conducting state association investigations · 2019-10-25 · ….effective investigation plans...

Bernard Childress, TSSAA Executive Director

Conducting State Association Investigations

The Initial Allegation & Reporting Mechanism Used: Telephone In Writing (By Letter or E-mail) In Person

Guidelines for Determining if a Violation has Occurred: Is the initial information fact or fiction? Solicit further written information from the reporting

party. Record all initial information provided. Write down all of

the information provided to you. Provide a copy of the initial information to the Executive

Director/Commissioner. Determine whether or not to take further action.

Conducting an Onsite Investigation: In the initial phone call, get as much information as you

can. If a visit is warranted, determine who will be

interviewed. Along with the Executive Director/Commissioner, identify every individual that needs to be interviewed initially.

Develop a set of initial questions in advance. Determine a definite set of questions that should be asked.

Notify the school(s) involved.

Conducting an Onsite Investigation: We identify the individuals we want to interview

initially. Use two investigators. We always go in pairs – one

person asking questions and one person taking detailed notes.

Determine which staff members from the state office (if applicable) will visit the school(s) involved.

Determine the roles of the staff members during the visit.

If student-athletes are involved, check with the Principal of the school concerning parental permission.

Investigator Dos and Don’ts: The investigator should not:

• Misrepresent their identity.• Violate any laws (state or federal).• Pay for information.• Contact students by telephone without permission of

the student’s parent or guardian or the school administration.

Investigator Dos and Don’ts: The investigator should:

• Be fair and remain objective. • Avoid the perception that you are out to get

them. • Tape record the interview whenever possible

with the permission of the person being interviewed.

• When interviewing students, do so in the presence of a school administrator or parents.

• Be thorough and reduce the number of questions you ask initially.

The Interview Process: Meet where there is very little distraction. Separate individuals being questioned. Begin the interview with less threatening questions. Be careful and ask the right questions. Avoid asking too many direct questions. Ask brief questions and listen carefully to each response. Use

terms like:• Tell me about…• Describe…• Explain…• Do not ask yes or no questions.

The Interview Process: Pause for approximately 4 seconds after the individual stops

speaking. Avoid bringing something up. Remember, they are reading you, and you are sizing them up. Interpret verbal and non-verbal responses – especially at the

beginning of the interview while asking non-threatening questions.

Read non-verbal behavior – Are they comfortable? Are they squirming?

Learn to analyze statements made and think about why something was said.

3 Types of Individuals You Will Interview: Cooperative Non-cooperative Suspects

*Each has his/her own objective.

The Dos and Don’ts of Interviewing: Do not interrupt the person being interviewed. Do Pause. This is the solution to interrupting. Never agree to take statements, “off the record.” Do not take notes sparingly. Do take detailed notes.

Determine Who and What Makes Up Your Case: The majority of the time, the individuals that make your

case are not the ones that you interview during your initial investigation.

They are the ones you find out about while interviewing individuals during the initial inquiry.

The Final Analysis: Compile information following the investigation into a

report. Analyze information and determine if a violation has

occurred. Submit a report to the Executive Director/

Commissioner for review.

The Final Analysis: After the staff meeting, our Executive Director will send a letter to

the Principal of the school involved, outlining our findings. We also call and read the letter to the Principal prior to sending it.

The school is given an opportunity to dispute the findings if they disagree with what is in writing.

If our information is correct and violations have occurred, the school is asked to send back to the Executive Director any disciplinary action the administration at the school has taken to ensure a violation of this type does not occur again.

Many times the administration of the school will take tougher disciplinary action than the state office staff was considering.

No action is taken by our office until the administration at the school has had an opportunity to deal with their own problem.

Disciplinary Action: The Executive Director/Commissioner decides on

penalties and disciplinary action. The Executive Director takes disciplinary action after

receiving the final written response from the school.

(You can’t make this stuff up.)

Investigative Stories Your Mother Never Told You…

Grades Changed?

Escape From Brushy Mountain

Drug Money

Taking Care of Business

For the “Love” of the Game

Questions?

EFFECTIVE INVESTIGATION PLANS & CONDUCTING ‘EM ….

Robert M. Baker IIIGeneral Counsel

INDIANA HIGH SCHOOL ATHLETIC ASSOCIATION, INC.

