Division I Enforcement:
Conducting a Campus
Investigation
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2012
Regional
Rules Seminars
NCAA
Enforcement
Page 1
Session Overview
Purpose:
Discuss methods and strategies for investigating
NCAA rules violations on campus, including
suggestions for gathering documents, conducting
interviews and working with the enforcement staff.
Outline:
I. Introduction
A. Major versus Secondary
B. Cooperative Principle
II. Methods
III. Strategies
IV. Conclusion
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Defining a Secondary Violation
Secondary (NCAA Bylaw 19.02.2.1)
– Isolated or inadvertent in nature,
– Provides or is intended to provide only a minimal
recruiting, competitive or other advantage, and
– Does not include any significant recruiting
inducement or extra benefit.
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Defining Major Violations
Major (Bylaw 19.02.2.2)
All violations, other than secondary violations,
specifically those that provide an extensive
recruiting or competitive advantage.
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Cooperative Principle (Bylaw 32.1.4)
• Imposes an affirmative obligation to assist
enforcement staff in developing full information
to determine whether violation(s) occurred.
• Requires all individuals to protect the integrity of an
investigation and failure to do so may be a violation
of the principles of ethical conduct.
• In some instances, to protect the integrity of an
investigation, the enforcement staff may not be able
to share information with the institution.
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Cooperative Principle
Other Pertinent Principles and Bylaws:
Responsibility for control [2.1.1 and 2.1.2]
Principle of rules compliance [2.8.1]
General obligation of membership [3.2.4.1]
Refusal to furnish information [10.1-(a)]
Responsibility to cooperate [19.01.3]
Responsibility to cooperate [32.3.7.2]
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A Further Look at Cooperation
• Institutions are obligated to cooperate. The NCAA
Committee on Infractions (COI) will consider the degree of
the institution's cooperation.
• Parties are not to disseminate information among themselves
that might impede development.
• Failure to cooperate could result in an allegation of a violation
of the principles of ethical conduct and/or the cooperative
principle.
• The COI considers whether an institution's inquiry was
complete and thorough.
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Methods
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Rationale for Establishing a
Written Investigative Policy
• Promotes uniformity/ transparency.
• Provides for a timely and organized response to
potential violations.
• Lack of policy may lead to questions of institutional
control.
• COI may review institutional policy and protocol.
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Content of Investigative Policies
• Guidelines setting forth circumstances in which an inquiry is
conducted.
• Roles/responsibilities of administrators.
• Statement of confidentiality.
• Consequences for failing to report violations.
• Procedures for addressing, correcting and preventing
violations.
• Procedures for reporting violations, investigations and
sanctions.
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Gathering Information: Interviews
Recommendations for the Institutional Investigator:
• Identify individuals to be interviewed.
• Determine who should be present for each interview.
• Find a location for interviews that is comfortable,
disturbance free and has low visibility.
• Explain the purpose of the interview - determine
knowledge of or involvement in violations. Do not specify
the substance of the interview.
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Gathering Information: Interviews
Recommendations for the institutional investigator:
• Record each interview.
• State on the record, the name of the person interviewed,
date, time, location and individuals present.
• Review the obligation to tell the truth and be forthcoming
[Bylaws 10.01 & 10.1] and ramifications for not being
truthful [Bylaws 10.4].
• Opportunity for legal counsel.
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Gathering Information: Documents
• Use of releases.
• Possible documents/information to be reviewed:
Financial Records:
Bank Statements
Credit/Debit Cards
Western Union Transfers
Travel Records:
Air Travel
Hotel/Lodging
Phone Records:
Cell
Text
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Gathering Information: Documents
• Possible documents/information to be reviewed:
Vehicle Information
Computer Records:
Email
Hard drives
Social Media:
Twitter/Facebook
Academic Documents: Transcripts
SAT/ACT information
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Evaluating Information
• The administrator responsible for evaluating
information should be set forth in the institutional policy.
• Identify eligibility issues.
If any exist, contact Student-Athlete Reinstatement.
Institutional Responsibility [Bylaw 14.01.1].
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Notifying Enforcement
• Contact enforcement staff when guidance is needed.
• Staff may join the investigation or allow the institution
to continue inquiry on its own.
• Early contact may avoid duplicative efforts.
• Staff may have additional information regarding
potential violations.
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Content of the Investigative Report
• Purpose
• Case chronology
• General overview of findings
• Overview of the institutions investigation
• Specific findings
• Other possible violations
• Corrective actions
• Conclusions
• Appendix
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Strategies
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Determining Who to Interview
• Sources outside the institution.
Boosters
Business People
Parents
Prospects
High School Coaches
Former Student-Athletes
• Who can be trusted?
• Corroborating sources.
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Determining Who to Interview
Institutional Staff Members
• Who is an institutional staff member?
Coaches
Administrators
Academic Counselors
Tutors
Secretaries/Support Staff
Another Student-Athlete
Professors
• Be thorough (this can be difficult with campus personnel).
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Determining Who to Interview
Institutional Staff Members
• Identify who is potentially "at risk" for involvement in
the violations.
• Strategy discussions should not include potentially
"at risk" individuals.
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Order of Interviews
• Interview outside sources first.
• Conduct interviews in a timely fashion.
• Consider the sequence of interviews.
• Instruct individuals to not discuss information.
• Anticipate interviews will take longer than expected.
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Conducting the Interviews
• Prior to interview, collect supporting documents.
• Conduct the tough interview.
• Discuss previous collection of significant information
and the importance of being truthful.
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Interviewing Details
• Telephone or in-person?
At risk individuals: interview in-person.
If information is significant: interview in-person.
• Cold call or prearranged?
Suspect non-cooperation: cold call.
To avoid talking with other witnesses: cold call.
• Where to conduct interviews?
Controlled and private setting.
Accommodating off-campus individuals.
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Interview Techniques
Questioning and listening techniques.
Purpose of the interview is to gather information.
• Two types of information:
Investigative: Who, what, where, why, when,
how and who can corroborate.
Behavioral: Emotions, attitudes and non-verbal
responses.
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Effective Interviewing
• Ask open-ended questions.
The best information is a narrative response.
Interviewee should do the majority of the talking.
Begin questions with a verb or command word.
• Pause to elicit more information.
Avoid interruptions.
- Increases opportunity for obtaining more information.
- Silence is okay.
• Ask specific questions.
• Paraphrase responses to determine accuracy of the information.
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Suggestions for Interviewers
• Refrain from interruptions.
• Visual aids can be useful.
• Avoid offering advice, being judgmental or filling in
gaps.
• Good listeners are good interviewers.
• Calendars may prove to be useful to pinpoint
timeframes.
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Compliance Systems
• Make honest, candid assessments.
• Identify potential breakdowns.
• Determine the scope of violations.
• Implement meaningful corrective actions.
• Will help avoid future violations of the same kind,
promote earlier detection and avoid potential failure to
monitor and/or lack of institutional control charges.
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Conclusion
• Suggestions should help member institutions in
handling the "nuts and bolts" of conducting effective
investigations of potential major NCAA rules violations
on campuses.
• If a hearing before the COI is required, the committee
will take into consideration the thoroughness of the
institution's internal investigation.
• Don't take a chance by leaving investigation methods
and strategies (or lack of) open to criticism.
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Conclusion
• If you need help or advice:
Contact the enforcement staff.
Contact the conference office.
Website (www.ncaa.org) - links to enforcement
information and databases.
• Questions?
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