complying with the drug free schools and campuses act edgar (34 cfr part 86) complying with the...
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Complying with the Drug Free Schools and Campuses Act EDGAR (34 CFR Part 86)
Complying with the spirit, and not just the letter,
of the law provides significant benefits for the school and its students.
Prevention in Higher Education
1987 The Network for the Elimination of Substance Abuseon College and University Campuses
1988 Congress commits $40 million for research in AOD abuse
1989 Groups of nationally known researchers practitioners, and federal agencies gather to determine a research agenda.
1983Inter-Association Task Force on Alcohol and Other Substance Abuse Issues
1989 Drug Free Schools and Communities Act Amendments
1993 The Safe and Drug Free Schools office authorizes funding for The Higher Education Center
Sense of Congress Wanted campuses to have substance
abuse prevention programs Could not mandate it
No money to fund it
Codified along with Safe and Drug Free Workplace Act in 1986
Initiation of Biennial Review in 1990
Certification Requirements
Part 86, the Drug-Free Schools and Campuses Regulations, requires that, as a condition of receiving funds or any other form of financial assistance under any federal program, an institution of higher education (IHE) must certify that it has adopted and implemented a program to prevent the unlawful possession, use, or distribution of illicit drugs and alcohol by students and employees.
Certification Requirements, continued
Creating a program that complies with the Regulations requires an IHE to:
1. Prepare a written document that includes specified alcohol and other drug notifications
2. Develop a sound method for annual distribution of the document to every student and IHE staff member each year
3. Prepare a biennial report on the effectiveness of its alcohol and other drug (AOD) programs and the consistency of policy enforcement
Certification Requirements, continued
The Drug-Free Schools and Campuses Regulations also require an IHE to submit a written certification to the Secretary of Education that it has adopted and implemented a drug prevention program as described in the Regulations.
The Drug-Free Schools and Campuses Regulations establish a minimum set of requirements for college substance use policies. Colleges may also have additional obligations under state law.
Equally important may be recent court decisions in lawsuits brought against IHEs by college and university students and employees. Consultation with an attorney knowledgeable in this area is highly recommended.
Failure to Comply with the Drug-Free Schools and Campuses Regulations
If an IHE fails to submit the necessary certification or violates its certification, the Secretary of Education may terminate all forms of financial assistance, whether from the Department of Education or other federal agencies, and may require repayment of such assistance, including individual students' federal grants, such as Pell grants.
The Department of Education may also arrange to provide technical assistance toward the development of a plan and agreement that brings the IHE into full compliance as soon as feasible.
The possibility of loss of federal funding exists in the provision that "the Secretary annually reviews a representative sample of IHE drug prevention programs." If the Secretary of Education selects an IHE for review, the IHE shall provide the Secretary access to personnel records, documents, and any other necessary information requested for this review.
Record Keeping RequirementsSec.86.103 requires that IHEs retain the following records for 3
years after the fiscal year in which the record was created:
The annually distributed notification document Prevention program certification Results of the biennial review Any other records reasonably related to the IHE’s
compliance with certification
If selected for review, the IHE shall provide access to personnel, records, documents and any other necessary information requested by the Secretary to review the IHE’s adoption and implementation of its drug prevention program
At a minimum, each school must distribute to all students and employees annually:
To comply withEDGAR (34 CFR Part 86)
Standards of conduct that clearly prohibit the unlawful possession, use, or distribution of illicit drugs and alcohol on school property or as part of any school activities
The written document must also include: 1. A list of applicable legal sanctions under federal, state, or local
laws for the unlawful possession or distribution of illicit drugs and alcohol
2. A description of the health risks associated with the abuse of alcohol or use of illicit drugs
3. A list of drug and alcohol programs (counseling, treatment, rehabilitation, and re-entry) that are available to employees or students
4. A clear statement that the IHE will impose disciplinary sanctions on students and employees for violations of the standards of conduct and a description of those sanctions, up to and including expulsion or termination of employment and referral for prosecution
Standards of Conduct
Standards of conduct may range from statements prohibiting illegal activities related to alcohol and other drugs to statements reflecting the institution's more specific expectations.
Standards of conduct apply to all on-campus activities and to off-campus activities that are considered to be school-sponsored
The standards of conduct have also been interpreted to apply to student-sponsored social activities or professional meetings attended by employees, if these activities or meetings are considered IHE-sponsored activities. If a fraternity or sorority is recognized by an IHE, then its activities may be considered to be activities of the IHE and may be covered by its standards of conduct, even if the fraternity or sorority is located off-campus.
