COMPLYING WITH THE DRUG-FREE SCHOOLS AND CAMPUSES REGULATIONS

Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention Education Development Cente, Inc. 55 Chapel Steet Newton, MA 02458-1060 COMPLYING WITH THE DRUG-FREE SCHOOLS AND CAMPUSES REGULATIONS U.S. Depatment of Education [EDGAR Pat 86] A Guide fo Univesity and College Administatos

Complying With the Dug-Fee Schools and Campuses Regulations [EDGAR Pat 86] A Guide fo Univesity and College Administatos Revised by Beth DeRicco, Ph.D., CPP-R A publication of the Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention Funded by the U.S. Depatment of Education

This publication was funded by the Office of Safe and Dug-Fee Schools at the U.S. Depatment of Education unde contact numbe ED-04-CO-0137 with Education Development Cente, Inc. The contacting office s epesentative was Richad Lucey, J. The content of this publication does not necessaily eflect the views o policies of the U.S. Depatment of Education, no does the mention of tade names, commecial poducts o oganizations imply endosement by the U.S. govenment. This publication also contains hypelinks and URLs fo infomation ceated and maintained by pivate oganizations. This infomation is povided fo the eade s convenience. The U.S. Depatment of Education is not esponsible fo contolling o guaanteeing the accuacy, elevance, timeliness, o completeness of this outside infomation. Futhe, the inclusion of infomation o a hypelink o URL does not eflect the impotance of the oganization, no is it intended to endose any views expessed, o poducts o sevices offeed. U.S. Depatment of Education Magaet Spellings Secetay Office of Safe and Dug-Fee Schools Deboah A. Pice Assistant Deputy Secetay Fist pinted Mach 1997 Repinted July 2006 This publication is in the public domain. Authoization to epoduce it in whole o in pat is ganted. While pemission to epint this publication is not necessay, the citation should be: U.S. Depatment of Education, Office of Safe and Dug-Fee Schools, Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention, Complying With the Dug-Fee Schools and Campuses Regulations [EDGAR Pat 86]: A Guide fo Univesity and College Administatos, Washington, D.C., 2006. To ode copies of this publication, wite to: The Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention Education Development Cente, Inc. 55 Chapel Steet Newton, MA 02458-1060 1-800-676-1730; TDD Relay-Fiendly, Dial 711 Fax: 617-928-1537 HigheEdCt@edc.og This publication is also available on the following Web site: U.S. Depatment of Education s Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention at www.higheedcente.og Layout by Hemali Patel, Ceative Sevices, EDC ii

Contents Acknowledgments...iv Pupose of the Guide...1 Executive Summay...3 CHAPTER 1. Intoduction...5 Cetification Requiements...5 Requiement to Comply With the Dug-Fee Schools and Campuses Regulations...6 Othe Legal Requiements...6 CHAPTER 2. Annual Notification...7 Distibution of the Annual Notification...9 Distibution to Students...9 Distibution to Employees...10 CHAPTER 3. The Biennial Review...13 Content and Fomat...13 Reviewing the AOD Pevention Pogam...14 Pepaing the Biennial Review and Repot...15 Contents of the Biennial Review Repot...15 Measuing Enfocement Consistency...19 Measuing Policy and Pogam Effectiveness...19 Illustations Fom Selected Biennial Reviews...22 Notes...25 Resouces...29 Appendices...31 Appendix 1: EDGAR Pat 86 Contents and Subpats A Geneal, B, and D...32 Appendix 2: Pat 86 Compliance Checklist...42 Appendix 3: Fedeal Tafficking Penalties...45 Appendix 4: Univesity of Geogia: Policy on Alcohol and Othe Dugs...46 Appendix 5: Stategic Objectives and Tactics Focused on Envionmental Change...47 Appendix 6: Supplemental Checklist...50 iii

Acknowledgments We wish to thank the individuals listed below fo eviewing daft manuscipts of this publication. We appeciate the comments they povided to help us assue that this publication has a solid scientific foundation and contains clea messages. To the extent that we achieved that goal, the cedit is theis. To the extent we did not, the fault is ous. Julie Banes, Univesity of Nothen Iowa Diane Bety, Austin Peay State Univesity, Tennessee Heathe Dunn Calton, Califonia State Univesity, Sacamento Deb Walke, Nothen State Univesity, South Dakota This vesion of Complying With the Dug-Fee Schools and Campuses Regulations [EDGAR Pat 86]: A Guide fo Univesity and College Administatos is a evision by Beth DeRicco of the ealie vesion that was pepaed in 1997 by T. Pittayathikhun; R. Ku; D. Rigby; M. Mattsson; and W. DeJong. iv

Pupose Pupose of the Guide This guide descibes the equiements of the 1989 amendments to the Dug-Fee Schools and Communities Act (DFSCA), as aticulated in the Education Depatment Geneal Administative Regulations (EDGAR) Pat 86, 1 the Dug- Fee Schools and Campuses Regulations* and ways in which institutions of highe education (IHEs) have met these equiements. Pat 86 petains to Dug and Alcohol Abuse Pevention. This guide is designed to suppot pesonnel esponsible fo peventing the illegal use of alcohol and othe dugs (AOD) on campus, especially staff designated as AOD pevention coodinatos and those in student affais, esidential life, health sevices, and campus secuity. Senio administatos, including pesidents, deans, and legal counsel, also may find this guide a valuable esouce. The pupose and goals of the DFSCA ae not new ideas fo the nation s IHEs. Recognizing the seious effects of AOD abuse on the academic pefomance and, moe geneally, on the well-being of thei students, many IHEs adopted pevention measues well befoe the passage of the Dug-Fee Schools and Communities Act. In the yeas since compliance with Pat 86 became mandatoy, 2 IHEs have gained significant expeience designing, developing, and implementing AOD pevention pogams. An impotant aspect of the DFSCA is the equiement that campuses closely examine thei pevention pogam on a biennial basis. The biennial eview is designed to document an IHE s pevention effots. A eview that looks at the scope and effectiveness of a campus pevention pogam is citical to ceating a compehensive effot and complying with the egulations. Complying with the spiit and not just the lette of the law suppots IHEs in thei AOD pevention effots and povides significant benefits and oppotunities fo the entie institution and its students. An impotant aspect of the DFSCA is the equiement that campuses closely examine thei pevention pogam on a biennial basis. Additionally, the 2002 epot by the National Institute on Alcohol Abuse and Alcoholism (NIAAA), A Call to Action: Changing the Cultue of Dinking at U.S. Colleges, 3 and the 2003 epot by the Institute of Medicine (IOM), Reducing Undeage Dinking: A Collective Responsibility, 4 indicate that compliance with Pat 86 will incease the likelihood of success in educing consequences of heavy episodic and illegal alcohol use. These epots ae an impotant complement to this publication and ae especially useful fo conducting a biennial eview. Reflecting on the NIAAA and IOM epots will help campuses identify gaps in thei evidence-based pactices and assist in making ecommendations fo futue pogammatic effots a necessay pat of evey biennial eview. Complying with the spiit and not just the lette of the law suppots IHEs in thei AOD pevention effots and povides significant benefits and oppotunities fo the entie institution and its students. * These egulations can be eviewed in the Fedeal Registe, Vol. 55, No. 159, Aug. 16, 1990, pp. 33580 33601, o online at www.ed.gov/policy/fund/eg/edgareg/edlite-pat86a.html. 1

Complying With the Dug-Fee Schools and Campuses Regulations This guide assists IHEs in impoving thei pevention pogams by looking at the Pat 86 equiements and how some IHEs have met them. The guide also is intended to help IHEs avoid ovelooking any aspects of Pat 86 equiements that might esult in noncompliance. The intoductoy chapte pesents the cetification equiements IHEs must meet unde the egulations and notes the consequences of failue to comply; it also povides infomation on meeting legal equiements not coveed unde Pat 86 egulations. The subsequent chaptes addess the two geneal equiements of the Pat 86 egulations. Chapte 2 outlines the equiements of the witten annual notification and descibes seveal fomats that IHEs have used to pesent infomation equied unde the egulations to thei students. Chapte 3 discusses the pepaation of biennial eviews and povides excepts fom epots of seveal IHEs. This guide assists IHEs in impoving thei pevention pogams by looking at the Pat 86 equiements and how some IHEs have met them. 2

Executive Summay Executive Summay The Dug-Fee Schools and Campuses Regulations (EDGAR Pat 86) lay out seveal equiements with which all IHEs eceiving any fom of fedeal funding must comply, one of which is a biennial eview. The egulations stuctue and fomat povide enough flexibility that a campus can tailo its biennial eview and epot to suit the paticula cicumstances of the campus and povide a spingboad fo a thoough eview, evaluation, and adaptation of its AOD pevention pogam. Regulation Requiements AOD Pevention Pogam. IHEs eceiving fedeal funds o financial assistance must develop and implement a pogam to pevent the unlawful possession, use, o distibution of illicit dugs and alcohol by students and employees. The pogam must include annual notification of the following: standads of conduct; a desciption of sanctions fo violating fedeal, state, and local law and campus policy; a desciption of health isks associated with AOD use; a desciption of teatment options; and a biennial eview of the pogam s effectiveness and the consistency of the enfocement of sanctions. Cetification. Fo cetain foms of fedeal funding o assistance, IHEs must cetify that they have an AOD pevention pogam; the cetification is included commonly in the Repesentations and Cetifications section of an application o poposal. Requiement to Comply. IHEs must povide a copy of thei biennial epot to the U.S. Depatment of Education o its epesentative on equest. The Secetay o his/ he designee may eview the epot and suppoting documentation as necessay and, whee an IHE is noncompliant, may take action anging fom poviding technical assistance to help the campus come into compliance to teminating all foms of fedeal financial assistance. Othe Legal Obligations. IHEs also may be subject to elated equiements unde state and fedeal law and judicial ulings. IHEs should seek advice on this point fom the institution s geneal counsel o othe elevant national esouces. Annual Notification To comply with the Pat 86 egulations, IHEs must notify all students and employees annually of cetain infomation. The notification must include the following: (1) standads of conduct; (2) possible legal sanctions and penalties; (3) statements of the health isks associated with AOD abuse; (4) the IHE s AOD pogams available to students, staff, and faculty; and (5) disciplinay sanctions fo violations of the standads of conduct. IHEs must make the notification in witing and in a manne that ensues all students and employees eceive it. Biennial Review Content of Review. To comply with the egulations, evey two yeas an IHE must conduct a eview of its AOD pogam to detemine effectiveness and the consistency of sanction enfocement, in ode to identify and implement any necessay changes. The Depatment of Education ecommends that IHEs conduct the biennial eview in even-numbeed yeas and focus thei epot on the two peceding academic yeas. 3

Complying With the Dug-Fee Schools and Campuses Regulations Fomat of Repot. The egulations do not specify how IHEs must conduct thei eviews o how they should stuctue thei epots. IHEs theefoe have leeway to conduct thei eviews in ways that best meet the needs and cicumstances of thei campuses. Many campuses that have conducted successful and poductive biennial eviews have included pogam inventoies, policy inventoies, and enfocement analyses. Thei epots have included suppoting documentation fo each of these categoies, such as desciptions o copies of the pogams and policies, pocedues fo annual notifications, and desciptions of and suppoting documentation fo the means of assessing pogam effectiveness and enfocement consistency. Campuses often call togethe a boad-based task foce o committee to conduct this eview.

