Designing Drug and Alcohol Abuse Prevention Programs to Meet Biennial Review Requirements Complying...

Designing Drug and Alcohol Abuse Prevention Programs to Meet Biennial Review Requirements

Complying with the Drug-Free Schools and Campuses Act EDGAR (34 CFR Part 86)

D. Berty / TICUA / MIMSAC 2014 1

Alcohol and College Students: Researchers estimate that each year —

• 1,825 college students between the ages of 18 and 24 die from alcohol-related unintentional injuries, including motor vehicle crashes.12

• 696,000 students between the ages of 18 and 24 are assaulted by another student who has been drinking.13

• 97,000 students between the ages of 18 and 24 are victims of alcohol-related sexual assault or date rape.14

Hingson et al. Magnitude of and trends in alcohol-related mortality and morbidity among U.S. college students ages 18-24, 1998-2005. Journal of Studies on Alcohol and Drugs, July (Suppl 16): 12-20, 2009.


“The Drug-Free Schools and Campuses Act now requires colleges to develop, announce, and enforce an unequivocal set of policies for preventing the misuse of alcohol and other drugs on campus.”

Environmental Management: A Comprehensive Strategy for Reducing Alcohol and Other Drug Use on College Campuses. The Higher Education Center, 1998, pg. 11


Creation of Drug Free Schools and Campuses Act

Codified along with Safe and Drug Free Workplace Act in 1986

Initiation of Biennial Review in 1990


The Chronicle of Higher EducationApril 11, 2012

“…a report last month by the U.S. Department of Education's Office of Inspector General: Enforcement of the law, it says, has been basically zero. Now, that may change…”

Education Department's Report on Alcohol and Drugs May Prompt Crackdown


Part 86 of the Drug-Free Schools and Campuses Regulations requires 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 alcohol and other illicit drugs (AOD)by students and employees.


Is intended to:Ensure campuses meet minimum standards for AOD programming, policies, and disciplinary procedures for students and employees.

Ensure campuses review the effectiveness of their prevention programming on a biennial basis, implement changes to improve upon programmatic and policy efforts, and ensure sanctions are consistently enforced.


EDGAR Part 86

Creating a program that complies with the Regulations requires an IHE to:

1. Prepare a written AOD policy2. Develop a sound method for distribution of

the policy to every student and IHE faculty & staff member each year

3. Prepare a biennial report on the effectiveness of its AOD programs and the consistency of policy enforcement


Require an IHE to submit a written certification to the Secretary of Education that it has adopted and implemented an AOD prevention program as described in the Regulations.

Establish a minimum set of requirements for college substance use policies. Colleges also may have additional obligations under state law.

Establish an expectation that colleges address substance abuse issues based on current research, evaluation, best practices, and recent court decisions in lawsuits brought against IHEs by college and university students and employees.


Some forms of federal funding and assistance require IHE’s to certify compliance.

In most cases, certification is included within the “Representations and Certifications” portion of funding applications and proposals


Presidential or Senior Administrator Certification

IHE’s also must have the senior leading administrator (President) certify

minimally every five years upon the arrival of a new senior leading

administrator


Failure to Comply with the Drug-Free Schools and Campuses Regulations

If an IHE fails to submitthe 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.

The Department of Education also may 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 "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.


Required Documentation

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 or policy documentPrevention program certification of the biennial reviewResults of the biennial reviewAny other records reasonably related to the IHE’s compliance with certification


If selected for review, the IHE will provide access to personnel, records, documents, and any other related information requested by the Secretary to review the IHE’s adoption and implementation of its AOD prevention program


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 annual notification or policy also must 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 short- and long-term health risks associated with the use of illicit drugs or abuse of alcohol

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

Annual Notification


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

May range from statements prohibiting illegal activities related to alcohol and other drugs to statements reflecting the IHE's more specific expectations

Apply to all on-campus activities and to off-campus activities that are considered to be school-sponsored

Have been interpreted to apply to student-sponsored social activities or professional meetings attended by employees, if these activities or meetings are under the auspices of the IHE


Standards of Conduct

Legal Sanctions

1. A list of applicable legal sanctions under federal, state, or local laws 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


Example of Legal Sanctions… Federal Trafficking Penalties include substantial fines and imprisonment up to life.

