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INVESTIGATION REPORT

Branch :

Name of Investigating Official / Grade :

Authority ordering investigation & date :

Investigation report in term of letter No…….


Dated ………………….. addressed to me by ………………………………

(A copy of the letter as well as complaint letter, if any enclosed as


Annexure I)

Date of Investigation Report :-

Introduction :

Source / Reference :
(How the matter surfaced ) :

(i) Complaint : ( copy enclosed )

Name of complainant :

Name of the official/ employee complained against :

Date of receipt of complaint :

Period/ date of occurrence :

(ii) Date of detection by Investigation/Audit/Inspection :


(extract enclosed )

Amount involved :

Amount of loss anticipated :

(iii) Fraud folder No.:

(iv) Police /CBI FIR No.:

(v) Any other reference which has relevance to this case:

(vi) Other remarks, if any :

1
1. Name of the Branch (es) visited
2 Dates of visit
3 (a) Terms of reference and allegations made :

(b) Description of events/ transaction (in case of fraud


furnish modus operandi)

(c ) In case of advance accounts (please furnish findings on


pre- sanction, appraisal, sanction, documentation,
collateral
security, disbursement, post disbursal follow-up, date of
NPA
and on follow-up of NPA accounts.

4. Particulars of evidences/ witnesses (statements of


witnesses/
complainants to be enclosed as Annexure)

5. Versions/ statements of officers/ employees against who


prima
facie lapses are found (statements to be enclosed as
Annexure).

6. Examination of evidences/ witnesses statements and


versions/
statements of officials/ employees (to be done for each
official/
employees separately).

7. Allegations considered substantiated/ not substantiated


together
with reasons/ arguments (this can be integrated with item
No. 6,
if necessary.

8. Monetary loss expected arrived at (as far as possible, loss


attributable to each individual official/ employee to be
indicated)

9. Tabular statement containing lapses of Officer/ employee


wise :

Name

2
Sr. Lapses/ irregularities Documentary/ Explanation/ Remarks
No observed Oral evidence Version of the
Official/
employee

10. Any peculiar/ extenuating circumstances/ prevailing at the


Branch/ Office.

Certificates :
1) I confirm that all officers/employees listed in the
(relevant) Annexure, against whom lapses have been
observed, have explained their version of the
events/transactions and their statements have been
obtained. I also confirm that all relevant original
records were shown to the officials / employees and
they have certified accordingly in their
statement/version.

2) I confirm that all original documents listed in


the (relevant) Annexure are held in the personal
custody of the Branch Manager and the list of
documents has been entered in the Branch
Documents Register.

Investigating
Officer

Date:
Name :

Grade :

Assignment held :

Place of Posting :

3
Annexures : (To the investigation Report)

Particulars of staff involved


Sr Official/ Scale PF Index Designatio DOB
No Employee number n
name

Lapses / Allegations prima facie substantiated (in brief) (Officer/


employee wise)

2. List of evidences/ document/witnesses :

A.

Document/s Particulars of Documents/ Relevance of the


Serial No. evidences documents, and / or
Allegation/ event
which would stand
established

B.

Sr. Name /Designation/ Address Relevance of


No. Of witness witnesses/ Nature
Of his deposition
(in brief)

3. List of statements/ versions, along with statement/ versions


in original

4
Sr Statement/ version Designation
No made by

BIO- DATA (as on …………………)

(in respect of each official/ employee interrogated by the


Investigating Officer)

1. Name in full ( in block letters)

2. Date of joining the Bank and designation


(at the time of appointment in the Bank)
3 Present Grade/ Designation

4. Places of postings (since date of appointment


in the Bank ) as shown in (2) above
5 Post held at the time of irregularity & since

Name of the Branch Period of posting Nature of work/


(month & year duties
approx.) performed

6. Whether earlier, at any time in the past,


interrogated in connection with any
complaint/allegation/transaction or
event with which associated/ dealt with
(Brief description with name of the Branch
to which the matter pertained)

I certify that the above information/particulars have been


furnished by me on to Shri
Grade…………….. in the course of investigation relating
to…………………….. and these are correct to the best of my
knowledge.

Signature.

Name :

Grade :

5
Assignment held :

Place of Posting

Date :

SPECIMEN FORMAT OF INTERROGATION

State Bank of India,


……………… Branch,
Camp Office,
Shri …………………..

………………………………..

Dear Sir,

INVESTIGATION

I have been instructed by the appropriate authority to conduct


investigation into a case where it has been revealed from the
relevant records that you were associated with the same. In
order to bring out facts of the case, I have considered it
necessary to seek from you, your comments, replies and
clarifications on the connected matters, and therefore I
request you to furnish your comments/ clarification/ replies on
the under-noted questions/ matter being put by me to you.

Yours faithfully,

Date………………………
.

(Name &
Designation)

Camp…………….. (Name of Branch)

1. Nature of records shown should be indicated here by


recording here as (so and so record/circular etc.) shown
Replies/comments/clarification.

2.

I have been shown all the records/books referred to on pages


……… above before giving my comments/ replies on each of
these, as above.

6
Date
Signature and date
(Member of staff or
Public)