Legal Sanctions
A description of the applicable legal sanctions under local, State, or Federal law for the unlawful possession or distribution of illicit drugs and alcohol
An alcohol and drug policy should stipulate that anyone
who violates the policy is subject both to the institution's sanctions and to criminal sanctions.
Sample-Law summaryfrom Marshall University DFSC Information
Federal Trafficking Penalties include substantial fines and imprisonment up to life.WV sanctions depend on the classification of the controlledsubstance, the particular activity involved (possession or trafficking), and whether multiple convictions are involved. Under WV law, the most severe penalties for drug violations are for possession with intent to sell. On a first offense
conviction, onemay receive a fine of up to $25,000 and/or imprisonment for 15
years. Sanctions for violations of state alcohol laws vary according to
the severity of the offense, with the minimum vehicular violation
calling for imprisonment in the county jail for 24 hours, and a $500 fine.
Health Risks
A description of the health risks associated with the use of illicit drugs and the abuse of alcohol
Statements of health risks associated with the use of alcohol and other drugs represent
the minimum level of information that schools must distribute.
Controlled Substances Act(21 U.S.C. 811)
http://www.dea.gov/pubs/csa/811.htm
Summary of health risks may be for each prohibited class of drugs
Narcotics Depressants Stimulants Hallucinogens Cannabis Alcohol Tobacco
Sample-Health Risksfrom San Diego State University
Alcohol and Drug Policy and Information Statement This statement is presented to students to provide information about (1) health risks associated with alcohol and other drugs, (2) prevention and treatment programs available on campus, and (3) applicable State laws and campus policies. For more information, please contact SDSU's coordinator of Alcohol and Other Drug Initiatives, (619) 594-4133.
Risks Use and abuse of alcohol and other drugs can lead to accidents, injury, and other medical emergencies. Alcohol, especially in high doses, or when combined with medications or illegal drugs continues to claim the lives of college students across the nation. If you see someone unconscious call 911; doing so may save his or her life. Driving after consumption of even relatively small quantities of alcohol can substantially increase your risk of crash involvement. Even after just a drink or two, drinkers may experience some loss of their ability to think about complex problems or accomplish complex tasks. Drinkers may also lose some control over impulsive behavior. To become dependent upon chemicals such as alcohol and/or illicit drugs is to put your health and life at risk. Chemical dependency is a condition in which the use of mood altering substances, such as drugs or alcohol, affects any area of life on a continuing basis. Medical research has established very strong evidence that alcohol abuse contributes significantly to cancer and heart disease. Many illicit drugs have also been demonstrated to lead to serious short and long-term health problems. There is clear evidence of serious negative effects on babies due to use of illicit drugs and alcohol by the mother during pregnancy.
A good description will include
Risk of dependence Possible short-term effects Possible long-term effect Effects of overdose
Drug & Alcohol Programs
A description of any drug or alcohol counseling, treatment, or rehabilitation or re-entry programs that are available to employees and students
Disciplinary Sanctions
A clear statement that the institution will impose sanctions on students and employees (consistent with local, State, and Federal law)
And, a description of those sanctions, up to and including expulsion or termination of employment and referral for prosecution, for violations of the standards of conduct
Sample-Statement of Sanctionfrom Marshall University
Disciplinary Sanctions: The University will impose disciplinary sanctions on students and employees consistent with local, State, and Federal laws for violation of the Standards of Conduct outlined above. All persons should be aware that violations could result in expulsion from school, termination of employment, or referral for prosecution.
Disciplinary Sanctions, continued
Responsibility for the enforcement of standards of conduct is not specifically mentioned in 34 C.F.R.
Part 86
Responsibility for enforcing standards of conduct is usually
shared among campus police or security personnel, health providers, faculty,
and students, among others.
Distribution of the Document
The Department of Education requires that each IHE distribute its AOD document annually in writing.
Delivery may be electronic if the IHE has established that electronic delivery goes to the individual and that electronic communication is one of the IHE’s primary modes of communication.*Must demonstrate appropriate method of distributing to those whose emails bounced back
Distribution of the Document cont.
If new students enroll or new employees are hired after the annual distribution date, these students and employees must also receive the materials.
Merely making the materials available to those who wish to take them does not satisfy the requirements of the Regulations.
Must be intentional, NOT PASSIVE, distribution
ANNUAL DistributionTo Students: The U.S. mail system is probably the best way to ensure distribution
to all students. Electronic mail (e-mail) is another option when all students or
employees have access. Dissemination through advising when advising is mandatory Enclose in invoices for financial obligationsTo Faculty & Staff, include: with employees' paychecks with the W-2 form In the faculty/staff handbook
Giving the written policy to employees only at the beginning of their employment does not meet
the requirement that the policy be distributed annually.