State sanctions depend on the classicization of the controlled substance, the particular activity involved (possession or trafficking), and whether multiple convictions are involved.

Under state 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 $xxx and/or imprisonment for XX years.

Sanctions for violations of state alcohol laws vary according to the severity of the offense, with a vehicular violation calling for imprisonment in jail for XX hours and a $xxx fine.


Health Risks

2. A description of the short- and long-term health risks associated with the use of illicit drugs or abuse of alcohol.

Statements of health risks associated with the use of alcohol and other drugs represent the minimum level of information schools must distribute.

Resource: Controlled Substances Act


Example of Risks…Use and abuse of alcohol and other drugs can lead to accident, injury, and other medical emergencies. Alcohol, especially in high doses, or when combined with medications or illegal drugs claims the lives. If you see someone unconscious call 911; doing so may save their life.Driving after drinking even relatively small quantities of alcohol can substantially increase one’s risk of crash involvement. Even after just one drink, one may experience some loss of ability to think about complex problems or accomplish complex tasks. Drinkers also may lose some control over impulse 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 affect 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. Evidence also links the use of illicit drugs to serious short- and long-term health problems. There is clear evidence of serious negative effects on babies due to the use of alcohol and illicit drugs by the mother.


Drug & Alcohol Programs

3. A list of drug and alcohol programs (counseling, treatment, rehabilitation, and re-entry) that are available to employees or students

May include community resources or the means by which students and employees can access community resources


Disciplinary Sanctions4. 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.

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 should comply with the school’s internal policies and procedures and be consistently applied


Example…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 as described in this policy. All persons should be aware that violations could result in expulsion from the university, termination of employment, or referral for prosecution.


Distribution of the Policy

The Department of Education requires that each IHE distribute its AOD policy 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

IHE must demonstrate appropriate method of distributing to those whose mailings are returned or bounced back


If new students enroll or new employees are hired after the annual distribution, these students and employees also must receive the materials.

Merely making the materials available to those who wish to take them does not satisfy the requirements of the Regulations.

Distribution must be intentional, passive methods do not meet requirements or expectations


How does YOUR Institution Distribute its Policy?


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 Drug-Free Schools and Campuses Regulations require IHEs to review their AOD programs and policies every two years.

No specific date in which report is to be filed

Since regulations began in 1990, common for reviews to be conducted during even years

Review report should be completed and filed by December 31

Review report should cover the 2 previous academic 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.


Biennial Review Best Practices

Comprehensive program focuses on evidence-based strategies of practice

Data collection of students’ behaviors and perceptions

Program focuses on meeting needs of students at various levels (drinkers/users, non-drinkers/non-users, problem drinkers, etc. )

Creation of a strategic plan of action

Creation of a task-force or campus-based coalition


First -- Review Campus AOD Program

Relies on: Clear description of problems Strategic interventions Desired outcomes Sound evaluation plan


Review Campus AOD Program

Conduct a Program & Interventions Inventory

List activities that compose prevention program

Identify the effectiveness of these efforts at meeting goals and outcomes

Conduct a Policy Inventory



1. Each included materials to compliment the report

2. Each included information on assessment and 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

HEC Analysis of Model Biennial Reviews


Thorough Biennial Reviews Include:

1. A description of AOD comprehensive program/intervention elements and policies

2. A statement of AOD program/intervention and policy goals and a discussion of goal achievement

3. Summaries of AOD program/intervention and policy strengths

4. Summaries of AOD program/intervention and policy weaknesses and problems

5. Procedures for distributing AOD document to students and employees

6. Copies of the documents distributed to students and employees

7. Recommendations for revising AOD programs8. Supporting documentation and evidence

Socioecological Model by Network Standards

Individual Group Institution Community Policy

Policy

Education

Enforcement

Assessment

Community Mobilization


Typology Matrix

Socioecological Model by NIAAA Tiers


Tier I – evidence with college students

Tier II – evidence with gen populations

Tier III - promising

Tier IV – doesn’t work


Socioecological Model by SAMHSA Prevention Strategies


Information Dissemination

Education

Alternatives

Problem Identification/Referral

Community-Based Processes

Environmental/Policy


Additional Options

Other useful resources can be found in the standards for prevention programs developed by:

The Council for the Advancement of Standards in Higher Education (CAS Standards)

American College Health Association (ACHA)


Leadership from college and university presidents and othersenior administrators is key toinstitutionalizing prevention as a priority on campus.D. Berty / TICUA / MIMSAC 2014 39

“The primary vehicle for creating environmental change on campus should be a campus-based AOD task force…”

Environmental Management…1998, pg.14


Who is Responsible?

