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news20201016_ncaa_ruling_2014-17

NCAA rules on impermissible financial aid from 2014-15 through 2016-17

Fall 2020

NCAA

Massachusetts provided impermissible financial aid in two sports
By Meghan Durham, NCAA.org, 10/16/20201)

The University of Massachusetts, Amherst, impermissibly provided 12 student-athletes in men’s basketball and women’s tennis with financial aid that exceeded full cost of attendance, according to a decision released by the Division I Committee on Infractions.

Full text, Oct. 2020 University of Massachusetts, Amherst Public Infractions Decision

In total, Massachusetts provided more than $9,100 in excess of full cost of attendance on 13 occasions over a three-year period. Four student-athletes received a higher housing rate after they moved to less-expensive off-campus housing, and eight continued to receive a fee associated with dorm phones after they moved to off-campus housing. One student-athlete received both. The additional aid resulted in those student-athletes competing while ineligible.

The committee said the violations occurred as a result of a former associate athletics director’s misunderstanding of financial aid rules and administrative error.

The excessive financial aid rendered the student-athletes ineligible. NCAA rules require member schools to withhold ineligible student-athletes from competition until their eligibility is restored, regardless of the school’s knowledge.

“When an institution makes a mistake, it is accountable for the consequences of that mistake,” the panel said in its decision. “Here, the mistake was providing excessive aid, and the consequence was the requirement to withhold ineligible student-athletes from competition.”

The committee noted that the school’s financial aid distribution and monitoring processes properly awarded aid in 98% of cases during that same time period. As a result, the committee determined that the violations did not demonstrate a failure-to-monitor violation.

“UMass implemented reasonable monitoring practices, including real-time review and end-of-year audits,” the panel said. “On 13 occasions involving unique circumstances, UMass failed to identify and correct financial aid overage payments.”

The committee classified the case as Level II-mitigated for the university. The committee used the Division I membership-approved infractions penalty guidelines to prescribe the following measures:

  • Two years of probation, from Oct. 16, 2020, through Oct. 15, 2022.
  • A $5,000 fine (self-imposed by the university).
  • A vacation of records of contests in which student-athletes participated while ineligible.

The university must provide a written report containing the contests impacted to the NCAA media coordination and statistics staff within 14 days of the public release of the decision.

Due to concerns related to the COVID-19 pandemic, the hearing for this case was held virtually.

Members of the Committee on Infractions are drawn from the NCAA membership and members of the public. The members of the panel who reviewed this case are Norman Bay, attorney in private practice; Thomas Hill, senior vice president emeritus at Iowa State; Jason Leonard, executive director of athletics compliance at Oklahoma; Vincent Nicastro, deputy commissioner and chief operating officer for the Big East Conference; Joseph D. Novak, former head football coach at Northern Illinois; Larry Parkinson, director of enforcement for the Federal Energy Regulatory Commission; and David M. Roberts, chief hearing officer and special assistant to the athletics director at Southern California.

UMass Athletics

Massachusetts Athletics To Appeal Decision From NCAA Committee On Infractions
From UMass Athletics, 10/16/20202)

AMHERST, Mass. – Today, the NCAA Committee on Infractions (COI) released its decision regarding unintentional violations in university financial aid distributions impacting student-athletes from the University of Massachusetts men's basketball and women's tennis programs. The University of Massachusetts strongly disagrees with the ruling and in support of its student-athletes will appeal the Committee's decision to vacate wins.

“As an athletics department we accept that we made administrative mistakes in the distribution of athletic aid through our financial aid process,” said Bamford. “However, we do not believe that the penalties imposed by the NCAA are appropriate, nor proportional to the violations that occurred. These were simply operational errors in our compliance systems that did not functionally detect payments above our cost of attendance. The errors occurred with no intent to gain a competitive or recruiting advantage, or to compromise the collegiate model. Our administrative and coaching staffs and student-athletes were completely unaware of the mistakes until we audited our records as part of the NCAA review. To vacate wins as a form of penalty – hurting our student-athletes who did nothing wrong – is an overreach by the infractions panel and is deeply disappointing.”

