of FLC.
31. FLC is carried out in a large hall, which accommodates
VVPATs to be checked.
32. Whether every entry to the hall is guarded by police force?
33. Whether every hall has a door frame, metal detector?
34. Whether every person who enters the hall is frisked at every
entry?
35. Whether entry to this hall is on production of Identity Card of
the authorized officials/passes issued by the District Election
Officer?
36. Whether nobody is allowed to carry any electronic device
inside the hall including cell phones, camera and spy pens
etc.?
37. Whether FLC is carried out only by authorized engineers of
BEL and ECIL?
38. Whether a printed paper slips of the mock poll as well as the
electronic data of the Control Unit of EVM tallied and shown
to the representatives of political parties?
39. Whether signatures of representatives of political parties
are/were taken in a register as a token of having seen the
counting and confirm that there is/was no discrepancies
between the printed paper slips and electronic data of the
respective Control Unit, during the mock poll?
40. After FLC is over, whether the DEO fix a schedule for first
randomization of VVPATs?
41. Whether first randomization of VVPATs is done to randomly
assign VVPATs to Assembly Constituencies (ACs), training and
Awareness Programmes?
42. After first randomization whether the R.O of the
constituency, takes charge of the VVPATs randomly allotted
to his constituency?

32
43. Whether the VVPATs meant for use at the election are
separately taken to R.O’s strong room under proper escort
and is guarded 24X7?
44. At the time of sealing the strong room, whether the
representatives of political parties remain present and they
also affix their seal on the lock?
45. The training VVPATs are distributed to the relevant officers
for the training purpose?
Preparation of VVPATs
46. Whether a copy of the list of first randomization of VVPATs is
given to all the candidates after the last date of withdrawal
of candidatures?
47. Whether the Returning officer fixes the date of preparation
of VVPATs for poll (Symbol Loading) and intimate to all
candidates to remain present or send their representatives
during the process?
48. Whether on the day of preparation of VVPATs second
randomization of VVPATs is done before doing the process of
preparation of VVPATs for polls?
49. Whether candidates or their representatives are present
at the time of Preparation of VVPATs? Specific details of
candidates.
50. Whether the process of preparation of VVPATs is
continuously videographed?
51. A register has been kept by the RO in which signatures of
candidates/their representatives are taken every day as
token of their presence.
52. Date of starting Preparation of VVPATs.
53. Whether fresh Paper Roll and new Power Pack are/
were installed in the VVPAT printer unit by following the
procedure given in the user manual for VVPAT systems?
54. Whether test printout of the serial number of the
candidates and symbols allotted to them is/was taken and
checked with the Ballot Paper placed on Ballot Unit?

33
55. Whether one vote to each candidate is/was given to ensure
that VVPAT is correctly printing the paper slips in respect of
all candidates?
56. Date of completion of preparation of VVPATs.
57. No. of VVPATs found defective during preparation of VVPATs.
58. Whether preparation of VVPATs is carried out in a large hall
which accommodates VVPATs to be prepared.
59. Whether every entry to the hall is guarded by police force?
60. Whether every hall has a door frame, metal detector?
61. Whether every person who enters the hall is frisked at every
entry?
62. Whether entry to this hall is on production of Identity Card
of the authorized officials/passes issued by the District
Election Officer/Returning Officer?
63. Whether nobody is allowed to carry any electronic device
inside the hall including cell phones, camera and spy pens
etc.?
64. Whether preparation of VVPATs is carried out in the
presence of authorized engineers of BEL and ECIL?
65. Whether a printed paper slips of the mock poll as well as the
electronic data of the Control Unit of EVM tallied and shown
to the representatives of political parties?
66. Whether signatures of representatives of political parties
are/were taken in a register as a token of having seen the
counting and confirm that there is/was no discrepancies
between the printed paper slips and electronic data of the
respective Control Unit, during the mock poll?
67. Whether photocopy of this register has been given free
of cost to all candidates/their representatives as soon as
Preparation of EVMs is over?

