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Complying with the Drug Free Schools and Campuses Act EDGAR (34 CFR Part 86). Complying with the spirit, and not just the letter, of the law provides significant benefits for the school and its students. Prevention in Higher Education.

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

Complying with the spirit, and not just the letter,

of the law provides significant benefits

for the school and its students.


Prevention in Higher Education

  • Inter-Association Task Force on Alcohol and Other Substance Abuse Issues

1987 The Network for the Elimination of Substance Abuse

on College and University Campuses

1988 Congress commits $40 million for research in AOD abuse

1989 Groups of nationally known researchers practitioners, and federal agencies gather to determine a research agenda.

1989 Drug Free Schools and Communities Act Amendments

1993 The Safe and Drug Free Schools office authorizes funding for The Higher Education Center

sense of congress
Sense of Congress
  • Wanted campuses to have substance abuse prevention programs
  • Could not mandate it
    • No money to fund it
  • Codified along with Safe and Drug Free Workplace Act

in 1986

  • Initiation of Biennial Review in 1990
certification requirements
Certification Requirements

Part 86, the Drug-Free Schools and Campuses Regulations, requires that, as a condition of receiving funds or any other form of financial assistance under any federal program, an institution of higher education (IHE) must certify that it has adopted and implemented a program to prevent the unlawful possession, use, or distribution of illicit drugs and alcohol by students and employees.

certification requirements continued
Certification Requirements, continued

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

  • Prepare a written document that includes specified alcohol and other drug notifications
  • Develop a sound method for annual distribution of the document to every student and IHE staff member each year

3. Prepare a biennial report on the effectiveness of its alcohol and other drug (AOD) programs and the consistency of policy enforcement

certification requirements continued1
Certification Requirements, continued

The Drug-Free Schools and Campuses Regulations also require an IHE to submit a written certification to the Secretary of Education that it has adopted and implemented a drug prevention program as described in the Regulations.

The Drug-Free Schools and Campuses Regulations establish a minimum set of requirements for college substance use policies. Colleges may also have additional obligations under state law.

Equally important may be recent court decisions in lawsuits brought against IHEs by college and university students and employees. Consultation with an attorney knowledgeable in this area is highly recommended.

failure to comply with the drug free schools and campuses regulations
If an IHE fails to submit the necessary certification or violates its certification, the Secretary of Education may terminate all forms of financial assistance, whether from the Department of Education or other federal agencies, and may require repayment of such assistance, including individual students' federal grants, such as Pell grants.

The Department of Education may also arrange to provide technical assistance toward the development of a plan and agreement that brings the IHE into full compliance as soon as feasible.

The possibility of loss of federal funding exists in the provision that "the Secretary annually reviews a representative sample of IHE drug prevention programs." If the Secretary of Education selects an IHE for review, the IHE shall provide the Secretary access to personnel records, documents, and any other necessary information requested for this review.

Failure to Comply with the Drug-Free Schools and Campuses Regulations
record keeping requirements
Record Keeping Requirements

Sec.86.103 requires that IHEs retain the following records for 3 years after the fiscal year in which the record was created:

  • The annually distributed notification document
  • Prevention program certification
  • Results of the biennial review
  • Any other records reasonably related to the IHE’s compliance with certification
  • If selected for review, the IHE shall provide access to personnel, records, documents and any other necessary information requested by the Secretary to review the IHE’s adoption and implementation of its drug prevention program
to comply with edgar 34 cfr part 86
To comply withEDGAR (34 CFR Part 86)

At a minimum, each school must distribute to all students and employees annually:

standards of conduct
Standards of Conduct

Standards of conduct that clearly prohibit the unlawful possession, use, or distribution of illicit drugs and alcohol on school property or as part of any school activities

The written document must also include:

  • A list of applicable legal sanctions under federal, state, or local laws for the unlawful possession or distribution of illicit drugs and alcohol
  • A description of the health risks associated with the abuse of alcohol or use of illicit drugs
  • A list of drug and alcohol programs (counseling, treatment, rehabilitation, and re-entry) that are available to employees or students
  • A clear statement that the IHE will impose disciplinary sanctions on students and employees for violations of the standards of conduct and a description of those sanctions, up to and including expulsion or termination of employment and referral for prosecution
Standards of conduct may range from statements prohibiting illegal activities related to alcohol and other drugs to statements reflecting the institution's more specific expectations.