Intoduction Chapte 1 Intoduction Cetification Requiements The Pat 86 egulations equie that, as a condition of eceiving funds o any othe fom of financial assistance unde any fedeal pogam, an institution of highe education (IHE) 5 must cetify that it has adopted and implemented a pogam to pevent the unlawful possession, use, o distibution of illicit dugs and alcohol by students and employees 6 both on the institution s pemises and as pat of any of its activities, in ode to comply with the Dug-Fee Schools and Campuses Regulations (EDGAR Pat 86.100, Subpat B). When applying fo fedeal assistance, IHEs cetify to the existence of such pogams, typically as pat of a standad gant o contact application unde the povisions efeed to as Reps and Cets (Repesentations and Cetifications). Additionally, Subpat B 86.103 indicates that IHEs must etain all ecods elated to DFSCA compliance fo thee yeas (see EDGAR Pat 86 Contents and Subpats A Geneal, B, and D in appendix 1). Ceating a pogam that complies with the egulations equies an IHE to do the following: 1. 2. Annually notify each employee and student, in witing, of standads of conduct; a desciption of appopiate sanctions fo violation of fedeal, state, and local law and campus policy; a desciption of health isks associated with AOD use; and a desciption of available teatment pogams. Develop a sound method fo distibuting annual notification infomation to evey student and staff membe each yea. 3. Pepae a biennial epot on the effectiveness of its AOD pogams and the consistency of sanction enfocement. A checklist adapted fom the DFSCA egulations designed to help IHEs detemine thei compliance with Pat 86 appeas in appendix 2. The Dug-Fee Schools and Campuses Regulations establish a set of minimum equiements fo campus substance use pogams. 7 Colleges and univesities may have additional obligations unde state law. Also impotant may be ecent cout decisions in lawsuits bought against IHEs by college and univesity students and employees 8 and the way in which these decisions might affect pevention pogams and policies. Consultation with an attoney knowledgeable in this aea is highly ecommended. Additional esouces may be povided by the Council on Law in Highe Education and the National Association of College and Univesity Attoneys. When applying fo fedeal assistance, IHEs cetify to the existence of such pogams, typically as pat of a standad gant o contact application unde the povisions efeed to as Reps and Cets (Repesentations and Cetifications).

Complying With the Dug-Fee Schools and Campuses Regulations Requiement to Comply With the Dug-Fee Schools and Campuses Regulations Accoding to the Pat 86 egulations, if an IHE fails to submit the necessay cetification when equested to do so o violates its cetification, the Secetay of Education may teminate all foms of financial assistance, whethe fom the Depatment of Education o othe fedeal agencies, and may equie epayment of such assistance, including individual students fedeal gants, such as Pell gants. 9 The Depatment of Education also may aange to povide technical assistance towad the development of a plan and ageement that bings the IHE into full compliance as soon as is feasible. 10 The possibility of loss of fedeal funding exists in the povision that [t]he Secetay annually eviews a epesentative sample of IHE dug pevention pogams. 11 If the Secetay of Education selects an IHE fo eview, the IHE shall povide the Secetay access to pesonnel ecods, documents, and any othe necessay infomation equested fo this eview. 12 Bickel and Lake have witten a thoough examination of case law elated to AOD issues in thei book The Rights and Responsibilities of the Moden Univesity. 13 A numbe of cout ulings have made clea that, while colleges and univesities cannot be expected to contol student conduct, they must ensue that thei activities, offeings, and pogams meet minimum standads of cae, and they must take steps to deal with dangeous situations on campus. Othe Legal Requiements Some campus administatos mistakenly believe that Pat 86 alone is what defines thei legal esponsibilities in AOD pevention. In fact, Pat 86 pesents only one aspect of the legal landscape. Equally impotant ae ecent judicial ulings in negligence suits against colleges and univesities. A numbe of cout ulings have made clea that, while colleges and univesities cannot be expected to contol student conduct, they must ensue that thei activities, offeings, and pogams meet minimum standads of cae, and they must take steps to deal with dangeous situations on campus. In shot, colleges and univesities have the same esponsibilities as othe popety ownes. Meeting these equiements means having clea ules and a standad of fim and consistent enfocement. Stetson College law pofessos 6

Annual Notification Chapte 2 Annual Notification 4. 5. A list of dug and alcohol pogams (counseling, teatment, ehabilitation, and e-enty) that ae available to employees o students A clea statement that the IHE will impose disciplinay sanctions on students and employees fo violations of the standads of conduct and a desciption of those sanctions, up to and including expulsion o temination of employment and efeal fo posecution 15 The Dug-Fee Schools and Communities Act and the U.S. Depatment of Education s suppoting egulations equie that IHEs adopt and implement pogams to pevent the unlawful possession, use, o distibution of illicit dugs and alcohol by all students and employees on school pemises o as pat of any of its activities (EDGAR Pat 86 Subpat A 86.3). The egulations contain specific ecommendations fo the content of an IHE s witten notification and specify the items that the annual notification to students and employees must compise. 14 The annual notification must include the following: 1. 2. 3. The egulations contain specific ecommendations fo the content of an IHE s witten notification and specify the items that the annual notification to students and employees must compise. Standads of conduct that clealy pohibit, at a minimum, the unlawful possession, use, o distibution of illicit dugs and alcohol by students and employees A list of applicable legal sanctions unde fedeal, state, o local laws fo the unlawful possession o distibution of illicit dugs and alcohol A desciption of the health isks associated with the abuse of alcohol o use of illicit dugs IHEs have fulfilled the annual notification equiements in a numbe of diffeent ways, depending on thei campus envionment, available esouces, and ceativity. Many campuses incopoate the annual notification items into a campus AOD policy and distibute that policy as pe the equiements. Each of the equiements is discussed in the section that follows. Many campuses incopoate the annual notification items into a campus AOD policy and distibute that policy as pe the equiements. 1. Standads of Conduct Standads of conduct ae boad statements that goven the behavio of students, staff, and faculty as membes of the IHE community. Standads may ange fom statements that simply pohibit illegal activities elated to alcohol and othe dugs o they may eflect moe specific expectations established by the IHE. Accoding to EDGAR Subpat B 86.100, the standads of conduct should apply to all students who ae egisteed at an IHE fo at least one couse fo any type of cedit, except fo continuing education units. Students who hold pat-time jobs within the institution ae coveed by both student and employee policies. At some campuses, students woking as employees ae coveed while on duty unde the employee policy; othewise, they ae coveed unde the student policy.

Complying With the Dug-Fee Schools and Campuses Regulations An IHE s standads of conduct also apply to all oncampus activities and to off-campus activities that ae consideed to be sponsoed by the institution, such as officially sanctioned field tips. 16 The standads of conduct also have been intepeted to apply to student-sponsoed social activities o pofessional meetings attended by employees, if these activities o meetings ae consideed IHE-sponsoed activities. If a fatenity o sooity is ecognized by an IHE, then its activities may be consideed to be activities of the IHE and may be coveed by its standads of conduct, even if the fatenity o sooity is located off campus. 17 2. Legal Sanctions Appendix 3 of this guide contains a desciption of fedeal penalties and sanctions fo illegal tafficking and possession of a contolled substance (the desciption appeas in appendix A of the Fedeal Registe announcement of the Dug-Fee Schools and Campuses Regulations). This epesents the minimum level of infomation about fedeal laws that IHEs must povide to students and employees in ode to comply with the egulations. IHEs also must include in thei policies a copy o summay of the elevant sections of thei state penal codes and local odinances dealing with illegal substances, including sanctions fo policy violations. An AOD policy should stipulate that a student o employee who violates the AOD policy is subject both to the institution s sanctions and to ciminal sanctions povided by fedeal, state, and local law. The egulations do not equie any paticula appoach fo including this infomation in an IHE s policy. Many IHEs use a chat to pesent a summay of fedeal, state, and local laws and sanctions. Othes use a combination of styles as may be effective fo thei campus audiences. 3. Health Risks The egulations also equie campuses, as pat of thei pevention pogams, to distibute infomation about the health isks associated with alcohol abuse and illicit dug use (EDGAR Subpat B 86.100). IHEs should focus on shaing infomation about substances coveed by the Contolled Substances Act (21 U.S.C. 811). A publication such as the U.S. Depatment of Justice s Dugs of Abuse 18 can be used to guide campus pesonnel in disseminating infomation about health isks associated with AOD use. Some policy statements summaize health isks in the fom of a chat. Some campuses have used a chat that shows, fo each pohibited class of substances (nacotics, depessants, stimulants, hallucinogens, cannabis, alcohol, and tobacco), the following: An AOD policy should stipulate that a student o employee who violates the AOD policy is subject both to the institution s sanctions and to ciminal sanctions povided by fedeal, state, and local law. The isk of dependence Possible shot-tem effects Possible long-tem effects The effects of ovedose Othe campuses may include the health isks potion of thei policy as a desciptive paagaph and a chat. The Univesity of Geogia descibes the health isks of alcohol in a clea, easy-to-ead fomat. The naative uses nontechnical language to descibe the effects and possible isks of using alcohol (see appendix 4). 8

Annual Notification 4. Dug and Alcohol Pogams Pat 86 equies, at a minimum, that IHEs include in thei annual notification a desciption of alcohol and othe dug pogams (pevention, counseling, teatment, ehabilitation, and e-enty) available to students, staff, and faculty. 19 5. Disciplinay Sanctions The egulations futhe equie that the witten annual notification include a desciption of the ange of disciplinay sanctions an IHE may impose if the standads of conduct ae violated, plus an explicit statement that these sanctions will be imposed. 20 It should be noted that disciplinay sanctions that apply to faculty and staff may diffe fom one anothe depending on the tems set foth in union contacts. Responsibility fo the enfocement of standads of conduct is not mentioned explicitly in EDGAR Pat 86, but it is clea fom the egulations that IHE administatos ae esponsible fo enfocing the standads of conduct set foth in policy guidelines and othe documents and that they should do so consistently. 21 In most cases, this esponsibility is shaed among campus police o secuity pesonnel, health povides, college o student affais staff, faculty, and students (especially whee thee is a student hono code). It is impotant to emembe that a student disciplinay committee o othe judicial body at the IHE does not have the sole esponsibility fo imposing sanctions fo violations of the institution s policy on alcohol and othe dugs. Depending on the paticula campus, the housing office, academic depatments, athletics pogam, and othe depatments also can impose sanctions against students who violate thei specific AOD policies. Disciplinay sanctions that apply to faculty and staff may diffe fom one anothe depending on the tems set foth in union contacts. Distibution of the Annual Notification Pat 86 equies that each IHE distibute its AOD annual notification in witing. 22 Many campuses incopoate the items equied fo annual notification into a policy document. If new students enoll o new employees ae hied afte the annual distibution date, these students and employees also must eceive the mateials. Concening the obligation of IHEs to povide each student and employee with a copy of the IHE s annual notification, the Depatment of Education has stated that meely making the mateials available to those who wish to take them does not satisfy the equiements of the egulations, as that does not ensue distibution to evey student and employee. The IHE must descibe what it does to ensue distibution to all students and employees in ode to establish compliance with the egulations. Although many IHEs found it difficult at fist to distibute the policy to evey student, faculty, and staff membe each yea, with expeience they have found moe costefficient methods fo poducing and distibuting thei policies and fo encouaging students, faculty, and staff to ead them. One successful technique used with students has been to include the policy in mateials that the institution aleady distibutes and to which students often efe, such as egistation mateials, academic calendas, o class schedules. Some IHEs have established distibution systems in which students and employees must sign a statement attesting to thei having eceived the mateials, but that is not expessly equied by the egulations. Distibution to Students The U.S. mail system is a popula method fo ensuing distibution to all students. Accoding to the egulations, if an IHE uses mailing as a means of distibution and