“The University of Massachusetts is committed to maintaining and ensuring the highest standards of compliance in our intercollegiate athletics program,” said Chancellor Kumble Subbaswamy. “Our athletics leadership acted promptly and appropriately when these administrative errors were discovered. We acknowledge and accept that violations occurred, however we respectfully disagree with the sanctions issued by the NCAA as they do not align with the nature of the infractions.”

The NCAA COI acknowledges in its report that there were 13 unintentional and inadvertent violations in the issuance of financial aid above the cost of attendance. The administrative errors affected 12 student-athletes in total – 10 in men's basketball and two in women's tennis – over a three-year period from 2014 to 2017. The 13 financial aid overages over the three-years totaled just over $9,000. At the time of the infractions, UMass administrators, coaching staff and student-athletes were not aware of the violations.

The NCAA COI decision finds that the involved student-athletes participated while technically ineligible and UMass should have withheld them from competition even though neither UMass nor the athletes themselves were aware of the violations at the time the student-athletes participated in competition. The inadvertent violations provided no recruiting or competitive advantage for either UMass team. The NCAA COI imposed as penalties a two-year probation, a $5,000 fine, vacation of records associated with the ineligible competition, and standard NCAA Regional Rules attendance for UMass staff members.

After initially learning of potential violations in the spring of 2017, UMass was proactive in engaging the NCAA and outside counsel and worked collaboratively with the parties to thoroughly assess athletics compliance efforts and remedial measures at the university. In the interest of transparency and to ensure the Department of Athletics was operating within the expectations of NCAA membership, the review ultimately encompassed compliance and financial aid operations for all 21 sport programs during a five-year period (2013-18). The financial aid infractions discovered during the review began in 2014 under UMass athletic department administration, basketball and tennis coaching staffs who are no longer at the institution.

Since 2017, the University and athletics department has enacted remedial and corrective measures and reviewed relevant policies and protocols for athletics compliance which include:

  • Creation of a new Assistant Director of Financial Aid position to administer and monitor aid disbursements to student-athletes
  • Updated aid disbursement procedures between the Financial Aid and Athletics Compliance offices
  • External Compliance Audit performed by Bond, Schoeneck and King
  • Increased educational efforts with student-athletes, athletics staff and campus partners
  • Implementation of compliance software (ARMS) to assist monitoring of compliance efforts
  • Athletics Compliance and Financial Aid staff attendance at NCAA Regional Rules seminars
  • Athletics Compliance Office has updated its policies and procedures manual
  • As of the opening of the 2017-18 academic year, the institution hired a new Associate Athletics Director for Compliance

“This unfortunate error in our operational processes has led to a comprehensive review of our procedures for setting and distributing athletic scholarship aid,” Bamford added. “We have updated our procedures, invested in new compliance software and added a full-time position in student financial services to assist our department in monitoring the financial aid disbursement process.”

Atlantic 10 Conference

Commissioner Statement on UMass NCAA Penalties
From the Atlantic 10 Conference, 10/16/20203)

The following is a statement from Atlantic 10 Commissioner Bernadette V. McGlade regarding the NCAA's decision Friday on UMass Athletics.

The decision and penalty issued by the Committee on Infractions to vacate contests is overly harsh and a disservice to the student-athletes and coaches at the University. It does not align with the values, mission and goals of the NCAA as an association, and is in direct conflict with the commitment to protect and provide equitable opportunities and treatment of our student-athletes. The adjudication of an institutional administrative mistake of nominal value for only 12 students, in a program that issues financial awards to thousands of student-athletes, lacks the application of reasonable discretion that these student-athletes and coaches deserve.