Standards of conduct apply to all on-campus activities and to off-campus activities that are considered to be school-sponsored

The standards of conduct have also been interpreted to apply to student-sponsored social activities or professional meetings attended by employees, if these activities or meetings are considered IHE-sponsored activities. If a fraternity or sorority is recognized by an IHE, then its activities may be considered to be activities of the IHE and may be covered by its standards of conduct, even if the fraternity or sorority is located off-campus.

legal sanctions
Legal Sanctions

A description of the applicable legal sanctions under local, State, or Federal law for the unlawful possession or distribution of illicit drugs and alcohol

An alcohol and drug policy should stipulate that anyone

who violates the policy is subject both to the

institution's sanctions and to criminal sanctions.

sample law summary from marshall university dfsc information
Sample-Law summaryfrom Marshall University DFSC Information

Federal Trafficking Penalties include substantial fines and

imprisonment up to life.

WV sanctions depend on the classification of the controlled

substance, the particular activity involved (possession or

trafficking), and whether multiple convictions are involved.

Under WV law, the most severe penalties for drug violations

are forpossession with intent to sell. On a first offense conviction, one

may receive a fine of up to $25,000 and/or imprisonment for 15 years.

Sanctions for violations of state alcohol laws vary according to the

severity of the offense, with the minimum vehicular violation calling for

imprisonment in the county jail for 24 hours, and a $500 fine.

health risks
Health Risks

A description of the health risks associated with the use of illicit drugs and the abuse of alcohol

Statements of health risks associated with

the use of alcohol and other drugs represent

the minimum level of information

that schools must distribute.

controlled substances act 21 u s c 811
Controlled Substances Act(21 U.S.C. 811)

Summary of health risks may be for each prohibited class of drugs

  • Narcotics
  • Depressants
  • Stimulants
  • Hallucinogens
  • Cannabis
  • Alcohol
  • Tobacco
sample health risks from san diego state university
Sample-Health Risksfrom San Diego State University

Alcohol and Drug Policy and Information Statement

This statement is presented to students to provide information about (1) health risks associated with alcohol and other drugs, (2) prevention and treatment programs available on campus, and (3) applicable State laws and campus policies. For more information, please contact SDSU's coordinator of Alcohol and Other Drug Initiatives, (619) 594-4133.


Use and abuse of alcohol and other drugs can lead to accidents, injury, and other medical emergencies. Alcohol, especially in high doses, or when combined with medications or illegal drugs continues to claim the lives of college students across the nation. If you see someone unconscious call 911; doing so may save his or her life.

Driving after consumption of even relatively small quantities of alcohol can substantially increase your risk of crash involvement. Even after just a drink or two, drinkers may experience some loss of their ability to think about complex problems or accomplish complex tasks. Drinkers may also lose some control over impulsive behavior.

To become dependent upon chemicals such as alcohol and/or illicit drugs is to put your health and life at risk. Chemical dependency is a condition in which the use of mood altering substances, such as drugs or alcohol, affects any area of life on a continuing basis. Medical research has established very strong evidence that alcohol abuse contributes significantly to cancer and heart disease. Many illicit drugs have also been demonstrated to lead to serious short and long-term health problems. There is clear evidence of serious negative effects on babies due to use of illicit drugs and alcohol by the mother during pregnancy.

a good description will include
A good description will include
  • Risk of dependence
  • Possible short-term effects
  • Possible long-term effect
  • Effects of overdose
drug alcohol programs
Drug & Alcohol Programs

A description of any drug or alcohol counseling, treatment, or rehabilitation or re-entry programs that are available to employees and students

disciplinary sanctions
Disciplinary Sanctions

A clear statement that the institution will impose sanctions on students and employees (consistent with local, State, and Federal law)

And, a description of those sanctions, up to and including expulsion or termination of employment and referral for prosecution, for violations of the standards of conduct

sample statement of sanction from marshall university
Sample-Statement of Sanctionfrom Marshall University

Disciplinary Sanctions:

The University will impose disciplinary sanctions on students and employees consistent with local, State, and Federal laws for violation of the Standards of Conduct outlined above. All persons should be aware that violations could result in expulsion from school, termination of employment, or referral for prosecution.

disciplinary sanctions continued
Disciplinary Sanctions, continued

Responsibility for the enforcement of standards of conduct is not specifically mentioned in 34 C.F.R. Part 86

Responsibility for enforcing standards of conduct is usually

shared among campus police or security personnel,

health providers, faculty,

and students, among others.

distribution of the document
Distribution of the Document

The Department of Education requires that each IHE distribute its AOD document annuallyin writing.

Delivery may be electronic if the IHE has established that electronic delivery goes to the individual and that electronic communication is one of the IHE’s primary modes of communication.

*Must demonstrate appropriate method of distributing to those whose emails bounced back

distribution of the document cont
Distribution of the Document cont.