Governance/Accountability

Compliance Office Senior Level Administrator AOD Prevention Program Task Force/Coalition


Initiating a Biennial Review

Determine why the institution benefits from conducting this process…

It’s the law – avoid penalties Increase program and policy

effectiveness Increase safe and supportive learning

environment Determines priorities


“We have learned a considerable amount about the drinking habits of college students and the consequences that follow since NIAAA first reported on the matter in 1976. Surprisingly, drinking levels have remained relatively stable on and around college campuses over the last 30 years, with roughly two out of five male and female students engaging in excessive, or binge, drinking. Excessive drinking results in a wide range of consequences, including injuries, assaults, car crashes, memory blackouts, lower grades, sexual assaults, overdoses and death. Further, secondhand effects from excessive drinking place non–binge-drinking students at higher risk of injury, sexual assaults, and having their studying disrupted.”



Determine how this process should be implemented…

Timelines Task Force/Coalition/Sub-Committees Data Collection Processes Suggestions/Recommendations Reporting/Publicizing



Determine who should be included in this process…

Student Affairs Staff Academic Affairs Campus Security/Police Business Affairs Community Members Students


The Department of Education established a set of principles of effectiveness in AOD prevention for those receiving OSDFS funds…


Evaluating Effectiveness

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 and illicit drug use

Use evaluation results to refine and strengthen program and goals


Effective AOD Programs

Are logically linked to identified problems

Have attainable outcomes

Use evidence-based strategies to achieve those outcomes


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.


Review Current Campus AOD Data

Collect and review data that describes alcohol and other drug problems and culture:

CORE Survey National College Health Assessment Policy Violations Transports Diagnoses


Estimates of the rates of alcohol use and related consequences are imperfect. Lack of knowledge of standard drink sizes and the effects of alcohol on memory formation all complicate the collection of accurate data from traditional self-report surveys. Underreporting of sexual assaults leads to difficulty in estimating the true extent of the problem. Lack of college identifiers in mortality records and the fact that alcohol levels are tested too infrequently in non–traffic-related deaths leaves uncertainty regarding the actual number of college students who die each year from alcohol-related causes. Similarly, college identifiers are not present in most crime reports and hospital reports.


IHEs also must determine the number of drug and alcohol-related incidents and fatalities that:

Occur on the institution’s campus or as part of any of the institution’s activitiesAre reported to campus officialsDetermine the number and type of sanctions described in paragraph that are imposed by the institution as a result of drug and alcohol-related incidents and fatalities on the institution’s campus or as part of any of the institution’s activities; and Ensure that the sanctions required by paragraph are consistently enforced


Consider including process summary or performance metrics for each program or intervention:

Number of times program or intervention delivered Number of students, staff, faculty participating Satisfaction survey results


Consider including:

Assessment data on student learning outcomes, attitudinal changes, behavior changes gained through programs

Evaluation and Research data collected through programs


Second:Conduct a Policy Review

Identify and list policies

Articulate effectiveness and consistency of enforcement


Assess how effective policies are at moving the IHE toward its AOD goals and outcomes

Assess how consistently policies are enforced Assess if everyone, regardless of affiliation, is

held to the same policy standards and offered the same interventions – measure enforcement consistency


Document that similar situations are treated similarly – and, if not, explain why…

Use a chart that identifies each case and presents details of each offense

Document level of effort expended to detect violations

Document level of expertise of those responsible for detecting/adjudicating AOD offenses


The Biennial ReviewThe more thorough biennial reviews include:descriptions of the AOD program elements;

1. A statement of AOD program goals and a discussion of goal achievement

2. Summaries of AOD program strengths and weaknesses

3. Procedures for distributing AOD policy to students and employees

4. Copies of the policies distributed to students and employees

5. Recommendations for revising AOD programs


Institutions should address:

