Investigations by SGB s into Integrity Breaches: Essential Skills

Transcription

1 Investigations by SGB s into Integrity Breaches: Essential Skills Moderators: Friedrich Martens, Head of and Ingrid Beutler, Legal and Policy Manager Olympic Movement Unit on the Prevention of the Manipulation of Competitions Intelligence, Information and Integrity: Working together to protect sports betting integrity, 11:30-13:00, Thursday 28 September, Stamford Bridge Football Ground, London, 28 September 2017

2 QUIZ Go to: Room name: student login SPORTINTEGRITY --> Quiz on Competition Manipulation Part 1

3 Objectives Understand the role of the IOC in the UK context; Understand the essential skills needed to plan and conduct a fact finding inquiry, including: Collecting, evaluating and securing of all available sources of information including betting monitoring reports; Planning and conducting interviews; Presenting a structured report of a fact-finding inquiry to a disciplinary panel. 3

4 Structure of the International Sports Movement General public Education and academics Governmental organisations Organising Committee commercial partners NOC commercial partners Other organisations YOG participants Athletes Other organisations Commercial partners Members 103 Commissions 5 to 7 (Y)OCOG + Bid cities NOCs 206 Olympic Movement IOC IOC administration Recognised organisations Media/ non-rhb IOC commercial partners IFs in Olympic programme 35 Recognised IFs Sports organisations Non-Governmental Organisations 4

5 IOC Code of Ethics Ethics Commission IOC Code of Ethics The Olympic parties undertake to comply and ensure compliance with: A. Fundamental Principles B. Integrity of Conduct C. Integrity of Competitions D. Good Governance and Resources E. Candidatures F. Confidentiality G. Reporting Obligation IOC Ethics Commission: Created in 1999 after the Salt Lake City scandal, which involved IOC members and the former Candidate City of Salt Lake City. The IOC Ethics Commission is an independent commission, as defined by Rule 22 of the Olympic Charter.

6 Mission of the IOC Ethics Commission To define and update a framework of ethical principles (e.g. the Code of Ethics) based upon the values and principles enshrined in the Olympic Charter To investigate complaints raised in relation to the non-respect of ethical principles, including breaches of the Code of Ethics To propose recommendations to the IOC Executive Board 6

7 IOC Ethics Commission Members Ban Ki-Moon Ethics Commission Chair Former UN Secretary-General South Korea Yang Yang IOC Athletes Commission China Robin Mitchell IOC Executive Board Member Fiji Pierre-Olivier Beckers Vieujant IOC Member Belgium Angela Ruggiero IOC Member / IOC Athletes Commission USA Hanqin Xue Judge, International Court of Justice People s Republic of China Samuel Schmid Former Federal Counselor Switzerland Patricia O Brien Ambassador of Ireland to France Ireland Geert Corstens Former President of the Supreme Court The Netherlands XXX 7

8 IOC Ethics and Compliance Office Structure 8

9 XXX 06/10/2017 9

10 Actions of the IOC Athens 2004: Torino 2006: Beijing 2008: First betting offers on internet IOC Rules prohibit participants from betting and promoting betting on the Olympic Games (OG) Monitoring for the first time at Summer OG Vancouver 2010: Monitoring for the first time at Winter OG London 2012: Sochi 2014: Joint Assessment Unit Creation of Integrity Betting Intelligence System (IBIS)

11 Actions of the IOC 2015: Partnership with INTERPOL First International Forum for Sports Integrity Launch of IOC Integrity and Compliance Mechanism OM Code on the Prevention of the Manipulation of Competitions 2016: Monitoring of the Summer Olympic Games Rio 2016 Joint Integrity Intelligence Unit IOC and INTERPOL Handbooks 2017: 2 nd International Forum for Sports Integrity : Creation of the Olympic Movement Unit on the Prevention of the Manipulation of Competitions International Partnership Against Corruption in Sport (IPACS)

12 Olympic Movement Unit on the Prevention of the Manipulation of Competitions P1 Regulations/ Legislation SPORTS REGULATIONS Implementation of the Olympic Movement Code on the Prevention of the Manipulation of Competitions Model Rules available here LEGISLATION Signature, ratification of : - Council of Europe Convention on the Manipulation of Sports Competitions - UNODC-IOC Model Criminal Law Provisions for the Prosecution of Competition Manipulation - UN Convention Against Corruption - UN Convention Against Transnational Organised Crime P2 Education and Capacity Building EDUCATION - IOC Integrity e-learning: ng - Believe in Sport Campaign: CAPACITY BUILDING - INTERPOL-IOC Handbook on Protecting Sport from Competition Manipulation - INTERPOL-IOC Integrity in Sport Global Capacity Building and Training Programme P3 Intelligence/ Investigations INTELLIGENCE - Integrity Betting Intelligence System (IBIS) - IOC Integrity and Compliance Hotline: INVESTIGATIONS - INTERPOL-IOC Handbook on Conducting Fact-Finding Inquiries into Breaches of Sports Integrity - Investigative capacity building and support - INTERPOL Match-Fixing Task Force 1 2

