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Election Expenditure Monitoring [EEM] BRIEFING OF MASTER TRAINERSAssembly Elections- 2013 Election Expenditure Monitoring [EEM] BRIEFING OF MASTER TRAINERSAssembly Elections- 2013

USE OF MONEY POWER Without Money, Multi-party democracy cannot function But ‘Money Power’ involves USE OF MONEY POWER Without Money, Multi-party democracy cannot function But ‘Money Power’ involves certain risks: Ø Uneven Playing competition, field and Ø Political Exclusion – Certain sectors face disadvantage, Ø Co-Opted politicians under campaign debts, Ø Tainted Governance undermined. and lack Rule of of fair Law 2

The spirit of democracy is not a mechanical thing to be adjusted by abolition The spirit of democracy is not a mechanical thing to be adjusted by abolition of forms. It requires change of hearts. Democracy is something that gives the weak the same chance as strong. -Mahatma Gandhi 3

MONITORING: RELATED ISSUES Carrying cash is not illegal under any Law and is not MONITORING: RELATED ISSUES Carrying cash is not illegal under any Law and is not anathema to regular business But if it is undisclosed, Department can seize If it is out of illegal foreign exchange, ED can seize If it is suspected to be for bribery, terror, theft, narcotics etc, Police authorities can seize No new law for seizure Income Tax

“MANIFESTO OR MONEYFESTO” If you promise to give (Manifesto), it’s ok but if you “MANIFESTO OR MONEYFESTO” If you promise to give (Manifesto), it’s ok but if you actually give ( distribute), its not ok… People know our politicians well. . so they don’t go by “manifesto” but they go by “ moneyfesto” q

NOTHING OFFICIAL ABOUT IT… Ceiling Limit for a candidate Is there any Celing Limit NOTHING OFFICIAL ABOUT IT… Ceiling Limit for a candidate Is there any Celing Limit for an Agent of Candidate? So, ….

! v. Excessive, illegal & illegitimate expenditure in elections is the root cause of ! v. Excessive, illegal & illegitimate expenditure in elections is the root cause of corruption.

Where election expenses (legal/illegal) come from? Through cash donations from large, medium and small Where election expenses (legal/illegal) come from? Through cash donations from large, medium and small companies Through 'cuts' from funds allocated to public-private partnership (PPP) projects, large civic works Funds from business houses in locality Various funds meant for public works and also from tender approvals Transfers of officials

WHERE MONEY GOES? Posters and banners q Wooing voters: gifts like food, clothes, trips WHERE MONEY GOES? Posters and banners q Wooing voters: gifts like food, clothes, trips and individual benefits. q Rent-a-crowd: price ranging from Rs 100 to Rs 500. q Dummy candidates: to cut into the rival's votes. q Commuting costs: Provision of petrol and diesel for campaigners q Temporary offices: On an average, Rs 10, 000 to Rs 15, 000 a day q Full-time party workers: Each candidate has at least 100150 full-time party workers - paid daily ranging from Rs 200 to Rs 1, 500. q Transport: To ferry voters jeep/taxi costs from Rs 6, 000 to Rs 10, 000 a day for meetings/rallies. q

TAMIL NADU ELECTIONS : VIDEO Let us watch a video on the cash seizures TAMIL NADU ELECTIONS : VIDEO Let us watch a video on the cash seizures made during general elections to Tamil Nadu Assembly. 11

LEGAL PROVISIONS : The Representation of the People’s Act, 1951 The Conduct of Elections LEGAL PROVISIONS : The Representation of the People’s Act, 1951 The Conduct of Elections Rules, 1961 Instructions of Commission Indian Penal Code, 1860 Income Tax laws

TYPES OF ELECTION EXPENDITURE Election expenditure can be classified into two types on the TYPES OF ELECTION EXPENDITURE Election expenditure can be classified into two types on the basis of legal provisions Expenditure permissible under the law [public meetings, posters, banners, vehicle etc. ] Ceiling for Expenditure See rule 90 of the CE Rules, 1961 Illegal expenditure [Distribution of money, Gifts, liquor or any other item among electors with the purpose of influencing them] Such type of expenditure of election expenses of the candidate is stopped 13

MAJOR LEGAL PROVISIONS RELATED TO ELECTION EXPENDITURE MONITORING Sec 10 A: Disqualification for failure MAJOR LEGAL PROVISIONS RELATED TO ELECTION EXPENDITURE MONITORING Sec 10 A: Disqualification for failure to lodge account of election expenses • Failing to lodge an account of election expenses within time and manner required or has no good reason or justification for the failure • Disqualified for a period of three years Sec 77: Account of Election Expenses and maximum thereof • Candidate/Election agent shall keep an separate, correct account of election expenditure incurred/authorized between date of nomination & declaration of results. Sec 78 : Lodging of account with District Election Officer RP • Within 30 days from the date of election, contesting candidate should lodge with DEO “true copy” of election expenses kept by him/election agent Learning Module of RO/ARO AC T, 19 14 51

MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc 19 ction t of 61 MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc 19 ction t of 61 Ru les , Rule 85 B: Form of Contrib utions Report • Report for any financial year to be submitted by treasurer of party in Form 24 A to the ECI, but before due date for furnishing return of income for that year. 15

MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc Rule 86: Particular s of MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc Rule 86: Particular s of account of election expenses 19 ction t of 61 Ru les • Account of election expenses to be kept by , candidate/election agent to contain following items w. r. t daily expenditure: • Date of expenditure incurred/authorized • Nature of expenditure • Amount of expenditure – amount paid and amount outstanding • Date of payment • Name and address of payee • Serial no. of voucher in case already paid • Serial number of bills in case of payment outstanding • Name and address of person to whom amt. outstanding is payable • All vouchers to lodged along with election expense account chronologically and serially numbered 16

MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc Rule 87: Notice by [DEO] MAJOR LEGAL PROVISIONS RELATED TO Co EEM Ele nduc Rule 87: Notice by [DEO] for inspection of accounts Rule 88: Inspection of accounts and obtaining copies thereof 19 ction t of 61 Ru les , • Within two days of receipt of accounts, DEO to affix a notice specifying date on which accounts were lodged, name of candidate and time and place where accounts can be inspected • Any person can inspect accounts lodged by candidates on payment of Re. 1 fee • Entitled to obtain attested copies of accounts/any part of such account lodged on payment of fee as fixed by ECI 17

TO RECALL THE MAJOR LEGAL PROVISIONS Co RELATED TO EEM E nd Rule 89: TO RECALL THE MAJOR LEGAL PROVISIONS Co RELATED TO EEM E nd Rule 89: Report by the [DEO] as to the lodging of account of election expenses and the decision of the ECI thereon lec uct • (1) As specified regarding lodging of accounts, Rule tion o s, 1 DEO to send report to ECI specifying: 96 1 • Whether candidate has lodged account of expenses and if so, the date on which it was lodged • If account lodged in time and in the manner • (2) If not lodged in time and manner, attaching the account of expenses and vouchers • (3) Publish copy of same on notice board • (4) If accounts not lodged in time or in right manner, ECI issues show cause notice to candidate under Sec 10 A of R. P. Act, 1951 • (5) Candidate to send response to notice within 20 days to ECI and copy to DEO • (6) DEO to forward the copy to ECI with comments, if any, within 5 days of receipt • (7) If ECI finds no valid justification in candidate’s representation, shall disqualify for 3 years from date of order and publish in Official Gazette 18

THE LEGAL PROVISIONS RELATED TO ELECTION EXPENDITURE MONITORING RP ACT, 1951 Sec 127 A: THE LEGAL PROVISIONS RELATED TO ELECTION EXPENDITURE MONITORING RP ACT, 1951 Sec 127 A: Restrictio ns on the printing of pamphlets, posters, etc. • Election pamphlet/poster which does not bear the name & addresses of the printer /publisher shall not be printed • Declaration as to the identity of the publisher is to be sent to the printer signed by publisher and attested by 2 persons personally known to him • Copy of the declaration and the document should be sent by the printer to the CEO/District Magistrate as per location • Imprisonment upto 6 months /fine up to Rs. 2000/ both 19

Provisions of the Indian Penal Code, 1860 171 E – Punishment for bribery • Provisions of the Indian Penal Code, 1860 171 E – Punishment for bribery • one year imprisonment or fine or both. 20 171 B – Bribery • Any person giving or accepting gratification to induce a person to exercise his electoral right would commit the offence of bribery. • Gratification – Offering gratification, agreeing to give gratification, attempting to procure gratification shall be deemed as giving gratification. 171 C – Undue influence at elections 171 F – Punishment for undue influence at elections • Any Act which voluntarily interferes or attempts to interfere with the free exercise of any electoral right. Lea rnin g Mod ule of DEO • one year imprisonment or fine or both.

PROVISIONS OF THE INDIAN PENAL CODE, 1860 171 H – Illegal payments in connection PROVISIONS OF THE INDIAN PENAL CODE, 1860 171 H – Illegal payments in connection with an election • Expenditure done by any person/ organization for a candidate without his written permission would be considered illegal whether the expenditure is in relation to a public meeting, advertisements, publication or in any other way. 171 I – Failure to keep election accounts • If the candidate does not maintain an account of his election expenditure in the manner specified by ECI Punishment for not maintaining accounts • A fine up to rupees 500. 21

ELECTION EXPENDITURE: CASE LAW The Hon’ble Supreme Court in L. R. Shivaramagowde Vs. T. ELECTION EXPENDITURE: CASE LAW The Hon’ble Supreme Court in L. R. Shivaramagowde Vs. T. M. Chandrashekhar - AIR 1999 SC 252 has observed that the Election Commission of India: Can go into the correctness of the account of election expenses filed by the candidate, and Ø Disqualify a candidate under section 10 A of the Representation of the People Act, 1951 in case the account is found to be incorrect or untrue. Grounds: 1. The candidate does not lodge an account of election expenses in time and manner. 2. The account lodged by the candidate is incorrect and 22 untrue.

1. Cash in envelopes in morning newspapers pushed beneath the door of the voter. 1. Cash in envelopes in morning newspapers pushed beneath the door of the voter. 2. Inside Morning Milk pouch, along with cash in an envelope to the voter. 3. Through Self Help Groups (SHG) for onward distribution among women voters. 4. Through pawnbrokers by reimbursing the short term loan taken by voters, by mortgaging jewellery. 5. Paying cash as incentive for not casting vote by the committed voters of other rival candidate, if such voter shows his finger without indelible ink after election. 6. Cash given in advance before notification of election to the local leaders for distribution among voters. 7. Cash given through community feasts under the plate or banana leaf. 8. Cash given in the name of MGREGA, DWACRA and other government projects. 9. Cash given to dummy candidates for using the permission obtained by them for the campaign vehicles or political

11. candidates not to seriously campaign in elections. 12. Black Money raised by party/candidate 11. candidates not to seriously campaign in elections. 12. Black Money raised by party/candidate in name of coupon sale. 13. Cash given to the polling agents of rivals candidates, to be silent, during counting. 14. Cash given to village headman for ensuring votes. 15. Cash given to village fund on the eve of election for construction of road or temple or school, etc. 16. Distributing Cash among the Ladies who come for “Aarti” to candidate. 17. Distributing Cash for those who come to attend public rally arranged by party or candidate. 18. Making Cash payment for the vehicles or Trucks for of place ferrying tovoters the polling booth. 19. Cash given to journalists or media men to write positively aboutcandidate the write to pessimistic or news of rivals.

21. Cash transferred through RTGS route of banks to the a/c’s. 22. Cash given 21. Cash transferred through RTGS route of banks to the a/c’s. 22. Cash given to the youth clubs on the eve of elections for organizing cricket match, football match. 23. Cash given for charity like organizing medical camp, melody party, theatres etc. , on the eve of elections. 24. Distributing TVs, video recorders & projectors to village clubs. 25. Giving cash for constructing toilets, tubewells or mobile phone withtopupcardsorlaptopstothevoters or local leaders. 26. Organizing mass marriage functions during election process and bearing the entire cost of marriage. 27. Distributing SUVs or Luxurious vehicles to appease local party leaders. 28. Reimbursing fuel bills through negotiated deals with petrol pumps. 29. Promising jobs for the unemployed youth in the academic institutes or companies of the candidate.