The rigor and effectiveness of AOD prevention programming

The comprehensiveness and consistency of campus policies and sanctions

The extent to which processes critical to success are employed

The degree to which AOD prevention efforts have been institutionalized


HEC Suggested Review Report Contents

Introduction/Overview Certification Biennial Review Process AOD Comprehensive Program Goals & Objectives for Biennium

being reviewed Annual Policy Notification Process AOD Prevalence & Incidence Rate Data AOD Needs Assessment & Trend Data AOD Policy, Enforcement & Compliance Inventory & Related

Outcomes/Data AOD Intervention Inventory & Related Outcomes/Data AOD Goal Achievement & Objective Achievement AOD Strengths & Weaknesses Recommendations for next Biennium Goals and Objectives for next Biennium


What Do To Do With the ReportUnless requested do not send to Department of Education…

Send copy to President for signature and certification

Send signed copy to Financial AidSend signed copy to Grant’s Office

Copies to places where someone would think that an alcohol report would be obtainedPlace online for public access


What is meant by a “Program”? Clear guidance is not really given

Some institutions believe that notification and biennial review constitute compliance

Current best practices and science of prevention are strongly suggested as components of a comprehensive, evidence-based, environmental management AOD prevention program


Department of Education: Principles of Program Effectiveness

Based alcohol, drug, and violence prevention programs on needs assessment data

Develop measurable program goals and objectives

Implement programs with research evidence of effectiveness,

Periodically evaluate programs relative to their goals and objectives


Model ProgramsDepartment of Education Identified 22 Campus-based Model Programs (1999-2004)

Shared Common Elements:1.Each included materials to compliment the report2.Each included information on evaluation of program effectiveness3.Each detailed goals and goal attainment4.Each included recommendations for revising policies and programs5.Each used a task force/working group to complete the review


Model Programs…22 Programs Shared Common Core elements of effectiveness

Exercise leadership Build coalitions Choose evidence-based programs Implement strategic planning Conduct a program evaluation Work toward sustainability Take the long view


Department of Education: 12 campus-based model programs (2005-2007)

Insights on prevention programs, projects, campaigns: Link prevention to the institution’s mission, values, and

priorities Strategic planning is an ongoing, dynamic process Engage the campus community in data collection and

evaluation Promote student involvement Pay attention to strategic timing Hone communication skills

Model Programs…


Summaries of Program StrengthsFavorable Compliance

The institution has developed and maintains an AOD prevention policy.

The institution distributes annually to each student/employee a copy of the AOD policy.

The institution provides services and activities to promote a strong AOD campus environment.

The institution conducts a biennial review of its AOD 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.


Summaries of Program Weaknesses

Compliance Concerns

AOD policy is distributed to new employees; need to implement annual distribution to all employees.Ensure that on-line and on-ground students who enroll during non-traditional terms or who are graduate or summer students only are receiving the policy.Ensure that the AOD policy is readable; currently, small print in handbook is difficult to read.Recommendation made that "No Smoking" signs be placed about campus.


“Although it is beyond the scope of this review to examine efforts to prevent excessive drinking on college campuses, it should be noted that important strides have been made in this area (Carey et al. 2012). In addition, data from MTF suggest that levels of binge drinking are decreasing among 12th graders, particularly males. Hopefully, as our understanding of the nature of the problem continues to improve with better measurement strategies, improvements in prevention approaches combined with declines in precollege drinking will lead to reductions in both the levels of alcohol consumption by college students and the negative consequences that result.”

The Burden of Alcohol Use: Excessive Alcohol Consumption and Related Consequences Among College Students

Aaron White, Ph.D., and Ralph Hingson, Sc.D. Alcohol Research: Current Reviews, Volume 35, Issue Number 2, 2013


Resources:

CASCAS The Network The Network America College Health AssociationAmerica College Health Association NIAAA ReportNIAAA Report

CHASCo CHASCo www.ticua.org


EDGAR Checklist

1. Does the institution maintain a copy of its drug 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? Mailed to each student (separately or included in another

mailing) 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?

Mailed – Snail 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


Diane Berty, Ed.D.

Vice PresidentTN Independent Colleges &

Universities Association1031 17th Ave S.Nashville, TN 37212615/242-6400 ext. 203615/242-8033 fax

[email protected]


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