Student Assistance Prevention-Intervention Services Program

Student Assistance Prevention-Intervention Services Program
WASHINGTON’S
STUDENT ASSISTANCE
PREVENTION-INTERVENTION
SERVICES PROGRAM
Program Manual
June 2012 updated
April 2006 1st publication
Prepared for:
Office of Superintendent of Public Instruction
Prepared by:
Dixie Grunenfelder, Program Supervisor
Student Assistance/Dropout Prevention
Superintendent of Public Instruction
Mona Johnson, MA, CPP, CDP
Mona Johnson & Company, Training and
Consultation Services
Michelle M. Maike, MA
Maike & Associates
Evaluation, Research, & Planning
Kristin Schutte, Director
Olympic Educational Service District 114
Student Services Center Director
i
Funding for the update of this manual was made possible in part by a grant from the
Substance Abuse and Mental Health Services Administration (SAMHSA)
(#1U79SP018669-01). The views expressed in this manual do not necessarily reflect
the official policies of SAMHSA, nor does mention of trade names, commercial
practices, or organizations imply endorsement by the U.S. Government.
ii
Table of Contents
Table of Contents
Identification of Program Contacts
Introduction
Program Manual Overview
Background and Significance
Theoretical Foundation
Effective Program Characteristics
Continuum of Services
Suggested Areas of Focus
Barriers to Effective Programming
Summary
WashingtonState’s Model
Program History
Program Outcomes
Legislative Directive
Organization of the Manual
Additional Resources
What Are Risk Factors and Protective Factors
Risk and Protective Factor Framework
Sources of Prevention Research
Section 1: Implementation of Effective Student Assistance Programs
Student Assistance Programs
Service Delivery Models
Staffing Models
Roles within the SAPISP Model
Prevention Strategies
Distribution of Targeted Students & Program Services
Program Logic Model
Required Components of an Effective SAP Program
Suggested Program Operations
Cultural Competence
Additional Resources
Guidelines for a Student Support Component
Section 2:School Board Policy
Safe and Drug-Free Schools& Communities Act
Putting Policy into Action
Suggested Program Operations
Sample Policies
Need to include HIB related to GLBTQ
Section 3: Staff Development
The Importance of Staff Development
Staff Development for School Faculty
Staff Development for SAS
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Staff development for Community Partners/Key stakeholders
Suggested Program Operations
Competency Rubric Assessment Tool
Suggested Ethical Guidelines & Standards of Practice
Washington State’s Unprofessional Conduct Regulation
Section 4: Program Awareness
Purpose of Program Awareness
Social Marketing
Awareness Events
Suggested Program Operations
Additional Resources
Sample Classroom Presentation Format
Technical Assistance Bulletin: You Can Avoid Common Errors
Section 5: Internal Referral Process
Introduction
Early Identification
Substance Abuse Indicators
Referral Sources
Suggested Program Operations
Screening/Pre-Assessment Process
Step One – Gather Supporting Data
Step Two – Build Rapport
Step Three – Identify Risks and Needs
Assessing Risk and Protective Factors
Alcohol, Tobacco, and Other Drug Use Screening
Stages and/or Continuum of Adolescent Substance Use
Step Four – Intervention and Other Support Services
SAPISP Decision Tree for Services
Understanding Confidentiality in SAPISP Programs
Confidentiality Regulation 42 CFR Part 2
Confidentiality: Questions and Answers
Suggested SAS Protocol for Releasing Confidential Information
Sample Forms for Compliance with Confidentiality Regulations
Record Keeping
Sample SAPISP Data Collection and Other Forms
Suggested Guidelines in Responding to Disciplinary Referrals
Additional Resources
 Strength-base student interview
 Addiction continuum and Indicators
 Recent research on Brain
 Cultural sensitivity and linguistics
Section 6: Consideration for Vulnerable Populations
Mental Health
Military Families
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Children from substance Abusing Parents
Gay, Lesbian, Transgender, and Questioning
Native American
Additional Resources
 Suicide Suggested Protocol for SAS
and Warning Signs
 Adverse Childhood Experiences
 Common Mental Health (serious emotional disturbances) and schoolbased strategies.