31. Distribution free books to the students, just before elections. 32. Free admission to 31. Distribution free books to the students, just before elections. 32. Free admission to children of influential voters of a locality in Engineering Collegemedical or college by run the candidate. 33. Distributing free cows or buffalos among voters before election. 34. Distributing free agriculture seeds and manures among the voters. 35. Distributing free solar lamps among the rural voters. 36. Distributing diaries, calendars, purse, T-shirt, sarees and vanity bags. 37. Using ‘Aarthiyas’ (commission agents) for distribution of cash among waiving farmers his or commission demanded form the farmers. 38. Cash given to religious leaders or leaders of a caste for ensuring votes of their followers. 39. Distribution of liquor, drugs, poppy husks among the

MODES OF TRANSPORT OF CASH In ambulance vans In bonnet of the car Inside MODES OF TRANSPORT OF CASH In ambulance vans In bonnet of the car Inside door panels of the car On roof top of buses In police vans In Helicopters

PREVENTIVE METHODS FOR CURBING THE USE OF BLACK MONEY Campaign for “Ethical voting” through PREVENTIVE METHODS FOR CURBING THE USE OF BLACK MONEY Campaign for “Ethical voting” through Media Announcement through Public address system fitted on the vehicles of the Flying Squads Separate Bank account by each candidate Involvement of school and college students in spreading the message against bribery during elections Involving Civil Society Organisations, RWA. NYKs etc

 Let us watch a video on ethical voting! 30 Let us watch a video on ethical voting! 30

Mechanism for Election Expenditure Monitoring in Assembly Elections 31 Mechanism for Election Expenditure Monitoring in Assembly Elections 31

MEETING WITH POLITICAL PARTIES DEO will have a meeting with all recognised Political Parties MEETING WITH POLITICAL PARTIES DEO will have a meeting with all recognised Political Parties within 3 days of announcement of election about the Instructions of the Commission and explain the legal provisions and give a copy of the compendium of instructions, He will also discuss the various rates of expenditure and consider their suggestions before notification of rates, CEO will arrange facilitation training at State Level on Expenditure Monitoring Measures for the representatives of all registered political parties of the state, to explain various legal provisions including the procedures.

NOTIFICATION OF RATES FOR ASSESSMENT OF EXPENDITURE The list of these rates would be NOTIFICATION OF RATES FOR ASSESSMENT OF EXPENDITURE The list of these rates would be given by the RO to the candidates at the time of filing of nomination papers, 2. If the rate of any item is not available in the list, the candidate/election agent, if they wish, may apply with the DEOs to notify the rates for such items as well and the DEOs will take appropriate steps to notify them, 3. Any objection regarding the quantum of such rates has to be made to the DEO within 24 hours of notification, 4. To obtain airing charges from media houses with 1. 33

RATES OF ITEMS TO BE FIXED AFTER CONSULATATION WITH POLITICAL PARTIES: Loudspeaker with amplifier RATES OF ITEMS TO BE FIXED AFTER CONSULATATION WITH POLITICAL PARTIES: Loudspeaker with amplifier and microphone Cloth banner, Cloth flags, Hand bills, Posters, Video Cassettes/CDs, Audio Cassettes/CDs, podium or Pandal of standard sizes, Hoardings, Cut outs (wooden), Cut outs (Cloth/plastic), Daily hiring charges of vehicles (all types of vehicles), chairs, tables and other furniture, electrical fittings/equipments, Print media advertisements and DAVP rates Audio slots on Radio & AV on TV, cable TV, State & National Level Learning Module of RO/ARO TV Channels Any other item commonly used in a district. 34

TWO TRAINING PROGRAMMES The DEO will arrange two facilitation trainings at his own office TWO TRAINING PROGRAMMES The DEO will arrange two facilitation trainings at his own office for all election agents/candidates through the Exp. Monitoring cell , One, immediately on the day of scrutiny of nomination in presence of Expenditure Observers to acquaint them with the legal provisions, procedures for filling up the forms and registers and dates of inspection of accounts, Second, within a week before the final date of submission of accounts in presence of Asst. Exp. Observers ( i. e. , after 20 days of declaration of results) with all election agents/candidates/personnel engaged in his office for receiving the accounts, regarding the procedure for filling up the forms of

NEW EXPENDITURE MONITORING MACHINERY Expenditure Observer (EO) Asst. Expenditure Observer (AEO) Flying Squad and NEW EXPENDITURE MONITORING MACHINERY Expenditure Observer (EO) Asst. Expenditure Observer (AEO) Flying Squad and Static Surveillance Teams (FS and SST) Video Surveillance Team (VST) Video Viewing Team (VVT) Accounting Team Media Certification and Monitoring Committee (MCMC) District Expenditure Monitoring Committee (DEMC) Liquor monitoring Team 36

DEO Expenditure Observer Expenditure Monitoring Cell R. O. MCMC (Dist. / State Level) DEMC DEO Expenditure Observer Expenditure Monitoring Cell R. O. MCMC (Dist. / State Level) DEMC VVT VST Public meeting/Rally Accounting Team (SOR / FE ) AEO Expenditure monitoring control room 24 x 7 Call Centre SST – Check post monitoring teams F S- complaints of cash transactions /freebies Illegal Expenditure.