How do YOU distribute?
A brief discussion of the various and unique ways
You conduct your annual distributionTo
Students Employees
ACTIVITY
The Biennial ReviewThe law further requires an institution of
higher education to conduct a biennial review of its program to:
determine its effectiveness and implement changes if they are needed
ensure that the sanctions developed are consistently enforced
The Drug-Free Schools and Campuses Regulations require IHEs to review their AOD programs and policies every two years.
The Biennial Review, continued
Because the Regulations do not specify what a biennial review should include or how it should be conducted, schools have considerable leeway in determining how to conduct and what to include in their biennial review.
FIRST: Review Campus AOD program
Relies on Clear description of problems Strategic interventions Desired outcomes
Sound evaluation planwww.higheredcenter.org
Review Campus AOD programList activities that compose prevention program
It is unlikely that one staff person initiated/managed every activity/policy in your AOD prevention program
More likely a combination of efforts from Residence Life, Law Enforcement, Health Services and others
Identify the effectiveness of these efforts at meeting goals and outcomes
Inventory is best achieved by involving diverse representation of campus staff
TYPOLOGY MATRIX
Areas of Strategic
Intervention
Program and Policy Levels(The social ecological framework)
Individual Group Institution Community Public Policy*
Knowledge, attitudes; and behavioral intentions
BASICS in classes
Environmental change (alcohol- free options; normative environment; alcohol availability, policy, and enforcement)
Friday bands
Peak night enforcement
Chili-fest
Health protection
Intervention and treatment
Counseling AA meetings*In this context, the public policy component of the social ecological framework refers to state and federal policy.
ACTIVITY
ResourcesTo aid in the development and review of
comprehensive programs
NIAAA’s A Call to Action: Changing the Culture of Drinking at US Colleges
www.higheredcenter.org/niaa/report.html IOM’s Reducing Underage Drinking: A
Collective Responsibilitywww.higheredcenter.org/iom-report.html
DeJong and Langford’s “A typology for Campus-Based Alcohol Prevention: Moving Toward Environmental Management Strategies”
Journal of Studies on Alcohol, supplement no. 14: 140-147, 2002
Resources continued
Other useful resources can be found in the standards for prevention programs developed by:
The Network Addressing Collegiate Alcohol and Other Drug Issues
The Council for the Advancement of Standards in Higher Education
American College Health Association
Can serve as a guide for conducting your inventoryCan serve as a framework for prevention services
Evaluating EffectivenessThe US Department of Education established a set of
principles of effectiveness for those receiving OSDFS funds. Those most applicable to Higher Education are:
Design programs based on a thorough and objective needs assessment
Establish measurable goals linked to identified needs Implement activities proven (through research and
evaluation) to be effective in preventing high-risk drinking
Use evaluation results to refine and strengthen program and goals.
Evaluating Effectiveness cont.
Effective programs
Are logically linked to identified problems
Have attainable outcomes
Use evidence-based strategies to achieve those outcomes
Evaluating Effectiveness cont.
The Department of Education has not specified particular criteria or measures to gauge program effectiveness beyond requiring that evaluations of program effectiveness do not rely solely on anecdotal observations.
Examples of possible measures Imposed sanctions Referrals to counseling/treatment Incidents reported in Campus police logs Incidents of vandalism
Attitudes and perceptions of alcohol and other drug problems on campus
Use levels
Evaluating Effectiveness Resource
Preventing Alcohol-Related Problems on Campus: Methods for Assessing Student Use of Alcohol and Other Drugs: A Guide for Program Coordinators
Available through the US Dept. of Ed’s Higher Education Center
Describes procedures for gathering and interpreting student survey data on alcohol-related problems
SECOND:Conduct a Policy Inventory
Identify and list policies Articulate effectiveness and
consistency of enforcement
Are all students held to the same policy standards ? Are all students sanctioned similarly for violations? Is the policy moving us to our goals and outcomes?
Evaluating enforcement consistency
Document that similar situations are treated similarly Can report this by creating a chart that details case
particulars, mitigating circumstances, and disposition group similar cases together for easy comparison
Document Levels of effort expended to detect violations Levels of expertise of those detecting violations
Documents may include department budgets, personnel time records, personnel qualifications
The Biennial Review, continued
The more thorough biennial reviews include:descriptions of the AOD program elements;
1. A description of AOD program elements2. A statement of AOD program goals and a discussion of
goal achievement3. Summaries of AOD program strengths and weaknesses4. Procedures for distributing AOD document to students
and employees5. Copies of the documents distributed to students and
employees6. Recommendations for revising AOD programs
Although IHEs produce a wide variety of acceptable biennial reviews, the most useful reviews point to areas in a program or policy that need improvement or that can continue unchanged.