9150 N. Meridian St., Indpls., IN 46260P.O. Box 40650, Indpls., IN 46240-0650

Ph: (317) 846-6601Fx: (317) 575-4244

Email: [email protected]

mailto:[email protected]

….EFFECTIVE INVESTIGATIONPLANS & CONDUCTING ‘EM

BACKGROUND: IHSAA framework for INVESTIGATIONS.



• Is the enforcer of the:



• Is the enforcer of the: Eligibility rules and policies for

students and high schools.




students and high schools. Membership rules and policies for

member schools, and




students and high schools. Membership rules and policies for

member schools, and Contest Officials Rules and policies.



…the Indiana High School AthleticAssociation, Inc. (IHSAA) has regularoccasion to conduct investigations.



• The IHSAA rules describe the issue in Rule 17, Investigations, Hearings, Decisions, Appeal, Penalties, Waiver.



• Rule 17. Rule 17-2: the initial investigation

function falls on the shoulders of the member school principal.



• Rule 17. Rule 17-2: the initial investigation

function falls on the shoulders of the member school principal.

Principals look into a matter; decide if there is a violation of an IHSAA rule; and then assess a penalty



• Rule 17.Rule 17-2.4: if student wants to

“appeal” a matter, it is referred to IHSAA Commissioner for investigation.



• Rule 17.Rule 17-2.5: also, if principal cannot

make determination, the matter is referred to the IHSAA Commissioner for investigation.



• Rule 17.Rule 17-3: if a case is referred to the

Commissioner, an investigation is tooccur, and a decision on theinvestigation is to be made.


IHSAA’s Investigation Involving Member Schools.



• There is a regular need to conduct IHSAA investigation:



• There is a regular need to conduct IHSAA investigation: But because of its limited budget.



• There is a regular need to conduct IHSAA investigation: But because of its limited budget

allocated for that purpose. And a limitations on available

qualified staff.



• There is a regular need to conduct IHSAA investigation: The IHSAA takes a more laisse faire

approach, at least with respect to member school rule violations.



• IHSAA Uses Self-Policing.



• IHSAA Use Self-Policing. Basic approach - because the IHSAA is

a member school organization.



• Use Self-Policing. Basic approach - because the IHSAA is a

member school organization. Because principals are educated,

trained and highly ethical.



• Use Self-Policing. Because principals have agreed to

comply with and to enforce the rules and policies of the IHSAA,



• Use Self-Policing. Then the IHSAA can reasonably rely

on those principals to police themselves.



• Use Self-Reporting. An integral part of self-policing is of

course self-reporting.



• Use Self-Reporting. So if an IHSAA rule violation is

discovered in a school’s own hallway, it is required to report it to the IHSAA.



• And this is where self-Investigationcomes in.



• And this is where self-Investigationcomes in. So, following this scheme, a member

school first investigates itself, and then follows up with a Report.



• And this is where self-Investigationcomes in. These ‘self-evaluation Reports’ are

required to be presented on a short time-table --- a few days.



• And this is where self-Investigationcomes in. On the less serious rule violations ---

IHSAA accepts a school’s self-evaluation Report.



• And this is where self-Investigationcomes in. This entails a cursory review and

minimum outside investigation.



• And this is where self-Investigationcomes in. And based upon the school’s own

investigation, a penalty is issued.



• And this is where self-Investigationcomes in. On the more serious rule violations,

IHSAA Commissioner will call a quick ( few days) meeting with the offending school(s).



• And this is where self-Investigationcomes in. And at the meeting the school will

present its Report.



• And this is where self-Investigationcomes in. But of course the Commissioner will

likely have conducted his own investigation, just to be sure.



• And this is where self-Investigationcomes in. Then the IHSAA Commissioner will

issue a ruling at the meeting, followed by a written decision containing the basic data and facts.


Investigation Involving Student Transfers and Rule Violations



• The bulk of the investigations at the IHSAA involve student transfers and student rule compliance/violation (age rule, 8-semester rule, academic rule, participation rule).



• Cases involving students involve varying degrees of investigations.



• The IHSAA processes over 4000 transfer cases annually.



• An eligibility request in a transfer case is initiated by a Transfer Report.



• An eligibility request in a transfer case is initiated by a Transfer Report. The Transfer Report is first partially

completed by the student/student’s parent.



• An eligibility request in a transfer case is initiated by a Transfer Report then partially completed by the

sending school.



• An eligibility request in a transfer case is initiated by a Transfer Report then partially completed by the

receiving school, and finally.