EXPENDITURE OBSERVER (EO) 38 To be appointed by the Commission. § EO’s are responsible EXPENDITURE OBSERVER (EO) 38 To be appointed by the Commission. § EO’s are responsible for overall supervision of expenditure monitoring for two or more Assembly segments. § They will train the Asst. Expenditure Observers and inspect functioning of different teams engaged in expenditure monitoring in each constituency § They will coordinate with various law enforcement agencies of Income tax, Police, BSF/SSB, State Excise and DRI § They will assist the DEO in preparation of scrutiny report

STRUCTURE AND FUNCTIONS Expenditure Observers for each district not more than five Assembly constituencies STRUCTURE AND FUNCTIONS Expenditure Observers for each district not more than five Assembly constituencies Assistant Expenditure Observer for each constituency More number of Observers and Assistant Observers in ESC (Expenditure sensitive constituency) More number of Flying Squads and Static Surveillance teams with man power from central Govt. and central PSUs and CPF

ROLE OF DEO He shall make appeal to public to avoid carrying huge amount ROLE OF DEO He shall make appeal to public to avoid carrying huge amount of cash during election process, He shall give wide publicity about the 24 X 7 - Call centre and District Complaint monitoring Cell, He shall involve NYKs, NSS and other citizen forums to get information about distribution of cash and other gift items for inducement of electors, He shall appeal to public and students for ethical voting and educate them that both receiver and giver of bribe are punishable as per law, He shall be responsible for training of the manpower engaged in Expenditure monitoring teams and election agents.

EXPENDITURE MONITORING CELL (EMC) This cell at district level will consist of a Nodal EXPENDITURE MONITORING CELL (EMC) This cell at district level will consist of a Nodal Officer on behalf of DEO, of the rank of SDM/ADM and two officials, who will be in charge of Expenditure monitoring training and coordination with all other team heads engaged in expenditure monitoring, § It will be responsible for expenditure monitoring efforts in the district, providing manpower and logistical support like space and equipments, First training of the Asstt. Expenditure Observers (AEO’s) and all the officials engaged in various teams should be done by these Nodal Officers of Expenditure Monitoring Cell in the District as soon as §

EXPENDITURE MONITORING CELL (EMC) First training of the Asstt. Expenditure Observers (AEO’s) and all EXPENDITURE MONITORING CELL (EMC) First training of the Asstt. Expenditure Observers (AEO’s) and all the officials engaged in various teams should be done by these Nodal Officers of Expenditure Monitoring Cell in the District as soon as the elections are announced, This cell will keep custody of all shadow observation registers and folders of evidence after the poll, Nodal Officer of Expenditure Monitoring Cell shall act as the link between the DEO and the EO, EMC will assist the DEO and Expenditure Observer in finalizing the scrutiny report to be submitted after declaration of result.

VIDEO SURVEILLANCE TEAM one • Minimum One official, one videographer and • • • VIDEO SURVEILLANCE TEAM one • Minimum One official, one videographer and • • • Video Surveillance Team (VST) • • • vehicle Can be more than 1 team at a public meeting, Properly trained to identify and capture MCC and expenditure related events in adequate minute details as required, At the beginning of shooting, the team will record in voice mode the title and type of event , date, place and the name of the party or the candidate organizing the same. It will capture the photo in such a way that the evidence of each vehicle, furniture, rostrum, banner, cutout etc. can be seen clearly and the expense thereon can be estimated, At the end of shooting, the team may also record in voice mode the estimated number and type of vehicles, Chairs, furniture, approx size of rostrum/banner/poster/cutout etc. used in the event. This team will prepare a video cue-sheet in the format given at Annexure-7 of the instructions. This cue-sheet contains the highlights of the recording with date and time. Therefore it should be ensured by the team that the time and date 43

VIDEO VIEWING TEAM Video Viewing Team (VVT) • 1 officer and 2 clerks (or VIDEO VIEWING TEAM Video Viewing Team (VVT) • 1 officer and 2 clerks (or as required) for each assembly segment , as viewing all CD’s is a time consuming task, • View Video CD provided by VST for identifying election expenditure and MCC related issues, • Submit report containing candidate wise expenditure no later than next day to Accounting Team/ Asst. EO, on public rally including the vehicle numbers, number of chairs, size of Dias, audio system, posters , banners, helicopter expense, media advertisements and Paid News, names of candidates • MCC related report to General Observer 44

ACCOUNTING TEAM Accounting Team • One official and one accounting clerk per segment • ACCOUNTING TEAM Accounting Team • One official and one accounting clerk per segment • Drafted from employees of accounts wing of Central Govt. depts. • Work under Asst. EO, involved in preparation of Shadow Observation Register and maintaining videos/ CD evidences carefully in Evidence Folder. To maintain proper back-up which can be called by Commission later. • Will enter expenditure incurred by the candidate on major expenses and corresponding notified rates against each item( major public meetings/rallies) in the Shadow Observation Register, reported by various teams and calculate the total expenditure of the event observed for each candidate. 45

MONITORING OF CAMPAIGN THROUGH MEDIA: MCMC Print Media Electronic Media Local Newspapers Radio including MONITORING OF CAMPAIGN THROUGH MEDIA: MCMC Print Media Electronic Media Local Newspapers Radio including Private FM Other newspapers in circulation in area TV channels, cable network Magazines Bulk SMS Pamphlets & Posters 46

DISTRICT LEVEL MCMC – TO OPERATE 24 X 7 • A Dist. Level MCMC DISTRICT LEVEL MCMC – TO OPERATE 24 X 7 • A Dist. Level MCMC comprising DEO/RO (of Parliamentary Constituency), ARO (not below SDM), Central Govt. I&B Official(if any) and 1 citizen/ journalist nominee of Press Council of India/ DPRO or DIO equivalent- member secy. • Certifying advt. proposals of candidates, • Scanning media for suspected ‘paid news’ and examination of complaints, reference by EO. • RO to issue notice to candidate within 96 hrs. and on receipt of reply from candidate Dist. Level MCMC to decide expeditiously & convey decision to candidate. If he/she does not reply within 48 hrs of recpt. of notice, then Distt. MCMC’s decision is final. • EO to report to ECI immediately on Paid News • Infrastructure – in separate room - 3 -4 TVs with cable, all newspapers including local, 47

SEPARATE BANK ACCOUNT 1. 2. 48 The candidate is required to open a separate SEPARATE BANK ACCOUNT 1. 2. 48 The candidate is required to open a separate bank account for election expenditure, at least one day prior to filing of his nomination papers. It can be opened in joint name of the candidate and his election agent, anywhere in the state. This Bank account can not be opened jointly by the candidate with spouse or other relatives, if they are not the election agent of the candidate. The account can be opened in any bank, including cooperative banks and Post Office. At the time of filing the nomination the candidate will communicate the account number of this bank account to the RO in writing. All the election expenses of the candidate should be met from this bank account. The candidate shall also submit a certified copy of the account statement after the poll. 3. 4. 5. 6.

