2. HOW TO CONDUCT A CAMPUS INVESTIGATION NCAA Regional Rules Seminar Brynna Barnhart – Director of Enforcement (San Diego) Tom Hosty – Director of Enforcement (Indianapolis) Michael Sheridan – Associate Director of Enforcement (San Diego) Stephanie Swiger – Assistant Director of Enforcement (Indianapolis)

3. Session Overview Purpose:
Discuss strategies and methods institutions can use when investigating NCAA violations on campus.
Outline:
Creating an institutional investigative policy.
Launching an investigation.
Analyzing information.
Interacting with the enforcement staff.
Conclusion and questions.

4. Creating an Institutional
Investigative Policy

5. Institutional Investigative Policy
Develop guidelines and criteria used in determining when an inquiry is initiated.
Define roles and responsibilities.
Outline investigative resources (e.g., interview notice form, statement of confidentiality).
Create procedures (roadmap) for reporting institutional findings and violations.
NCAA Bylaws and 2.8.1

6. Why is this important?
Promotes consistency and transparency in investigations.
Allows for a timely and organized response to potential violations by reducing inefficiencies.
Helps maintain the integrity of the investigation.
Potentially avoids questions about failure to monitor and/or institutional control from enforcement and/or Committee on Infractions (COI).

7. Launching an Investigation

8. Developing a Case Strategy
MOBILIZE investigative team per investigative policy.
REVIEW roles and responsibilities.
IDENTIFY potential issues, including eligibility.
CONSULT with institutional counsel, conference office, and/or the NCAA national office.
INVESTIGATE violations, including (1) document requests and (2) interviews.

9. Document Requests/Collection
Determine who will request documentation and when.
Document requests may tip others off to the issue(s) under investigation.
Make request in writing, especially to any outside parties. Include:
Requested date of production.
Necessary releases, if any.
Requested format (i.e., PDF, Excel spreadsheet).

10. Possible Documents Computer records. Financial records. Phone records.s.
Computer hard drives*.
Phone records.
Land line.
Cellular*.
Text Messages*.
Financial records.
Bank statements.
Credit/debit cards.
Wire transfer records.
Receipts.
Travel records.
Travel itineraries and receipts.
Hotel/lodging records.
*Institutional and/or personal accounts and devices

11. Possible Documents [cont’d]
Academic records.
Transcripts/enrollment history.
Standardized testing scores.
Professors’ grade records.
Tutoring records.
Social media.
Facebook.
Twitter.
Instagram.
Vehicle information.
Registration/insurance documentation.
Driver’s license.
Releases/authorizations.

12. Interviews Who should be interviewed? Source of information.
Individuals with potential knowledge of and/or involvement in the violations.
Institutional staff members, including those outside of athletics, with knowledge of departmental processes potentially involved in the violation (i.e., financial aid, registrar, admissions).
Individuals who are potentially "at risk" for involvement in the violations.

13. Potential Interviewees: Who is required to cooperate?
Institutional staff.
Professors.
Teaching assistants.
Academic counselors/tutors.
Athletics staff (former and current).
Coaches (full-time, part-time and voluntary).
Graduate assistants.
Student-athletes and prospective student-athletes.

14. Potential Interviewees: Who is not required to cooperate?
Parents/legal guardians.
Third parties.
Agents and runners.
Financial advisors.
Athletic sponsors.
High school and nonscholastic coaches.
Former student-athletes*.
Representatives of institution's athletics interests*.

15. Considerations for Interview Order
How do you protect the integrity of the investigation (e.g., prevent/minimize leaks or collusion)?
Who has the information?
Who could corroborate and/or refute the information?
Who has eligibility issues (student-athletes) and/or who is at risk (institutional employees)?
Generally, work from the outside in.

16. Pre-Interview Logistics
Review institutional investigative policy. Determine:
Who will conduct interviews?
Who will be present during interviews?
Will the institution retain outside counsel?
Determine location/method of interview.
In person, via telephone, or another method (e.g., Skype)?
If the individual is potentially at-risk, has potential eligibility issues, or has significant/critical information, preferred method is in person.
Schedule in advance or cold call?
Cold call could be utilized with individuals who are not required to cooperate if (1) interviewee will be uncooperative and (2) to avoid the interviewee talking with other involved individuals.

17. Pre-Interview Logistics [cont’d]
Provide pre-interview notices to interviewees, including:
Ability to have personal legal counsel present.
Obligations under NCAA Bylaws, including protecting the integrity of the investigation.
Review investigative procedures in NCAA Bylaws 19 (Division I) and 32 (Divisions II and III) and ENF-IOPs.
Determine how to memorialize the interviews.
Best option is recording (with interviewee’s permission).
Other options include an interview summary or a transcriptionist.