Section 7: Student Assistance Team: Problem Solving and Case Management
Introduction
Establishing A Student Assistance Team
How Do Teams Function?
Suggested Program Operations
SATMember Tasks
Pre-Meeting Tasks
Team Meeting
Documentation
Team Maintenance
Case Management
Monitoring the Student’s Progress
Additional Resources
Sample Forms
Practice Notes: Managing Care, Not Cases
Section 8: Educational Student Support Groups
Introduction
Implementing Support Groups in the School Setting
Support Groups are Efficient
Support Groups are Developmentally Appropriate
Support Groups are Effective at Changing Alcohol/Drug-Specific Behavior
Support Group Composition
SAP Support Group Limitations
Washington State’s SAPISP Support Group Offerings
Group Logistics
Group Preparation and Set Up
Education Support Groups vs. Therapy Groups
Critical Educational Support Group Components
Group Formation
Stages of Change
Positive Solution Focuses/Strength-based strategies
Standard Support Groups
At Risk/Social Skills Group (Primary Group #1)
Intervention Group (Primary Group #2)
Affected Others Group (Primary Group #3)
Recovery Support Group (Primary Group #4)
Sample Forms
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Section 9: Cooperation & Collaboration with Community Agencies and Resources
Introduction
Who Should Be Involved?
Benefits of Collaboration
Components of Successful Collaborations
Strategies to Minimize Barriers
Cooperation and Collaboration Across the State
Examples of State-wide Collaboration Efforts
Examples of Local Level Collaboration Efforts
Suggested Program Operations
SAS’s Role in Working with Community Agencies and Resources
Additional Resources
What Are School-Community Partnerships
Section 10: Program Evaluation
Why Evaluate
Washington’s SAPISP Program
State Goal
State Objectives
Statewide Evaluation Efforts
Suggested Program Operations
Data Collection Activities
Data Collection Manual
Additional Resources
Designing and Doing Outcomes Evaluation
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Identification of Program Contacts
ESD 101
ESD 121
Astri Zidack, Director
Kim Beeson, Prevention Center Director
4202 Regal St., Spokane, WA 99223
Phone: (509) 789-3585
800 Oakesdale Ave., Renton, WA 98057
Phone: 1-800-664-4549
[email protected]
[email protected]
ESD 105
ESD 123
Ann Allen, Prevention/Intervention Program
Diane Shepherd, Safe and Drug-Free Schools
Coordinator
33 S. Second Ave., Yakima, WA 98902
Administrator
3918 W. Court St, Pasco, WA 99301
Phone: (509) 454-3107
[email protected]
Phone: (509) 544-5761
[email protected]
ESD 112
ESD 171
Sandy Mathewson, Director
2500 NE 65th Ave., Vancouver, WA 98661
Michael Lynch, Managing Director
PO Box 1847, Wenatchee, WA 98807
Phone: (360) 750-7500 ext. 262
[email protected]
Phone: (509) 665-2631
[email protected]
ESD 113
ESD 189
Erin Rifee, Program Administrator
Maurene Stanton
6005 Tyee Drive SW, Tumwater, WA 98512
Phone: (360) 339-8101
1601 R Ave., Anacortes, WA 98221
Phone: (360) 299-4010
[email protected]
[email protected]
ESD 114
Kristin Schutte, Director
105 National Ave. NE, Bremerton, WA 98312
Phone: (360) 405-5833
[email protected]
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GLOSSARY OF TERMS
ACoA
Adult Children of Alcoholics
At Risk
Factors that increase the chances of youth developing health and behavior problems are called
risk factors. Individuals, families and communities who possess these factors are considered at
risk. Those that possess several are considered high risk.
AOD
Alcohol or other drugs.
ATOD
Alcohol, tobacco, and other drugs.
Becca Bill
Primarily concerned with truant and runaway students.
BH
Behavioral health; mental health including substance abuse; As a general concept, behavioral
health is the reciprocal relationship between human behavior and the well-being of the body,
mind, and spirit, whether considered individually or as an integrated whole.