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

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

Must be intentional, NOT PASSIVE, distribution

annual distribution
ANNUAL Distribution

To Students:

  • The U.S. mail system is probably the best way to ensure distribution to all students.
  • Electronic mail (e-mail) is another option when all students or employees have access.
  • Dissemination through advising when advising is mandatory
  • Enclose in invoices for financial obligations

To Faculty & Staff, include:

  • with employees' paychecks
  • with the W-2 form
  • In the faculty/staff handbook

Giving the written policy to employees only at the beginning of their employment does not meet

the requirement that the policy be distributed annually.

how do you distribute
How do YOU distribute?

A brief discussion of the various and unique ways

You conduct your annual distribution





the biennial review
The Biennial Review

The law further requires an institution of higher education to conduct a biennial review of its program to:

  • determine its effectiveness and implement changes if they are needed
  • ensure that the sanctions developed are consistently enforced

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

the biennial review continued
The Biennial Review, continued

Because the Regulations do not specify what a biennial review should include or how it should be conducted, schools have considerable leeway in determining how to conduct and what to include in their biennial review.

first review campus aod program
FIRST:Review Campus AOD program

Relies on

  • Clear description of problems
  • Strategic interventions
  • Desired outcomes
  • Sound evaluation plan

review campus aod program
Review Campus AOD program

List activities that compose prevention program

    • It is unlikely that one staff person initiated/managed every activity/policy in your AOD prevention program
    • More likely a combination of efforts from Residence Life, Law Enforcement, Health Services and others

Identify the effectiveness of these efforts at meeting goals and outcomes

  • Inventory is best achieved by involving diverse representation of campus staff



*In this context, the public policy component of the social ecological framework refers to state and federal policy.


To aid in the development and review of comprehensive programs

  • NIAAA’s A Call to Action: Changing the Culture of Drinking at US Colleges

  • IOM’s Reducing Underage Drinking: A Collective Responsibility

  • DeJong and Langford’s “A typology for Campus-Based Alcohol Prevention: Moving Toward Environmental Management Strategies”

Journal of Studies on Alcohol, supplement no. 14: 140-147, 2002

resources continued
Resources continued

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

  • The Network Addressing Collegiate Alcohol and Other Drug Issues
  • The Council for the Advancement of Standards in Higher Education
  • American College Health Association

Can serve as a guide for conducting your inventory

Can serve as a framework for prevention services

evaluating effectiveness
Evaluating Effectiveness

The US Department of Education established a set of principles of effectiveness for those receiving OSDFS funds. Those most applicable to Higher Education are:

  • Design programs based on a thorough and objective needs assessment
  • Establish measurable goals linked to identified needs
  • Implement activities proven (through research and evaluation) to be effective in preventing high-risk drinking
  • Use evaluation results to refine and strengthen program and goals.
evaluating effectiveness cont
Evaluating Effectiveness cont.

Effective programs

  • Are logically linked to identified problems
  • Have attainable outcomes
  • Use evidence-based strategies to achieve those outcomes
evaluating effectiveness cont1
Evaluating Effectiveness cont.

The Department of Education has not specified particular criteria or measures to gauge program effectiveness beyond requiring that evaluations of program effectiveness do not rely solely on anecdotal observations.

Examples of possible measures

  • Imposed sanctions
  • Referrals to counseling/treatment
  • Incidents reported in Campus police logs
  • Incidents of vandalism
  • Attitudes and perceptions of alcohol and other drug problems on campus
  • Use levels
evaluating effectiveness resource
Evaluating Effectiveness Resource

Preventing Alcohol-Related Problems on Campus: Methods for Assessing Student Use of Alcohol and Other Drugs: A Guide for Program Coordinators

  • Available through the US Dept. of Ed’s Higher Education Center
  • Describes procedures for gathering and interpreting student survey data on alcohol-related problems
second conduct a policy inventory
SECOND:Conduct a Policy Inventory
  • Identify and list policies
  • Articulate effectiveness and consistency of enforcement
    • Are all students held to the same policy standards ?
    • Are all students sanctioned similarly for violations?
    • Is the policy moving us to our goals and outcomes?
evaluating enforcement consistency
Evaluating enforcement consistency
  • Document that similar situations are treated similarly
    • Can report this by creating a chart that details case particulars, mitigating circumstances, and disposition
      • group similar cases together for easy comparison
  • Document
    • Levels of effort expended to detect violations
    • Levels of expertise of those detecting violations
      • Documents may include department budgets, personnel time records, personnel qualifications
the biennial review continued1
The Biennial Review, continued

The more thorough biennial reviews include:

descriptions of the AOD program elements;

