Elections, sweepstakes and awards: the importance of process audit

Every selection process raises doubts in concern to the origin of its impartiality. Even more so when the maintenance of a democratic act is involved in its equation, or campaigns in which the client can receive some kind of award. This is how the processes of election, sweepstakes and awards respectively are.

The success of a selection derives mostly from the effective participation of individuals who believe in the impartiality and just fulfillment of the process. Whether it is a vote or a lottery, it is certain that the organization and due care in maintaining the security measures must be carried out in order to promote the transparency of the precaution with the data.

To ensure that the process is properly legitimate and its results reliable, it is interesting that its administrators maintain transparency in compliance with the steps and mechanisms used in it. It is also necessary to be careful not to break any law when making promotions and awards. To ensure these legal and ethical aspects, it is advisable to hire the services of an auditor.

What is the role of the audit in the processes of election, sweepstakes and awards?

The audit of a process aims to ensure the adequacy of the data presented. This means that, consequently, there will be not only the verification of the timely certification of the process but also a greater credibility of the clients and users in relation to the campaign that the company or the institution is organizing.

The cases covered here relate to three major examples of the importance of user trust in process validation and, above all, the importance of the consulting and auditing service to avoid legal or administrative drafting problems and execution of the event itself.

The first on is the electoral process. A large event like this requires increased attention on the part its organization and guarantee of security and impartiality, so the people can relies on the mechanisms used to obtain his results. Examples of it are the General Elections, made through an electronic ballot box, and the specific elections of each class council, many of which occur via the Internet.

However, the audit may also represent, after the events themselves, an exit to ensure that, in the event that the process has not been transparent or there are doubts as to the appropriateness of its impartiality, it is possible to review the data and verify the information presented at the end.

Another example, by this bias, is the promotion campaigns, in which the customer can, after acquiring a product, compete for cash benefits or goods and services of the organizing company. There are also cases in which, instead of acquiring a product, the customer participates in a betting system in which he may or may not receive some value in the lottery. In both cases there is a need to comply with specific legislation and user trust in the process is paramount for its maintenance.

What is audited in an electoral process?

The electronic ballot box is the tool used to consult the population used in Brazil since 1996. Through its system, the collection and counting of votes is carried out, and there is a need to confirm the identity of the voter through the presentation of an official document with a photo, title of voters and, currently, the use of digital to expand the fight against electoral fraud.

In order to audit the results of an election, as well as the reliability of its process, several aspects are considered. According to the TSE, the content of the reports and minutes made in the electoral sections and the data present in the hashes, individual digital files of each ballot, can be audited.

The auditor may also check the results of an electoral process requesting the reprint of the ballot paper of each ballot box, from which it is possible to compare the results with the bulletins of the totalization system. In addition, the source code of the ballot boxes and the Digital Voting Register (RDV) are available for hearing.

Sweepstakes and awards: which entities are responsible?

In Brazil lotteries are managed by the State. The entity responsible for conducting the sweepstakes is the Caixa Econômica Federal (CEF) and is regulated by the Secretaria de Acompanhamento Fiscal, Energia e Loteria (SEFEL). There are lotteries of sports or numerical prognosis, instant lotteries and passive draws.

Other types of lotteries are also regulated by CEF and require that the company that carries out the event obtains express authorization to do so. Examples are the events in which the user participates in competitions in which there is interference of the premise of luck or bad luck in the final result of the prize.

Confidence and security in the process: audit of sweepstakes of Grupo Maciel

The Maciel Group has qualified auditors to carry out the verification of the lottery processes. Such confirmation of compliance with the norms is through the search for evidence that corroborates the finding that the items present in the campaign announcement were respected and that there was the execution of what was disclosed in the promotion.

The notable impact of having the Maciel Group audit service is the external verification that the institution’s campaign was considered adequate with respect to the required parameters. This gives seriousness to the process and the image of the campaign.

The Maciel Group usually participates in this type of audit, such as the Million Note Lottery of São Paulo, organized by municipality of São Paulo and Caixa Econômica Federal in August 2017.

Its auditors also carried out an external audit in the 2014 General Elections, being present at the headquarters of each Regional Electoral Court, participating in the parallel voting. This practice has the purpose of verifying compliance with the rules, issuing as final product a report of completion of the works.

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