1. 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.

2. Prevention in Higher Education 1987The Network for the Elimination of Substance Abuse on College and University Campuses 1988Congress commits $40 million for research in AOD abuse 1989Groups 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 1989Drug Free Schools and Communities Act Amendments 1993The Safe and Drug Free Schools office authorizes funding for The Higher Education Center

3. 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

4. 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.

5. 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

6. 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.

7. 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.

8. Record Keeping Requirements Sec.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

9. At a minimum, each school must distribute to all students and employees annually: To comply with EDGAR (34 CFR Part 86)

10. 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

11. 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.

12. 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.

13. Sample-Law summary from Marshall University DFSC Information Federal Trafficking Penalties include substantial fines and imprisonment up to life. WV sanctions depend on the classification of the controlled substance, 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, one may 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.

14. 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.

15. 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

16. Sample-Health Risks from 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.

17. A good description will include Risk of dependence Possible short-term effects Possible long-term effect Effects of overdose

18. 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

19. 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

20. Sample-Statement of Sanction from 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.

21. 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.

22. 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

23. 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

24. ANNUAL Distribution To 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 obligations To 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.

25. How do YOU distribute? A brief discussion of the various and unique ways You conduct your annual distribution To Students Employees ACTIVITY

26. The Biennial Review The 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.

27. 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.

28. FIRST: Review Campus AOD program Relies on Clear description of problems Strategic interventions Desired outcomes Sound evaluation plan www.higheredcenter.org

29. Review Campus AOD program List 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

30. TYPOLOGY MATRIX Areas of Strategic Intervention Program and Policy Levels (The social ecological framework) IndividualGroupInstitutionCommunityPublic 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 CounselingAA meetings *In this context, the public policy component of the social ecological framework refers to state and federal policy. ACTIVITY

31. Resources To 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 Responsibility www.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

32. 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 inventory Can serve as a framework for prevention services

33. Evaluating Effectiveness The 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.

34. Evaluating Effectiveness cont. Effective programs  Are logically linked to identified problems  Have attainable outcomes  Use evidence-based strategies to achieve those outcomes

35. 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

36. 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

37. 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?

38. 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

39. The Biennial Review, continued The more thorough biennial reviews include: descriptions of the AOD program elements; 1.A description of AOD program elements 2.A statement of AOD program goals and a discussion of goal achievement 3.Summaries of AOD program strengths and weaknesses 4.Procedures for distributing AOD document to students and employees 5.Copies of the documents distributed to students and employees 6.Recommendations for revising AOD programs

40. 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.

41. Additional Information It 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

42. 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

43. 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.

44. CAS: Council for the Advancement of Standards in Higher Education Founded 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

45. 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

46. 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

47. ATODP CAS: Program The ATODP must include:  Environmental management strategies  Institutional policies  Enforcement strategies  Biennial review  Community collaboration  Training & education  Assistance & referral  Student leadership

48. A Call to Action: Changing the Culture of Drinking at U.S. Colleges http://www.edc.org/hec/niaaa/report.html

49. “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

50. 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

51. 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

52. 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)

53. 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

54. 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

55. 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

56. NIAAA Checklist Provided by The Higher Education Center for Alcohol, Other Drug Abuse and Violence Prevention ACTIVITY

57. Supplemental checklist Provided by The Higher Education Center for Alcohol, Other Drug Abuse and Violence Prevention ACTIVITY

58. EDGAR Checklist 1. Does the institution maintain a copy of its AOD prevention program? If yes, where is it located?

59. 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

60. 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?

61. 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?

62.  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?

63. 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? Name Title Department Phone Email 12.Comments

64. 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.eduwww.cas.edu  The Network Web Site http://www.thenetwork.ws/http://www.thenetwork.ws/  US Department of Education Web Site http://www.ed.gov/index.jhtml

65. Thanks to Susanna L. Baxter VP for Member Services TN Independent Colleges & Universities Association 2409 21st Avenue South Suite 202 Nashville, TN 37212 615/242-6400 ext. 203 615/242-8033 fax baxter@ticua.org Diane Berty Interim Assc. VP Division of Student Affairs Austin Peay State University PO Box 4598 Clarksville, TN 37044 931-221-7341 931-221-6304 fax bertyd@apsu.edu For their contributions to this program Beth DeRicco Associate Center Director The Higher Education Center for Alcohol and Other Drug Abuse Prevention 55 Chapel Street Newton, MA www.higheredcenter.org

66. Presenter Information Carla Lapelle Associate Dean, Student Affairs lapelle@marshall.edu Marshall University 1 John Marshall Dr. Huntington, WV 25755 Ph: (304) 696-2269