  • A description of AOD program elements
  • A statement of AOD program goals and a discussion of goal achievement
  • Summaries of AOD program strengths and weaknesses
  • Procedures for distributing AOD document to students and employees
  • Copies of the documents distributed to students and employees
  • Recommendations for revising AOD programs
Although IHEs produce a wide variety of acceptable biennial reviews, the most useful reviews point to areas in a program or policy that need improvement or that can continue unchanged.
additional information
Additional Information

It is common practice for a task force or committee responsible for reviewing alcohol and other drug policies and programs to prepare the biennial review.


additional information continued
Additional Information continued

“Model” Bienniel Reviews shared common elements:

  • Each included materials to compliment the report
  • Each included information on evaluation of program effectiveness
  • Each detailed goals and goal achievements
  • Each included recommendations for revising programs and policies
  • Each used a task force to complete the review
additional information summaries of atod program strengths and weaknesses
Favorable compliance

The institution has developed and maintains a drug prevention policy.

The institution distributes annually to each student a copy of the drug-free policy.

The institution provides services and activities to promote a strong drug-free campus environment.

The institution conducts a biennial review of its drug prevention program and policy to determine effectiveness, implements necessary changes, and ensures that disciplinary sanctions are enforced.

The institution tracks the number of drug- and alcohol-related legal offenses and referrals for counseling and treatment.

Compliance concerns

Drug-free policy is distributed to new employees; need to implement annual distribution to all employees.

Ensure that students who enroll after fall quarter or who are graduate or summer students only are receiving the policy.

Ensure that the drug-free policy is readable; currently, small print in handbook is difficult to read.

Recommendation made that "No Smoking" signs be placed about campus.

Additional Information Summaries of ATOD Program Strengths and Weaknesses

After identifying strengths and weaknesses the IHE should make recommendation for revising & improving the AOD program.

cas council for the advancement of standards in higher education
CAS: Council for the Advancement of Standards in Higher Education

Founded in 1979 in response to efforts to establish specialized accreditation for student affairs preparation programs

CAS is a consortium of 34 professional associations

Twenty-nine standards and guidelines had been promulgated (and sometimes revised) by fall 2001

Mission of CAS

  • Promulgate standards and guidelines for practice and preparation
  • Promote assessment in educational practice
  • Promote the use of standards in practice
  • Promote quality assurance within higher education
putting the cas standards to work
Putting the CAS Standards to Work
  • Establish and prepare the self-study team
  • Conduct the self-study
  • Identify and summarize evidence
  • Identify discrepancies
  • Determine appropriate corrective action
  • Recommend action for program enhancement
  • Prepare an action plan
atodp cas program
Effective communication

Enhanced self-esteem

Intellectual growth

Realistic self-appraisal

Values clarification

Career choices clarification

Leadership development

Healthy behavior

Meaningful interpersonal relationships



Social responsibility

Satisfying & productive lifestyles

Appreciating diversity

Spiritual awareness

ATODP CAS: Program

Desirable Student Learning & Development Outcomes

atodp cas program1
ATODP CAS: Program

The ATODP must include:

  • Environmental management strategies
  • Institutional policies
  • Enforcement strategies
  • Biennial review
  • Community collaboration
  • Training & education
  • Assistance & referral
  • Student leadership

A Call to Action:

Changing the Culture of Drinking at U.S. Colleges


“One reason for the lack of success of prevention efforts is that, for the most part, schools have not based their prevention efforts on strategies identified and tested for effectiveness by research.”

A Call to Action: Changing the Culture of Drinking at U.S. Colleges


NIAAA Tiers of Effectiveness

Tier 1: Evidence of effectiveness among college students

Tier 2: Evidence of success with general populations that could be applied to college environments

Tier 3: Evidence of logical and theoretical promise, but

require more comprehensive evaluation

Tier 4: Evidence of ineffectiveness


Tier 1:

Evidence of Effectiveness Among College Students

  • Combining cognitive-behavioral skills with norms clarification and motivational enhancement interventions
  • Offering brief motivational enhancement interventions
  • Challenging alcohol expectancies

Tier 2:

Evidence of Success with General Populations That Could Be Applied to College Environments

  • Increased enforcement of minimum drinking age laws
  • Implementation, increased publicity, and enforcement of other laws to reduce alcohol impaired driving
  • Restrictions on density of retail alcohol outlets
  • Increased price and excise taxes on alcoholic beverages
  • Responsible beverage service policies (social and commercial



Tier 3:

Evidence of Logical and Theoretical Promise, but Require More Comprehensive Evaluation