SHADOW (SOR) & OBSERVATION REGISTER FOLDER OF EVIDENCE (FE) SOR is for each Contesting SHADOW (SOR) & OBSERVATION REGISTER FOLDER OF EVIDENCE (FE) SOR is for each Contesting Candidate in a constituency (ANNEXURE-11 of the Instructions). To record all expenses incurred on major events(public meetings/rallies etc. , ) towards election campaign, All expenditure recorded to be supported by CD/Video evidences(proper referencing) held in FE and to be cross- checked during Inspections Signatures of candidate/ authorized agent to be taken 49 The SOR & FE to be handed to the Dy. DEO by the EO for safe custody before leaving the constituency,

PREVENTIVE MEASURES : FLYING SQUADS FS- to attend to all complaints related to election PREVENTIVE MEASURES : FLYING SQUADS FS- to attend to all complaints related to election expenditure & MCC Receive complaints forwarded by Distt. Complaint Monitoring Cell or forwarded from CEO Office Take immediate action on receipt of complaints which will provide complete contact details of complainant Wherever not possible to reach within ½ hour, send SST or local SHO and monitor action taken by the officials 50

FLYING SQUADS All action taken by FS/SST/Local SHO to be videographed Complainant to be FLYING SQUADS All action taken by FS/SST/Local SHO to be videographed Complainant to be contacted in case of clarification FS- report action taken to District Control Room/ Call Centre Forward Daily Report (in Ann. prescribed) to SP & DEO and copy to AEO 51

STATIC SURVEILLANCE TEAMS (SST) • There shall be two or more Static Surveillance Teams STATIC SURVEILLANCE TEAMS (SST) • There shall be two or more Static Surveillance Teams in each AC with one magistrate, 3 -4 Police personnel and one videographer. • They will be responsible for putting the check post on major road/arterial road to check movement of illegal cash/liquor/arms or gift items • There should be surprise element in putting the check posts so that one can not anticipate about its placement. The Flying Squad of the district will supervise the posting of the Static Team/Check Post so as to avoid any harassment of public.

STATIC SURVEILLANCE TEAMS § The entire activity at the check post should be video STATIC SURVEILLANCE TEAMS § The entire activity at the check post should be video graphed and the DVD handed over to Accounting Team, for keeping in `folder of evidence`. § Any member of public may ask and take copy the Video DVD/CD for a particular day by depositing Rs. 300/-. § It will submit a Daily Activity report in prescribed format (Annexure-9) to SP, RO and Assistant Expenditure Observer , § The Nodal Officer at Police Headquarters at State level will compile the Daily Activity reports of Flying Squads and Surveillance Team and send to the CEO and Commission. EO to have coordination meeting with all law enforcement agencies of district and the teams.

Criminality is determined, Banner/poster/v oter slip/any campaign material along with cash or gift Arms Criminality is determined, Banner/poster/v oter slip/any campaign material along with cash or gift Arms or illicit items along with cash or gift Cash(more than 50, 000) in custody of any candidate/agent /party official being carried in a vehicle or any other modus operandi leading to crime 54

Utmost care to ensure all politeness, decency and courtesy Seizure has to be done Utmost care to ensure all politeness, decency and courtesy Seizure has to be done with proper Panchnama/ Acknowledge ment The FIR to be Copy authority lodged and forwarded to whom to also put in SP, DEO, appeal and notice board Exp. procedure Observer, of RO. for appeal Nodal Officer must be of Police and mentioned in Police the seizure Observer order (If any) 55

STANDARD OPERATING PROCEDURE : SOP During checking by SSTs, if any cash exceeding Rs. STANDARD OPERATING PROCEDURE : SOP During checking by SSTs, if any cash exceeding Rs. 50, 000 is found in a vehicle carrying a candidate, or his agent or party worker or carrying posters or election materials or any drugs, liquor, arms or gift items(valued more than Rs. 10, 000) which are likely to be used for inducement of electors or any other illicit articles are found in a vehicle, the same shall be subject to seizure. Whole event of checking/seizure to be video graphed by video team submitting CD to R. O. , An Appeal is to be made by DEO and CEO in local language through Flying Squads / media regarding the enforcement measures & advising the public and political functionaries not to carry huge cash during election process.

VISIT OF EXPENDITURE OBSERVER To reach the constituency on the day of notification of VISIT OF EXPENDITURE OBSERVER To reach the constituency on the day of notification of elections, EO to leave the constituency after submitting the poll preparedness report-I, 2 nd Visit on date immediately after the date of withdrawal of candidature and remain in the constituency during entire campaign period and leave the constituency only after the completion of poll and sending his Report-III, 3 rd visit after 30 days from declaration of results to assist in finalisation of scrutiny report prepared by DEO. He will send his final(IV) Report after that.

INSPECTION OF ACCOUNTS OF ELECTION EXPENDITURE Candidates are required to produce their accounts for INSPECTION OF ACCOUNTS OF ELECTION EXPENDITURE Candidates are required to produce their accounts for Inspection 3 times or more before the Expenditure Observer (EO) or any officer authorized by him. The RO will notify 3 dates & timing well in advance in consultation with EO for inspection of election expenditure accounts maintained by candidates, RO will ensure that the latest Instructions of the Commission on expenditure monitoring are given to the candidates, in local language, All the teams should be trained as per the latest Instructions on EEM.