CADCA
Community Anti-Drug Coalitions of America
CAPT
Centers for the Application of Prevention Technologies (a program of CSAP)
CASA
Center on Addiction and Substance Abuse
CDC
Centers for Disease Control and Prevention (an agency of DHHS)
Cessation
Most commonly used in conjunction with tobacco. Cessation is a term referring to activities
which hold the goal of helping a tobacco user quit. Whether cessation is an intervention or
treatment is currently controversial as it has implications with regards to service and funding
responsibilities.
Character Education
Teaching strategies intended to instill core values such as responsibility, hard work, honesty,
kindness, integrity, respect, and perseverance.
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CMHS
Child Mental Health Specialist. Mental health professional with specialized knowledge and
experience serving children
COSAP
Children of Substance Abusing Parents (including alcohol) . More commonly referred to as
"affected others" children who are affected by the alcohol and/or other drug abuse of another.
Confidentiality
Schools, treatment, and mental health all uphold the confidentiality rights of clients, though may
operate on different definitions.
CORE/CARE Team
Group of school building staff that meet regularly to develop and review strategies for assisting
individual students.
CSAP
Center for Substance Abuse Prevention.
CSAT
Center for Substance Abuse Treatment.
DAWN
Drug Abuse Warning Network.
DASA
Division of Alcohol and Substance Abuse, Olympia, WA.
DBHR
Division of Behavioral Health and Recovery ; In July 2009 the WA State Department of Social
and Health Services Division of Alcohol and Substance Abuse and the Mental Health Division
merged to become the Division of Behavioral Health and Recovery to both assess and treat
patients with co-occurring mental health and substance use disorders.
Developmentally Appropriate
Most program and curricula target specific age and developmental stages. Considered are
readability, attention span, interests and academic abilities of each age and grade level.
DFSCA
Title IV Drug-Free School and Community Act enacted by Congress in 1987; changed in 1995
to include safety issues. U.S. Department of Education administers and annually distributes
funds to states based primarily on the number of school aged youth. Through FY 2011 tates
received funds through two avenues: 1. State educational agencies (OSPI), 80 percent of total
(30 percent of this is required to target 30 percent of high need districts) and 2. Governor’s
Offices or agencies designated by the Governor.
DHHS
U.S. Department of Health and Human Services
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DoEd
Department of Education
DUI
Driving Under the Influence
DWI
Driving While Intoxicated
Early Intervention
A process for recognizing warning signs that individuals are at risk for mental health/substance
abuse problems and taking early action against factors that put them at risk. Early intervention
can help children get better more quickly and prevent problems from becoming worse.
Environmental Factors
Environmental factors are external or perceived to be external to an individual but that may
nonetheless affect his or her behavior. At a narrow level these factors relate to an individual's
family setting and relationships. At the broader level, these refer to social norms and
expectations as well as policies and their implementation.
ESD
Educational Service District. There are nine ESDs in Washington State. They are regional
educational agencies serving school districts and state-approved private schools. ESDs function
primarily as support agencies and deliver educational services that can be performed more
effectively or economically on a regional basis.
Evaluation
Evaluation is a process that helps prevention practitioners discover and objectively measure the
strengths and weaknesses of their activities so that they can make continuous improvements
over time. Time spent on evaluation is well spent because it allows groups to use money and
other resources more efficiently in the future. Also, evaluation does not have to be expensive or
complicated to be useful. Some evaluations can be done at little or no cost, and some can be
completed by persons who are not professional evaluators. Local colleges and universities can
be sources of professional evaluation support by persons working on degrees in sociology,
educational psychology, social work, biostatistics, public health, and other areas.
FAS/FAE
Fetal Alcohol Syndrome, Fetal Alcohol Effected.
FERPA
Family Educational Rights and Privacy Act. Assures the following rights to parents and students
who are 18 years and older, or enrolled in postsecondary education:
 The right to inspect and review the student's education record.
 The right to exercise limited control over other people's access to the student's
education record.
 The right to seek to correct the student's education record in a hearing if necessary.
 The right to report violations of the FERPA to the Department of Education.
 The right to be informed about FERPA rights. Adopted in 1980, revised in 1996.
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GLEs
Grade Level Expectations. Standards and benchmarks established by subject by which
students demonstrate knowledge.