34
 Annexure IG
Check list for Training Activities:

S. No. Audit points Reference

1. Trainings for ALMTs have been organized Yes/No Instructions
for Summary Revision issued by the
Training Division
2. If Yes, No. of ALMTs trained
from time to
3. BLOs have been trained for Summary Yes/No time
Revision
4. If yes, total number of BLOs trained
5. Study Material/latest instructions have Yes/No
been provided to ALMTs/BLOs during
training
6. Instructions have been issued by the Yes/No
Training Division of ECI for Summary
Revision/Conduct of Election
7. If yes, DEO has followed instructions issued Yes/No
by Training Division of the ECI
(Please mention ECI’s circular)
8. Fund for trainings received from the ECI/ Yes/No
State
8A Utilisation report sent for funds received Yes/No
for training in previous years.
9. Has fund been demanded from the State as Yes/No
well as from the ECI
10. Training Observers have been appointed for Yes/No
monitoring of trainings

35
 Annexure IH
Check list for SVEEP (NVD) Activities:

Sl. No. Name of the activity Reference Whether action Remarks

in the taken
Handbook Yes NO
for ERO

1 Number of PS locations where NVD NA

will be/was organised

2 Total electors Male NA

to be/was
distributed EPIC Female
on NVD
(includes those given Others
EPIC between final
publication
of ER and NVD)

3 Of these, how many Male NA

in 18-19 yr age group
(newly eligible) Female

Others

4 Number of badges to be/was NA

distributed to new electors

5 Number of Educational Institutions NA

organising NVD function

6 No. Of Special camps planned/ NA

organised for surrender of
duplicates, correction of entries,
new registrations

7 Chief Guest proposed/attended the NA

State NVD function

36
 8 Name of Partner Agencies being/ NA
were roped in for NVD

9 Any online event like Quiz, NA

Discussion, etc. Planned/held

10 Concurrent activities proposed/ NA

taken up as part of NVD at state
level.

11 Concurrent activities proposed/ NA

taken up as part of NVD at district
level

12 Newspapers in which NVD NA

advertisement is planned/was
given on 25th January, 2015.

Signature:

37
 Annexure II
Draft checklist for SVEEP (Summary Revision) activities:

Sl. No Name of the activity Reference in Whether Remarks

the Handbook action taken
for ERO Yes NO
1 Number of excluded groups/ NA
communities identified
2 Number of physical events NA
organised for these identified
groups
3 Number of media insertions for NA
these identified groups
4 Physical events organised for NA
meeting gender gap
a. Meetings (with functionaries
like
AWW/ASHA, CSOs etc)
b. Special Camps
c. Street Plays/Folk art
competitions etc
d. Rallies/Runs
e. Special event with Icon
f. Other events
5 Number of gender specific media NA
insertions
a. Posters, pamphlets, banners
b. Radio sports/pgm
c. Television spots/pgm
d. Newspaper advertisements
e. Outdoor Hoardings/Bus panels
etc
f. SMS/Caller tune etc
g. Internet insertions

38
6 Youth specific physical events NA
organised
a. Number of events like
competitions, festivals, street
plays etc
b. Number of Educational
Institutions
that participated in events
c. Special registration camps in
educational institutions
d. Special Camps for youth
outside the
educational system
e. Special event with Icon
f. Rallies/Runs
g. Any other initiative
7 Youth Specific media insertions NA
a. Posters, pamphlets, banners
b. Radio spots/pgm
c. Television spots/pgm
d. Newspaper advertisements
e. Outdoor Hoardings/Bus panels
etc
f. SMS/Caller tune etc.
g. Internet insertions
8 Physical events organised for NA
fighting urban apathy
a. BLO/RWA meetings
b. Special Camps
c. Rallies/ Runs
d. Appeal Letters (from DEOs/
CEO)
e. Press Notes
f. Special event with Icon
g. Other events

39
9 Urban specific media insertions NA
a. Posters, pamphlets, banners
b. Radio spots/pgm
c. Television spots/pgm
d. Newspaper advertisements
e. Outdoor Hoardings/Bus panels
etc.
f. SMS/Caller tune etc.
g. Internet insertions
10 Number of partner Agencies NA
a. Government Departments/
Govt
Media
b. CSOs
c. Private Media
d. PSUs/Corporate
e. Other organisations like NYKS,
NSS,
Cooperatives Societies, RWAs
etc
11 Number of Campus Ambassadors NA
appointed
a. Male
b. Female
12 Number of meetings of Campus NA
Ambassadors with CEOs/CEO’s
office
13 Number of meetings of Campus NA
Ambassadors within the district
with DEO/DEOs office
14 Initiatives taken to enrol Service NA
Voters (pl. Specify)
15 Others (any other initiative that NA
you may like to highlight)