INSPECTION OF ACCOUNTS Gap 59 between the two inspection should not be less than INSPECTION OF ACCOUNTS Gap 59 between the two inspection should not be less than 3 days and inspection to be done in such a way that major portion of expenses are covered under inspection, Candidate can have a separate agent for election expenses, Inspection to be done in the office chamber of RO or any other Office room NOT AT THE GUEST HOUSE between 10 AM to 5 PM, Publicity has to be given about the contact number of EO and time of inspection,

INSPECTION OF ACCOUNTS The Accounting Team alongwith the AEO to be present with Shadow INSPECTION OF ACCOUNTS The Accounting Team alongwith the AEO to be present with Shadow Observation Register and folder of evidence during inspections, The details of excess expenditure, if any found based on evidences gathered, must be recorded in writing on the register maintained by the candidate and also on the SOR/EF and signatures of candidate/Agent obtained on both. It must be counter signed by EO/AEO and RO / Accounting team head, Commission considers the comments of Expenditure Observer in the register at the time of disqualification proceedings.

INSPECTION OF ACCOUNTS Instances of suspected Paid News will also be noted in the INSPECTION OF ACCOUNTS Instances of suspected Paid News will also be noted in the register, to issue notice to candidate on the same day on all such discrepancies and also on all advertisements / Paid News, A 61 RO photocopy of the accounts maintained by the candidates should be obtained after each inspection and RO will display a copy on the notice board

INSPECTION OF ACCOUNTS Notice to be issued to candidate in case of failure to INSPECTION OF ACCOUNTS Notice to be issued to candidate in case of failure to produce accounts for inspection and FIR to be filed if failure continues (Sec 171 -I of IPC), of permission for use of campaign vehicle, if the failure continues in spite of notice, 62 Withdrawal Intimation of such withdrawal of permission to the Flying Squad to take the vehicle out of campaign, Any member of Public can obtain copy of Shadow Observation Register after inspection, notices and replies by candidates on payment of Re. 1/- per page.

REGISTRES MAINTAINED BY CANDIDATES TO BE CHECKED DURING INSPECTIONS Register for maintenance of day REGISTRES MAINTAINED BY CANDIDATES TO BE CHECKED DURING INSPECTIONS Register for maintenance of day to day a/c’s of penses election annexure-14 of the instructions : DAILY REGISTER : PAGES) PART -A (Color: WHITE CASH REGISTER: PART -B (Color: PINK PAGES) BANK REGISTER: PART -C (Color: YELLOW PAGES) 63

DISTRICT COMPLAINT MONITORING CELL Copies of all complaints received and reports of inquiries conducted DISTRICT COMPLAINT MONITORING CELL Copies of all complaints received and reports of inquiries conducted shall be put on the notice board of the RO for information of the Public. Any member of the Public can obtain copies of these documents on payment of a fee of Re. 1 per page. All complaints filed with DISTRICT LEVEL Complaint Monitoring cell to be recorded and investigated 64

ASSISTANT EXPENDITURE OBSERVER One Asst. Expenditure Observer (AEO) for each Assembly segment: § AEO’s ASSISTANT EXPENDITURE OBSERVER One Asst. Expenditure Observer (AEO) for each Assembly segment: § AEO’s should be from Income Tax, Central Excise, Audit and Accounts or Central PSUs - of the rank Group ‘B’ Central Govt. Officers. § AEOs are appointed from date of announcement of election by DEO. § He would assist the Expenditure Observer and the DEO in scrutiny of the account election expenses submitted after the declaration of result.

STAR CAMPAIGNERS All Passengers going by private aircrafts and helicopters will be frisked both STAR CAMPAIGNERS All Passengers going by private aircrafts and helicopters will be frisked both in airports and airstrips The candidate or Party shall inform about the travel plan of the aircraft or helicopter 24 hrs in advance for landing and take off in non commercial airports, to DEO for security purpose Candidate shall inform the RO concerned within 5 days of landing about the hiring charges paid or payable for helicopter /air craft and name of the pol. Party incase hiring charges borne by it.

STAR CAMPAIGNER List of Star campaigners to be submitted to CEO or the Commission STAR CAMPAIGNER List of Star campaigners to be submitted to CEO or the Commission within 7 days of the notification Travel expense of star campaigners of allied party are not exempt If the Star campaigner travels with candidate or media person, then 50% of the travel expense will be added to the candidate If the candidate shares the Pandal with the Star Campaigner or his photo or poster with his name is exhibited in the meeting, then the meeting expense will be added to his account If any attendant, Security Guard, Medical attendant or any person including any member of the party not being a candidate in the constituency and not playing any role in election campaign for the candidate

PUBLIC MEETINGS/RALLIES Format for applying for permission to hold public meeting/ rally is given PUBLIC MEETINGS/RALLIES Format for applying for permission to hold public meeting/ rally is given in Annexure-16 Candidate has to mention date time, duration and location of such meeting/rally alongwith expenditure plan for obtaining due permission This is necessary for maintenance of law and order and proper video recording of events.

RALLY EXPENSES All public rallies and Public meetings (even before notification and after announcement) RALLY EXPENSES All public rallies and Public meetings (even before notification and after announcement) to be videographed Rally expense for filing nomination to be included Public who attend the rally in their own vehicle without receiving any payment or without any flag, banner or photo of candidate not to be included Commercial vehicles used for rally to be included in expense Notional cost of fuel and driver salary of one Personal vehicle used by the candidate to be added (Notional cost of hiring in case of more than one personal vehicle used) One vehicle of district level party officer ( Not being the candidate) exempted

PRINTING PAMPHLETS, BANNERS AND POSTERS The print and electronic media, cable network and FM PRINTING PAMPHLETS, BANNERS AND POSTERS The print and electronic media, cable network and FM radio will be closely monitored Prior approval of CEO before any broadcast or telecast Press or publisher’s name and address, number of copies and amount charged to be mentioned in all printed material including media advertisements and sent to DEO immediately Advertisement in Print media to be covered under section 127 A of RP Act, 1951 (copy of the printed material and declaration from the publisher to be sent by the printer to CEO or DEO)

MONITORING OF VEHICLES Candidates to submit before the RO details of vehicles proposed to MONITORING OF VEHICLES Candidates to submit before the RO details of vehicles proposed to be used and obtain permission in writing Permission letter to be displayed on the wind screen of vehicle Permission given to a particular candidate being used by another, vehicle to be seized and exp. For entire period to be added