Indicated
Program strategies designed to address the needs of those students who are showing early
danger signs, such as failing grades, and alcohol, tobacco and other drug (ATOD) use and to
target them with highly individualized and intensive services. Indicated intervention approaches
are used for students who may or may not be using substances, but exhibit risk factors that
increase the likelihood of involvement with ATOD, or other problem behaviors (violence,
academic failure, dropping out). Approaches are designed to reduce the length of involvement
in problem behaviors, delay onset of problem behaviors such as substance abuse, and/or
reduce the severity of existing problem behaviors.
Indicator
An indicator is a substitute measure for a concept that is not directly observable or measurable
(e.g., prejudice, substance abuse). For example, an indicator of "substance abuse" could be
"rate of emergency room admissions for drug overdose." Because of the imperfect fit between
indicators and concepts, it is better to rely on several indicators rather than on just one when
measuring this type of concept.
A variable that relates directly to some part of a program goal or objective. Positive change on
an indicator is presumed to indicate progress in accomplishing the larger program objective. For
example, a program may aim to reduce drinking among teens. An indicator of progress could be
a reduction in the number of drunk driving arrests or the number of teens found to be drinking
alcohol in clubs.
Logic Models
Logic models are usually diagrams or schematics that convey programmatic inputs, processes,
and outcomes of a program.
NCADI
CSAP’s National Clearinghouse for Alcohol and Drug Information.
NCAP
National Center for the Advancement of Prevention.
Needs Assessment
Collection of data on needs of the community and on resources available to address these
needs. Common indicators of need for substance abuse prevention services often include high
incidence and prevalence of alcohol and drug abuse in the community, and presence of
associated risk factors such as crime and violence, economic dislocation, families in poverty,
school drop-out rates, and the like. In the context of substance abuse prevention, the inquiry
into resources usually focuses on human resources and ways that these resources might be
strengthened through training.
NIAAA
National Institute on Alcohol Abuse and Alcoholism (an institute within NIH).
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NIDA
National Institute on Drug Abuse (an institute within NIH).
NIH
National Institutes of Health (an agency of DHHS).
NREPP
National Registry of Evidence-Based Programs and Practices. Voluntary classification system
for evidence-based substance abuse and mental health prevention and treatment interventions.
NSAA
National Student Assistance Association. Formerly named National Association of Student
Assistance Programs (NASAP).
ESEA
Elementary and Secondary Education Act, also known as No Child Left Behind.
OJJDP
Office of Juvenile Justice and Delinquency Prevention.
OSPI
Office of the Superintendent of Public Instruction (Also known as the Washington State
Department of Education).
OTC
Over the Counter. Medicines and inhalants that can be purchased anywhere and consumed as
a mood altering substance.
Outpatient
(Less Than Twenty-Four Hour Care):
Outpatient--Treatment/recovery/aftercare or rehabilitation services provided where the
client does not reside in a treatment facility. The client receives drug abuse or alcoholism
treatment services with or without medication, including counseling and Supportive
services. This also is known as nonresidential services in the alcoholism field.
Intensive Outpatient--Services provided to a client that last two or more hours per day for
three or more days per week. Daycare is included in this category.
Detoxification--Outpatient treatment services rendered in less than 24 hours that provide
for safe withdrawal in an outpatient setting (pharmacological or nonpharmacological).
Parent Involvement/Family Involvement
All manner of family interaction, policy making, parent education, fundraising, and volunteer time
that strengthens the school to home connection in the interest of increasing student
improvement. Recognized as a critical component for any prevention effort.
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POE
Principles of Effectiveness. Set of six principles established by the US Department of Education
to govern recipients use of funds received under Title IV Safe and Drug-Free Schools and
Communities Act
Prevention
The objective of primary prevention is to protect the individual in order to avoid problems prior to
signs or symptoms of problems. It also includes those activities, programs, and practices that
operate on a fundamentally nonpersonal basis and to alter the set of opportunities, risks, and
expectations surrounding individuals. Secondary prevention identifies persons in the early
stages of problem behaviors associated with alcohol and other drugs and attempts to avert the
ensuing negative consequences by inducing them to cease their use through counseling or
treatment. It is often referred to as early intervention. TeRTIary prevention strives to end
compulsive use of alcohol or other drugs and/or to ameliorate their negative effects through
treatment and rehabilitation. This is most often referred to as treatment but also includes
rehabilitation and relapse prevention.
