**PCIE/ECIE Peer Review**

**Individual Closed Case Review Checklist**

**[PURPOSE]{.underline}**: Appendix D1 is based on the Quality Standards
for Investigations, adopted by the PCIE and ECIE in December 2003. The
Quality Standards contain three general standards (Qualifications,
Independence, and Due Professional Care) and four qualitative standards
(Planning, Execution, Reporting, and Information Management).

This checklist is used to review Closed Case Files in an effort to
determine the level of conformity with the standards adopted in the
PCIE/ECIE Quality Standards for Investigations. Complete one checklist
for each closed case reviewed. Enter a Y (Yes), N (No), or NA (Not
Applicable) for each of the 31 items on this checklist. Enter comments
as applicable. The results of these checklists will be summarized in the
*PCIE/ECIE Peer Review Case Review Summary Checklist* (Attachment D2)

  -------------- ----------------- -------------------- -------------------
  **OIG Being                      **Closed Case \#     
  Reviewed:**                      Being Reviewed:**    

  **Reviewing                      **Closed Case        
  OIG:**                           Office:**            

  **Date of Case                   **Reviewer:**        
  Review:**                                             
  -------------- ----------------- -------------------- -------------------

  ----------------------------------------- -------------------------- ----------------------------
  **A. DUE PROFESSIONAL CARE**                                         

  **[Criteria/Requirements]{.underline}**   **[Y/N/NA]{.underline}**   **[Comments]{.underline}**

  1\. Diligent, complete, & all appropriate                            
  criminal, civil, contractual, or                                     
  administrative remedies considered?                                  

  2\. Documentation that constitutional                                
  rights were respected and privacy of                                 
  those involved appropriately protected?                              

  3\. Appropriate investigative methods and                            
  techniques used?                                                     

  4\. Fair, impartial investigation with                               
  necessary perseverance?                                              

  5\. Unbiased, independent gathering and                              
  reporting of evidence?                                               

  6\. Findings/accomplishments supported by                            
  adequate documentation?                                              

  **B. PLANNING**                                                      

  7\. Case file established immediately                                
  upon the opening and assignment of an                                
  investigation?                                                       

  8\. Investigative plan contains info                                 
  deemed necessary by the *Quality                                     
  Standards for Investigations*?                                       

  9\. Investigative plan promptly prepared?                            

  **C. EXECUTION**                                                     

  10\. FBI notified appropriately?                                     

  11\. AUSA consulted appropriately?                                   

  12\. Contemporaneous interview notes                                 
  retained in case file until final                                    
  disposition if appropriate?                                          

  13\. Two investigators present during                                
  potentially hazardous or compromising                                
  interviews?                                                          

  14\. Were subjects' rights and waivers                               
  clearly documented when appropriate?                                 

  15\. Complies with organizational                                    
  policies/procedures for the                                          
  gathering/preservation/disposal of                                   
  evidence?                                                            

  16\. Witness confidentiality requests                                
  documented and properly considered?                                  
  ----------------------------------------- -------------------------- ----------------------------

  ---------------------------------------- -------------------------- ----------------------------
  **[Review Steps]{.underline}**           **[Y/N/NA]{.underline}**   **[Comments]{.underline}**

  17\. Investigative results documented in                            
  a timely, accurate, and complete manner?                            

  18\. Consensual monitoring conducted in                             
  accordance with the procedures                                      
  established by AG guidance?                                         

  19\. Grand Jury material properly                                   
  marked, securely stored, and properly                               
  disposed of?                                                        

  20\. Was this case subject to                                       
  appropriate periodic supervisory review?                            

  21\. Mail cover properly documented?                                

  22\. Did this investigation comply with                             
  AG Guidelines relating to Racketeering,                             
  Terrorism, Confidential Informants,                                 
  Undercover Operations, Court-Ordered                                
  Electronic Surveillance, Especially                                 
  Sensitive Targets, and Consensual                                   
  Monitoring in Certain Situations?                                   

  **D. REPORTING**                                                    

  23\. All relevant aspects of                                        
  investigation were addressed, and                                   
  reports were accurate, clear, complete,                             
  concise, logically organized, timely,                               
  and objective?                                                      

  24\. Was exculpatory evidence and                                   
  relevant mitigating information properly                            
  disclosed to the prosecutor in                                      
  administrative, criminal, or civil                                  
  investigation?                                                      

  25\. Is all investigative activity, both                            
  exculpatory and incriminating, in the                               
  official case file?                                                 

  26\. Statements made in reports                                     
  supported with documentation?                                       

  27\. Evidence outlined in reports                                   
  supported by documentation in the case                              
  file?                                                               

  28\. Is prosecutive report free of                                  
  opinions, personal views, and                                       
  unsubstantiated assessments,                                        
  conclusions, observations, or                                       
  recommendations?                                                    

  29\. Case file organized according to                               
  agency's policies?                                                  

  30\. If applicable, were systemic                                   
  weaknesses identified during                                        
  investigation reported to agency                                    
  officials?                                                          

  **E. Comments (continued)**                                         

                                                                      
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