706 An Introduction to NCAA Enforcement_Hannah by Civet

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									  An Introduction to NCAA Enforcement:
   A Prerequisite for Compliance Success




                           Stephanie Hannah
                        Director - Enforcement




Session Objectives

  As a result of this session participants will be able to:

       explain the structure of the NCAA enforcement staff
       and enforcement process.

       conduct more effective investigations and
       interviews.

       identify at least two ways to improve their
       compliance work.




                                                              1
Who is NCAA Major Enforcement?

   Vice President

   5 Directors

   20 Assistant and Associate Directors

   Assistant General Counsel




Who is NCAA Major Enforcement?

   16 former student-athletes (tennis, football,
   volleyball, basketball, soccer, swimming, track and
   field, baseball)

   10 former collegiate coaches and athletics
   administrators

   17 law school graduates




                                                         2
Preliminary Sources of Information
    Phone calls, e-mails, faxes, letters

    Media reports

    Self-reports (Bylaw 32.2.1.2)

    Prospect and transfer interviews

    Information developed during other interviews




Example: College of West Canaan
  Anonymous e-mail sent to enforcement alleging:

    College of West Canaan head football coach Bud Kilmer
    helped starting quarterback John Moxon complete
    physics homework last year to stay eligible

    Kilmer arranged a summer job for prospective student-
    athlete Lance Harbor during summer after junior year
    of high school

    Kilmer and his staff conducted football drills during the
    past two summers with football student-athletes




                                                                3
Investigation
    Off-campus interviews

    Interviews at other institutions with sources of
    information

    On-campus interviews at the involved institution

    Document requests




Investigation
 Cooperative Principle

        Obligation to assist enforcement staff in
        developing full information

        Protect the integrity of the investigation

        Enforcement staff may not be able to share full
        information with institutions under inquiry




                                                          4
Investigation
  Interview Procedures

       NCAA Interview Notice form

       Recording (Bylaw 32.3.9)

       Purpose of the interview is to determine the
       subject’s knowledge of or involvement in NCAA
       violations (Bylaw 32.3.7)

       Obligation to be truthful and forthcoming and
       ramifications for no doing so (Bylaw 10.1)




Example: College of West Canaan

    NCAA investigator conducts initial interview with Lance
    Harbor, who is now a student-athlete at Rival
    University

    NCAA investigator interviews football student-athletes,
    coaches and a physics tutor at College of West Canaan

    NCAA investigator requests copies of John Moxon’s
    physics assignments




                                                              5
Establish a Written Investigative Policy

      Insures uniformity

      Lack of policy may lead to questions of institutional
      control

      COI very likely to review policy and protocol




Content of Investigative Policies
     Guidelines setting forth circumstances in which an
     inquiry is conducted
     Roles and 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




                                                              6
Gathering Information from Interviews

  Recommendations:

      Identify individuals to be interviewed

      Determine who should be present for each interview

      Find location for interviews that is comfortable,
      disturbance free and has low visibility




Gathering Information from Interviews

   Recommendations:

     Tape record each interview

     State on the record, name of person interviewed,
     date, time, location and individuals present

     Review purpose of interview, obligation to tell the
     truth and be forthcoming and ramifications for not
     being truthful




                                                           7
Gathering Information from Documents
   Use of releases

   Possible documents to be reviewed
    • Financial Records

    • Travel Records

    • Vehicle Information

    • Computer Records

    • Academic Documents

    • Telephone Records




Determining Who to Interview

          Sources outside the institution
           •   Boosters
           •   Business People
           •   Parents
           •   Prospects


          Who can be trusted

          Corroborating sources




                                            8
Determining Who to Interview

        Institutional Staff Members
            •   Coaches
            •   Administrators
            •   Academic Advisors
            •   Tutors
            •   Secretaries/Support Staff
            •   Another Student-Athlete
            •   Professors


        Be thorough (this can be difficult with campus
        personnel)




Order of Interviews
    Interview outside sources first

    Conduct interviews in a timely fashion

    Place interviews in consecutive order

    Instruct individuals to not discuss information

    Anticipate interviews will take longer than expected




                                                           9
Conducting the Interviews

    Prior to interview collect supporting documents

    Conduct the tough interview

    Discuss previous collection of significant information
    and importance of being truthful




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
      • Be accommodating to off-campus individuals




                                                             10
Effective Interviewing
   Ask open-ended questions
    • Best information is a narrative response
    • Interviewee should do majority of talking
    • Begin questions with 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
   information




Helpful Suggestions for Interviewers
      Refrain from interruptions

      Diagrams can be useful

      Avoid offering advice, being judgmental, or filling in
      gaps

      Good listeners and good interviewers

      Calendars may prove to be useful to pinpoint
      timeframes




                                                               11
Average Time for
Enforcement Investigations



                       8.1 months




Notice of Allegations

    Citation of NCAA Bylaws violated

    Details of the actions causing the violations

    Requests for additional information




                                                    12
Example: College of West Canaan
Notice of Allegations
   Allegation 1: Participation by John Moxon last season
   while he was ineligible

   Allegation 2: Impermissible recruiting inducement to
   Lance Harbor

   Allegation 3: Unethical conduct by Moxon for academic
   fraud
   Allegation 4: Unethical conduct by coach Kilmer for 1)
   academic fraud, 2) recruiting inducement, 3) false and
   misleading information




Example: College of West Canaan
Case Summary

    Institution/Coach Kilmer written responses
     • Institution agrees with all facts and violations but believes the summer
       football drill violations were secondary

     • Coach Kilmer denies involvement in academic fraud, arranging
       summer job or providing false information


    Enforcement staff’s bases for the allegations




                                                                                  13
Committee on Infractions

       10 members

       7 or 8 from institutions/conferences

       2 or 3 from general public

       3-year term/9 years total service




Committee on Infractions Hearing

        Opening statements

        Presentation of allegation

        Presentation by institution/individuals

        Questioning by committee

        Closing statements




                                                  14
Conclusion

      Suggestions should help in handling “nuts and
      bolts” of conducting effective investigations


      Don’t take a chance by leaving your
      investigation methods and strategies open to
      criticism




                    Questions?




                                                      15

								
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