OTHER INSTRUCTIONS: If candidate attends a community kitchen, during election campaign, (other than those OTHER INSTRUCTIONS: If candidate attends a community kitchen, during election campaign, (other than those organized by religious communities and normal ceremonies like marriage etc, ) the entire expenditure will be added as his election expenditure, If the vehicle permitted to any independent candidate or any other candidate is found carrying campaign material of another candidate or being used for campaign for any other candidate, the entire expenditure on the vehicle from the date of permission will be added to the candidate using it for his campaign and permission will be withdrawn

MONITORING PRODUCTION, STORAGE AND DISTRIBUTION OF LIQUOR From the date of announcement of election, MONITORING PRODUCTION, STORAGE AND DISTRIBUTION OF LIQUOR From the date of announcement of election, the production, off-take, stock limits of stockists and retailers of IMFL/Beer/country liquor are to be monitored district wise, Opening and closing of liquor vending shops are to closely monitored, Intensive vigil over inter state movement of vehicles at RTO check-posts and border check-posts by special enforcement staff of Excise Deptt. , To conduct raids to seize illicit liquor, Inter state coordination of Excise Commissioners of the bordering states, District level Nodal Officer to submit report every alternate day to DEO, Exp. Observer and State Level Nodal Officer, who will compile the state level report to Commission and CEO (Annex. 22).

Other Monitoring Measures The bookings of marriage halls and Mandaps to be monitored, Distribution Other Monitoring Measures The bookings of marriage halls and Mandaps to be monitored, Distribution of gift items and cash coupons to be closely monitored, Unusual cash deposit/ withdrawal in account of SHGs and NGOs, Disbursal of wages under ongoing Government schemes only in presence of Government officials during elections.

LODGING OF ACCOUNTS OF ELECTION EXPENSES: Candidates are required to lodge their accounts of LODGING OF ACCOUNTS OF ELECTION EXPENSES: Candidates are required to lodge their accounts of election expenses with the DEO within 30 days of declaration of result along with the register of election expenses (U/s. 78 of the RP Act, 1951) Documents required to be filed: 1. Part I to Part VI of Abstract statement signed by the candidate , 2. Certified Copy of Bank statement , 3. Affidavit signed by the candidate 4. Register of Day-to-day Accounts with all bills and vouchers in original duly signed, 5. Copies of expenditure related notices issued by RO and replies to such notices, 6. Replies to discrepancies pointed out at the time of Inspection,

AFFIDAVIT OF ASSET AND LIABILITY To file Affidavit of Asset and Liability along with AFFIDAVIT OF ASSET AND LIABILITY To file Affidavit of Asset and Liability along with nomination of self, spouse and dependant children as per revised format, Affidavit to contain: I. Actual value and cost of addition to Immovable assets along with Market value, II. Bank Deposits and Shares, III. Actual liabilities including Govt. dues and disputed liabilities IV. PAN of self, spouse and children and Income Tax paid as per last return, V. Cases pending and Conviction Orders obtained Affidavit are to be scanned and uploaded to web site of CEO within 24 hrs of receiving.

NOT LODGING ACCOUNT IN MANNER Election Expenditure Register comprising of Day to Day Account NOT LODGING ACCOUNT IN MANNER Election Expenditure Register comprising of Day to Day Account Register + Cash Register+ Bank Register + Abstract Statement (Part I to Part VI) + Bills and Vouchers (serially numbered) if not lodged with the DEO office, o Abstract Statement ( Part I to Part VI ) as well as Affidavit annexed with it not signed by the candidate himself. (both these should be singed by the candidate himself). o

NOT LODGING ACCOUNT IN MANNER o Bills and vouchers are not signed by the NOT LODGING ACCOUNT IN MANNER o Bills and vouchers are not signed by the candidate or his election agent, o In case of discrepancy on any item of expenditure, pointed out by RO/Expenditure Observer/designated officer during inspection of register, the explanation along with reason for the discrepancy on such items not enclosed, o Self certified copy of the bank statement not submitted, o Any amount not correctly reflected by the candidate or understatement of any amount of expenditure.

DEO’S SCRUTINY REPORT : ( ANNEX-21) At Sl. no. 8, prescribed format: - whether DEO’S SCRUTINY REPORT : ( ANNEX-21) At Sl. no. 8, prescribed format: - whether candidate has submitted his Expenditure Register ( Part A, B, C), Abstract Statement (Part I to VI) along with Affidavit sworn by candidate before Magistrate of first class or Oath Commissioner or Notary Public, vouchers of expenses singed by candidate/Agent, Self certified copies of the Bank Account, Sl. no. 10(a) of DEO`s Report: - The most important column which may cause the issue of Notice for disqualification to candidate- by the Commission. DEO has to mention as to whether items of expenses reported by candidate tally with those shown in Shadow Observation Register. If there is understatement or candidate has not mentioned any expenses then it has to be shown in relevant columns of 10(b) with proper evidences collected by various teams on Expenditure Monitoring kept with the DEO.

To file Affidavit of Asset and Liability of self, spouse and dependent children as To file Affidavit of Asset and Liability of self, spouse and dependent children as per revised format along with nominatio n Revised Affidavit to contain: Actual value and cost of addition to Immovabl e assets along with Market value Bank Deposit and Shares Actual liabiliti es includin g Govt. dues and disputed liabilitie s Learning Module of DEO PAN of self, spouse and childre n and Income Tax paid as per last return 80 Cases pending and cases of Convicti on Orders

AFFIDAVITS OF ASSETS AND LIABILITIES ETC. The 81 DEO/RO must get a scanned copy AFFIDAVITS OF ASSETS AND LIABILITIES ETC. The 81 DEO/RO must get a scanned copy of such affidavits filed by the candidates uploaded on the website preferably within 24 hrs. of receipt. Lea rnin g Mod ule of DEO

DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) • District Expenditure Monitoring Committee (DEMC)refer latest Order of DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) • District Expenditure Monitoring Committee (DEMC)refer latest Order of ECI on Election Expenditure dt: 14. 03. 13 put on the website, • If expenditure incurred/authorised by a candidate not shown in part /whole in his day to day accounts, RO issues a notice along with the evidence to him preferably within 24 hours of the date of receipt of information or inspection of accounts mentioning details of expenses, not shown truly/ correctly or that he failed to produce his account. Issue of notice on ‘Paid News’ as per the recommendation of the MCMC shall not be covered in this notice. • Such candidate may reply to the notice within 48 hours, explaining the reasons for such omission or default. If candidate accepts the suppressed expense mentioned in the notice, the same shall be added to his election expenses. • If candidate fails to produce his day to day account for inspection, in spite of the notice, and failure continues, then FIR is to filed under section 171 (I) of IPC, after 48 hours of service of such notice and the permission for use of vehicles etc. by the candidate for election campaign shall be withdrawn. 82

DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) Where no reply is submitted by candidate / his DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) Where no reply is submitted by candidate / his election agent within 48 hours of receipt of the notice, then suppressed amount shall be treated as final and shall be added to his election expenses. If candidate / his election agent disputes the suppressed expenditure, he shall submit the reply mentioning the reasons for disagreement and the same shall be forwarded to the District Expenditure Monitoring Committee (DEMC) consisting of the following: (a)Expenditure Observer in charge of the Constituency (b)DEO (c) Dy. DEO/Officer in charge of Expenditure Monitoring of the District. The DEMC shall decide the case after examining the evidence mentioned in the notice and reply of the candidate, preferably within 72 hours from the date of receipt of the reply from the candidate, Lea whether such suppressed expenditure shall be added or not rnin After the order by DEMC, the DEO may consider to include such g Mod expenses in the account of such candidate while sending the scrutiny ule report of the candidate to the Commission after election. of 83 DEO

DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) 84 If any item of expenditure authorized/ incurred by DISTRICT EXPENDITURE MONITORING COMMITTEE (DEMC) 84 If any item of expenditure authorized/ incurred by the candidate / his agent after the last date of inspection of his account is not shown correctly in his account submitted within 30 days of declaration of result, as recorded in the Shadow Observation Register, a notice is issued/ served on the candidate/ his agent by DEO within 24 hours. The candidate shall submit his reply to DEO within 48 hours of the receipt of such notice explaining his position. If candidate does not submit any reply on the suppressed amount of election expense or disagrees with such suppressed amount, the DEO, in consultation with the Expenditure Observer, shall decide the case after considering such reply and intimate his decision to the candidate/agent and also mention the same in his scrutiny report submitted to the Commission. The notice, the reply by the candidate to the notice and decision of the DEO shall be displayed on the Notice Board. Lea If candidate does not file his statement of election expenses rnin without any valid reasons within the stipulated period of 30 days g from the day of declaration of result, then the DEO shall send Mod the report to the Commission mentioning such default with ule his of recommendation. DEO

SOP: CHECKING OF HELICOPTERS/ AIRCRAFT The Bureau of Civil Aviation Authority Instruction vide its SOP: CHECKING OF HELICOPTERS/ AIRCRAFT The Bureau of Civil Aviation Authority Instruction vide its OM dt. 14. 02. 12 During election process proper frisking and preembarkation, checking of all persons, screening/ phy. Checking of baggage to be done, CISF to inform the Income Tax dept. if cash above 10 lacs/ bullion is detected in poll bound states, No prior permission for landing/ takeoff at commercial airports from DEO. But ATC to keep records of all such pvt. Aircrafts/ helicopters and make available such info. To the CEO within 3 days of landing or takeoff. The CEO to share this info. With EO for accounting purpose. 85

SOP: CHECKING OF HELICOPTERS/ AIRCRAFT For airstrips not used for commercial purposes applications to SOP: CHECKING OF HELICOPTERS/ AIRCRAFT For airstrips not used for commercial purposes applications to be made to the DEO concerned 24 hrs in advance by candidate or pol. Party, Every candidate shall inform the RO concerned in writing, regarding the details of expenditure incurred on hiring such crafts and name of pol. Party if party has borne the expenses Pol. Parties to inform the ECI in 75 days (for AC) and in 90 days ( for PC) after completion of poll, details of expenses borne on such hiring of crafts. 86

ROLE ASSIGNED TO: INCOME TAX DEPARTMENT To gather intelligence/ keep watch over movement of ROLE ASSIGNED TO: INCOME TAX DEPARTMENT To gather intelligence/ keep watch over movement of cash in the constituency and take necessary action under IT Laws To watch all airports of the state, major railway stations, hotels, farm houses, hawala agents, financial brokers, Cash couriers, Pawn brokers IT Deptt. will open Air Intelligence Units in all airports of the poll bound states and also shall keep vigil over movement of cash through aircrafts/ helicopters leading to poll bound states,

TRY THIS Expenditure will never exceed the ceiling limit ! He will know how TRY THIS Expenditure will never exceed the ceiling limit ! He will know how to balance earnings & expenditure!

TELEFAX NO. / E-MAIL ID FOR REPORTING Sh. Avinash Kumar, Under Secretary (EE Div. TELEFAX NO. / E-MAIL ID FOR REPORTING Sh. Avinash Kumar, Under Secretary (EE Div. ) - Tel: 011 23052055, 9868911976 avinash. [email protected] gov. in. Sh. Malay Mallick, Under Secretary (EE Div. ) - Tel: 011 23052058, 9868113451 malay. [email protected] gov. in. Address- Nirvachan Sadan, Ashoka Road, New Delhi-01 Sh. S. K. Rudola, Secretary , Fax: 011 - 23052049, 9013308437 (e-mail: [email protected] gov. in) Sh. B. B. Garg, Jt. Director, Fax: 011 - 23052003, 08130920555 (e-mail: [email protected] gov. in) In case of urgency: Sh. P. K. Dash, DG (Exp. ) Tel. 011 23356025, Fax: 01123318506, 09868301742 e-mail: prasana. [email protected] gov. in

धनयव द ! THANKS 90 धनयव द ! THANKS 90