The NCAA Committee on Infractions (“Committee” or “Panel” or “COI”) recently issued its findings and found that the University at Buffalo, the State University of New York (“Institution” or “SUNY”) committed violations of NCAA legislation. The case originated when the associate athletics director for compliance self-reported a potential violation regarding the assistant coach forging a written statement in support of the student-athlete’s transfer residence waiver request. The assistant coach wrote the statement in consultation with one of the student-athlete’s former teammates at the institution from which he transferred, and later forged the former teammate’s signature to the document. Buffalo became aware of the potential violation September 25, 2019, when the head men’s basketball coach, was informed of the forged statement by the head men’s basketball coach at the institution from which the student-athlete transferred, who had received a copy of the letter through the NCAA academic and membership affairs’ (“AMA”) 10-day review process. The head coach reported that information to the director of athletics. SUNY and NCAA enforcement staff then began a collaborative investigation that substantiated the violation.

In early May 2019, the head coach hired the assistant coach as an assistant men’s basketball coach. The assistant coach had no prior experience in recruiting at the Division I level. Shortly after the assistant coach was hired, the head coach assigned the assistant coach to be the point person for recruiting the student-athlete. At the time, Buffalo had five roster spots that it needed to fill, and the student-athlete was a potential transfer prospect [from his previous institution]. In addition to the student-athlete, the men’s basketball program recruited the former teammate and another transfer prospect from the student-athlete’s previous institution. The assistant coach previously worked at the student-athlete’s former institution as a graduate assistant and had good working relationships with the men’s basketball staff. Additionally, the assistant coach knew the former teammate because he was an incoming freshman during the assistant coach’s last summer at the student-athlete’s former institution.

During the recruitment of the student-athlete and his former teammate, the men’s basketball staff discussed submitting a transfer residence waiver for each of the prospects to gain immediate eligibility. The assistant coach communicated with the men’s basketball staff at the student-athlete’s former institution, who assured him that the student-athlete’s former institution would support any transfer residence waiver submitted. The former teammate ultimately decided to enroll at another institution; however, on June 7, 2019, the student-athlete signed a financial aid agreement to attend SUNY.

After the student-athlete committed to SUNY, the head coach tasked the assistant coach with compiling the appropriate transfer residence waiver documentation for the student-athlete. The men’s basketball staff regularly discussed the possibility of a waiver with the associate athletics director for compliance. The assistant coach worked with the associate athletics director for compliance, the student-athlete and the head coach, coaches at the student-athlete’s former institution and other individuals familiar with the student-athlete’s status to assemble the waiver request materials.

The assistant coach also called and texted the former teammate to write a letter in support of the student-athlete’s waiver request. On June 28, 2019, the assistant coach and the former teammate discussed the content of the statement, which the assistant coach typed and provided to the head coach. During the following days, the assistant coach attempted to contact the former teammate to request that he submit the statement or provide the assistant coach access to his email to submit the statement; however, the former teammate did not answer the assistant coach’s phone calls. The assistant coach then created a Yahoo! email account posing as the former teammate, which he used to submit the statement to the associate athletics director for compliance July 2. The associate athletics director for compliance responded shortly thereafter requesting a signed copy of the statement. The assistant coach forged the former teammate’s signature on the statement and resent it via the Yahoo! email account, again posing as the former teammate. The associate director of athletics for compliance then submitted the legislative relief waiver, including the forged statement, to the NCAA.

The assistant coach did not tell the head coach or the associate director of athletics for compliance about the difficulties he experienced in obtaining the former teammate’s statement and signature. Additionally, the assistant coach did not tell the head coach or the associate director of athletics for compliance that he created a fictitious email account using the former teammate’s name to send the statement and did not have the former teammate send any communication expressly authorizing the assistant coach’s actions. The assistant coach’s forging the former teammate’s signature and fabricating an email account to submit the statement, are contrary to the membership’s well-established honesty and sportsmanship and ethical conduct legislation.

This case was resolved through a negotiated resolution.

The Committee concluded that SUNY committed the following violations:

 Violations of NCAA Division I Manual Bylaws 10.01.1 and 10.1 (2018-19) (Level II)

The Institution, the assistant coach and NCAA enforcement staff agreed that during June and July 2019, the assistant coach violated the NCAA principles of ethical conduct when he failed to deport himself in accordance with the generally recognized high standards of honesty and sportsmanship normally associated with the conduct and administration of intercollegiate athletics when he knowingly forged a written statement in support of the student-athlete’s transfer residence waiver request. Specifically, the assistant coach wrote the statement in consultation with one of the student-athlete’s former teammates at the institution from which he transferred and later forged the former teammate’s signature on the statement, to help the student-athlete gain immediate eligibility. Additionally, the assistant coach fabricated an email account to conceal his identity and submitted the written statement to the Institution’s compliance office.

