Risks in General Elections

Risk Assessment - Introduction

Risk assessment – to predict possible problems and to identify their likely

sources with the primary objective of preventing such problems from arising in
the first place.

Why Risk Assessment?

In spite of well laid down procedures, all field functionaries are required to
deal with some contingent risks at the time of elections, since no strategy is
full proof and the envisaged and the documented procedures may not deliver
hundred per cent.
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 Risk and Elections

• Risk is involved in all activities of election management covering the entire

electoral cycle.

• Risk management is developing a clear understanding of risks that are

important to the electoral process and managing them depending on the

changes in the situation over time so that remedial measures remain

effective.
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Contribution of Risk Assessment to the Risk
Management Process
 Contribution of Risk Assessment to the Risk
Management Process

• Electoral Risk management as a systematic effort undertaken to improve

knowledge about and situational awareness of both internal and external
risks to electoral processes, in order to initiate timely prevention and
mitigation actions
• The electoral risk situation and contingency plan to mitigate risks varies
depending on the prevailing social and cultural values, profile of
development and available resources, maturity level of democracy etc.
 Risks in Indian Elections

• Systematic checks and balances, well laid down procedures and use of technology,
reduce electoral risks in Indian elections.
 Pre-announcement Phase - Electoral Roll

Fidelity of Electoral Rolls

• Non-inclusion of eligible persons
 adequate outreach programs to be conducted
• Inadvertent deletions
 deletion lists to be published, shared and communicated wherever feasible
• Deliberate exclusion of certain sections and areas
 appropriate publicity and efficient grievance-redressal system
• Possibility of motivated deletions
 abnormal deletions, section-wise and part-wise, to be scrutinized
• Inclusion of ineligible electors
 cross verification, random checks and complaint monitoring systems to be established
• Repeated entries
• Double registration in bordering constituencies. 8
 Pre-announcement Phase - Electoral Roll

Efficiency and motivation of registration staff like BLOs and Data Entry
Operators
• Untrained and uninspired staff committing mistakes
• Delay in submission of field- inputs giving scope for repeated Form-6
Ensuring fundamentals of eligibility – citizenship, age, and ordinary residence
• Possibility of inclusion of foreign nationals
• Lack of vigilance in non- border cities in registering electors
• Non-residents may get registered
Digital security of electoral registration
• Unauthorized operations on behalf of the EROs by Data Entry Operators 9
 Pre-announcement Phase - Material

EVM and VVPAT Security and Management

• Hazards of collecting and transporting EVMs
• Inadequate and unsafe storage of EVMs
• Unused expirable items like VVPAT printing paper, power-pack, etc.
• Scope of complaint in case of hasty FLC in absence of political parties
• Undeleted previous data
Material Procurement
• Compromise on quality and increase in costs on account of decentralized
procurement of election materials

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 Establishing Polling Stations

• Notifying buildings no more in use.

• Notifying buildings likely to be demolished.
• Dilapidated and unsafe buildings.
• Remoteness of polling stations or natural barriers/ obstructions
• Vulnerability of polling stations.
• Housing Polling Stations in private buildings with possibility of
allegations.
• Lack of minimum facilities at Polling Stations.
• Connectivity of Polling Stations.

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 Announcement & Conduct of Poll

Media Communication
• Unconfirmed information about seizures or police cases
• Unattended media reports
• Possibility of motivated reporting or sponsored news items
• Casual comments on Media engagement

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 Announcement & Conduct of Poll

Continuous updating of Electoral Rolls

• BLOs not being in place
• Long-standing BLOs may develop bias
• meticulous revision of BLO contact details, there should be a mix of
various depts.
• Bulk submission of registration forms by BLAs
• Approval of Form-6 without due checking
• Unauthorized approvals at the subordinate levels
• Delay in deciding i-forms
• Inadvertent deletion of important electors

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 Announcement & Conduct of Poll