Additional InformationIt is common practice for a task force or committee
responsible for reviewing alcohol and other drug policies and programs to prepare the biennial review.
AND
Additional Information continued
“Model” Bienniel Reviews shared common elements:
1. Each included materials to compliment the report
2. Each included information on evaluation of program effectiveness
3. Each detailed goals and goal achievements
4. Each included recommendations for revising programs and policies
5. Each used a task force to complete the review
Additional Information Summaries of ATOD Program Strengths and Weaknesses
Favorable compliance
The institution has developed and maintains a drug prevention policy.
The institution distributes annually to each student a copy of the drug-free policy.
The institution provides services and activities to promote a strong drug-free campus environment.
The institution conducts a biennial review of its drug prevention program and policy to determine effectiveness, implements necessary changes, and ensures that disciplinary sanctions are enforced.
The institution tracks the number of drug- and alcohol-related legal offenses and referrals for counseling and treatment.
Compliance concerns
Drug-free policy is distributed to new employees; need to implement annual distribution to all employees.
Ensure that students who enroll after fall quarter or who are graduate or summer students only are receiving the policy.
Ensure that the drug-free policy is readable; currently, small print in handbook is difficult to read.
Recommendation made that "No Smoking" signs be placed about campus.
After identifying strengths and weaknesses the IHE should make recommendation for revising & improving the AOD program.
CAS: Council for the Advancement of Standards in Higher EducationFounded in 1979 in response to efforts to establish specialized
accreditation for student affairs preparation programs
CAS is a consortium of 34 professional associations
Twenty-nine standards and guidelines had been promulgated (and sometimes revised) by fall 2001
Mission of CAS Promulgate standards and guidelines for practice and preparation
Promote assessment in educational practice
Promote the use of standards in practice
Promote quality assurance within higher education
Putting the CAS Standards to Work
Establish and prepare the self-study team
Conduct the self-study
Identify and summarize evidence
Identify discrepancies
Determine appropriate corrective action
Recommend action for program enhancement
Prepare an action plan
ATODP CAS: Program Effective communication
Enhanced self-esteem
Intellectual growth
Realistic self-appraisal
Values clarification
Career choices clarification
Leadership development
Healthy behavior
Meaningful interpersonal relationships
Independence
Collaboration
Social responsibility
Satisfying & productive lifestyles
Appreciating diversity
Spiritual awareness
Desirable Student Learning & Development Outcomes
ATODP CAS: Program
The ATODP must include:
Environmental management strategies Institutional policies Enforcement strategies Biennial review Community collaboration Training & education Assistance & referral Student leadership
A Call to Action:Changing the Culture of Drinking at U.S. Colleges
http://www.edc.org/hec/niaaa/report.html
“One reason for the lack of success of prevention efforts is that, for the most part, schools have not based their prevention efforts on strategies identified and tested for effectiveness by research.”
A Call to Action: Changing the Culture of Drinking at U.S. Colleges
http://www.higheredcenter.org/niaaa/report.html
Tier 1: Evidence of effectiveness among college students
Tier 2: Evidence of success with general populations that could be applied to college environments
Tier 3: Evidence of logical and theoretical promise, but require more comprehensive evaluation
Tier 4: Evidence of ineffectiveness
NIAAA Tiers of Effectiveness
Tier 1:
Evidence of Effectiveness Among College Students
Combining cognitive-behavioral skills with norms clarification and motivational
enhancement interventions
Offering brief motivational enhancement interventions
Challenging alcohol expectancies
Tier 2:
Evidence of Success with General Populations That Could Be Applied to College Environments
Increased enforcement of minimum drinking age laws
Implementation, increased publicity, and enforcement of other laws to reduce alcohol impaired driving
Restrictions on density of retail alcohol outlets
Increased price and excise taxes on alcoholic beverages
Responsible beverage service policies (social and commercial setting)
Tier 3:
Evidence of Logical and Theoretical Promise, but Require More Comprehensive Evaluation
Reinstating Friday classes and exams and Saturday morning classes
Implementing alcohol-free, expanded late-night student activities Eliminating keg parties on campus
Employing older, salaried resident assistants or hiring adults
Further controlling or eliminating alcohol at sports events and prohibiting tailgating
Refusing sponsorship gifts from the alcohol industry
Banning alcohol on campus, even at faculty and alumni events
Tier 3 :
Evidence of Logical and Theoretical Promise, but Require More Comprehensive Evaluation continued
Increasing enforcement at campus-based events that serve alcohol
Increasing publicity about enforcement of underage drinking laws
Consistently enforcing disciplinary actions associated with policy violations Conducting marketing campaigns to correct student misperceptions of alcohol use Providing “safe rides” programs
Regulating “happy hours” and sales
Informing new students and their parents about alcohol policies and penalties before arrival and during orientation
Tier 4: Evidence of Ineffectiveness
Informational, knowledge-based, or values clarification interventions about alcohol and the problems related to its excessive use (when used alone)