PRI
Prevention Re-design Initiative; DBHR began implementing PRI in 2011 by redirecting funding
to better target and leverage limited prevention resources to higher-need communities. The goal
is to support proven strategies that will have a long-term, positive impact on families and others
in identified communities. PRI is implemented through active partnerships with counties,
Educational Service Districts (ESDs), local school districts, and the Washington State Office of
the Superintendent of Public Instruction.
Program Evaluation
Program evaluation is the systematic collection of information to answer important questions
about activities, characteristics, and outcomes of a program. Evaluation stages include design,
data collection, data analysis and interpretation, and reporting.
Proxy Measures
Data that can be used as an indicator -- an indirect measure of substance use or abuse. In
general, multiple indirect measures (proxies) are more reliable than a single proxy.
Quantitative Data
Quantitative data is numeric information that includes things like personal income, amount of
time, or a rating of an opinion on a scale from 1 to 5. Even things that you do not think of as
quantitative, like feelings, can be collected using numbers if you create scales to measure them.
Quantitative data is used with closed-ended questions, where users are given a limited set of
possible answers to a question. They are for responses that fall into a relatively narrow range of
possible answers.
Qualitative Data
Qualitative data is a record of thoughts, observations, opinions, or words. Qualitative data
typically comes from asking open-ended questions to which the answers are not limited by a set
of choices or a scale. Examples of qualitative data include answers to questions like, how can
the program be improved? or What did you like best about your experience? – used only if the
user is not restricted by a pre-selected set of answers. Qualitative data is best used to gain
answers to questions that produce too many possible answers to list them all or for answers that
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you would like in the participant's own words. Qualitative data is more time-consuming to
analyze than quantitative data.
RCW
Revised Code of Washington. Compilation of all permanent laws in force in the State of
Washington.
Resource Mapping
Identifying assets and resources that can be used for building an initiative, program, response,
etc. Intended to be a more positive approach than needs assessments or other deficit models.
Residential Treatment
Hospital Inpatient (Not Detox.)--Twenty-four hour/day medical care in a hospital facility in
conjunction with treatment services for alcohol and other drug abuse and dependency.
Short-Term (Thirty Days or Less)--Residential nonacute care in a setting with treatment
services for alcohol and other drug abuse and dependency.
Long-Term (Over 30 Days)--Residential nonacute care in a setting with treatment
services for alcohol and other drug abuse and dependency (may include transitional
living arrangements such as halfway houses).
Reliability
The consistency or stability of a measure or test from one use to the next. When repeated
measurements of the same thing give identical or very similar results, the measurement is said
to be reliable. A measure is reliable to the extent that it is from of random error. For example, if
you got on your bathroom scale and it read 145 pounds, you got off and on again, and it read
139, repeated the process again, and it read 148, your scale would not be very reliable. If,
however, in a series of weightings, you got the same answer (say 145), your scale would be
reliable – even if it were not accurate (valid) and you really weighed 120 (Vogt, 1993, p. 195).
Resistance Skills/Refusal Skills
A communication skill for avoiding trouble and combating negative peer pressure. Considered
an effective prevention strategy.
Risk Factors
Risk factors are characteristics that occur statistically more often for those who develop ATOD
problems than for others. These factors, however, are only indicators for a potential problem;
their presence does not mean that a problem will necessarily occur. Prevention efforts for
children and youth attempt to reduce these risk factors and also to increase resiliency factors.
The following may constitute risk factors: the community (e.g. poverty, living in an economically
depressed area, community norms favorable to substance use); the family environment (e.g.,
parental substance dependency, high levels of family stress, social isolation); constitutional
vulnerability (e.g., being the child of a substance abuser); adolescent problems (e.g., school
failure, delinquency, teen parenthood).