Complying With the Dug-Fee Schools and Campuses Regulations the mailing to a paticula student is etuned, the IHE should use the method it nomally would to locate and delive a mailing to a paticula student unde those cicumstances. Lowe-cost options fo student distibution also can meet the equiement, such as distibuting the witten annual notification in equied classes and duing oientation and advising sessions; including it in the egistation packet each student eceives; enclosing it with invoices fo student financial accounts; o incopoating it into othe mateials (e.g., yealy calenda, schedule of classes, student handbook). IHEs inceasingly exploe electonic mail (e-mail) as anothe option when all students, faculty, and staff have access to IHE e-mail accounts. The Depatment of Education has not developed official policy on allowing electonic dissemination in fulfillment of the equiement that IHEs must distibute thei AOD annual notification in witing. That is not to say that colleges and univesities cannot use electonic dissemination, howeve; if they choose to do so, they must ensue they can povide easonable assuance to the Depatment (if audited) that this method of dissemination ensues distibution to all students and employees. Seveal campuses have found that a combination of distibution techniques woks best. Distibution to Employees One way to distibute the annual notification to employees is to enclose it once a yea with employees paychecks. Some IHEs enclose it with the annual W-2 fom, which eaches evey employee egadless of length of employment. Anothe option is to include the notification in annually distibuted faculty and staff handbooks. Giving the witten annual notification to employees only at the beginning of thei employment does not meet the equiement that it be distibuted annually. While the egulations do not place an affimative duty on IHEs to ensue that employees ead the mateials, in keeping with the spiit of the egulations, institutions should take steps to encouage employees to ead the policies (see sideba Stategies fo Engaging the Attention of Students and Employees on p. 11). The Depatment of Education has not developed official policy on allowing electonic dissemination in fulfillment of the equiement that IHEs must distibute thei AOD annual notification in witing. That is not to say that colleges and univesities cannot use electonic dissemination, howeve; if they choose to do so, they must ensue they can povide easonable assuance to the Depatment (if audited) that this method of dissemination ensues distibution to all students and employees. 10

Annual Notification Stategies fo Engaging the Attention of Students and Employees Ceate a Readable Policy. Policies that ae witten with an engaging (as opposed to a legalistic) style, use bulleted lists, and, if the budget allows, include appealing gaphics ae most likely to hold the inteest of students and employees. Distibute Policy Summaies. Some IHEs codify annual notification infomation in a campus AOD policy. One IHE, fo example, distibutes a thee-page lette annually to students. The lette summaizes the AOD policy, which incopoates the annual DFSCA notification and efes students to the student handbook fo complete infomation. Incopoate the Policy Into Fequently Read Documents. Expeienced administatos suggest that the policy has a bette chance of being ead if it is incopoated into othe documents that ae known to hold students inteest. Campuses have incopoated infomation into IHE-specific date books, calendas, and class schedules. Povide Incentives fo Reading the Policy. Some campuses employ a stategy to encouage students to ead the annual notification that takes advantage of the campus class egistation system. Annual notification infomation can be linked to telephone, online, and in-peson egistation. Fo example, befoe the egistation pocess begins, students might be asked if they have ead the univesity s annual notification on AOD use that was given to them with thei othe egistation mateials. If a student answes no, he o she is povided with an oppotunity to eview the infomation befoe egistation can poceed. This appoach povides a documented ecod of a student s affimation of having eceived the annual notification statement and ecods the student s avowal of having ead the mateial. Distibute the Policy as Widely as Possible. Some of the ways in which campuses addess wide distibution is though bochues; student, staff, and faculty handbooks and oientation mateials; mass mailings; postes in academic and esidential buildings; doo hanges in esidence halls; and flyes attached to paking pemits. One campus pinted thei policy that incopoates annual notification equiements in the fo-cedit class schedule. 11

The Biennial Review Chapte 3 The Biennial Review The Dug-Fee Schools and Campuses Regulations also equie IHEs to conduct a biennial eview of thei AOD pogams and policies to detemine pogam effectiveness and consistency of policy enfocement and to identify and implement any changes needed to eithe. Ideally this eview is a witten epot that compiles infomation equied by the egulations. The egulations do not specify a date by which the biennial eview must be completed and on file they simply equie that a campus complete a eview evey two yeas. Since the egulations went into effect in an even-numbeed yea (1990), long pactice has held that campuses conduct a biennial eview by the end of each even-numbeed calenda yea. Following this tadition and to ensue the poduction of a useful biennial eview in compliance with the DFSCA, good sense suggests that an IHE s biennial eview be completed and on file by Decembe 31 of each even-numbeed yea, and the epot should cove the pevious two academic yeas. Fo example, fo the 2006 biennial eview, the dates of coveage should include Sept. 1, 2004 Aug. 31, 2005, and Sept. 1, 2005 Aug. 31, 2006. Since the egulations went into effect in an even-numbeed yea (1990), long pactice has held that campuses conduct a biennial eview by the end of each evennumbeed calenda yea. Content and Fomat The U.S. Depatment of Education s egulations (EDGAR Pat 86.100 [b]) do not dictate what a biennial eview should include, how it should be conducted, o the fomat in which it should be pesented. Campuses ae given latitude in pepaing biennial eview epots to accommodate vaying campus types (i.e., public, pivate, two- and fou-yea) and cultues and to hono the uniqueness of each institution. Institutions have leeway, theefoe, in stuctuing thei biennial eviews to meet the needs and cicumstances of thei own campuses. The biennial eview should be conducted in a way that meets the compliance guidelines set foth by the egulations, and campuses should think caefully about the way in which this pocess might benefit thei pevention effots. The fomat of the eview should clealy eflect the compliance guidelines. The equied eview has two objectives: 1. 2. To detemine the effectiveness of, and to implement any needed changes to, the AOD pevention pogam To ensue that campuses enfoce the disciplinay sanctions fo violating standads of conduct consistently 23 Campuses ae given latitude in pepaing biennial eview epots to accommodate vaying campus types (i.e., public, pivate, two- and fou-yea) and cultues and to hono the uniqueness of each institution. Although the egulations do not specify what infomation campuses must collect o how to conduct the eviews, the Depatment of Education does offe 13

Complying With the Dug-Fee Schools and Campuses Regulations examples of measues that can be used to detemine effectiveness of the policy, and many IHEs have found that infomation they aleady collect can be used to meet these equiements (see Measuing Enfocement Consistency on p.19 and Measuing Policy and Pogam Effectiveness p.19). IHEs poduce a wide vaiety of acceptable biennial eviews. The most useful eviews identify cuent pevention effots and point to policy and pogam aeas that need impovement as well as those that can continue unchanged. Campuses may conduct an analysis of cuent pogams and policies; this analysis helps to detemine gaps in policies o pogams and needed impovements and can be completed though an inventoy o checklist. The most useful eviews identify cuent pevention effots and point to policy and pogam aeas that need impovement as well as those that can continue unchanged. Reviewing the AOD Pevention Pogam The fist step in pepaing a biennial epot is eviewing a campus s AOD pogam. Reviewing pevention pogams is a complex pocess and elies on the clea desciption of AOD-elated poblems, stategic inteventions, and desied outcomes. While most pevention pofessionals assess pogam effectiveness globally by monitoing pogess of thei pogam s logic model (the desciption of the logically linked pogams and activities that will lead to the desied outcomes), a sound evaluation plan is citical to detemining the evidence basis of pogams and may equie woking with an evaluation specialist. The Depatment of Education s Highe Education Cente povides evaluation infomation on its Web site. 24 Reviewing pevention pogams is a complex pocess and elies on the clea desciption of AOD-elated poblems, stategic inteventions, and Pogam Inventoy To conduct a pogam inventoy, IHEs should list all of the activities that compose thei pevention pogam and identify the effectiveness of these effots at meeting pevention goals and outcomes. It is unlikely that one single staff peson implements all activities and policies elated to AOD pevention, so conducting this inventoy is best achieved though the wok of a divese epesentation of campus employees. Residential life, campus secuity, health, judicial, athletics, and othe staff should be involved. NIAAA s A Call to Action: Changing the Cultue of Dinking at U.S. Colleges 25 and IOM s Reducing Undeage Dinking: A Collective Responsibility 26 povide helpful listings of effective pevention pogams. In addition, the jounal aticle A Typology fo Campus-Based Alcohol Pevention: Moving Towad Envionmental Management Stategies 27 indicates how to fomulate a compehensive pevention pogam and is an impotant esouce fo pogam eview. Othe esouces that may assist in the development and eview of a compehensive pevention pogam, as well as help detemine if cuent effots ae on tack, can be found in the ecommended standads fo pevention pogams developed by the following oganizations: the Netwok Addessing Collegiate Alcohol and Othe Dug Issues 28 ; the Council fo the Advancement of Standads in Highe Education 29 ; and the Ameican College Health Association 30 (see sideba Using Standads of Pactice to Enhance You Biennial Review on p. 18). Policy Inventoy desied outcomes. To conduct a policy inventoy, policies ae identified and aticulated in a list and then judged fo effectiveness 14

The Biennial Review and consistent enfocement. Fo example, one question to ask when judging fo consistency would be: Ae all types of students (such as athletes, fatenity and sooity membes, academically successful, fist yeas though senios) held to the same policy standads and sanctioned similaly fo violations? When judging policy fo effectiveness, IHEs must look at thei pogam goals and outcomes and identify whethe o not the policy they have implemented is moving the IHE towad those goals and outcomes logically. At the equest of the Depatment of Education, the Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention conducted an analysis of a weighted andom sample of campus biennial eview epots in 1999. Among the epots eviewed, seveal (e.g., Pitze College of Claemont, Califonia, and the Univesity of Missoui, Columbia) wee deemed model biennial eview epots. The five distinguishing chaacteistics of these two epots ae as follows: (1) each included mateials to complement the epot; (2) each included infomation on evaluation of pogam effectiveness; (3) each detailed its goals and achievements; (4) each included ecommendations fo evising AOD pogams and policies; and (5) each used a task foce to complete the biennial eview. It is common pactice fo the biennial eview to be conducted by the task foce o committee that is esponsible fo eviewing AOD policies and pogams. have a stake in pomoting the health and safety of the campus community. If a sepaate eview panel is fomed fo the pupose of pepaing the biennial epot, that panel should ensue active involvement fom epesentatives of seveal key depatments and campus constituencies that have immediate knowledge of AODelated poblems and the pogams and policies in place to addess them. The following goups most often conduct some policy enfocement activities; they ae, theefoe, fequently pat of eview panels: AOD pevention and education oganizations, counseling sevices, campus law enfocement, student health sevices, pesonnel/human esouces, student affais offices, and esidential life/ housing offices. Many campuses include key student goups o student leades in the discussion. The IHE pesident, if not pesonally involved, should have a epesentative at all meetings. The pesident should sign and appove the final epot. Many campuses collect infomation fo the epot on a continual basis, athe than waiting until just befoe the biennial due date. Fo example, some campus task foces meet at least quately and send notices to the pesonnel and secuity offices to equest AOD-elated infomation twice a yea. Then, a month befoe membes begin wok on the biennial eview, they solicit additional infomation fom the student govenment, athletics depatment, and othe offices petinent to the pevention pogam. Contents of the Biennial Review Repot Pepaing the Biennial Review and Repot It is common pactice fo the biennial eview to be conducted by the task foce o committee that is esponsible fo eviewing AOD policies and pogams. This task foce should compise a boad epesentation of campus constituents since all divisions and depatments Taditionally, biennial eview epots have anged fom as few as 2 to almost 30 pages. In ode to meet the fist objective of the biennial eview (detemining pogam effectiveness and identifying and implementing needed changes) a campus should follow seveal steps. The moe thoough biennial eviews include the following featues: 1. Desciptions of the AOD pogam elements. Pevention pogam elements ae the paticula activities implemented to achieve pogam goals and outcomes. 15