  • Reinstating Friday classes and exams and Saturday morning


  • Implementing alcohol-free, expanded late-night student activities
  • Eliminating keg parties on campus
  • Employing older, salaried resident assistants or hiring adults
  • Further controlling or eliminating alcohol at sports events and

prohibiting tailgating

  • Refusing sponsorship gifts from the alcohol industry
  • Banning alcohol on campus, even at faculty and alumni events

Tier 3:

Evidence of Logical and Theoretical Promise, but Require More Comprehensive Evaluation continued

  • Increasing enforcement at campus-based events that serve alcohol
  • Increasing publicity about enforcement of underage drinking laws
  • Consistently enforcing disciplinary actions associated with policy


  • Conducting marketing campaigns to correct student misperceptions of alcohol use
  • Providing “safe rides” programs
  • Regulating “happy hours” and sales
  • Informing new students and their parents about alcohol policies and penalties before arrival and during orientation

Tier 4: Evidence of Ineffectiveness

  • Informational, knowledge-based, or values clarification interventions about alcohol and the problems related to its excessive use (when used alone)
  • Provision of blood alcohol content feedback to students

NIAAA Checklist

Provided by

The Higher Education Center for Alcohol, Other Drug Abuse and Violence Prevention


supplemental checklist
Supplemental checklist

Provided by

The Higher Education Center for Alcohol, Other Drug Abuse and Violence Prevention


edgar checklist
EDGAR Checklist

1. Does the institution maintain a copy of its AOD prevention program?

If yes, where is it located?

2. Does the institution provide annually to each employee and each student, who is taking one or more classes for any type of academic credit except for continuing education units, written materials that adequately describe and contain the following:

Standards of conduct that prohibit unlawful possession, use, or distribution of illicit drugs and alcohol on its property or as apart of its activities;

A description of the health risks associated with the use of illicit drugs and the abuse of alcohol;

A description of applicable legal sanctions under local, state, or federal law;

A description of applicable counseling, treatment, or rehabilitation or re-entry programs; A clear statement of the disciplinary sanctions the institution will impose on students and employees, and a description of those sanctions

3.How are the above materials distributed to students?
  • Snail-Mailed to each student (separately or included in another mailing)
  • Electronic Mail
  • Through campus post office boxes
  • Class schedules which are mailed to each student
  • During freshman orientation
  • During new student orientation
  • In another manner (describe)

4. Does the means of distribution provide adequate assurance that each student receives the materials annually?

5. Does the institution’s distribution plan make provisions for providing these materials to students who enroll at some date after the initial distribution?

6. How are the above materials distributed to staff and faculty?

  • Snail mail/E-mail
  • Through campus post office boxes
  • During new employees orientation
  • In another manner (describe)

7. Does the means of distribution provide adequate assurance that each staff and faculty member receives the materials annually?

8. Does the institution’s distribution plan make provisions for providing these materials to staff and faculty who are hired after the initial distribution?

Conduct student AOD use survey

Conduct opinion survey of its students, staff and faculty

Evaluate comments obtained from a suggestion box

Conduct focus groups

Conduct intercept interviews

Assess effectiveness of documented mandatory drug treatment referrals for students and employees

Assess effectiveness of documented cases of disciplinary sanctions imposed on students and employees

Other (please list)

By whom

9. How and by whom does the institution conduct biennial reviews of its drug prevention program to determine effectiveness, implement necessary changes, and ensure that disciplinary sanctions are enforced?

10. If requested, has the institution made available, to the Secretaryand the public, a copy of each required item in the drug prevention program and the results of the biennial review?

11. Where is the biennial review documentation located?







online resources
Online Resources:
  • Higher Education Center Web Site

    • Complying with the Drug-Free Schools and Campuses Regulations: A Guide for University and College Administrators
    • NIAAA’s A Call to Action
    • Supplemental Checklist
  • CAS Web Site
  • The Network Web Site
  • US Department of Education Web Site

thanks to
Susanna L. Baxter

VP for Member Services

TN Independent Colleges & Universities Association

2409 21st Avenue

South Suite 202

Nashville, TN 37212

615/242-6400 ext. 203

615/242-8033 fax

Diane Berty

Interim Assc. VP

Division of Student Affairs

Austin Peay State University

PO Box 4598

Clarksville, TN  37044


931-221-6304 fax

Thanks to

Beth DeRicco

Associate Center Director

The Higher Education Center for Alcohol and Other Drug Abuse Prevention

55 Chapel Street

Newton, MA

For their contributions to this program

presenter information
Presenter Information

Carla Lapelle

Associate Dean, Student Affairs

Marshall University

1 John Marshall Dr.

Huntington, WV 25755

Ph: (304) 696-2269