A family history of substance abuse is a biological risk factor while a healthy family history is a
protective factor. Anxiety and depression are psychological risk factors, while a healthy selfesteem and ego strength are psychological protectors. Low bonding to family, poor family
discipline, low commitment to school, association with substance-using peers, alienation and
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rebelliousness, and early onset of substance use are social risk factors. On the other hand,
family caring and support, consistent discipline, value and encouragement of education,
association with nonusing peers, autonomy and sense of purpose, and clear expectations about
not using substances are protective factors.
Safe and Drug-Free Schools (SDFS)
Until FY 2011 SDFS is was the Federal government's primary funding and policy vehicle for
reducing drug, alcohol and tobacco use, and violence, through education and prevention
activities in our nation's schools to ensure a disciplined environment conducive to learning.
These initiatives are were designed to prevent violence in and around schools, and to
strengthen programs that prevented the illegal use of alcohol, tobacco, and drugs, involved
parents, and coordinated with related Federal, State, and community efforts and resources. The
Safe and Drug-Free Schools Program consisted of two major programs: State Grants for Drug
and Violence Prevention Programs and National Programs. State Grants was a formula grant
program that provided funds to State and local education agencies, as well as to Governors, for
a wide range of school- and community-based education and prevention activities. National
Programs carried out a variety of discretionary initiatives that responded to emerging needs.
Among these were direct grants to school districts and communities with severe drug and
violence problems, program evaluation, and information development and dissemination.
The Safe and Drug-Free Schools Program (SDFS) of the U.S. Department of Education also
launched an expert panel process to identify, validate, and recommend to the Secretary of
Education those programs that should be promoted nationally as promising and exemplary. This
Expert Panel oversaw a valid and reliable process for identifying exemplary school-based
programs that promote safe, disciplined, and drug-free schools. Once programs were
designated as exemplary or promising, the Department disseminated information about the
programs and encouraged their use in new sites. The Expert Panel initiative was a way of
enhancing prevention programming by making schools aware of alternative programs that had
proven their effectiveness when judged against rigorous criteria.
SAMHSA
The Substance Abuse and Mental Health Services Administration of the United States Public
Health Service comprises three centers: the Center for Substance Abuse Prevention, the Center
for Substance Abuse Treatment, and the Center for Mental Health Services. SAMHSA’s vision
is the prevention or successful treatment of substance abuse, mental illness, and co-occurring
substance abuse and mental illness, and the full recovery of all Americans who suffer from
these conditions. SAMHSA’s mission is to provide national leadership to ensure that knowledge,
based on science and state-of-the-art practice, is effectively used for the prevention and
treatment of addictive and mental disorders. Further, SAMHSA strives to improve access and
reduce barriers to high-quality, effective programs and services for individuals who suffer from,
or are at risk for, these disorders, as well as their families and communities.
SAP
Student Assistance Program. Modeled after the Employee Assistance Program found in
industry. A SAP consists of a team of representative school staff who draft policy language,
design procedures, trains others, and promotes program awareness in order to identify, assess,
refer, and support students with (drug related) problems. SAP focuses on behavior and
performance at school and uses a referral process that includes screening for alcohol and other
drug involvement. Many programs are not limited to issues of substance abuse but any
symptom of negative coping strategies.
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SAPISP
Student Assistance Prevention and Intervention Services Program
SBH
School Behavioral Health; also known as School Mental Health; Emphasis on the host of
possibilities schools provide for clinicians, teachers, administrators, students, families, and
community members to collaborate in providing direct behavioral/mental health services onsite
in schools to promote the overall physical, emotional, psychological and social well-being of
students.
Selective
Program strategies that are more intensive interventions that target a subset of the population
deemed at risk of problem behaviors due to exposure to risk or lack of protective factors such as
children of adult alcoholics, drop outs or students who are struggling academically.
Social Emotional Health
Within the context of one’s family, community and cultural background, social and emotional
health is the child’s developing capacity to: form secure relationships; experience and regulate
emotions and; explore and learn
Social Skills
Prevention strategy that focuses on teaching students interpersonal skills such as how to
problem solve, make decisions, resist peer pressure, resolve conflicts peacefully, negotiation
skills, and so on.
Stage of Deployment
When military families are mobilized they experience a five phase process of transition.