Complying With the Dug-Fee Schools and Campuses Regulations Pogam elements may efe to the tactics used, such as a campus task foce o a campus and community coalition, as well as the elements elating to the five envionmental stategies. The five envionmental stategies ae those aeas of stategic intevention that affect the social, legal, economic, and physical envionment in which decisions about alcohol use ae made (see Stategic Objectives and Tactics Focused on Envionmental Change in appendix 5). In this section of the eview, pevention pofessionals may choose to list each of the individual and envionmental stategies and the activities that they have implemented in each aea. The supplemental checklist povided in appendix 6 is a tool fo such a eview. 2. Statement of AOD pogam goals and a discussion of goal achievement. Pevention pogam goals identify the intentions of pogammatic effots. Goals eflect the poblem that an institution is seeking to addess (e.g., heavy episodic alcohol use, pimay o seconday consequences of alcohol use) and the outcomes it seeks to achieve. In listing pogam goals, pevention specialists eflect on all that they hope to achieve and list those items. This ceates a bluepint fo action. When descibing pogam goals, pevention specialists may use a document such as the jounal aticle A Typology fo Campus-Based Alcohol Pevention: Moving Towad Envionmental Management Stategies 31 to ensue that all aeas of a compehensive pevention effot ae discussed. An IHE may use pogam outcomes to measue whethe pogam goals wee achieved. Outcomes can be thought of as measuable statements of the inceases in positive behavio and deceases in negative behavio that ae expected when pogam goals ae met. 3. Summaies of AOD pogam stengths and weaknesses. It is helpful to identify the pogam stengths that assist in achieving goals and eaching outcomes. Pogam stengths may be infastuctue suppots such as pesidential leadeship, a easonable budget fo the intended effots, and a campus and community coalition, among othes. Pogam weaknesses ae aeas that have ceated challenges fo pevention effots o baies to pogess, such as a lack of data about the scope of the poblem, a lack of allies, o a lack of leadeship. 4. Pocedues fo distibuting annual AOD notification to students and employees. Pat 86 equies that the institution distibute its annual notification in witing to faculty, staff, and students. When descibing the ways an IHE has distibuted its annual notification to students and employees, those completing the biennial eview should list not only the methods used but also any special consideations that wee addessed to ensue that all faculty, staff, and students eceived policy infomation annually. 5. Copies of the policies distibuted to students and employees. The DFSCA equies IHEs to distibute annual notification about thei AOD policies to all students and employees. Pevention pofessionals should include a copy of all policies distibuted when they complete the biennial eview. In addition, it is a good idea fo an IHE to eview and evise its policies on a egula basis, eflecting cuent case law and changes in fedeal, state, and local laws, and to ensue that the policies ae easonable, compehensive, and enfoceable. Goals eflect the poblem that an institution is seeking to addess (e.g., heavy episodic alcohol use, pimay o seconday consequences of alcohol use) and the outcomes it seeks to achieve. 6. Recommendations fo evising AOD pogams. When eviewing pevention pogams and ecommending pogam evisions, it is citical to involve key campus and community colleagues in the pocess. Afte listing cuent pogam goals, activities, and outcomes and examining stengths and challenges, pevention pofessionals must look back at the campus and community and assess both the gaps in thei pogammatic effots and the poblems faced by students (e.g., heavy episodic alcohol use, pimay 16

The Biennial Review consequences that occu to the alcohol use as a esult of his o he use, and seconday consequences that happen to othes on campus as a esult of the alcohol uses use) and the community (e.g., neighbohood complaints, vandalism, selling alcohol to those undeage o intoxicated) and make ecommendations fo futue effots. Again, the NIAAA 32 and IOM 33 epots and the jounal aticle A Typology fo Campus-Based Alcohol Pevention: Moving Towad Envionmental Management Stategies 34 contain helpful ecommendations fo the futue. In making ecommendations fo futue pevention effots, pevention specialists should emphasize inceasing the use of evidence-based pactice, addessing the most salient issues fo thei campus and community, and assessing the eadiness level of thei campus and community fo a paticula pevention intevention. Accoding to law pofesso Pete Lake, using the new NIAAA epot s ecommendations is a good way to defend a univesity s appoach to high-isk alcohol cultue. 35 In making ecommendations fo futue pevention effots, pevention specialists should emphasize inceasing the use of evidence-based pactice, addessing the most salient issues fo thei campus and community, and assessing the eadiness level of thei campus and community fo a paticula pevention intevention. 17

Complying With the Dug-Fee Schools and Campuses Regulations Using Standads of Pactice to Enhance You Biennial Review Use of standads o guidelines pomulgated by an extenal souce can help in identifying the featues of a compehensive pevention pogam. The Ameican College Health Association (ACHA), the Council fo the Advancement of Standads in Highe Education (CAS), and the Netwok Addessing Collegiate Alcohol and Othe Dug Issues all have standads fo campus-based AOD pevention pogams. Pevention pofessionals can use these standads as a helpful tool when completing the biennial eview. Standads of pactice aticulated by these well-known pofessional oganizations can be a guide fo taking an inventoy of pevention pogams and identifying gaps in the development of a compehensive pevention initiative; they also can act as a famewok fo pevention sevices. standads encouages pevention pofessionals to be mindful of the academic mission of the institution and to collaboate with othe campus divisions and depatments. Thee also ae some distinct diffeences among the thee sets of standads. The ACHA standads taget pevention pogam outcomes and ae widely used by health educatos. Campuses engaging in a self-study, pehaps fo acceditation puposes, fequently use the CAS standads. One of the benefits of Netwok membeship is that, as the only oganization that ties membeship to its standads, it offes a cetificate to membes that indicates a commitment to woking towad those standads. ACHA, CAS, and Netwok standads have seveal commonalities. Each oganization s set of standads suggests that pevention pogams be compehensive in natue, focusing on a continuum of sevices elated to education, pevention, taining and skill development, evaluation, efeal, and teatment. Each focuses on both the individual (e.g., efeal and teatment) and the envionment (e.g., policy development, implementation, and enfocement), eflecting a holistic continuum-of-cae model common to the public health appoach. The standads also imply a cetain set of skills fo pevention pofessionals. In addition, each set of 18

The Biennial Review Measuing Enfocement Consistency Measuing Policy and Pogam Effectiveness The second objective of the biennial eview focuses on enfocement of sanctions. An IHE establishes consistent enfocement of sanctions by documenting that the IHE teats similaly situated offendes in a simila manne. One way to do this is to submit a chat that lists each case (without identifying infomation in ode to potect confidentiality) and pesents the paticulas of the offense, mitigating o aggavating cicumstances, and disposition. By oganizing the list so that simila cases ae gouped togethe, an IHE can facilitate compaisons acoss cases. An IHE establishes consistent enfocement of sanctions by documenting that the IHE teats similaly situated offendes in a simila manne. IHEs also can establish thei effots to enfoce sanctions consistently by documenting (1) the level of effot expended to detect violations of the institution s AOD standads of conduct, and (2) the level of expetise of those who ae esponsible fo detecting AODelated violations. They might find and document such infomation though a combination of depatment budgets, staff plans, and pesonnel ecods, which would highlight the pecentage of time that pevention, judicial, and othe staff spend on policy enfocement effots, as well as the qualifications of those involved. To stengthen the quality of pevention pogams implemented with funds fom the Office of Safe and Dug-Fee Schools, the Depatment established a set of pinciples of effectiveness in 1998, since incopoated into the No Child Left Behind Act of 2001 (Title IV Section 4115). A subset of the pinciples of effectiveness that ae most applicable to IHEs can be summed up as follows: Design pogams based on a thoough needs assessment of objective data. Establish a set of measuable goals and objectives linked to identified needs. Implement pevention activities that eseach o evaluation have shown to be effective in peventing high-isk dinking o violent behavio. Use evaluation esults to efine, impove, and stengthen the pogam and efine goals and objectives as appopiate. Basic to the success of any pevention pogam is the need to ensue the widespead involvement of key stakeholdes, including students, faculty membes, alumni, and community membes, in the pogam s design and implementation. Leadeship fom college and univesity pesidents and othe senio administatos is key to institutionalizing pevention as a pioity on campus. Leadeship fom college and univesity pesidents and othe senio administatos is key to institutionalizing pevention as a pioity on campus. 19 The epots by the NIAAA 36 and the IOM 37 indicate milestones of evidence-based pogams and pogams that have been evaluated as effective. Additionally, the jounal aticle A Typology fo Campus-Based

Complying With the Dug-Fee Schools and Campuses Regulations Alcohol Pevention: Moving Towad Envionmental Management Stategies 38 clealy defines how to think about ceating an effective and compehensive pevention pogam and how to assess cuent pogammatic effots. A hallmak of such pogams is the logical way in which they link poblems elated to student AOD use with attainable outcomes and use evidence-based stategies and tactics to achieve those outcomes. One set of possible measues comes fom ecods of dugand alcohol-elated events, including the following: 1. 2. 3. 4. Disciplinay sanctions imposed Refeals fo counseling o teatment Incidents ecoded in the logs of campus police o othe law enfocement officials Incidents of vandalism Thee ae pos and cons to using such measues of effectiveness. On the one hand, these measues offe indiect indicatos of AOD use levels by looking at the consequences of use. Fo example, a eduction in the numbe of disciplinay sanctions fo violations of AOD standads of conduct might be indicative of lowe AOD use. Given well-oganized and eliable ecod-keeping systems, these measues should be easy to compile fom ecods maintained by the vaious IHE sevice depatments. Disciplinay sanctions could be compiled fom the office of the dean of students o othe sanctioning entities within the IHE; efeals fo counseling o teatment, fom health sevices; and incidents stemming fom alcohol o othe dug use and vandalism, fom campus police o law enfocement ecods. On the othe hand, howeve, employing these types of measues to judge use levels is poblematic because thee ae othe possible explanations fo any obseved eductions. Fo instance, changes in the numbe of AOD-elated incidents ecoded by campus police could indicate changes in use, but they also could eflect changes in the level of AOD enfocement. Othe obseved eductions could be the esult of moe sueptitious use by students o eductions in enfocement. As anothe example, IHEs may have difficulty intepeting eductions in the numbe of AOD efeals. In fact, if an ealy pogam goal is to identify and efe students and employees with AOD poblems fo help, a highe numbe of efeals compaed with pevious yeas might indicate the achievement of this goal, and not necessaily a change in the numbe of students, faculty, and staff abusing alcohol and othe dugs. Othe potential measues suggested by the Depatment of Education include the following: 1. 2. 3. The numbe of students, faculty, and staff attending self-help o othe counseling goups that addess alcohol o othe dug abuse Students and employees attitudes and peceptions about the alcohol o othe dug poblem on campus Use levels of alcohol and othe dugs by students and employees Documenting these measues may equie an IHE to conduct suveys of students and employees evey othe yea, a moe costly poposition than compiling and intepeting ecods outinely maintained by the institution. IHEs may want to utilize esouces available though seveal national oganizations. The Coe Institute is one avenue fo such assistance. 39 In addition, the Coe Institute has published a use s manual that descibes how to plan and conduct the Coe suveys, including sections on andom sampling, sample size, and follow-up. Afte an IHE has collected the data, they can be sent to the Coe Institute fo scoing and tabulation. The institute also will povide compaison statistics fom all IHEs in its database o fom IHEs in the same egion. Documenting these measues may equie an IHE to conduct suveys of students and employees. 20

