101. Knowledge Spectrum – Discipline - PRELIMINARY INVESTIGATION 17
42.. What attributes will make a successful preliminary investigation officer?
(a) Knowledge – of not only the rules and regulations but also practices and procedures pertaining to the organization and prevailing at the relevant point of time. For example, if the office copy of the document is not available in the file, the preliminary investigation officer should know that it was customary for the copies of such letters to be endorsed to certain subordinate organizations or place copies in certain folders. An officer with the knowledge of the practices and procedures will manage to get copy of the letter from such sources as well.
(b) Imagination – the preliminary investigation officer has to visualize where from the relevant information relating to the transaction is likely to be available and who all are likely to know about it. For example, if there is some suspicion about the family details of the employee, the preliminary investigation officer should visualize that such details may be available in the attestation form, GPF advance applications, children education allowance applications, LTC claims, medical reimbursement claims, nomination forms, etc.
(c) Tenacity – tenacity is the quality of possessing “never-say-die” spirit. While conducting preliminary investigation, the officer may come across several dead ends. He/she takes a clue and proceeds. After some progress, it may abruptly end without giving any definite conclusion. Preliminary investigation officer will have to pursue another thread. Even if this ends abruptly, the officer must pursue yet another clue.
(d) Eye for details – “Look for the abnormal” is the catch phrase for the preliminary investigation officer.
44. What are the components of the report of the preliminary investigation?
(a) Introduction: [e.g.: The undersigned was directed vide order No. ....... Dated .... of ..... to carry out preliminary investigation of the alleged irregularities listed in the inspection report no. ,.....dated .... of the ..... regarding ......]
(b) Gist of the allegations: [e.g.: Prima facie it appeared from the inspection report that there was mismatch between the physical delivery of goods and the entry in the records. It seemed that the above discrepancy was attributable to the connivance and active participation of some of the officers of the material division....]
(c) Points needing proof: [e.g.: The investigation was required to establish whether there was any manipulation of marks in the recruitment test held during Jul 2010 and who were responsible for the manipulation]
(d) Gist of action taken by the preliminary investigation officer: [preliminary investigation officer was required to obtain documents and talk to officials of ...... office. This was arranged with the kind help of Shri xxx CVO of .... As the allegations pertained to availing of subsidy without actually cultivating the crops for which it was granted, there was a need for site inspection also. The investigation officer carried out site inspection at ...... on .......]
(e) Evidence collected: [preliminary investigation officer collected 58 documents as listed in the Annexure A to this report and talked to the 17 persons listed in Annexure B. out of the above, the documents listed at S. No. 25 to 33 were obtained from ......... Oral witnesses at S. No. 9 to 12 are employees of ..... who were contacted through the kind intervention of Shri .... CVO ....]
(f) Evaluation of evidence:[ this is the heart and soul of the report]
(g) Whether the Suspected Public Servant was contacted? If so what is his version?
(h) Evidence controverting the version of the Suspected public servant
(i) Conclusion.
45. What is time limit for completion of preliminary investigation?
CVC expects preliminary investigation to be completed within three months
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