Pre-Deployment (Stage 1) – Begins with the warning order to Service Member for
deployment from home through their actual departure
Deployment (Stage 2) – Period immediately following Service Member’s departure from
home through first month of deployment
Sustainment (Stage 3) – Lasts from first month of departure through the end of
deployment which can be between 9-12 months
Re-Deployment (Stage 4) – Defined as the month before the Service Member is
scheduled to return home
Post-Deployment (Stage 5) – Begins with the arrival of the Service Member back home
and typically lasts 3-6 months or more
SPF
Strategic Prevention Framework; A five-step process known to promote youth development,
reduce risk-taking behaviors, build assets and resilience, and prevent problem behaviors across
the life span. The SPF is built on a community-based risk and protective factors approach to
prevention and a series of guiding principles that can be utilized at the federal, State/tribal and
community levels.
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Supportive Learning Environment
A learning environment that is safe, civil, healthy, and intellectually stimulating, where students
are engaged in learning and committed to acquiring the knowledge, attitudes, skills, and
behaviors to succeed in the 21st century.
TertiIary Prevention
Intervention, also known as treatment that seeks to address symptoms of substance abuse and
prevent further problems. It also refers to strategies designed to decrease the amount of
disability associated with an existing disorder or illness.
Title I
Federal funds focus on increasing educational achievement for low income youth.
Title X
The reauthorization of the USDOE ESEA McKinney -Vento Act, which mandates services for
homeless students. LEA's (Local Education Authority) are required to eliminate barriers to
access for students in transition.
U.A.
Urine Analysis.
Universal
Program strategies that address the entire population and include child-centered approaches
designed to create a civil environment that support mutual caring and respect among students
and staff. Messages are aimed at preventing or delaying problem behaviors, with the mission of
providing all individuals with information and skills necessary to prevent the problem
Validity
A term used to describe a measurement instrument or test that measures what it is supposed to
measure; the extent to which a measure is free of systematic error. For example, say we want
to measure individuals’ height. If all we had was a bathroom scale, we could ask our individuals
to step on the scale ad record the results. Even if the measurements were highly reliable, that
is, consistent from one weighing to the next, they would not be very valid. The weights wouldn’t
be completely useless, however, because there generally is some correlation between height
and weight. Although we do often have to try to get by with proxy measures, there is no doubt
that a yardstick would be more valid for measuring height than a scale (Vogt, 1993, p. 240).
Vulnerable Populations
Community and associated individual characteristics as risk factors predictive of potential
incidence of challenges with physical, psychological, emotional and/or social health and wellbeing
WAC
Washington Administrative Code. Rules and regulations of executive branch agencies issued by
authority of statutes. WACs are the regulations necessary to implement RCWs.
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Wraparound Services
Services that address clients’ total healthcare needs in order to achieve health or wellness.
These services "wrap around" core clinical interventions, usually medical. Typical examples
include such services as financial support, transportation, housing, job training, specialized
treatment, or educational support
SOURCES (unless specified):
http://swpc.ou.edu/documents/PreventionTermsGlossary.doc
http://www.psesd.org/prevention/glossary.html
http://p2001.health.org/glossary.htm
http://prevention.samhsa.gov/
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INTRODUCTION
1
PROGRAM MANAUL OVERVIEW
This publication is a guide for Student Assistance Prevention Intervention Services Program
(SAPISP) Specialist, Coordinators, and Supervisors who plan to, or have implemented a
comprehensive, research-based program for prevention and intervention services in the school
setting related to:
 Alcohol, tobacco and other drugs.
 SEBH issues.
In the early eighties SAPISP primarily focused on alcohol substance abusing youth and children
impacted by others who use alcohol or other drugs. However, recently substance abuse
prevention and intervention has been placed under a broader umbrella of behavioral health. The
Center for applied Principles and Technology (CAPT) Behavioral Health Fact Sheets (2012) 1
explains “placing this work in the context of overall behavior health requires a critical shift in
perspective. Applying a behavioral health lens to our current prevention efforts helps us to see
the connections between substance abuse and related problems, and to take the necessary
steps to address these problems in a comprehensive and collaborative way.”