The Biennial Review Anothe souce of assistance in suvey implementation is ACHA, which has developed a health assessment suvey that has five alcohol-specific questions. 40 Pofessional development fo implementing this suvey is egulaly offeed by ACHA. A publication available fom the Depatment s Highe Education Cente, Peventing Alcohol-Related Poblems on Campus: Methods fo Assessing Student Use of Alcohol and Othe Dugs: A Guide fo Pogam Coodinatos, descibes pocedues fo gatheing and intepeting student suvey data on alcohol-elated poblems, based on the methodology used in the national college alcohol study conducted in 1993 by the Havad School of Public Health. Campuses must plan stategically to addess the specific AOD issues faced by thei students. * * * The Dug-Fee Schools and Campuses Regulations EDGAR Pat 86 clealy lay a famewok fo the scope and function of campus pevention pogams, the conestone of which is a consistently enfoced AOD policy. Campuses have the ight and esponsibility to tailo thei pogams to meet the paticula needs of thei students and the cultue of thei campuses. The egulations and the latest liteatue make clea that campuses need to be stategic, puposeful, and eflective when developing and examining thei pevention pogams. Campuses must plan stategically to addess the specific AOD issues faced by thei students. Pevention specialists can ceate a moe accuate plan by having timely data about AOD use and consequences of use and must use those data to hone thei pogams and maximize esouces. Pevention specialists must be eflective, examining thei pevention pogam to identify gaps in thei effots and consistency. The Highe Education Cente is a esouce fo pevention specialists as they develop, implement, and eflect on thei pevention effots. 21

Complying With the Dug-Fee Schools and Campuses Regulations Illustations Fom Selected Biennial Reviews Summaies of AOD Pogam Stengths and Weaknesses The following thee excepts illustate some IHEs appoaches to diffeent aspects of the biennial epot. Dug-Fee Schools and Communities Act Amendment, 1989/ Dug-Fee Wokplace Act, 1988 Compliance: Policy documents wee eviewed by the committee fo compliance, and the following notes wee taken: Statement of AOD Pogam Goals and a Discussion of Goal Achievement Ou unit accomplished nine main goals in [past twoyea peiod]. These wee: 1. 2. Implementation of the FIPSE gant poject: The Alcohol/Substance Abuse Educato (A.S.A.E.) has seved as the poject diecto fo the FIPSE gant. The poject coodinato esponsible fo the implementation of the poject components began employment in Januay.... Some of the main accomplishments of this poject include the completion of the pe-test assessment, initiation of focus goups tageting specific segments of the student body, the implementation of a Faculty/ Staff Natual Helpes taining pogam, the launching of a Gueilla Theate poject, and the implementation of a life skills couse on campus. [etc.] Excepted fom Dug-Fee Schools and Campuses Regulations Compliance, fom Nothwesten Univesity Annual Repot. A. Favoable compliance The institution has developed and maintains a dug pevention policy. The institution distibutes annually to each student a copy of the dug-fee policy. The institution povides sevices and activities to pomote a stong dug-fee campus envionment. The institution conducts a biennial eview of its dug pevention pogam and policy to detemine effectiveness, implements necessay changes, and ensues that disciplinay sanctions ae enfoced. The institution tacks the numbe of dug- and alcohol-elated legal offenses and efeals fo counseling and teatment. B. Compliance concens Dug-fee policy is distibuted to new employees; need to implement annual distibution to all employees. Ensue that students who enoll afte fall quate o who ae gaduate o summe students only ae eceiving the annual notification. Ensue that the dug-fee annual notification is eadable; cuently, small pint in handbook is difficult to ead. Recommendation made that No Smoking signs be placed about campus. Excepted fom the Biennial Review of Alcohol and Dug Abuse Pevention Pogams at Walla Walla College. 22

The Biennial Review Recommendations fo Revising AOD Pogams It is ecommended that the following issues be addessed by the next eview peiod... : 1. 2. 3. 4. 5. 6. The equied infomation, as descibed in the Dug- Fee Schools and Communities Act, Public Law 101-226, be annually distibuted to employees. Establish a pesidential-appointed Biennial Review Committee with campuswide epesentation to begin the planning stages of the [next] Review. Continue to discuss and eview the cuent Alcohol and Dug Policy with the campus community and update as needed. Impove the utilization of the Annual Campus Cime Repot to evaluate the enfocement of the disciplinay sanctions that ae stated in the Alcohol and Dug Policy Handbook. Continue suveying the campus community fo the evaluation of the community s knowledge of the Alcohol and Dug Policy, the effectiveness of the dug pevention pogam, and the enfocement of the disciplinay sanction fo both students and employees. Impove data collecting pocedues fo the Biennial Review. Excepted fom the Institute of Ameican Indian Ats Dug Pevention Pogam, Biennial Review. 23

Notes Notes 1. Education Depatment Geneal Administative Regulations (EDGAR). The egulations can be found online at www.ed.gov/policy/fund/eg/edgareg/edlite-pat86a.html. 2. Unless thee is a change in owneship (as might occu at a popietay institution), cetification is a one-time event fo an IHE and, pesumably, one that has aleady taken place fo all IHEs to which this document is diected. 3. Task Foce of the National Advisoy Council on Alcohol Abuse and Alcoholism, National Institute on Alcohol Abuse and Alcoholism. A Call to Action: Changing the Cultue of Dinking at U.S. Colleges (Washington, D.C.: National Institutes of Health, 2002). (The epot can be found online at www. higheedcente.og/niaaa/epot.html.) 4. Bonnie, R. J., and O Connell, M. E., eds. Reducing Undeage Dinking: A Collective Responsibility (Washington, D.C.: National Academy of Sciences, Institute of Medicine, 2003). (The epot can be found online at www.higheedcente.og/iom-epot.html.) 5. Additionally, the law coves state education agencies (SEA) and local education agencies (LEA). See EDGAR Pat 86.1. 6. EDGAR Pat 86.1, titled, What Is the Pupose of the Dug and Alcohol Abuse Pevention Regulations? and 20. U.S.C. 1145g. 7. EDGAR Pat 86.100. 8. Fo a discussion of some of the leading cases is this aea, see Robet D. Bickel and Pete F. Lake, Reconceptualizing the Univesity s Duty to Povide a Safe Leaning Envionment: A Citicism of the Doctine of In Loco Paentis and the Restatement (Second) of Tots, 20 Jounal of College and Univesity Law 261 (Winte 1994); also see John H. Robinson and Catheine Pieonek, The Law of Highe Education and the Couts: 1994 in Review, 22 Jounal of College and Univesity Law 267 (Winte 1996). 9. EDGAR Pat 86.301. 10. See EDGAR Pat 86.301, titled What Actions May the Secetay Take If an IHE Violates This Pat? 11. EDGAR Pat 86.101. Also see 20 U.S.C. 1145g. 12. EDGAR Pat 86.102 and 20 U.S.C. 1145g. In addition, each IHE that povides the dug pevention pogam cetification as equied by the egulations shall, upon equest, make available to the Secetay and the public a copy of each item equied by the Regulations as well as the esults of the biennial eview. See EDGAR Pat 86.103 (a). 13. Bickel, R. D., and Lake, P. F. The Rights and Responsibilities of the Moden Univesity: Who Assumes the Risks of College Life? (Duham, N.C.: Caolina Academic Pess, 1999). 14. See 20 U.S.C. 1145g and EDGAR Pat 86.100 (a) (1). 15. See 20 U.S.C. 1145g and EDGAR Pat 86.100 (a) (2), (3), (4), (5). A disciplinay sanction may include the completion of an appopiate ehabilitation pogam. 16. See EDGAR Pat 86.100 (a) (1). Case law in this aea vaies. 25

Complying With the Dug-Fee Schools and Campuses Regulations 17. Judicial decisions with espect to the activities of sooities and fatenities located on and off campus continue to vay, with some couts finding IHEs esponsible and othes uling that the fatenity event was not an officially sanctioned activity. Case law in this aea tends to vay fom state to state and even within juisdictions. Often the cout uling ests on the paticula facts of the case. See Robet D. Bickel and Pete F. Lake, Reconceptualizing the Univesity s Duty to Povide a Safe Leaning Envionment: A Citicism of the Doctine of In Loco Paentis and the Restatement (Second) of Tots, 20 Jounal of College and Univesity Law 261 (Winte 1994). 18. Dugs of Abuse (1989 Edition) can be found online at www.usdoj.gov/dea/pubs/abuse/doa-p.pdf. 19. EDGAR Pat 86.100 (a) (4) and 20 U.S.C. 1145g. 20. EDGAR Pat 86.100 (a) (5) and 20 U.S.C. 1145g. Also see EDGAR Pat 86.200 (d). Fo the puposes of this section, a disciplinay sanction may include the completion of an appopiate ehabilitation pogam. 21. In conducting the biennial eview, IHEs ae equied to assess the consistency of enfocement (see p. 19 of this guide). 22. EDGAR Pat 86.3 (b) and 20 U.S.C. 1145g, 3224a. 23. EDGAR Pat 86.100 (b) (2). 24. The Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention povides assistance and infomation to help IHEs assess campus needs, develop a stategic plan, and measue esults; fo moe infomation, visit www.higheedcente.og/eval. 25. Task Foce, Call to Action. 26. Bonnie and O Connell, Reducing Undeage Dinking. 27. DeJong, W., and Langfod, L. M. A Typology fo Campus-Based Alcohol Pevention: Moving Towad Envionmental Management Stategies. Jounal of Studies on Alcohol, supplement no. 14: 140 147, 2002. 28. The Standads of the Netwok Addessing Collegiate Alcohol and Othe Dug Issues can be found online at www.thenetwok.ws/standads.htm. 29. The Standads of the Council fo the Advancement of Standads in Highe Education can be found online at www.cas.edu. 30. See the Ameican College Health Association s Web site at www.acha.og/info_esouces/sphphe.cfm. 31. DeJong and Langfod, Typology fo Campus-Based Alcohol Pevention. 32. Task Foce, Call to Action. 33. Bonnie and O Connell, Reducing Undeage Dinking. 34. DeJong and Langfod, Typology fo Campus-Based Alcohol Pevention. 35. Lake, P., Law as Pevention: It Is Time to View Law as a Tool in Pevention Effots. Pevention File: Alcohol, Tobacco and Othe Dugs, 18: 5, Sping 2003. 36. Task Foce, Call to Action. 26