40
16 Specific no of creativities used NA
from ECI’s website SVEEP Portal
http://eci.nic.in/eci_main1/sveep.
aspx Registration
Posters, Audio messages by Icons
Photos
Icons Photos
Voter Education Channel http://
www.youtube.com/eci Register
Now to Vote
MS Dhoni
Saina Nehwal
Teeka Lagao (Virat Kohli)
Worli Art - Gujarat

41
 INDICATORS
(to be submitted on 31st December 2014)

I New enrolment from excluded groups during SR period

II Gender ratio on roll in final roll w.r.t. 1.1.2014
Gender ratio on roll (at time of reporting)
III EP Ratio in urban centres (in Final roll w.r.t. 1.1.2014)
EP ratio in urban centres (at time of reporting)
IV New enrolment of 18-19 yr old (in last Summary
revision)
New enrolment of 18-19 yr old (as on date)
V New enrolment of Service Electors
VI Total number of form 6 received during the Summary
Revision period

Signature:

Date:

42
 Calendar of SVEEP Activities for Summary Revision (w.r.t. 1.1.2016)

Intervention/Activities August September October Remarks

43
 Annexure IJ
Check list for Media Division :

Sl. No. Name of activity Reference Whether Action Remarks

Taken
Yes NO
1. Constitution of District *Compendium-
Media Certification and Letter dated 27th
Monitoring Committee August, 2012.
(MCMC) Page-49
2. Paid News report and *Compendium-
Monitoring of political Letter dated 27th
advertisements in media August, 2012.
Page-49
3. Issuing Authority Letters, Rules 32(c) and
forwarded by the 53(1)(b) of Conduct
Commission, to media of Election Rules,
persons 1961
4. Media Monitoring and ECI instructions
Interaction with media given from time to
time

*Compendium of Instructions on Paid News and Related Matters (February-2014)

44
 Annexure-I
Confirmation Request Form

NAME OF DISTRICT DATE: DD/MM/YYYY

NAME OF OFFICER DESIGNATION

AREA OF INSPECTION (As per check list) CRF NO. (to be developed by the team leader)

SUBJECT MATTER:
NAME OF OFFICER: DATE: TIME
DD/MM/YYYY
SIGNATURE:

RESPONSE FROM AUDITEE:

NAME AND SIGNATURE OF OFFICER DATE: TIME

DD/MM/YYYY

FOR ECI USE ONLY:

RESPONSE ACCEPTED: ( ) YES ( ) NO

AUDIT FINDING: ( ) YES ( ) NO

COMMENTS:
ECI OFFICER DATE:DD/MM/YYYY
Name:
Designation:

SIGNATURE

45
 Annexure-II
Deficiency Reporting Form (Form-2001)

ELECTION COMMISSION OF INDIA

DEFICIENCY REPORTING FORM (FORM-2001)
1. NAME OF THE DISTRICT 2. REFERENCE NO. 3. ISSUE DATE

4. AREA OF AUDIT 5. NAME OF THE 6. DATE OF AUDIT

RESPONSIBLE
OFFICER

7. NON-CONFORMITY/DEFICIENCY DETAILS:

8. LEVEL OF FINDING 9. REFERENCE NO. 10. ENCLOSURES

11. NAMES OF THE AUDITOR 12. SIGNATURE OF 13. DATE 14. TARGET
& TEAM LEADER THE TEAM LEADER

RESPONSE OF THE AUDITEE

16.CORRECTIVE ACTION DETAILS & NUMBER OF ATTACHMENT PAGES

17. NAME OF THE 18. SIGNATURE OF 19. DATE

RESPONSIBLE OFFICER THERESPONSIBLE
OFFICER

20. COMMENTS OF THE AUDITOR WITH REFERENCE TO THE ACTION TAKEN

46
 Annexure-III

ELECTION COMMISSION OF INDIA

AUDIT FINDING FORM
NAME OF THE DISTRICT:-
Area of Audit-Electoral Roll/Polling Station/EVM DATE OF AUDIT
NON-CONFORMITY/DEFICIENCY DETAILS:
SR. NO. SUBJECT CONFIRMATION REQUEST FORM PHOTOCOPY OF PROOF
No./PHYSICAL INSPECTION
DONE ON BY Sh. ……. &
OTHERS
1.
2.
3.
4.

47
NOTES