13 Scenario IOC s Integrity Betting Intelligence System (IBIS) has received an alert relating to your sport during the Olympic Games stating: That the competition between the Red Team and Blue Team was fixed. Players and others bet large amounts of money on the competition The IOC have informed you of the report

14 What is the purpose of a fact-finding inquiry? Investigation/inquiry is to establish facts not to determine innocence or guilt ; Information should be collected in an impartial, unbiased manner; Standard of proof.

15 REGULATORY BASIS FOR FACT-FINDING INQUIRIES

16 Sports vs Criminal Procedures SPORTS Jurisdiction: only if legal relationship. CRIMINAL No penalty without law. Fact-Finding Inquiry to establish if evidence exists of breach of the regulations. Criminal Investigation: if evidence of a breach of the law + prospect of conviction + public interest Evidence: all admissible (if obtained legally). Evidence: may use Special Investigative Techniques Standard of Proof: Balance of probabilities. Standard of Proof: Beyond reasonable doubt. Sanctions (fine, suspension etc) Sentence (fine, prison etc). 16

17 Criminal Law Provisions for the Prosecution of Competition Manipulation Booklet for Legislators Full Research Study: launched 15 February 2017 available at: 17

18 Jurisdictions with specific match-fixing offences (2016) 28/52 legislations have proposed, adopted or enacted specific provisions incriminating match-fixing: Argentina, Australia, Brazil, Bulgaria, People s Republic of China, Denmark, El Salvador, France, Germany, Greece, India, Italy, Japan, Korea, Latvia, Malta, New Zealand, Paraguay, Poland, Portugal, the Russian Federation, the Republic of South- Africa, Spain, Switzerland, Turkey, Ukraine, the United Kingdom, and the United States of America 18

19 United Kingdom Gambling Act 2005 UK Gambling Act Section 42, Para. 1: a person commits an offence if he (a) cheats at gambling, or (b) does anything for the purpose of enabling or assisting another person to cheat at gambling. Section 42, Para. 3: cheating at gambling may, in particular, consist of actual or attempted deception or interference in connection with (a) the process by which gambling is conducted, or (b) a real or virtual game, race or other event or process to which gambling relates. ie. limited to competitions on which bets are proposed. the match-fixing offence is intrinsically linked to the risk associated with a manipulation of a betting event Similar law in Australia, France, Republic of Korea, New Zealand, and Switzerland and the United Kingdom. 19

20 Good Practices and Recommandations Application of the competition manipulation offence to all sports and competitions Definition of competition manipulation an intentional arrangement, act or omission aimed at an improper alteration of the result or the course of a sports competition with a view to obtaining an undue advantage for oneself or for others. Distinguishing between match-fixing and bet-fixing Recommended: that the match-fixing offence be independent from betting on a sports event or competition which is fixed. National lawmakers may adapt the match-fixing offence to include bet-fixing (i.e. to criminalize all match-fixing forms but in particular those aimed at altering the result of a bet) or to provide for a separate offence related to cheating at betting. In this case, fixing a sports competition for betting purposes could be an aggravating factor. 20

21 Model Criminal Law Provisions 1. Any person who, directly or indirectly, promises, offers or gives any undue advantage to another person, for himself, herself or for others, with the aim of improperly altering the result or the course of a sports competition, shall be punished by. 2. Any person who, directly or indirectly, solicits or accepts any undue advantage or the promise or the offer thereof, for himself, herself or for others, with the aim of improperly altering the result or the course of a sports competition, shall be punished by 21

22 Olympic Movement Code on the Prevention of the Manipulation of Competitions Approved by the IOC Executive Board in December For all sports organisations bound by the Olympic Charter and IOC Code of Ethics Objectives To harmonise sports rules in relation to competition manipulation based on minimum standards. To harmonise definitions in line with the Council of Europe Convention on the Manipulation of Sports Competitions. To establish minimum violations and minimum standards for disciplinary procedures in order to enable mutual recognition. 22