Notes 37. Bonnie and O Connell, Reducing Undeage Dinking. 38. DeJong and Langfod, Typology fo Campus-Based Alcohol Pevention. 39. The Coe Institute has developed suvey foms fo both students and faculty/staff on AOD use and peceptions of use. Fo moe infomation, contact: The Coe Institute, Cente fo Alcohol and Dug Studies, Southen Illinois Univesity, Cabondale, IL 62901; Tel.: 618-453-4364; Fax: 618-453-4449, Web: www.siu.edu/~coeinst/. 40. See ACHA s Web site at www.acha.og/pojects_pogams/assessment.cfm. 27

Resouces Resouces Office of Safe and Dug-Fee Schools (OSDFS) U.S. Depatment of Education www.ed.gov/osdfs OSDFS suppots effots to ceate safe schools, espond to cises, pevent alcohol and othe dug abuse, ensue the health and well-being of students, teach students good citizenship and chaacte, and povide national leadeship on issues and pogams in coectional education. The agency povides financial assistance fo dug abuse and violence pevention activities and activities that pomote the health and well-being of students in elementay and seconday schools and institutions of highe education. OSDFS paticipates in the development of Depatment pogam policy and legislative poposals and in oveall administation policies elated to dug abuse and violence pevention. It also paticipates with othe fedeal agencies in the development of a national eseach agenda fo such pevention. The U.S. Depatment of Education s Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention www.higheedcente.og Established by the U.S. Depatment of Education in 1993, the Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention is the Depatment s pimay povide of sevices in alcohol and othe dug abuse and violence pevention in highe education founded upon state-of-theat knowledge and eseach-based stategies. In this capacity, the Highe Education Cente acts as a catalyst to advance collaboative campus and community teams acoss the nation. The Highe Education Cente offes an integated aay of sevices to help campuses and communities come togethe to identify poblems; assess needs; and plan, implement, and evaluate alcohol and othe dug abuse and violence pevention pogams. Sevices include taining; technical assistance; publications; suppot fo the Netwok Addessing Collegiate Alcohol and Othe Dug Issues; and evaluation activities. The Highe Education Cente s publications ae fee and can be downloaded fom its Web site. The Council fo the Advancement of Standads in Highe Education www.cas.edu The Council fo the Advancement of Standads in Highe Education (CAS) has been the pe-eminent foce fo pomoting standads in student affais, student sevices, and student development pogams since its inception in 1979. Fo the ultimate pupose of fosteing and enhancing student leaning, development, and achievement and in geneal to pomote good citizenship, CAS continues to ceate and delive a dynamic and cedible Book of Pofessional Standads fo Highe Education and Guidelines and Self- Assessment Guides that ae designed to lead to a host of quality-contolled pogams and sevices. These standads espond to eal-time student needs, the equiements of sound pedagogy, and the effective management of cuently 30 functional aeas, consistent with institutional missions. 29

Complying With the Dug-Fee Schools and Campuses Regulations Council on Law in Highe Education http://clhe.og The Council on Law in Highe Education (CLHE) is an independent nonpofit oganization, founded in 1998, that is dedicated to assisting pesidents, senio-level administatos, and attoneys in managing legal isk and impoving egulatoy compliance. Its mission is to be an invaluable and independent esouce fo highe education leades and policymakes seeking compehensive infomation and pactical solutions that addess the legal and policy issues affecting the nation s highe education system. As an independent nonpofit eseach and education oganization, CLHE also advocates fo public policy solutions and legal efoms that educe unnecessay egulatoy buden and excessive liability on institutions, pomote student ights, and allow highe education institutions to have flexibility in achieving thei missions. National Association of College and Univesity Attoneys www.nacua.og The National Association of College and Univesity Attoneys (NACUA) was founded in 1960 61; nealy 1,400 campuses (about 660 institutions), epesented by ove 3,000 attoneys, compise the membeship today. The association s pupose is to enhance legal assistance to colleges and univesities by educating attoneys and administatos to the natue of campus legal issues. It has an equally impotant ole to play in the continuing legal education of univesity counsel. In addition, NACUA poduces publications, sponsos seminas, maintains its own bulletin boad (NACUANET) and Home page on the Intenet, and opeates a cleainghouse though which attoneys on campuses ae able to shae esouces, knowledge, and wok poducts on cuent legal concens and inteests. The Netwok Addessing Collegiate Alcohol and Othe Dug Issues www.thenetwok.ws The Netwok is a national consotium of colleges and univesities fomed to pomote healthy campus envionments by addessing the issues of alcohol, othe dugs, and violence. Developed in 1987 by the U.S. Depatment of Education, the Netwok compises membe institutions that voluntaily agee to wok towad a set of standads aimed at educing AOD poblems at colleges and univesities. It has appoximately 1,575 membes nationwide. The Netwok develops collaboative AOD pevention effots among colleges and univesities though electonic infomation exchange, pinted mateials, and sponsoship of national, egional, and state activities and confeences. 30

Appendices Appendices Appendix 1: EDGAR Pat 86 Contents and Subpats A Geneal, B, and D Appendix 2: Pat 86 Compliance Checklist Appendix 3: Fedeal Tafficking Penalties Appendix 4: Univesity of Geogia: Policy on Alcohol and Othe Dugs Appendix 5: Stategic Objectives and Tactics Focused on Envionmental Change Appendix 6: Supplemental Checklist 31

Appendix 1 * Downloaded fom EDGAR vesion June 23, 2005 (www.ed.gov/policy/fund/eg/edgareg/edlite-pat86a.html). 32

86.304 What ae the pocedues used by the Secetay to demand epayment of Fedeal financial assistance o teminate an IHE's eligibility fo any o all foms of Fedeal financial assistance? Subpat E_Appeal Pocedues 86.400 What is the scope of this subpat? 86.401 What ae the authoity and esponsibility of the ALJ? 86.402 Who may be a paty in a heaing unde this subpat? 86.403 May a paty be epesented by counsel? 86.404 How may a paty communicate with an ALJ? 86.405 What ae the equiements fo filing witten submissions? 86.406 What must the ALJ do if the paties ente settlement negotiations? 86.407 What ae the pocedues fo scheduling a heaing? 86.408 What ae the pocedues fo conducting a pe-heaing confeence? 86.409 What ae the pocedues fo conducting a heaing on the ecod? 86.410 What ae the pocedues fo issuance of a decision? 86.411 What ae the pocedues fo equesting einstatement of eligibility? Authoity: 20 U.S.C. 1145g, unless othewise noted. Souce: 55 FR 33581, Aug. 16, 1990, unless othewise noted. Subpat A_Geneal Sec. 86.1 What is the pupose of the Dug and Alcohol Abuse Pevention egulations? The pupose of the Dug and Alcohol Abuse Pevention egulations is to implement section 22 of the Dug-Fee Schools and Communities Act Amendments of 1989, which added section 1213 to the Highe Education Act. These amendments equie that, as a condition of eceiving funds o any othe fom of financial assistance unde any Fedeal pogam, an institution of highe education (IHE) must cetify that it has adopted and implemented a dug pevention pogam as descibed in this pat. (Authoity: 20 U.S.C. 1145g) [61 FR 66225, Dec. 17, 1996] Sec. 86.2 What Fedeal pogams ae coveed by this pat? The Fedeal pogams coveed by this pat include-- (a) All pogams administeed by the Depatment of Education unde which an IHE may eceive funds o any othe fom of Fedeal financial assistance; and (b) All pogams administeed by any othe Fedeal agency unde 33

which an IHE may eceive funds o any othe fom of Fedeal financial assistance. (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] Sec. 86.3 What actions shall an IHE take to comply with the equiements of this pat? (a) An IHE shall adopt and implement a dug pevention pogam as descibed in Sec. 86.100 to pevent the unlawful possession, use, o distibution of illicit dugs and alcohol by all students and employees on school pemises o as pat of any of its activities. (b) An IHE shall povide a witten cetification that it has adopted and implemented the dug pevention pogam descibed in Sec. 86.100. (Appoved by the Office of Management and Budget unde contol numbe 1880-0522) (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, 66226, Dec. 17, 1996] Sec. 86.4 What ae the pocedues fo submitting a dug pevention pogam cetification? An IHE shall submit to the Secetay the dug pevention pogam cetification equied by Sec. 86.3(b). (Appoved by the Office of Management and Budget unde contol numbe 1880-0522) (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66226, Dec. 17, 1996] Sec. 86.5 What ae the consequences if an IHE fails to submit a dug pevention pogam cetification? (a) An IHE that fails to submit a dug pevention pogam cetification is not eligible to eceive funds o any othe fom of financial assistance unde any Fedeal pogam. (b) The effect of loss of eligibility to eceive funds o any othe fom of Fedeal financial assistance is detemined by the statute and egulations govening the Fedeal pogams unde which an IHE eceives o desies to eceive assistance. (Authoity: 20 U.S.C. 1145g) 34

[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] Sec. 86.6 When must an IHE submit a dug pevention pogam cetification? (a) Afte Octobe 1, 1990, except as povided in paagaph (b) of this section, an IHE is not eligible to eceive funds o any othe fom of financial assistance unde any Fedeal pogam until the IHE has submitted a dug pevention pogam cetification. (b)(1) The Secetay may allow an IHE until not late than Apil 1, 1991, to submit the dug pevention pogam cetification, only if the IHE establishes that it has a need, othe than administative convenience, fo moe time to adopt and implement its dug pevention pogam. (2) An IHE that wants to eceive an extension of time to submit its dug pevention pogam cetification shall submit a witten justification to the Secetay that-- (i) Descibes each pat of its dug pevention pogam, whethe in effect o planned; (ii) Povides a schedule to complete and implement its dug pevention pogam; and (iii) Explains why it has a need, othe than administative convenience, fo moe time to adopt and implement its dug pevention pogam. (3) An IHE shall submit a equest fo an extension to the Secetay. (Appoved by the Office of Management and Budget unde contol numbe 1880-0522) (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66226, Dec. 17, 1996] Sec. 86.7 What definitions apply to this pat? (a) Definitions in EDGAR. The following tems used in this pat ae defined in 34 CFR pat 77: Depatment EDGAR Secetay (b) Othe definitions. The following tems used in this pat ae defined as follows: Compliance ageement means an ageement between the Secetay and an IHE that is not in full compliance with its dug pevention pogam cetification. The ageement specifies the steps the IHE will take to comply fully with its dug pevention pogam cetification, and povides a schedule fo the accomplishment of those steps. A compliance ageement does not excuse o emedy past violations of this pat. 35

Institution of highe education means-- (1) An institution of highe education, as defined in 34 CFR 600.4; (2) A popietay institution of highe education, as defined in 34 CFR 600.5; (3) A postseconday vocational institution, as defined in 34 CFR 600.6; and (4) A vocational school, as defined in 34 CFR 600.7. (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66226, Dec. 17, 1996] 36