This case articulated that there was no recruiting advantage, there was no third-party involvement, there was no clandestine activity to retain student-athletes for competition and there was no failure to monitor violation. Thus, the penalty to vacate contests is out of step with the current environment of intercollegiate athletics. The scope and depth of this minor administrative error does not compare with other institutions’ violations that truly jeopardize the collegiate model. I am beyond disappointed and discouraged in our association, and support UMass in their decision to appeal because these student-athletes and coaches do not deserve to bear the brunt of a mistake that was purely administrative in nature of which they had no control or involvement.

Other coverage

Fall 2021

NCAA

Appeals committee upholds violations and penalties for Massachusetts’ men’s basketball and women’s tennis programs
By Saquandra Heath, NCAA.org, 11/17/20218)

Full text of the appeal decision

The NCAA Division I Infractions Appeals Committee confirmed the finding of violation that occurred in Massachusetts' men's basketball and women's tennis programs when the school provided impermissible financial aid to 12 student-athletes rendering them ineligible for competition. Those student-athletes participated in 186 contests while ineligible and received impermissible competition-related expenses. The appeals committee also affirmed two prescribed penalties.

In the NCAA Division I Committee on Infractions' decision regarding Massachusetts, the infractions panel found that over the course of a three-year period, the school provided a total of more than $9,100 in excess of the full cost of attendance on 13 occasions. Massachusetts provided financial aid packages that aligned with higher on-campus living expenses, even though the student-athletes moved off campus. The excessive financial aid resulted in the student-athletes exceeding their full cost of attendance and subsequently competing while ineligible.

The infractions panel found the violations occurred as a result of a former associate athletics director's misunderstanding of financial aid rules and administrative error which resulted in student-athletes receiving impermissible financial aid and subsequently competing while ineligible. Massachusetts appealed this violation, arguing that the infractions panel came to an inaccurate conclusion based on a statement made by a compliance coordinator that was not supported by the record or the analysis of the school's financial aid process. The school also stated it was not aware of the student-athletes' ineligibility when they competed.

In response, the infractions panel argued that NCAA rules give it the authority to base its decision on information it believes is “credible, persuasive and of a kind on which reasonably prudent persons rely in the conduct of serious affairs.” In response to Massachusetts' argument that the school was unaware of student-athletes' ineligibility when they competed, the infractions panel asserted that under NCAA rules, a school may be held accountable for failing to withhold an ineligible student-athlete from competition regardless of the school's knowledge.

The appeals committee noted that the school did not demonstrate in its appeal that the finding of a violation was clearly contrary to the facts found by the infractions panel. It also noted that deference is given to the infractions panel as it pertains to assessing the credibility of the evidence in a case. Finally, the appeals committee concurred with the infractions panel that NCAA bylaws requiring withholding ineligible student-athletes from competition do not expressly include a “knowledge” requirement. Therefore, the appealed violation was upheld.

Further, Massachusetts asserted that the infractions panel abused its discretion in prescribing the two-year probation and vacation of records penalties by failing to consider relevant case precedent, factors and information. In response, the infractions panel argued that the two-year probationary period falls within the core penalty range approved by NCAA members for a Level II-Mitigated case. Further, it argued that it has the discretion to prescribe a vacation of records penalty where a student-athlete participated in competition while ineligible.

The Infractions Appeals Committee agreed with the infractions panel, noting the infractions panel has the discretion to prescribe a vacation of records penalty when warranted, and concluded the infractions panel had not abused its discretion in the prescription of the vacation of records or the two-year probation penalties. Therefore, the appealed penalties were upheld.

The members of the Infractions Appeals Committee who heard this case were Jonathan Alger, president at James Madison; Alejandra Montenegro Almonte, attorney in private practice; Ellen M. Ferris, chair, senior associate commissioner for governance and compliance at the American Athletic Conference; Tom Goss, insurance chairman and executive; Allison Rich, senior associate athletics director and senior woman administrator at Princeton; David Shipley, faculty athletics representative at Georgia; and Julie Vannatta, senior associate general counsel for athletics/senior associate athletics director at Ohio State.