• An eligibility request in a transfer case is initiated by a Transfer Report. submitted to the IHSAA for a ruling.



• Most transfers are not controversial with the vast majority resulting in full eligibility.



• Most transfers are not controversial with the vast majority resulting in full eligibility. And that’s because most transfers are

accompanied by a move by mom &/or dad to a new school district.



• Most transfers are not controversial with the vast majority resulting in full eligibility. And those transfers are approved

upon the information provided in the Transfer Report.



• Most transfers are not controversial with the vast majority resulting in full eligibility. There is little investigation (relying on

the Schools to self-police, to self-report and to self-investigate).



• Then there are the non-move transfer but within an exception(s): where there is full athletic eligibility.



• Then there are the non-move transfer but within an exception(s): where there is full athletic eligibility. Also involves little investigation

(again, relying on the Schools to self-police, to self-report and to self-investigate).



• Some transfers not falling into exception:but where student gets at least limited (non-varsity) athletic eligibility.



• Some transfers not falling into exception: but where student gets at least limited (non-varsity) athletic eligibility. again these involve little association

investigation.



• But on the transfers resulting in ineligibility: because transfer is athletically motivated or there is recruitment /undue influence.



• But on the transfers resulting in ineligibility: because transfer is athletically motivated or there is recruitment /undue influence. These are the ones which generally

require investigation.



• But on the transfers resulting in ineligibility: because transfer is athletically motivated or there is recruitment /undue influence. And this is because these cases are

regularly appealed (need the evidence)



• But on the transfers resulting in ineligibility: because transfer is athletically motivated or there is recruitment /undue influence. And because the burden of proof is on

the IHSAA in these cases



• But on the transfers resulting in ineligibility: because transfer is athletically motivated or there is recruitment /undue influence. These are the cases requiring a more

full blown investigation.


IHSAA Initial Investigation Check-list



• First, do we need an investigation?



• First, do we need an investigation? Take time to decide whether an

investigation is really needed.



• First, do we need an investigation? Take time to decide whether an

investigation is really needed. Some situations do not need a full-

blown investigations.



• Do we need an investigation? Take time to decide whether an

investigation is really needed. Some situations do not need a full-blown

investigations. Always better to err on the side of

doing an investigation (i.e. legal issues)



• When should the investigation take place?



• When should the investigation take place? Immediate action is generally

required.



• When should the investigation take place? Immediate action is generally required. No real good reason to delay, other

than hoping the matter “just goes away”.



• Who should be the investigator?



• Who should be the investigator? The IHSAA assistant commissioner

are automatically assigned the duty of investigating transfers of student who transfer to those schools which the assistant commissioners have been assigned.



• Who should be the investigator? Assistant commissioners learn their

investigative trade/skills through prior educational training (e.g. investigating disciplinary issues in a school system, etc.) and through the intra-association tutelage program.



• Who should be the investigator? However, the IHSAA also relies upon

extra-association individuals for certain aspects of these investigation.



• Who should be the investigator? However, the IHSAA also relies upon

extra-association individuals for certain aspects of these investigation.

For example, school administrators from sending and receiving school conduct some initial investigation into the basis for the transfer (see, infra.)



• Who should be the investigator? But in addition, school administrators

are asked to perform unique investigative functions, including interviews, stake-outs, photographic surveillance, etc.



• Who should be the investigator? One “stake-out” involved a sending

school’s AD, we’ll call him Kevin, staked out the student’s former home for a week and caught on video the student leaving the former home in the a.m. and driving to the new school (Closet Colombo's)



• Who should be the investigator? IHSAA has used professional

investigators for interviews, stake-outs, photographic surveillance, etc.



• Who should be the investigator? IHSAA has used professional

investigators for interviews, stake-outs, photographic surveillance, etc.

IHSAA hired a retired Secret Service agent (former appeals board member) for field investigation with mixed results.



• How big will the investigation be?



• How big will the investigation be? Is it more a verification of information

provided (simple investigation).



• How big will the investigation be? Is it more a verification of information

provided (simple investigation). Is it to dig into the claimed rule

violations by a student or school (medium investigation)



• How big will the investigation be? Or is it to develop grounds (and

evidence needed) for charging a serious rule violation (full blown investigation).



• What will the investigation generally look like?



• What will the investigation generally look like? Primary investigator (the assistant

commissioner) organizes thoughts and gathering info (Transfer Report, attachments, memos, statements, newspaper clippings, etc.) and make outline.



