Transcript Slide 1

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
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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.
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“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
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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
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The Chronicle of Higher Education
April 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
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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.
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EDGAR Part 86
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.
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Creating a program that complies with the
Regulations requires an IHE to:
1. Prepare a written AOD policy
2. 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
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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.
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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
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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
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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.
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.
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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
document
 Prevention program certification of the biennial
review
 Results of the biennial review
 Any other records reasonably related to the IHE’s
compliance with certification
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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
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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
The written annual notification or policy also must include:
1.
2.
3.
4.
A list of applicable legal sanctions under federal, state, or local
laws for the unlawful possession or distribution of illicit drugs and
alcohol
A description of the short- and long-term health risks associated
with the use of illicit drugs or abuse of alcohol
A list of drug and alcohol programs (counseling, treatment,
rehabilitation, and re-entry) that are available to employees or
students
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
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Standards of Conduct
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
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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
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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.
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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
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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.
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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
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Disciplinary Sanctions
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.
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
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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.
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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
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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
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How does YOUR
Institution Distribute its
Policy?
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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.
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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
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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.
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Biennial Review Best Practices
 Comprehensive program  Program focuses on meeting
focuses on evidenceneeds of students at various
based strategies of
levels (drinkers/users,
practice
non-drinkers/non-users,
problem drinkers, etc. )
 Data collection of
students’ behaviors and
perceptions
 Creation of a strategic plan of
action
 Creation of a task-force or
campus-based coalition
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First -- Review Campus AOD
Program
Relies on:




Clear description of problems
Strategic interventions
Desired outcomes
Sound evaluation plan
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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
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HEC Analysis of Model
Biennial Reviews
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
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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 programs
8. Supporting documentation and evidence
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Socioecological Model by Network
Standards
Individual
Group
Institution
Community
Policy
Policy
Education
Enforcement
Assessment
Community
Mobilization
Typology Matrix
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Socioecological Model by NIAAA
Tiers
Individual
Group
Institution
Community
Policy
Tier I –
evidence with
college
students
Tier II –
evidence with
gen
populations
Tier III promising
Tier IV –
doesn’t work
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Socioecological Model by
SAMHSA Prevention Strategies
Individual
Group
Institution
Community
Policy
Information
Dissemination
Education
Alternatives
Problem
Identification/
Referral
CommunityBased
Processes
Environmental
/Policy
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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)
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Leadership from college and
university presidents and other
senior administrators is key to
institutionalizing prevention as a
priority on campus.
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“The primary vehicle for creating
environmental change on campus should
be a campus-based AOD task force…”
Environmental Management…1998, pg.14
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Who is Responsible?
Governance/Accountability




Compliance Office
Senior Level Administrator
AOD Prevention Program
Task Force/Coalition
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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
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“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–bingedrinking students at higher risk of injury, sexual assaults, and
having their studying disrupted.”
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Initiating a Biennial Review
Determine how this process should be
implemented…





Timelines
Task Force/Coalition/Sub-Committees
Data Collection Processes
Suggestions/Recommendations
Reporting/Publicizing
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Initiating a Biennial Review
Determine who should be included in this
process…






Student Affairs Staff
Academic Affairs
Campus Security/Police
Business Affairs
Community Members
Students
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The Department of Education
established a set of principles of
effectiveness in AOD prevention for
those receiving OSDFS funds…
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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
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Effective AOD Programs
 Are logically linked to identified problems
 Have attainable outcomes
 Use evidence-based strategies to achieve
those outcomes
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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.
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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
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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.
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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 activities
 Are reported to campus officials
 Determine 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
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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
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Consider including:
 Assessment data on student learning
outcomes, attitudinal changes, behavior
changes gained through programs
 Evaluation and Research data collected through
programs
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Second:
Conduct a Policy Review
 Identify and list policies
 Articulate effectiveness and consistency of
enforcement
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 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
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 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
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The Biennial Review
The 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
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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
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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
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What Do To Do With the Report
Unless requested do not send to Department of
Education…
 Send copy to President for signature and
certification
 Send signed copy to Financial Aid
 Send signed copy to Grant’s Office
 Copies to places where someone would think that
an alcohol report would be obtained
 Place online for public access
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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, evidencebased, environmental management AOD
prevention program
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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
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Model Programs
Department of Education Identified 22 Campusbased Model Programs (1999-2004)
Shared Common Elements:
1.
2.
3.
4.
5.
Each included materials to compliment the report
Each included information on evaluation of program
effectiveness
Each detailed goals and goal attainment
Each included recommendations for revising policies and
programs
Each used a task force/working group to complete the
review
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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
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Model Programs…
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
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Summaries of Program Strengths
Favorable 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 alcoholrelated legal offenses and referrals for counseling and
treatment.
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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.
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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
“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.”
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Resources:




CAS
The Network
America College Health Association
NIAAA Report
 CHASCo www.ticua.org
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EDGAR Checklist
1. Does the institution
maintain a copy of
its drug prevention
program?
If yes, where is it
located?
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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
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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?
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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?
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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?

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
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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
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Diane Berty, Ed.D.
Vice President
TN Independent Colleges &
Universities Association
1031 17th Ave S.
Nashville, TN 37212
615/242-6400 ext. 203
615/242-8033 fax
[email protected]
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