Aggravating and Mitigating Factors in accordance with NCAA Bylaws 19.9.3 and 19.9.4

Aggravating Factors for the Institution

A history of Level I, Level II or major violations by the institution.  NCAA Bylaw 19.9.3-(b).

Conduct or circumstances demonstrating an abuse of a position of trust. NCAA Bylaw 19.9.3-(j).

Mitigating Factors for the Institution

Prompt acknowledgement of the violation, acceptance of responsibility and imposition of meaningful corrective measures and/or penalties. NCAA Bylaw 19.9.4-b).

Affirmative steps to expedite final resolution of the matter, including timely submission of a negotiated resolution, pursuant to Bylaw 19.5.12.1. NCAA Bylaw 19.9.4-(c).

An established history of self-reporting Level III or secondary violations NCAA Bylaw 19.9.4-(d).

Aggravating Factors for Assistant Coach

Obstructing an investigation or attempting to conceal the violation. NCAA Bylaw 19.9.3-(d).

Unethical conduct. NCAA Bylaw 19.9.3-(e).

Violations were deliberate.  NCAA Bylaw 19.9.3-(f).

Conduct or circumstances demonstrating an abuse of a position of trust.  NCAA Bylaw 19.9.3-(j).

Mitigating Factors for Assistant Coach

Prompt acknowledgement of the violation, acceptance of responsibility and imposition of meaningful corrective measures and/or penalties.  NCAA Bylaw 19.9.4-(b).

The absence of prior conclusions of Level I, Level II or major violations committed by the involved individual.  NCAA Bylaw 19.9.4-(h).

As a result of the foregoing, the Committee penalized SUNY as follows:

1. Public reprimand and censure.
2. Probation: One year of probation from April 21, 2020 through April 20, 2021.
3. Financial penalty: The Institution shall pay a fine of $5,000.00.
4. Recruiting Communications: The Institution shall impose a two-week ban on all recruiting communications for men’s basketball during the 2020-21 academic year.
5. Recruiting restrictions: The Institution shall reduce its men’s basketball program’s recruiting person days for the 2020-21 academic year by five.
6. Show-cause order: The former assistant coach violated the principles of ethical conduct when he knowingly violated honesty and sportsmanship legislation. Therefore, pursuant to Bylaw 19.9.5.4, the former assistant coach shall be subject to a three-year show-cause order from April 21, 2020, through April 20, 2023, as follows: (a) During the first year that the show cause is in effect, from April 21, 2020, through April 20, 2021, the former assistant coach shall be: (1) restricted from all off-campus recruiting activities as defined in Bylaw 13.02.14 (2019-20 Manual) and all recruiting communications (e.g., phone calls, written or electronic correspondence, in-person contacts, evaluations) and (2) suspended from all coaching duties for the first 20 percent of the season (six contests), not counting exhibition games. The provisions of this suspension require that the former assistant coach not be present in the facility where games are played and have no contact or communication with men’s basketball coaching staff members or student-athletes during the suspension period. The prohibition includes all coaching activities for the period of time that begins at 12:01 a.m. on the day of the first contest of the season and ends at 11:59 p.m. on the day of the final contest of the suspension period. During that period, the former assistant coach may not participate in any coaching activities, including, but not limited to, team travel, practice, video study, recruiting and team meeting; (b) During the second year that the show cause is in effect, from April 21, 2021, through August 31, 2021, the former assistant coach shall be restricted from all off-campus recruiting activities as defined in Bylaw 13.02.14 (2019-20 Manual) and all recruiting communications (e.g., phone calls, written or electronic correspondence, in-person contacts, evaluations); and (c) In each year during the period of the show cause in which the former assistant coach is employed by a member institution for any portion of that year, he shall attend an NCAA Regional Rules Seminar at his own expense.  Pursuant to NCAA Division I Committee on Infractions Internal Operating Procedure 5-15-3, if the former assistant coach obtains employment or affiliation with any athletically related position at an NCAA member institution during the three-year show-cause period, any employing institution shall, within 30 days of hiring him, be required to contact the NCAA office of the Committees on Infractions to make arrangements to show cause why restrictions should not apply or notify the office of the Committees on Infractions that it will abide by the show cause order and fulfill reporting requirements. Further, every six months thereafter through the end of the show-cause order, any employing institution shall file reports detailing its adherence to these restrictions.

For any questions, feel free to contact Christian Dennie at cdennie@bgsfirm.com.