18. Interview Logistics
Note the date, time, location and individuals present.
If recording, have everyone introduce themselves for voice identification purposes.
Explain that the purpose of the interview is to determine knowledge of or involvement in violations. Do not specify the substance of the interview.
Review the obligation to be truthful and forthcoming [NCAA Bylaws and 10.1] and ramifications for not doing so [NCAA Bylaw 10.4].
Review interviewee’s opportunity to have personal legal counsel present.

19. Interview Logistics [cont’d]
Verbally note the time and reason for any breaks in the recording.
Examples: length of interview or for interviewee to consult with personal legal counsel.
At the conclusion of the interview:
Request the interviewee not speak with anyone, other than personal legal counsel, about the subject matter of the interview.
Provide an opportunity for any final questions or comments.
Note the time the interview ended.

20. Effective Interviewing Techniques
In advance of interview:
Perform research on individual (e.g., social media posts).
Gather relevant documentation (e.g., academic records, s).
Prepare an interview outline.
New issues may arise during the interview. For any issues, make sure to cover who, what, when, where, how and why.
During interview:
Ask open-ended questions. The interviewee should do the majority of talking.
Pause to elicit more information. Silence is okay.
Avoid interrupting.

21. Effective Interviewing
Techniques [cont’d]
Ask follow-up questions to get as many details as possible (e.g., dates, times, names, locations, etc.).
If something does not make sense, or interviewee does not answer the question, do not hesitate to point that out and ask again.
Have interviewee distinguish between firsthand and secondhand information.
Ask interviewee who else may have information.
Paraphrase responses to determine accuracy of the information.

22. Analysis of Information

23. Analysis of Information
Review information gathered from interviews and documents.
Determine whether additional interview(s) or document request(s) are necessary.
Detect any outstanding issues and/or follow up.
Identify the relevant bylaws/violations and level.
Determine what NCAA bylaws are at issue. (Contact your conference and/or AMA for assistance.)
If Division I, determine if the violation is Level I through III (NCAA Bylaws through ).
Note: In April 2017, Level IV violation classification discontinued due to passage of Proposal
If Division II or III, determine if the violation is major or secondary (NCAA Bylaws through ).
Identify any eligibility issues.
If any exist, contact NCAA Student-Athlete Reinstatement staff.
Institutional Responsibility [NCAA Bylaw ].
Note that (1) institutional policy should outline who is responsible for making the final determination and (2) the analysis is ongoing through life of investigation.

24. Review of Compliance Systems
Make honest, candid assessments.
Identify potential breakdowns.
Implement meaningful corrective actions.
Revise and update institutional compliance and/or investigative policies, if necessary.

25. Interactions with the Enforcement Staff

26. Interactions with the Enforcement Staff
Contact the enforcement staff whenever guidance is needed but particularly if you believe it is a Level I/II or major violation.
Enforcement staff may join the investigation or allow the institution to continue inquiry on its own.
Early contact may avoid duplicative efforts.
Enforcement staff may have additional information regarding potential violations.
Enforcement staff may have additional techniques or resources.

27. Reporting Violations to Enforcement
Reporting Major, Level I or Level II violations:
Submit a written investigative self-report.
Correspondence addressed to Jon Duncan, vice president of enforcement, at
Reporting Secondary or Level III violations:
Online submission through the NCAA Requests/Self-Reports Online (RSRO) system.

28. Contents of a Self-Report
Summary of the institution’s investigation.
Include a case chronology that outlines how, when and by whom was the violation(s) discovered and other relevant dates (e.g., interviews conducted, violations occurred, etc.)
Institution’s findings.
Nature of violation(s)/Facts of violation(s).
Applicable legislation.
Level (I through III or major/secondary) of each violation and case as a whole.
Self-imposed penalties and/or corrective measures.
Include any information regarding student-athlete reinstatement actions.
Any supporting documentation.

29. Supporting Documentation
Interviews
Audio recordings.
Written interview summaries.
Interview notes.
Transcripts.
Documents
Computer records.
Phone records.
Financial records.
Travel records.
Academic records.
Social media posts.
Vehicle information.

30. Conclusion
Help handling the "nuts and bolts" of conducting thorough and effective investigations of potential NCAA violations on campuses.
If end up before the COI, 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. 

31. Additional Resources Information on www.ncaa.org/enforcement:
Member Resource Guide – Provides detailed information on conducting a campus investigation.
Enforcement Internal Operating Procedures – Provide basic information and guidelines about the investigative and processing stages of an infractions case.
Head Coach Responsibility Guide – Provides information and best practices regarding head coach responsibility legislation.
Practitioners Resource Page – Provides information for practitioners on investigating and reporting violations.
Other resources:
Conference office.
NCAA academic and membership affairs staff (includes SAR).
NCAA enforcement staff.

32. Questions

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