Appendix 1 (continued) 37

Secetay conduct? The Secetay annually eviews a epesentative sample of IHE dug pevention pogams. (Authoity: 20 U.S.C. 1145g) Sec. 86.102 What is equied of an IHE that the Secetay selects fo annual eview? If the Secetay selects an IHE fo eview unde Sec. 86.101, the IHE shall povide the Secetay access to pesonnel, ecods, documents and any othe necessay infomation equested by the Secetay to eview the IHE's adoption and implementation of its dug pevention pogam. (Appoved by the Office of Management and Budget unde contol numbe 1880-0522) (Authoity: 20 U.S.C. 1145g) Sec. 86.103 What ecods and infomation must an IHE make available to the Secetay and the public concening its dug pevention pogam? (a) Each IHE that povides the dug pevention pogam cetification equied by Sec. 86.3(b) shall, upon equest, make available to the Secetay and the public a copy of each item equied by Sec. 86.100(a) as well as the esults of the biennial eview equied by Sec. 86.100(b). (b) (1) An IHE shall etain the following ecods fo thee yeas afte the fiscal yea in which the ecod was ceated: (i) The items descibed in paagaph (a) of this section. (ii) Any othe ecods easonably elated to the IHE's compliance with the dug pevention pogam cetification. (2) If any litigation, claim, negotiation, audit, eview, o othe action involving the ecods has been stated befoe expiation of the thee-yea peiod, the IHE shall etain the ecods until completion of the action and esolution of all issues that aise fom it, o until the end of the egula thee-yea peiod, whicheve is late. (Appoved by the Office of Management and Budget unde contol numbe 1880-0522) (Authoity: 20 U.S.C. 1145g) Subpat C [Reseved] 38

Appendix 1 (continued) 39

funds; and (ii) Fo puposes of an IHE's paticipation in the student financial assistance pogams authoized by title IV of the Highe Education Act of 1965 as amended, has the same effect as a temination unde 34 CFR 668.94. (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] Sec. 86.302 What ae the pocedues used by the Secetay fo poviding infomation o technical assistance? (a) The Secetay povides infomation o technical assistance to an IHE in witing, though site visits, o by othe means. (b) The IHE shall infom the Secetay of any coective action it has taken within a peiod specified by the Secetay. (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] Sec. 86.303 What ae the pocedues used by the Secetay fo issuing a esponse othe than the fomulation of a compliance ageement o the povision of infomation o technical assistance? (a) If the Secetay intends to issue a esponse othe than the fomulation of a compliance ageement o the povision of infomation o technical assistance, the Secetay notifies the IHE in witing of-- (1) The Secetay's detemination that thee ae gounds to issue a esponse othe than the fomulation of a compliance ageement o poviding infomation o technical assistance; and (2) The esponse the Secetay intends to issue. (b) An IHE may submit witten comments to the Secetay on the detemination unde paagaph (a) (1) of this section and the intended esponse unde paagaph (a) (2) of this section within 30 days afte the date the IHE eceives the notification of the Secetay's intent to issue a esponse. (c) Based on the initial notification and the witten comments of the IHE the Secetay makes a final detemination and, if appopiate, issues a final esponse. (d) The IHE shall infom the Secetay of the coective action it has taken in ode to comply with the tems of the Secetay's esponse within a peiod specified by the Secetay. (e) If an IHE does not comply with the tems of a esponse issued by the Secetay, the Secetay may issue an additional esponse o impose a sanction on the IHE in accodance with the pocedues in Sec. 86.304. (Authoity: 20 U.S.C. 1145g) 40

[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] Sec. 86.304 What ae the pocedues used by the Secetay to demand epayment of Fedeal financial assistance o teminate an IHE's eligibility fo any o all foms of Fedeal financial assistance? (a) A designated Depatment official begins a poceeding fo epayment of Fedeal financial assistance o temination, o both, of an IHE's eligibility fo any o all foms of Fedeal financial assistance by sending the IHE a notice by cetified mail with etun eceipt equested. This notice-- (1) Infoms the IHE of the Secetay's intent to demand epayment of Fedeal financial assistance o to teminate, descibes the consequences of that action, and identifies the alleged violations that constitute the basis fo the action; (2) Specifies, as appopiate-- (i) The amount of Fedeal financial assistance that must be epaid and the date by which the IHE must epay the funds; and (ii) The poposed effective date of the temination, which must be at least 30 days afte the date of eceipt of the notice of intent; and (3) Infoms the IHE that the epayment of Fedeal financial assistance will not be equied o that the temination will not be effective on the date specified in the notice if the designated Depatment official eceives, within a 30-day peiod beginning on the date the IHE eceives the notice of intent descibed in this paagaph-- (i) Witten mateial indicating why the epayment of Fedeal financial assistance o temination should not take place; o (ii) A equest fo a heaing that contains a concise statement of disputed issues of law and fact, the IHE's position with espect to these issues, and, if appopiate, a desciption of which Fedeal financial assistance the IHE contends need not be epaid. (b) If the IHE does not equest a heaing but submits witten mateial-- (1) The IHE eceives no additional oppotunity to equest o eceive a heaing; and (2) The designated Depatment official, afte consideing the witten mateial, notifies the IHE in witing whethe-- (i) Any o all of the Fedeal financial assistance must be epaid; o (ii) The poposed temination is dismissed o imposed as of a specified date. (Authoity: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996] 41

Appendix 2 Pat 86 Compliance Checklist Pat 86, Dug-Fee Schools and Campuses Regulations Compliance Checklist 1. Does the institution maintain a copy of its dug pevention pogam? Yes No If yes, whee is it located? 2. Does the institution povide annually to each employee and each student, who is taking one o moe classes fo any type of academic cedit except fo continuing education units, witten mateials that adequately descibe and contain the following? a. b. c. d. e. Standads of conduct that pohibit unlawful possession, use, o distibution of illicit dugs and alcohol on its popety o as a pat of its activities Students: Yes No Staff and Faculty: Yes No A desciption of the health isks associated with the use of illicit dugs and the abuse of alcohol Students: Yes No Staff and Faculty: Yes No A desciption of applicable legal sanctions unde local, state, o fedeal law Students: Yes No Staff and Faculty: Yes No A desciption of applicable counseling, teatment, o ehabilitation o e-enty pogams Students: Yes No Staff and Faculty: Yes No A clea statement of the disciplinay sanctions the institution will impose on students and employees, and a desciption of those sanctions Students: Yes No Staff and Faculty: Yes No 3. Ae the above mateials distibuted to students in one of the following ways? a. b. c. d. e. Mailed to each student (sepaately o included in anothe mailing) Yes No Though campus post offices boxes Yes No Class schedules which ae mailed to each student Yes No Duing feshman oientation Yes No Duing new student oientation Yes No 42

f. In anothe manne (descibe) 4. 5. 6. Does the means of distibution povide easonable assuance that each student eceives the mateials annually? Yes No Does the institution's distibution plan make povisions fo poviding these mateials to students who enoll at some date afte the initial distibution? Yes No Ae the above mateials distibuted to staff and faculty in one of the following ways? a. b. c. d. Mailed Staff: Yes No Faculty: Yes No Though campus post office boxes Staff: Yes No Faculty: Yes No Duing new employee oientation Staff: Yes No Faculty: Yes No In anothe manne (descibe) 7. 8. 9. Does the means of distibution povide easonable assuance that each staff and faculty membe eceives the mateials annually? Staff: Yes No Faculty: Yes No Does the institution's distibution plan make povisions fo poviding these mateials to staff and faculty who ae hied afte the initial distibution? Staff: Yes No Faculty: Yes No In what ways does the institution conduct biennial eviews of its dug pevention pogam to detemine effectiveness, implement necessay changes, and ensue that disciplinay sanctions ae enfoced? a. b. c. d. e. Conduct student alcohol and dug use suvey Yes No Conduct opinion suvey of its students, staff, and faculty Students: Yes No Staff and Faculty: Yes No Evaluate comments obtained fom a suggestion box Students: Yes No Staff and Faculty: Yes No Conduct focus goups Students: Yes No Staff and Faculty: Yes No Conduct intecept inteviews Students: Yes No Staff and Faculty: Yes No 43

f. g. h. Assess effectiveness of documented mandatoy dug teatment efeals fo students and employees Students: Yes No Staff and Faculty: Yes No Assess effectiveness of documented cases of disciplinay sanctions imposed on students and employees Students: Yes No Staff and Faculty: Yes No Othe (please list) 10. Who is esponsible fo conducting these biennial eviews? 11. If equested, has the institution made available, to the Secetay and the public, a copy of each equested item in the dug pevention pogam and the esults of the biennial eview? Yes No 12. Whee is the biennial eview documentation located? Name Title Depatment Phone E-mail 13. Comments 44

Appendix 3 Fedeal Tafficking Penalties* Dug/Schedule Quantity Penalties Quantity Penalties Cocaine (Schedule II) Cocaine Base (Schedule II) Fentanyl (Schedule II) Fentanyl Analogue (Schedule I) Heoin (Schedule I) 500 4999 gms Fist Offense: 5 kgs o moe mixtue mixtue Not less than 5 ys, 5 49 gms mixtue and not moe than 50 gms o moe 40 ys. If death o mixtue 40 399 gms mixtue seious injuy, not less than 20 o moe than 400 gms o moe mixtue 10 99 gms mixtue life. Fine of not moe than $2 million if an 100 gms o moe individual, $5 million mixtue if not an individual 100 999 gms mixtue 1 kg o moe mixtue LSD (Schedule I) 1 9 gms mixtue Second Offense: Not less than 10 10 gms o moe mixtue ys, and not moe Methamphetamine 5 49 gms pue o 50 gms o moe pue than life. If death (Schedule II) 50 499 gms mixtue o 500 gms o moe o seious injuy, mixtue life impisonment. Fine of not moe PCP (Schedule II) 10 99 gms pue o 100 999 gms mixtue than $4 million if an individual, $10 million if not an individual 100 gm o moe pue o 1 kg o moe mixtue Fist Offense: Not less than 10 ys, and not moe than life. If death o seious injuy, not less than 20 o moe than life. Fine of not moe than $4 million if an individual, $10 million if not an individual. Second Offense: Not less than 20 ys, and not moe than life. If death o seious injuy, life impisonment. Fine of not moe than $8 million if an individual, $20 million if not an individual. 2 o Moe Pio Offenses: Life impisonment Fo the most ecent and complete Fedeal Tafficking Penalties infomation, visit the Web site of the U.S. Dug Enfocement Administation at www.dea.gov/agency/penalties.htm. * Downloaded fom www.dea.gov/agency/penalties.htm, Mach 3, 2006. 45

Appendix 4 Univesity of Geogia Policy on Alcohol and Othe Dugs 1 Revised Septembe 2005 * * * Health Risks The following infomation on health isks is fom What Woks: Schools Without Dugs, U. S. Depatment of Education (1992): Alcohol consumption causes a numbe of maked changes in behavio. Even low doses significantly impai the judgment and coodination equied to dive a ca safely, inceasing the likelihood that the dive will be involved in an accident. Low to modeate doses of alcohol also incease the incidence of a vaiety of aggessive acts, including spouse and child abuse. Modeate to high doses of alcohol cause maked impaiments in highe mental functions, seveely alteing a peson s ability to lean and emembe infomation. Vey high doses cause espiatoy depession and death. If combined with othe depessants of the cental nevous system, much lowe doses of alcohol will poduce the effects just descibed. Repeated use of alcohol can lead to dependence. Sudden cessation of alcohol intake is likely to poduce withdawal symptoms, including sevee anxiety, temos, hallucinations, and convulsions. Alcohol withdawal can be life-theatening. Long-tem consumption of lage quantities of alcohol, paticulaly when combined with poo nutition, can also lead to pemanent damage to vital ogans such as the bain and the live. Mothes who dink alcohol duing pegnancy may give bith to infants with fetal alcohol syndome. These infants have ievesible physical abnomalities and mental etadation. In addition, eseach indicates that childen of alcoholic paents ae at geate isk than othe youngstes of becoming alcoholics. A chat accompanying this policy in the cuent Safe & Secue bochue lists the possible effects and health isks associated with the use of illicit dugs and contolled substances. 1 Downloaded fom www.uga.edu/dugpol, Mach 10, 2006. 46

