Final SOP Preliminary Enquiry - NCL 2023

Preface
The Bharatiya Nagarik Suraksha Sanhita (BNSS), 2023, establishes a

robust framework for the conduct of preliminary inquiries, ensuring that
investigations are initiated with diligence, transparency, and respect for
the rights of all involved parties. This Standard Operating Procedure
(SOP) has been developed to provide clear and comprehensive
guidelines for police officers and relevant personnel as per the BNSS,
2023.
The SOP underscores the importance of obtaining prior approval from

senior officers, maintaining meticulous records, and adhering to strict
timelines, thereby fostering a culture of accountability and efficiency
within the police force.
The BNSS, 2023, signifies a progression from previous legal guidelines,

including the landmark Lalita Kumari judgment, by broadening the scope
and stipulating detailed procedures for preliminary inquiries. It mandates
that such inquiries must be completed within fourteen days, with the
requirement of prior permission from a Deputy Superintendent of Police,
thereby enhancing monitoring and accountability.
Through rigorous adherence to this SOP, the police force can ensure
that all preliminary inquiries are conducted with the highest standards of
professionalism, integrity, and respect for legal protocols.
This SOP is a suggested guideline which is being shared for use of

police and enforcement units in states and central organizations, but the
states and central police organisations can build upon this basic
structure depending upon their peculiar needs and needs of special Acts
hinging on these procedural laws.
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Standard Operating Procedure (SOP) for Preliminary Enquiry Under
the Bharatiya Nagarik Suraksha Sanhita (BNSS), 2023
1. Objective
To provide guidelines for conducting preliminary inquiries as per Section

173(3) of the Bharatiya Nagarik Suraksha Sanhita (BNSS), 2023. This
SOP aims to ensure that all inquiries are carried out efficiently, lawfully,
and in a manner that upholds the rights of all parties involved.
2. Scope
This SOP applies to all police officers and relevant personnel involved in
the registration and investigation of FIRs as per BNSS, 2023.
3. Definitions
• Zero-FIR: An FIR that can be lodged at any police station

irrespective of the location of the incident.
• e-FIR: An FIR registered electronically, with the informant's

signature to be taken within three days.
• Preliminary Enquiry: An initial investigation to ascertain whether

there exists prima facie case for offences punishable for three
years or more but less than seven years of imprisonment for
proceeding with a full investigation.
4. Procedure
Approval for Enquiry:
o Obtain prior permission from an officer not below the rank of

Deputy Superintendent of Police (DySP).
o Evaluate the nature and gravity of the offence to determine

the necessity of a preliminary enquiry.
Conducting the Enquiry:
o Carry out the preliminary enquiry within fourteen (14) days to

ascertain if there is a prima facie case.
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o Document all findings and evidence gathered during the
enquiry.
Decision Post Enquiry:
o If a prima facie case exists, proceed with the full investigation

immediately.
o If no prima facie case is found, document the findings and

close the enquiry with a report to the approval authority.
o Communicate the findings of the enquiry to the complainant.
5. Reporting and Documentation
Maintain Records:
o Ensure all steps taken during the preliminary enquiry are

thoroughly documented.
o Keep records of all permissions, findings, and decisions

related to the enquiry.
Regular Reporting:
o Submit regular reports to supervisory officers on the status of

preliminary enquiries.
o Update the relevant records and databases with information

from the enquiry.
6. Responsibilities
• Officer in Charge of Police Station:

o Maintain a register of preliminary enquiries in the format
prescribed by the Director General of Police.
o Record the gist of the information in the general diary and

the details in the preliminary enquiry register, pro-forma of
which will be prescribed by the Director General of Police.
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o Obtain permission in writing from the jurisdictional Deputy
Superintendent of Police to conduct a preliminary enquiry,
recording the reasons why a preliminary enquiry needs to be
conducted.
o If the preliminary enquiry is not completed within fourteen
days, immediately proceed with FIR registration.
o Ensure compliance with this SOP during the registration and

enquiry process.
o Provide necessary support and resources for the effective

implementation of this SOP.
• Deputy Superintendent of Police:

o Maintain a register of preliminary inquiries in the format
prescribed by the Director General of Police.
o Grant permissions in writing within 24 hours of receiving the

request from the Officer in Charge. If permission is denied or
not granted or decision is not duly communicated by the
approving authority within the timeframe, the Officer In
Charge will proceed with the registration of the FIR.
o If the preliminary enquiry is not completed within fourteen