UMass Athletics

Massachusetts Athletics Statement Regarding NCAA Infractions Appeal
From UMass Athletics, 11/17/20219)

AMHERST, Mass. – The NCAA Division I Infractions Appeals Committee (IAC) has upheld the penalties prescribed by the NCAA Committee on Infractions (COI) on October 16, 2020 regarding the University's NCAA infractions case involving UMass' men's basketball and tennis programs for non-competitive, financial aid infractions over a three-year period from 2014 to 2017.

“I am profoundly disappointed with the outcome of our case and the manner in which we arrived at the final decision handed down by the IAC today,” said Director of Athletics Ryan Bamford. “As a practitioner who believes deeply in our collegiate model and the ideals of fair play, it is unfathomable to me that these committees vacated a tennis championship because two student-athletes unknowingly received $252 beyond the cost of attendance allowable amount, for instance. What message does it send that a member institution in good standing can self-report inadvertent administrative violations – that provided no recruiting or competitive advantage – and work closely in partnership with the NCAA enforcement staff only to arrive at an outcome that hurts our student-athletes and staff who did nothing wrong? It's an overreach of epic proportion,” Bamford added.

“The COI abused its discretion by not removing the vacation of records as a form of penalty and the IAC was complicit in its follow-up decision,” Bamford continued. “We are in the golden age of student-athlete rights but throughout this process the mechanics of NCAA enforcement has revealed that this important movement is not fully supported by NCAA staff or members of its own association. We say we are here for our students but time and again do things that are incongruent. It's shameful.”

After initially learning of potential violations in the spring of 2017, UMass was proactive in engaging the NCAA and outside counsel and worked collaboratively with the parties to thoroughly assess athletics compliance efforts and remedial measures at the university. In the interest of transparency and to ensure the Department of Athletics was operating within the expectations of NCAA membership, the review ultimately encompassed compliance and financial aid operations for all 21 sport programs during a five-year period (2013-18). The financial aid infractions discovered during the review began in 2014 under UMass athletic department administration, basketball and tennis coaching staffs who are no longer at the institution. UMass submitted a written appeal in January of 2021 and the appeal was heard by the IAC on June 30.

“We take pride in conducting our athletics program with honesty and integrity,” said Chancellor Kumble Subbaswamy. “Accordingly, I am grateful for our athletic department's commitment to NCAA compliance which resulted in our identifying and reporting violations to the NCAA enforcement staff. As we conclude this unfortunate matter, I remain dissatisfied by the IAC's decision to uphold the harsh penalties provided by the COI,” Subbaswamy added.

“I always believed we would receive fair consideration given the facts of the case, our self-reporting and willingness to cooperate throughout the process. The NCAA's inconsistent approach to the application of penalties is clearly a reflection of a broken infractions model which has now negatively impacted innocent student-athlete alumni/ae who otherwise had a remarkable experience at our university,” Subbaswamy concluded.

The NCAA COI acknowledged in its report that there were 13 unintentional and inadvertent violations in the issuance of financial aid above the cost of attendance. The administrative errors affected 12 student-athletes in total – 10 in men's basketball and two in women's tennis – over a three-year period from 2014 to 2017. The 13 financial aid overages over the three-years totaled just over $9,000. At the time of the infractions, UMass administrators, coaching staff and student-athletes were not aware of the violations.

The imposed penalties that have been upheld include a two-year probation and vacation of records in the sports of men's basketball and tennis, in which student-athletes who were deemed ineligible competed. The University accepted the initial COI penalties of a public reprimand and censure through the release of the public infractions decision. UMass also paid a $5,000 self-imposed fine.

Other coverage

Impact

According to the Daily Hampshire Gazette report, the NCAA will vacate 46 UMass men's basketball victories. This adds up to the number of wins in the 2014-15 through 2016-17 seasons. The NCAA will alter our cumulative record in those seasons from 46-51 to 0-97.

news20201016_ncaa_ruling_2014-17.txt · Last modified: 2021/11/17 17:29 by mikeuma