Appendix 5 Repinted fom Safe Lanes on Campus: A Guide fo Peventing Impaied Diving and Undeage Dinking, by R. Zimmeman and W. DeJong (Washington, D.C.: U.S. Depatment of Education, Office of Safe and Dug-Fee Schools, Highe Education Cente fo Alcohol and Othe Dug Pevention, 2003). 47

48

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Appendix 6 SUPPLEMENTAL CHECKLIST 1 Dug-Fee Schools and Campuses Regulations (EDGAR Pat 86) The Dug-Fee Schools and Campuses Regulations equie an institution of highe education (IHE) to cetify it has adopted and implemented a pogam to pevent the unlawful possession, use, o distibution of illicit dugs and alcohol by students and employees. Failue to comply with the Dug-Fee Schools and Campuses Regulations may fofeit an institution s eligibility fo fedeal funding. EDGAR Pat 86 establishes a set of minimum equiements fo college substance use pogams. Colleges and univesities may have additional obligations unde state law, including ecent cout decisions in lawsuits bought against IHEs by college and univesity students and employees. Consultation with an attoney knowledgeable in this aea is highly ecommended. A. Desciption of the AOD Pogam Elements 1. Alcohol-Fee Options How does you campus povide an envionment with alcohol-fee options? Please check all that apply: Alcohol-fee events and activities ae ceated and pomoted. Student sevice leaning o voluntee oppotunities ae ceated, publicized, and pomoted. Community sevice wok is equied as pat of the academic cuiculum. The campus offes a student cente, eceation cente, coffeehouse, o othe alcohol-fee settings. The student cente, fitness cente, o othe alcohol-fee settings have expanded hous. Nonalcoholic beveages ae pomoted at events. Does not pomote alcohol-fee options. Othe: Examples of campuses that offe alcohol-fee options can be found at www.higheedcente.og/ideasamples: Pennsylvania State Univesity, Ohio State Univesity, and Univesity of Noth Caolina. 1 This checklist can be found online at www.higheedcente.og/dfsca/supp-checklist.html. 50

2. Nomative Envionment How does you campus ceate a social, academic, and esidential envionment that suppots health-pomoting noms? Please check all that apply: College admissions pocedues pomote a healthy envionment. The academic schedule offes coe classes on Thusdays, Fidays, and Satudays. Exams/pojects inceasingly equie class attendance and academic esponsibility. Substance-fee esidence options ae available. The campus encouages an incease in academic standads. Faculty and staff ae educated about behavioal indicatos, student noms, and cultual attitudes elated to high-isk o illegal alcohol use. Faculty and staff ae educated about behavioal indicatos, student noms, and cultual attitudes elated to illicit dug use. Faculty ae encouaged to engage in a highe level of contact with students. Students ae educated about mispeceptions of dinking noms. Student leadeship (e.g., oientation leades, esident assistants, fatenity and sooity membes, athletes, student oganizations) pomotes positive, healthy noms. Students have oppotunities to advise and mento pees. Po-health messages ae publicized though campus and community media channels. Does not pomote a nomative envionment. Othe: Examples of campuses that pomote a nomative envionment can be found at www.higheedcente.og/ ideasamples: Santa Claa Univesity, Nothen Illinois Univesity, and Univesity of Aizona. 3. Alcohol Availability How does you AOD pevention pogam limit alcohol availability? Please check all that apply: Alcohol is banned o esticted on campus. Alcohol use is pohibited in public places. Delivey o use of kegs o othe common containes is pohibited on campus. Alcohol seves ae equied to be egisteed and tained. Seve taining pogams ae mandatoy. Guidelines fo off-campus paties ae disseminated. The numbe and concentation of alcohol outlets nea campus ae egulated. The costs of bee and liquo licenses ae aised. The days o hous of alcohol sales ae limited. 51

The containe size of alcoholic beveages is educed. Alcohol is egulated by quantity pe sale. Keg egistation is equied. State alcohol taxes ae inceased. Does not limit alcohol availability. Othe: Examples of campuses that limit alcohol availability can be found at www.higheedcente.og/ideasamples: Lehigh Univesity, Michigan State Univesity, and Univesity of Coloado. 4. Maketing and Pomotion of Alcohol How does you AOD pevention pogam limit maketing and pomotion of alcohol on and off campus? Please check all that apply: Alcohol advetising on campus is banned o limited. Alcohol industy sponsoship fo on-campus events is banned o limited. Content of paty o event announcement is limited. Alcohol advetising in the vicinity of campus is banned o limited. Alcohol pomotions with special appeal to undeage dinkes is banned o limited. Alcohol pomotions that show dinking in high-isk contexts is banned o limited. Po-health messages that countebalance alcohol advetising ae equied. Coopeative ageements ae endosed to institute a minimum pice fo alcoholic dinks. Coopeative ageements ae endosed to limit special dink pomotions. Happy hous is eliminated fom bas in the aea. The sale of shot glasses, bee mugs, and wine glasses at campus bookstoes is banned. Does not estict maketing and pomotion of alcohol. Othe: Examples of campuses that limit maketing and pomotion of alcohol can be found at www.higheedcente.og/ ideasamples: Baylo Univesity; Univesity of Minnesota; and Univesity at Albany, State Univesity of New Yok. 52

5. Policy Development and Enfocement How does you AOD pevention pogam develop and enfoce AOD policies on and off campus? Please check all that apply: On-campus functions must be egisteed. ID checks at on-campus functions ae enfoced. Undecove opeations ae used at campus pubs and on-campus functions. Patols obseve on-campus paties. Patols obseve off-campus paties. Disciplinay sanctions fo violation of campus AOD policies ae inceased. Ciminal posecution of students fo alcohol-elated offenses is inceased. Dive s licensing pocedues and fomats ae changed. Dive s license penalties fo minos violating alcohol laws ae enfoced. Selles/seves ae educated about potential legal liability. ID checks at off-campus bas and liquo stoes ae enfoced. Penalties fo sale of liquo to minos ae enfoced. Laws against buying alcohol fo minos ae enfoced. Penalties fo possessing fake IDs ae enfoced. Undecove opeations ae used at etail alcohol outlets. DUI laws ae enfoced. Roadblocks ae implemented. Open house assemblies ae esticted. Dam shop laws that apply legal action fo seving intoxicated dinkes o minos ae established. Does not develop o enfoce AOD policies. Othe: Examples of campuses that inceased enfocement of policies and laws can be found at www.higheedcente.og/ idea samples: Boston College, Univesity of Oegon, and West Texas A&M Univesity. B. A Statement of AOD Pogam Goals and a Discussion of Goal Achievement Please state you AOD pogam goals: 53

(Sample: The following AOD pevention goals wee witten in 1995 by the Substance Abuse Education Initiatives: (1) Aticulate and consistently enfoce clea policies that pomote an educational envionment fee fom substance use/abuse. (2) Povide ongoing education fo membes of the campus community fo the pupose of peventing alcohol abuse and othe dug use. (3) Povide a easonable level of cae fo substance abuses though counseling, teatment, and efeal. (4) Implement campus activities that pomote and einfoce health, esponsible living, espect fo community and campus standads, individual esponsibility on the campus, and intellectual, social, emotional, spiitual o ethical, and physical well-being of the membes. (5) Be vocal and visionay in combating the negative issues suounding alcohol and othe dug use and abuse on campus. Please descibe how the pogam s goals wee achieved: Examples of specific pogam goals ae demonstated by the latest awadees of the Alcohol and Othe Dug Pevention Models on College Campuses Gant Competition; please see www.higheedcente.og/gants. C. Summaies of AOD Pogam Stengths and Weaknesses What ae the stengths and/o weaknesses of you AOD pevention pogam? D. AOD Policy* 1. Policy Contents What infomation do you distibute to employees and students (taking one o moe classes fo academic cedit, not including continuing education)? Please check all that apply: A desciption of the health isks associated with alcohol abuse and the use of illegal dugs. A desciption of applicable legal sanctions unde local, state, and fedeal laws. A desciption of any teatment, counseling, ehabilitation, o e-enty pogams available at you institution. A statement of the institution s disciplinay measues egading alcohol and illegal dug use by students and employees. 54

Othe AOD policy-elated infomation: We do not have an AOD policy. 2. Policy Distibution Whee does you institution publicize its alcohol o othe dug policy? Please check all that apply: Student handbook Staff and faculty handbook Admissions mateials Couse catalogs Class schedules Employee paychecks Student s academic oientation Residence hall oientation Staff and faculty oientation Fomal speaking engagements Othe: We do not publicize ou alcohol/dug policy. Please see the publication Setting and Impoving Policies fo Reducing Alcohol and Othe Dug Poblems on Campus at the Web site of the Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention at www.higheedcente.og. * Please attach copies of the policies distibuted to students and employees. E. Recommendations fo Revising AOD Pevention Pogams Please offe any ecommendations fo evising AOD pevention pogams and/o policies: 55

Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention Education Development Cente, Inc. 55 Chapel Steet Newton, MA 02458-1060 Ou Mission The mission of the U.S. Depatment of Education s Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention is to assist institutions of highe education in developing, implementing, and evaluating alcohol and othe dug abuse and violence pevention policies and pogams that will foste students academic and social development and pomote campus and community safety. How We Can Help The U.S. Depatment of Education s Highe Education Cente offes an integated aay of sevices to help people at colleges and univesities adopt effective pevention stategies: Taining and pofessional development activities Resouces, efeals, and consultations Publication and dissemination of pevention mateials Suppot fo the Netwok Addessing Collegiate Alcohol and Othe Dug Issues Get in Touch Additional infomation can be obtained by contacting: The Highe Education Cente fo Alcohol and Othe Dug Abuse and Violence Pevention Education Development Cente, Inc. 55 Chapel Steet Newton, MA 02458-1060 Web site: www.higheedcente.og Phone: 1-800-676-1730; TDD Relay-Fiendly, Dial 711 E-mail: HigheEdCt@edc.og This publication was funded by the Office of Safe and Dug-Fee Schools at the U.S. Depatment of Education unde contact numbe ED-04-CO-0137 with Education Development Cente, Inc. The contacting office s epesentative was Richad Lucey, J. The content of this publication does not necessaily eflect the views o policies of the U.S. Depatment of Education, no does the mention of tade names, commecial poducts o oganizations imply endosement by the U.S. govenment. This publication also contains hypelinks and URLs fo infomation ceated and maintained by pivate oganizations. This infomation is povided fo the eade s convenience. The U.S. Depatment of Education is not esponsible fo contolling o guaanteeing the accuacy, elevance, timeliness, o completeness of this outside infomation. Futhe, the inclusion of infomation o a hypelink o URL does not eflect the impotance of the oganization, no is it intended to endose any views expessed, o poducts o sevices offeed.