Powerpoint Templates NCAA Enforcement Page 1 Division I Enforcement: Conducting a Campus Investigation 2012 Regional Rules Seminars

Powerpoint Templates NCAA Enforcement Page 2 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

Powerpoint Templates NCAA Enforcement Page 3 Defining a Secondary Violation Secondary (NCAA Bylaw ) –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.

Powerpoint Templates NCAA Enforcement Page 4 Defining Major Violations Major (Bylaw ) All violations, other than secondary violations, specifically those that provide an extensive recruiting or competitive advantage.

Powerpoint Templates NCAA Enforcement Page 5 Cooperative Principle (Bylaw ) 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.

Powerpoint Templates NCAA Enforcement Page 6 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 [ ] Refusal to furnish information [10.1-(a)] Responsibility to cooperate [ ] Responsibility to cooperate [ ]

Powerpoint Templates NCAA Enforcement Page 7 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.

Powerpoint Templates NCAA Enforcement Page 8 Methods

Powerpoint Templates NCAA Enforcement Page 9 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.

Powerpoint Templates NCAA Enforcement Page 10 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.

Powerpoint Templates NCAA Enforcement Page 11 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.

Powerpoint Templates NCAA Enforcement Page 12 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 & 10.1] and ramifications for not being truthful [Bylaws 10.4]. Opportunity for legal counsel.

Powerpoint Templates NCAA Enforcement Page 13 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

Powerpoint Templates NCAA Enforcement Page 14 Gathering Information: Documents Possible documents/information to be reviewed: Vehicle Information Computer Records: Hard drives Social Media:Twitter/Facebook Academic Documents:Transcripts SAT/ACT information

Powerpoint Templates NCAA Enforcement Page 15 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 ].

Powerpoint Templates NCAA Enforcement Page 16 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.

Powerpoint Templates NCAA Enforcement Page 17 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

Powerpoint Templates NCAA Enforcement Page 18 Strategies

Powerpoint Templates NCAA Enforcement Page 19 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.

Powerpoint Templates NCAA Enforcement Page 20 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).

Powerpoint Templates NCAA Enforcement Page 21 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.

Powerpoint Templates NCAA Enforcement Page 22 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.

Powerpoint Templates NCAA Enforcement Page 23 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.

Powerpoint Templates NCAA Enforcement Page 24 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.

Powerpoint Templates NCAA Enforcement Page 25 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.

Powerpoint Templates NCAA Enforcement Page 26 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.

Powerpoint Templates NCAA Enforcement Page 27 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.

Powerpoint Templates NCAA Enforcement Page 28 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.

Powerpoint Templates NCAA Enforcement Page 29 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.

Powerpoint Templates NCAA Enforcement Page 30 Conclusion If you need help or advice:  Contact the enforcement staff.  Contact the conference office.  Website ( - links to enforcement information and databases. Questions?