Provision of blood alcohol content feedback to students
NIAAA Checklist
Provided byThe Higher Education Center for Alcohol,
Other Drug Abuse and Violence Prevention
ACTIVITY
Supplemental checklist
Provided byThe Higher Education Center for
Alcohol, Other Drug Abuse and Violence Prevention
ACTIVITY
EDGAR Checklist
1. Does the institution maintain a copy of its AOD prevention program?
If yes, where is it located?
2. Does the institution provide annually to each employee and each student, who is taking one or more classes for any type of academic credit except for continuing education units, written materials that adequately describe and contain the following:
a) Standards of conduct that prohibit unlawful possession, use, or distribution of illicit drugs and alcohol on its property or as apart of its activities;
b) A description of the health risks associated with the use of illicit drugs and the abuse of alcohol;
c) A description of applicable legal sanctions under local, state, or federal law;
d) A description of applicable counseling, treatment, or rehabilitation or re-entry programs; A clear statement of the disciplinary sanctions the institution will impose on students and employees, and a description of those sanctions
3. How are the above materials distributed to students? Snail-Mailed to each student (separately or included in
another mailing) Electronic Mail Through campus post office boxes Class schedules which are mailed to each student During freshman orientation During new student orientation In another manner (describe)
4. Does the means of distribution provide adequate assurance that each student receives the materials annually?
5. Does the institution’s distribution plan make provisions for providing these materials to students who enroll at some date after the initial distribution?
6. How are the above materials distributed to staff and faculty? Snail mail/E-mail Through campus post office boxes During new employees orientation In another manner (describe)
7. Does the means of distribution provide adequate assurance that each staff and faculty member receives the materials annually?
8. Does the institution’s distribution plan make provisions for providing these materials to staff and faculty who are hired after the initial distribution?
Conduct student AOD use survey
Conduct opinion survey of its students, staff and faculty
Evaluate comments obtained from a suggestion box
Conduct focus groups
Conduct intercept interviews
Assess effectiveness of documented mandatory drug treatment referrals for students and employees
Assess effectiveness of documented cases of disciplinary sanctions imposed on students and employees
Other (please list) By whom
9. How and by whom does the institution conduct biennial reviews of its drug prevention program to determine effectiveness, implement necessary changes, and ensure that disciplinary sanctions are enforced?
10. If requested, has the institution made available, to the Secretary and the public, a copy of each required item in the drug prevention program and the results of the biennial review?
11. Where is the biennial review documentation located? NameTitleDepartmentPhoneEmail
12. Comments
Online Resources: Higher Education Center Web Site
http://www.higheredcenter.org
Complying with the Drug-Free Schools and Campuses Regulations: A Guide for University and College Administrators
NIAAA’s A Call to Action Supplemental Checklist
CAS Web Site www.cas.edu
The Network Web Site http://www.thenetwork.ws/
US Department of Education Web Sitehttp://www.ed.gov/index.jhtml
Thanks to Susanna L. BaxterVP for Member ServicesTN Independent Colleges & Universities
Association2409 21st Avenue South Suite 202Nashville, TN 37212615/242-6400 ext. 203615/242-8033 fax
Diane BertyInterim Assc. VPDivision of Student AffairsAustin Peay State UniversityPO Box 4598Clarksville, TN 37044931-221-7341931-221-6304 [email protected]
For their contributions to this program
Beth DeRiccoAssociate Center Director
The Higher Education Center for Alcohol and Other Drug Abuse Prevention
55 Chapel StreetNewton, MA
www.higheredcenter.org
Presenter Information
Carla LapelleAssociate Dean, Student Affairs
Marshall University1 John Marshall Dr.
Huntington, WV 25755
Ph: (304) 696-2269