Continuous updating of Electoral Rolls

• Motivated deletions, or excessive delay resulting in non-approval, in respect of
targeted populations
• Acknowledgement of Form-6 not given to applicants
• Delay and confusion in delivery of EPIC
• Not maintaining print copies of registration forms – action must be first completed
on the printed forms
• Existence of repeated entries, dead or shifted electors, and errors in electoral
rolls.
• Choking of the system on account of pushing of thousands of applications in the
last few hours
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 Poll Processes: Nomination, Scrutiny,
withdrawal and Symbol Allotment

• Incorrect notification about designation of RO

• Hasty receipt of nomination papers and documents
• Last hour rush on last date of nomination
• Frivolous complaints about non-receipt of forms
• Undue request to permit submission of documents beyond the hour prescribed
• Lack of pre-check
• Apparent consultation at scrutiny time
• Not giving reasonable opportunity
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 Poll Processes: Nomination, Scrutiny,
withdrawal and Symbol Allotment

• Perceived non- application of mind

• Wrongful rejection of a nomination

• Old copies of symbol books

• Unauthorized or wrong Form A&B, specially from unrecognized political parties

• Frivolous complaints of not getting a symbol of one’s choice

• Non-standard photograph

• Mis-match of photographs of candidates

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 Printing and Security of Ballot Papers

Printing and Security of Ballot Papers

• Defective printing with misspelt names, blurred photograph, incorrect
sequence, etc.
• Unaccounted ballot papers
E-Postal Ballot
• Faulty preparation of Postal Ballot Paper
• Mistake in sending of E-Postal Ballot
• Repeat entries of Service Voters
Postal Ballot
• Faulty printing of Postal Ballot
• Mistake in distribution of Postal Ballot; Inadequate reach to the election
duty staff 17
 Vulnerability mapping and security plan

• ‘Law and order’ based inputs may not be sufficient to secure a clean poll.
• Leaving police to decide the degree of sensitivity
• Delayed proceedings in preventive cases
• Unrealistic demand for CAPF
• Routine emphasis on CAPF
• Underutilization of non- force measures
• Constituency-wise and District-wise deployment if left to police authorities

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 Personnel Management

• Not finding adequate numbers of polling personnel

• Deployment of such staff as are not fit for strenuous jobs
• Deployment of exempted categories
• Inadequate training
• Inadequate hands-on training on EVMs and VVPATs

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 Level – Playing field in campaign period

• Distribution of cash and goods

• Delayed response to complaints
• Enforcement agencies working without coordination.
• Inadequate coordination with neighbouring states
• Ignoring coastal security
• International land borders
• Non-deposition of firearms
• Illegal firearms
• Compartmentalized checking at department check posts
• Target-approach on execution of warrants 20
 Conducting free, fair and peaceful polls

• Non-functioning electrical connection, water supply, etc. at polling

stations
• Non-deletion of mock- poll votes
• Non-removal of mock-poll paper slips from VVPATs
• Malfunctioning of EVMs/ VVPATs during the poll
• Booth-capturing with apparent force
• Silent rigging

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 Counting

Counting Hall
• Failing to notify the details of counting time and place
• Failure in timely submission of proposal of counting hall
• No inspection of the counting hall

Security of Counting Hall

• Failure to have joint inspection by the DM and the SP.

Strong Room
• Failure in joint inspection as per ECI’s instructions
• Inadequate space for VVPATs

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 Counting

Counting Personnel
• Limited focus on Counting Personnel requirements
• Limited availability of Micro Counting Observers
• Poor Training of Counting Personnel

Counting Hall Management

• Lack of awareness amongst the candidates, and other stakeholders about entry
restrictions
• Lack of Communication with security agencies on entry restrictions.
• No attention to detail on seating arrangement, electricity, tele- connectivity
• Media communication Gap

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 Counting

Postal Ballot Counting

• Absence of focus on PB
• In equal and wrongful rejection
Result Declaration
• Anxiety in close contest
• Frivolous complaints to stop counting or to do recount or to count VVPAT paper
slips.

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 Post Election

Sealing of Strong Rooms

• Hurried sealing

Election Petition
• Non-Communication of filed EPs
• Lack of clarity on EVM Petition

Election Expenditure Returns

• Delay in sending expenditure report
• Unexplained and unresolved discrepancies in expenditure figures
• Notices not served on time
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