23 A. Regulations/ Legislation Don t bet Don t fix Don t share inside information Always report

24 Cases of interest at the Olympic Games 24

25 Conducting a Fact-Finding Inquiry: Where does the initial alert come from and what platform should deal with it?

26 Information may come from the Media or Reporting Mechanisms Obligation to report under the OM Code on the Prevention of the Manipulation of Competitions Should be a valuable source of intelligence Key considerations: What does the law allow? Who to report to? How long to report? How can people report? IOC Integrity and Compliance Hotline Treatment and protection of whistleblowers 26

27 Information may come from: Integrity Betting Intelligence System (IBIS) 27

28 Case 1: Alert received from sport IBIS Feedback loop with sports betting entities No confirmation Confirmation Info to IF Info to IF: Alert confirmed => Actionable Intelligence Info to betting side: Alert confirmed => Investigation launched Investigation After completed investigation: High importance of Feedback to all IBIS partners

29 Case 2: Alert received from betting IBIS Feedback loop with sports betting entities No confirmation Confirmation Info to IF: Alert confirmed => Actionable Intelligence Info to betting side: Alert confirmed => Investigation launched Investigation After completed investigation: High importance of Feedback to all IBIS partners

30 Monitoring/Intelligence/ Investigations 30

31 Conducting a Fact-Finding Inquiry: Inquiry Planning, Information Gathering, Sharing and Analysis

32 What are you going to do FIRST?

33 Inquiry Planning 1. Alert/Report/Inquiry Triggers 2. Establish Context: What are you trying to establish? Who do you tell? When? 3. Regulations 4. Jurisdiction 5. Seek further information 6. Risk management Media Strategy 7. Initiate Fact-Finding Inquiry 8. Information Gathering 9. Inquiry Plan: Timescale 10. Case File Report Submit report to Sports Disciplinary Body Submit report to police (if relevant)

34 What sources of information are available for background inquiries? News and media reports (including social media), Publicly available video footage, Unrestricted information from your organisation Previous reports/suspicions recorded in your organisation Betting related information exchange system information (e.g. IBIS) 34

35 What sources of information are available for open inquiries? telephone billing, bank statements, texts and s, Reports from law enforcement, other sports organisations etc. physical surveillance including match official reports, video footage, testimony from individuals recorded orally or in writing hotline/reporting mechanism reports betting monitoring reports 35

36 Betting Monitoring Reports Types of Betting Monitoring 1. Monitoring by sports organisations in partnership with betting entities e.g. Tennis Integrity Unit, IOC Integrity Betting Intelligence System (IBIS) 2. Monitoring / Fraud Detection Companies e.g. SportRadar used by FIFA, UEFA, IBIS 3. Betting Industry Monitoring e.g. Global Lotteries Monitoring System (GLMS), national lotteries monitoring systems, ESSA (European private betting operators)

37 Limitations of Betting Monitoring Irregular betting patterns can be caused by: Professional Gamblers recognising weakness in the odds; Hedging of bets by other operators (sometimes illegal); Rumours aimed to change odds, media power. Match-fixers know how betting monitoring works Spread bets across operators, start rumours, use false identities, bet on black markets Not all sports / matches are monitored Encouraging fixing in lower leagues Black markets are difficult to monitor

38 Information Evaluation How do you evaluate the information gathered? 1. Where/who did it come from and are they reliable? Source reliability 2. Is the content reliable? Content reliability Consider these concepts in terms of betting monitoring

39 The purpose of evaluating information includes: Changing it from random information to something more structured; Ensures a standardised approach to information in all reports; Removes bias uses quantifiable judgement rather than thoughts and feelings; Adding value to the information; Helps you to understand the information and communicate that understanding to others; Helps identify further action required; Ensures you considered who information should be shared with.

40 Information Evaluation - 3 x 3 x 3 Information is graded according to: Source Evaluation How reliable is of the source of the information/intelligence? Graded as A, B or C Information Evaluation How accurate is the information? Graded as 1, 2 or 3 Handling Code Who can the information be shared with? Graded as X, R or O

41 Source Evaluation Grade A B C Description Reliable Where there is no doubt of the authenticity, trustworthiness and competence of the source, or if the information is supplied by a source who has been reliable in the past Sometimes reliable Source from whom information is has sometimes been reliable in the past Untested source The reliability of the source cannot be assessed

42 Information Evaluation Grade Description Information whose accuracy is not in doubt to either the investigator or the source Information not known personally to the investigator or source but corroborated by other information already received The information may be false or malicious

43 Handling Code Grade X R O Description Confidential Requires recording of information and disseminating only to specific nominated individuals; Source must be protected Restricted Requires dissemination to those within the sport community for disciplinary and security matters across all levels Open Information can be shared and disseminated to any party in line with organizational procedures and in particular media policy