• What will the investigation generally look like? He’ll ID types of information sought.



• What will the investigation generally look like? He’ll ID types of information sought. He’ll ID types of individuals to be

interviewed.



• What will the investigation generally look like? They’ll ID types of information sought. They’ll ID types of individuals to be

interviewed. He’ll ID types of documents available

and to be sought.


Investigation Plan

• A good rule of thumb is that you should spend one to two times as much time planning out your investigations as the time completing the investigation.


Investigation Plan

• Your planning should be reduced to an Investigation Plan.


Investigation Plan

• Your planning should be reduced to an Investigation Plan. Write it out: unused napkin from a

Steak and Shake or Denny’s, or perhaps the envelope the gas bill came in.


Investigation Plan

• Issue: getting the information.


Investigation Plan

• Issue: getting the information. An Investigation plan should outline

how to get the information.


Investigation Plan

• Issue: getting the information. An Investigation plan should outline how

to get the information. The problem is, of course: we don’t

have subpoena power.


Investigation Plan

• Issue: getting the information. So, if the information resides with a

witnesses or in a document, the use of cooperation is the key.


Investigation Plan

• Issue: getting the information. So, if the information resides with a

witnesses or in a document, the use of cooperation is the key.

And planning to secure such cooperation is an important part of the Investigation Plan.


Investigation Plan

• Issue: getting the information. School personnel cooperation: remind

them that as a member school there is a duty to cooperate and talk to the IHSAA.


Investigation Plan

• Issue: getting the information. Student and parents cooperation: need

to be assured that cooperation will enhance their case and they should talk to the IHSAA.


Investigation Plan

• Issue: getting the information. Non-involved students and parents

cooperation: remind them that cooperation will assist in the fair and evenhanded application of the association’s Rules to all students and schools.


Investigation Plan

• Issue: getting the information. If the info resides in a document, the

same cooperation is needed, and the same assurances can be given.


Investigation Plan

• Issue: getting the information. There are also cooperation clauses --

the IHSAA Articles of Incorporation states that member schools are required to make student records available to the IHSAA during investigations.


Investigation Plan

• Issue: getting the information. One problem which may create a

problem for schools with respect to providing documents is the Family Educational Rights and Privacy Act (FERPA).


Investigation Plan

• Issue: getting the information. Since the IHSAA is a private

organization which does not receive federal fund, the IHSAA always maintains that it is not subject to FERPA.


Investigation Plan

• Issue: getting the information. Public and private member schools of

the IHSAA probably are.


Investigation Plan

• Issue: getting the information. As such, schools may be caught

between the IHSAA cooperation clause and their duties under FERPA.


Investigation Plan

• Issue: getting the information. As such, schools may be caught

between the IHSAA cooperation clause and their duties under FERPA. Fortunately, the IHSAA has never

had the FERPA card played in an investigation.


Investigation Plan

• Issue: Needed information and location.


Investigation Plan

• Issue: Needed information and location. If the info resides with witnesses, then

prep a Witness List: who to be interviewed?


Investigation Plan


prep a Witness List: who to be interviewed? Include all parties to the incident.


Investigation Plan


prep a Witness List: who to be interviewed? Include all parties to the incident. Include the subject student.


Investigation Plan


prep a Witness List: who to be interviewed? Include all parties to the incident. Include the subject student. Include the student’s parents.


Investigation Plan


prep a Witness List: who to be interviewed? Include school administrative

personnel.


Investigation Plan


prep a Witness List: who to be interviewed? Include school administrative

personnel. Include teachers.


Investigation Plan


prep a Witness List: who to be interviewed? Include guidance.


Investigation Plan


prep a Witness List: who to be interviewed? Include guidance. Include athletic department

personnel.


Investigation Plan


prep a Witness List: who to be interviewed? Include other students.


Investigation Plan


prep a Witness List: who to be interviewed? Include other students. Include other parents.


Investigation Plan

• Issue: Needed information and location. If interview needed, who should

conduct interview(s)?


Investigation Plan


conduct interview(s)? Assistant Commissioner.


Investigation Plan


conduct interview(s)? Assistant Commissioner. Counsel


Investigation Plan


conduct interview(s)? Assistant Commissioner. Counsel School Personnel


Investigation Plan


conduct interview(s)? Professionals.


