slide1 n.
Download
Skip this Video
Loading SlideShow in 5 Seconds..
Division I Enforcement: Conducting a Campus Investigation PowerPoint Presentation
Download Presentation
Division I Enforcement: Conducting a Campus Investigation

Loading in 2 Seconds...

play fullscreen
1 / 30

Division I Enforcement: Conducting a Campus Investigation - PowerPoint PPT Presentation


  • 92 Views
  • Uploaded on

Division I Enforcement: Conducting a Campus Investigation. 2012 Regional Rules Seminars. Session Overview Purpose:

loader
I am the owner, or an agent authorized to act on behalf of the owner, of the copyrighted work described.
capcha
Download Presentation

Division I Enforcement: Conducting a Campus Investigation


An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.


- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript
slide1

Division I Enforcement:

Conducting a Campus

Investigation

2012 Regional Rules Seminars

slide2

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

slide3

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.
slide4

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.
slide5

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.
slide6

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]
slide7

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.
slide9

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.
slide10

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.
slide11

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.
slide12

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.
slide13

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
slide14

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
slide15

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].
slide16

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.
slide17

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
slide19

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.
slide20

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).
slide21

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.
slide22

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.
slide23

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.
slide24

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.
slide25

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.
slide26

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.
slide27

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.
slide28

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.
slide29

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. 
slide30

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?