Kentucky State University has been placed on two years of probation, and a number of penalties imposed by the university were adopted by the Division II Committee on Infractions as the result of violations in the school's cross country, track and field, men's basketball, and baseball programs.

Violations in this case included bylaws governing eligibility, recruiting and a lack of institutional control.

The initial violation occurred when the head cross country and track and field coach directed an ineligible student-athlete to compete for the university under the name of another student-athlete in February 1998. The coach, who had been in his job for only a short time, said he substituted the student-athlete in the race when the second student-athlete could not be present. The coach said he believed the change had been acknowledged by race officials. However, the second student-athlete's name appeared in the race standings. The coach said he did not make the substitution to gain a competitive advantage but to provide experience for the young woman because he was not yet familiar with the team.

At the time, the coach also believed the substitute was academically eligible to compete for the university. After the meet, he was informed by the director of athletics that the young woman was academically ineligible and also had failed to sign a Student-Athlete Statement and a Drug-Testing Consent Form.

The Committee on Infractions had considered a finding of unethical conduct against the coach, but upon hearing all of the circumstances concluded that he did not act willfully to violate rules.

Among other violations at Kentucky State:

Several men's and women's track and field and cross country student-athletes participated in team practices while they were not enrolled full time, and some practiced and competed before receiving a certification decision regarding initial eligibility from the NCAA Initial-Eligibility Clearinghouse.

One track and field student-athlete competed after his eligibility was exhausted.

One men's basketball student-athlete competed for the university before fulfilling one academic year in residence.

The head men's basketball coach recruited a student-athlete before the coach was officially employed by the university and determined to be an authorized recruiter. He also observed student-athletes who were involved in pick-up basketball games with other students.

The Committee on Infractions and Kentucky State agreed that the university violated the principles of institutional control because the university did not have adequate policies and procedures in place to monitor the eligibility of its student-athletes and because it did not adequately monitor the recruiting activities of its men's basketball coaching staff.

This case initially was processed through the NCAA's summary-disposition process, which is used when a university, involved individuals and the NCAA's enforcement staff agree on the facts of the case and that those facts constitute a major violation. However, the Committee on Infractions eventually conducted an expedited hearing because the committee, university and involved coach did not agree on some of the proposed penalties.

As appropriate penalties were determined, the committee considered the self-imposed correction actions of the university. Among the actions:

The university hired a new director of athletics on July 1, 1999.

The head track and field and cross country coach was released.

The university created the position of assistant director of athletics for compliance and hired an individual for that position in January 2000.

The university president, director of athletics and faculty athletics representative will emphasize to all athletics personnel the importance of compliance and their responsibility to assure compliance.

The university created a compliance system including improved training, education monitoring and documentation.

The assistant director of athletics for compliance conducts regular meetings with athletics staff.

The assistant director for compliance created a compliance committee that includes representatives of admissions, financial aid registrar, housing, academic advisor and bursar.

The Southern Intercollegiate Athletic Conference has mandated the use of new compliance forms to assist its members in complying with conference and NCAA rules and regulations.

University admissions and financial aid representatives and the registrar attended an NCAA compliance seminar in 2001.

Letters of reprimand were sent to the former head cross country and track and field coach, the head men's basketball coach, the head baseball coach, and the vice-president for student affairs.

The university is continuing compliance training for financial aid, registrar, faculty athletics representative, admissions, bursar, department chairs and deans, academic advisors, the academic advisor for athletics, and the academic coordinator for athletics.

The university created the position of academic coordinator, who will assist with initial, continuing and transfer eligibility.

The university has developed a compliance manual that includes policies, procedures and compliance forms.

The university has made substantial changes in maintaining NCAA squad lists.

The university self-imposed probation for the 2001-02 year as it continues to develop and implement comprehensive educational programs on NCAA legislation.

The institution will submit a progress report in six months.

After the probationary period, the university president will provide a letter to the Committee on Infractions that affirms the university's athletics policies and practices conform to all NCAA regulations.

The head men's basketball coach will be required to attend an NCAA compliance seminar.

After the seminar, the basketball coach will be required to work with the compliance staff regarding compliance training for other members of his staff.

The head men's basketball coach will miss five student-athlete evaluation opportunities during the 2001-02 academic year.

The institution has notified all other involved institutions concerning the use of ineligible student-athletes and has forfeited all contests in which the institution used an ineligible student-athlete.

The Committee on Infractions imposed several additional penalties. The committee said it decided to lessen some the proposed penalties it had intended to impose originally because most of the violations in the case predated the current administration and because the university has taken several steps to regain control of its athletics department. The committee commended the university president for his actions, and especially cited creation of a full-time compliance position, which is unusual for a Division II institution. The committee imposed the following additional penalties:

Public reprimand and censure.

Two years of probation beginning on April 10, 2002.

During the 2002-03 academic year, the men's basketball staff will be limited to no more than one contact per prospective student-athlete, rather than the maximum of three allowed.

During the 2002-03 academic year, the men's basketball staff will be limited to no more than two tryout dates for enrolled students, rather than the maximum of three allowed.

Each year during probation, the university will send the director of athletics, the academic coordinator, the faculty athletics and the director of compliance to an NCAA compliance seminar. The university previously has required that the men's basketball coach attend a seminar, which is to be at his own expense.

During the probationary period, the university will continue to develop and implement a comprehensive education program on NCAA legislation and submit periodic reports to the NCAA. At the end of the probationary period, the university's president will provide a letter to the committee affirming that the university's current athletics policies and practices conform to all requirements of NCAA regulations.

As required by NCAA legislation for any institution involved in a major infractions case, Kentucky State is subject to the NCAA's repeat-violator provisions for a five-year period beginning on the effective date of the penalties in this case (April 10, 2002).

The members of the Division II Committee on Infractions who heard this case are: Les Brinson, chair, professor of psychology, North Carolina Central University; Larry Blumberg, professor of mathematics and statistics, Washburn University of Topeka; Michael Marcil, commissioner, North Central Intercollegiate Athletic Conference; and Julie Warrington, assistant athletics director, University of Northern Colorado.

A copy of the complete report from the Division II Committee on Infractions is available on NCAA Online at www.ncaa.org.