Investigation Plan

• Issue: Needed information and location. If interview needed, what questions to

ask?


Investigation Plan


ask? Remember, knowing what your goal is will help distill down you questions.


Investigation Plan


ask? Questions should be written out or placed in a detailed outline.


Investigation Plan


ask? Include broad, open-ended questions.


Investigation Plan


ask? Questions should be tailored to the documents and statements already possessed.


Investigation Plan

• Issue: Needed information and location. If interview, where conducted?


Investigation Plan

• Issue: Needed information and location. If interview, where conducted? Face-to-face @ association office.


Investigation Plan

• Issue: Needed information and location. If interview, where conducted? Face-to-face @ association office. Face-to-face on-site.


Investigation Plan

• Issue: Needed information and location. If interview, where conducted? Face-to-face @ association office. Face-to-face on-site. Telephone.


Investigation Plan

• Issue: Needed information and location. If interview, where conducted? Face-to-face @ association office. Face-to-face on-site. Telephone.Written Q&A via e-mail or USPS.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted?


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Transcribed.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Transcribed. Tape-recorded.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Transcribed. Tape-recorded. Video-taped.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Transcribed. Tape-recorded. Video-taped.Hidden video or taping.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Signed Statement.


Investigation Plan

• Issue: Needed information and location. If interview is needed, how conducted? Signed Statement.Or just take notes.


Investigation Plan

• Issue: Needed information and location. If the information resides in a

document:


Investigation Plan


document: where is doc.


Investigation Plan


document: where is doc. who has possession.


Investigation Plan


document: where is doc. who has possession. and, again, how do we get?


Investigation Plan


document: Getting it informally can be

accomplished through cooperation.


Investigation Plan


document: Since 1967, the Freedom of

Information Act (FOIA) provides access to records from federal agencies.


Investigation Plan


document: Most states also have similar baby

FOIA laws on a state level, like Indiana Access to Public Records Act § 5-14-3-1 et seq.


Investigation Plan

• Issue: Needed information and location. Some information resides in the

“public”:


Investigation Plan


“public”: Plan to research through the

internet and Google.


Investigation Plan


“public”: Plan to research through the internet

and Google. There is literally billions of pieces of

information available through the internet.


Investigation Plan


“public”: Some IHSAA investigators are less

prepared to research and utilize the internet -- ask for assistance from the younger staff.


Investigation Plan

• Issue: Evaluating the evidence.


Investigation Plan

• Issue: Evaluating the evidence. Investigations by the IHSAA are

largely done by the IHSAA assistant commissioners, and at the conclusion of an investigation, those assistant commissioners evaluate the evidence and make a eligibility ruling.


Investigation Plan

• Issue: Evaluating the evidence. Evaluating the evidence by the

investigator who also rules maybe a confounding part of any investigation process.


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process. Deciding what happened is, of

course, the purpose of IHSAA investigations.


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.However, determining which

witness is telling the truth is often the largest part of that inquiry.


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process. In making a determination, the

investigator will use the common methods for divining the truth.


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.What set of facts makes the most

sense?


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.What set of facts is the most logical?


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.Whose demeanor was better?


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.Which witness was unbiased and

which could be motivated to deceive?


Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.Was witness’ explanation short and

simple (truth) or was long and too-detailed (untruth).

Investigation Plan


investigator who also rules maybe a confounding part of any investigation process.Was explanation consistent with the

prior statements or another trustworthy witness?



Investigation Plan

• Issue: Documentation of investigation.


Investigation Plan

• Issue: Documentation of investigation. First, document the investigation, as it

is being conducted, in writing.


Investigation Plan

• Issue: Documentation of investigation. First, document the investigation, as it is

being conducted, in writing. Second, upon completion of the

investigation, write a report, or a summary of interviews.


Investigation Plan

• Issue: Documentation of investigation. The investigation report should:


Investigation Plan

• Issue: Documentation of investigation. The investigation report should: detail interviews and state/

summarize each witness.


Investigation Plan

• Issue: Documentation of investigation. The investigation report should: detail interviews and state/

summarize each witness. Unless obvious, detail why each

interview was conducted.


Investigation Plan

• Issue: Documentation of investigation. The investigation report should: Include all relevant, material

information and testimony collected – both positive and negative.


End of

EFFECTIVE INVESTIGATION PLANS & CONDUCTING ‘EM ….

conducting state association investigations · 2019-10-25 · ….effective investigation plans...

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