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Internal Investigation Report Checklist

An investigation report can include the following sections:

  1. Introduction.
    1. Purpose of the report.
    2. Case chronology.
  2. Overview of the findings.
    1. Identification of the types of violations and persons involved.
    2. List, and brief bios, of all involved individuals and parties.
    3. List of, and eligibility information for, involved student-athletes.
  3. Summary of the internal investigation.
    1. Investigation methodology.
    2. List of interview subjects.
    3. Summary of evidence collected.
  4. Findings of specific violations.
    1. Policy, procedures or regulations involved in the violation.
    2. Date of the violation.
    3. Location of the violation.
    4. Description of the violation.
    5. Who was involved in the violation.
    6. How was the allegation reported/violation discovered.
    7. Summary of the information developed during the internal investigation.
    8. Mitigating and aggravating factors.
    9. Cause of the violation.
  5. Possible rules-violations.
    1. List of possible rules-violations that were investigated, but the evidence revealed it did not occur.
    2. List of possible rules-violations that were investigated, but the evidence is inconclusive.
  6. Self-corrective measures and self-imposed penalties.
    1. Measures undertaken to correct or strengthen the organization.
    2. Penalties imposed by the organization.
    3. Penalties implemented by the regulatory agencies.
  7. Background information on the organization.
  8. Conclusion.
    1. Summation of the internal investigation.
    2. Comments on the organization’s commitment to compliance.
    3. Miscellaneous information.
  9. Appendix.
    1. Information needed to process the report with the applicable regulatory agencies.
    2. Important documents obtained during the investigation.

 

For assistance with conducting internal investigations, contact attorneys Michael L. Buckner (mbuckner@bucknersportslaw.com; +1-954-941-1844 ext. 1) or Lori A. Williams (lwilliams@bucknersportslaw.com; +1-954-941-1844 ext. 7).