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