44 Olympic Movement Code on the Prevention of the Manipulation of Competitions Art. 3.4 Confidentiality Information to be exchanged on a need to know basis In a Fact-Finding Inquiry, there are two types of sources: 1. Those free to provide information 2. Those who must report and cooperate with the inquiry Keep a record of all those who have access to inquiry information. Securely store all evidence. 44

45 Information Sharing and Protection Managing the Expectations of the Source Reports / information / intelligence from an unsolicited source are crucial Unsolicited sources can be known or anonymous FF s should be mindful that unsolicited sources can become witnesses If the source is known it is good practice to follow-up The source is likely to feel vulnerable and anxious and so the FF should see them at an early stage 45

46 Sample Acknowledgement {Insert Official Heading} {Insert your contact details} Dear {insert name} I am writing to let you know that I have received your report regarding {insert wording from the report}. Thank you for reporting your concerns and for your patience while we look into the matter. I may need to speak to you in the future. In the meantime if you have anything further to add, or you have any further queries, please do not hesitate to contact me. Yours sincerely {Insert signature} {Date} 46

47 Sharing Information Agreed procedure regarding with whom and at what point to share this information Source of the information must be properly protected Information is shared with a clear understanding by all parties of what will be done with it At the national level, for FFs there is significant merit in reaching out to any of the key stakeholders who may have relevant information to offer or who may be affected by the inquiry/allegation FFs must also consider the possible need to share and seek information with relevant regional and international organisations. 47

48 Managing Information A report be given a unique reference number and recorded on a database or manual record, this is both for auditing purposes and to protect the original source. Steps are taken to identify and screen out information that is obviously vexatious and not worthy of further action. Initially analyse and assess the trigger information and seek corroboration. Identify who should be informed of the trigger information and of developments and further action as they evolve. What action will be taken with the information where there is insufficient evidence to progress the inquiry to the disciplinary body or at the conclusion of the proceedings. 48

49 Securing Confidential Information All materials containing confidential information to be secured manage risk; Only nominated individuals to be informed of confidential information; All case files and records to carry anonymized information.

50 Risk Management Factors that contribute to risk during a fact finding inquiry: The integrity of upcoming games/competitions; Inadvertently disclosing confidential information; Disclosing the identity of the source of the confidential report; Failing to act on trigger information; Failing to supply internal notifications in a timely manner; Failing to make external notifications in a timely manner;

51 .. Engaging in inquiries which prematurely alert third parties to the fact that an inquiry is underway; Compromise a parallel criminal investigation; Acting on information that has not been evaluated for reliability in terms of source or content; Misplacing supporting documents or evidence; Failing to complete the inquiry and submit the report in a timely manner.

52 Interviewing

53 An interview is a conversation with a purpose Gather Information Natural Justice Establish Facts

54 Conversation with a Purpose Managing the conversation: Two elements The Social Greeting phase, verbal / non verbal behaviour, rapport The Investigation Planning /preparation, gathering information, establishing facts, recording

55 Planning and preparation Objectives Points to prove Background Facts known Facts to be determined

56 Managing Conflict Conflict management; Plan and Prepare Anticipate interviewee attitude Explain all procedures Explain rights Recognise and reflect emotions Demonstrate the behaviour you want not the behaviour you are getting D.E.A.L Describe, explain, ask for cooperation, list consequences

57 Accept non-cooperation, explain implications, walk away Avoid showing impatience, arguing, or stating facts with people who are angry. This will only escalate the situation End on a positive note, thanking them for taking the time to speak with you.. Regardless of the outcome Record, record, record..

58 Effective Listening The wiser the person is the less they speak and the more they listen.

59 4 tools for effective listening Encourage Use verbal and non verbal as a means of encouraging others to continue talking Paraphrase restating what the other person just said allows him/her to confirm that you have understood Summarise all that has been said Pretend ignorance encourages others to express more freely

60 During the Interview: Eliciting Information Use comprehensive open statements Open-ended questions Interview spiral Open questions (tell, explain, describe.. ) Probe using direct, focused questions Probe blocks of information chronologically or in temporal order

61 Developing the facts What exactly happened Who was involved When did it start In what order Why did it happen Who made the initial contact (how) Who else knew

62 Closing the Interview Evaluate/Corroborate Check the Plan are all topics covered Summarise Get commitment Probe further if necessary Record Get signature/initials Record/store

63 CASE EVALUATION AND REPORTING Case File Construction

64 Case File (Dossier) One file per person Covering (summary) report Chronological order List of appendices All supporting docs appended

65 Covering Report Structure template 1. Introduction 2. Background and Initial Inquiries 3. Legal Basis 4. Procedure 5. Conduct and Evidence 6. Conclusions 7. Recommendations 65

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