days, show-cause the enquiry officer. If the reply is not
satisfactory, initiate departmental action.
• Superintendent of Police:
o Review preliminary enquiries conducted in his jurisdiction

during the monthly crime review meeting and take corrective
measures, if any.
The provisions for preliminary enquiries under the BNSS, 2023,

represent an evolution from the guidelines set forth in the Lalita Kumari
judgment. While the Lalita Kumari judgment mandated that FIRs must
be registered, if the information discloses a cognizable offence and
allowed preliminary enquiries only to determine if a cognizable offence is
revealed, the BNSS, 2023, expands this scope.
Under BNSS, preliminary enquiries are conducted to ascertain if there is

a prima facie case for offences punishable with three years or more but
less than seven years of imprisonment. Unlike the Lalita Kumari
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guidelines, which specify categories like matrimonial disputes,
commercial offences, and medical negligence, BNSS applies broadly to
all relevant offences within the defined punishment range.
BNSS also introduces a specific fourteen-day period for completing

enquiries. Furthermore, BNSS requires prior permission from an officer
not below the rank of Deputy Superintendent of Police, ensuring greater
oversight and accountability, which was not stipulated by the Lalita
Kumari judgment.
The Apex Court in Lalita Kumari Judgment also directed that “in cases
where preliminary enquiry ends in closing the complaint, a copy of the
entry of such closure must be supplied to the first informant forthwith and
not later than one week. It must disclose reasons in brief for closing the
complaint and not proceeding further”.
Concerned stakeholders should note that certain sections mentioned in

Section 199(c) of the Bharatiya Nayaya Sanhita (BNS) fall under the
punishable range mentioned in section 173(3) of the BNSS 2023, of
three years or more but less than seven years. It is important to
remember that the option for a preliminary enquiry is not available for
these offences mentioned in Sec 199(c). According to Section 199(c) of
the Bharatiya Nayaya Sanhita (BNS), "any officer who fails to record
any information given to him under sub-section (1) of section 173
of the Bharatiya Nagarik Suraksha Sanhita, 2023 in relation to
cognizable offence punishable under section 64, section 65,
section 66, section 67, section 68, section 70, section 71, section
74, section 76, section 77, section 79, section 124, section 143 or
section 144, shall be punished with rigorous imprisonment for a
term which shall not be less than six months but which may extend
to two years, and shall also be liable to fine."
Similarly, the Scheduled Castes and the Scheduled Tribes (Prevention

of Atrocities) Act, 1989, cannot be legally covered by this provision;
therefore, the FIR should be registered without any preliminary enquiry,
whatsoever.
*****
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Final SOP Preliminary Enquiry - NCL 2023

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Final SOP Preliminary Enquiry - NCL 2023

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Preface

The Bharatiya Nagarik Suraksha Sanhita (BNSS), 2023, establishes a

The SOP underscores the importance of obtaining prior approval from

The BNSS, 2023, signifies a progression from previous legal guidelines,

This SOP is a suggested guideline which is being shared for use of

To provide guidelines for conducting preliminary inquiries as per Section

• Zero-FIR: An FIR that can be lodged at any police station

• e-FIR: An FIR registered electronically, with the informant's

• Preliminary Enquiry: An initial investigation to ascertain whether

Approval for Enquiry:

o Obtain prior permission from an officer not below the rank of

o Evaluate the nature and gravity of the offence to determine

Conducting the Enquiry:

o Carry out the preliminary enquiry within fourteen (14) days to

Decision Post Enquiry:

o If a prima facie case exists, proceed with the full investigation

o If no prima facie case is found, document the findings and

o Communicate the findings of the enquiry to the complainant.

5. Reporting and Documentation

o Ensure all steps taken during the preliminary enquiry are

o Keep records of all permissions, findings, and decisions

o Submit regular reports to supervisory officers on the status of

o Update the relevant records and databases with information

• Officer in Charge of Police Station:

o Record the gist of the information in the general diary and

o Ensure compliance with this SOP during the registration and

o Provide necessary support and resources for the effective

• Deputy Superintendent of Police:

o Grant permissions in writing within 24 hours of receiving the

o If the preliminary enquiry is not completed within fourteen

o Review preliminary enquiries conducted in his jurisdiction

The provisions for preliminary enquiries under the BNSS, 2023,

Under BNSS, preliminary enquiries are conducted to ascertain if there is

BNSS also introduces a specific fourteen-day period for completing

Concerned stakeholders should note that certain sections mentioned in

Similarly, the Scheduled Castes and the Scheduled Tribes (Prevention

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