Behavioral health is defined as a “state of mental/emotional being and/or choices and actions
that affect wellness. Substance abuse and misuse are one set of behavioral health problems.
Others include (but are not limited to) serious psychological distress, suicide, and mental illness.
See additional information on behavioral health, and the shift in the field at the end of the
Introduction under Additional Resources. For the purpose of this manual, behavioral health is
inclusive of SEBH including substance abuse and will be referred to throughout the manual as
SEBH.
The primary purposes of school-based SAPISP are to address nonacademic barriers such as
SEBH to learning and to foster academic success.
The Introduction Section discusses the framework for the theoretical underpinnings of the
school-based prevention and intervention model; outlines effective program approaches;
describes Washington State’s SAPISP model; and suggests primary areas of focus. Information
provided within each section of the manual is aligned with the nine components of an effective
Student Assistance Program as recommended by the National Student Assistance Association
(NSAA), under the National Association of Alcoholism and Drug Abuse Counselors (NAADAC)
and includes an additional section on consideration for vulnerable youth populations.
BACKGROUND AND SIGNIFICANCE
Substance Use by Adolescents
Substance use continues to be a significant
problem among young people, here as
elsewhere. According to the 2010 Washington
State Healthy Youth Survey (HYS) alcohol
was reported as the drug of choice among
students statewide, followed by marijuana and
cigarettes. Of those student participants, 70.6
percent of 12th graders, 57.1 percent of 10th
graders, 39.0 percent of 8th graders, and 26.3
percent of 6th grade students had tried alcohol
1
CAPT Behavioral Health Fact Sheets (2012). Retrieved from http://captus.samhsa.gov/preventionpractice/prevention-and-behavioral-health/behavioral-health-lens-prevention/1.
2
at some time in their lives. Reported lifetime use
of marijuana included 45.7 percent of 12th
graders, 30.9 percent of 10th graders, 13.2
percent of 8th graders, and 3.9 percent of 6th
grade youth (DSHS, 2011). (Note: Lifetime
cigarette use is not asked of 6th grade
participants).
Of greater concern is the number of youth who
report recent substance use. Among 2010 HYS
respondents, 40.0 percent of high school
seniors, 27.7 percent of 10th graders, 14.4
percent of 8th graders and 1.6 percent of 6th
grade youth reported having used alcohol in the past 30 days. Among alcohol users, many
reported heavy (binge) use with one in four 12th graders (24.9 percent) and 16.2 percent of 10th
graders who binge drink. Findings indicate that 26.3 percent of 12th grade participants, 20.0
percent of 10th graders, 9.5 percent of 8th graders, and nearly 2 percent of younger students
reported current marijuana use (DSHS, 2011). Trend data indicate that among Washington
State youth, rates of recent alcohol use has declined across all grade levels as compared to
2008; however, rates of marijuana use among participants increased.
These findings underscore the need for student assistance services that support students’
positive decision-making regarding alcohol, tobacco and other drug use.
Other SEBH-Related Risk
Students also reported engagement in other health risk behaviors (e.g., bullying, violence, and
suicide-related behaviors) that raise concern about their health and wellbeing. For example,
attempted suicide increases the risk of suicide, and is linked to other problem behaviors such as
substance abuse and delinquency. Mental, emotional, and behavioral disorders e.g.,
depression, conduct disorder, and substance abuse is estimated to affect between 14 to 20
percent of children and youth (O’connell, Boat & Warner, 2009). Early onset of mental disorders
is predictive of lower school achievement and involvement in the juvenile justice system
(O’connell, Boat & Warner, 2009). According to 2010 HYS results, students reported the
following suicide- related behaviors (DSHS, 2011, p. 46):
 Seriously considered attempting suicide in the past year: 15 percent of Grade 8, 18
percent of Grade 10, and 14 percent of Grade 12 students.
 Made a plan about how to attempt suicide in the past year: 10 percent of Grade 8, 12
percent of Grade 10, and 11 percent of Grade 12 students.
 Actually attempted suicide: 7 percent of Grade 8 and 10, and 6 percent of Grade 12
students.
 Felt that they did not have an adult to turn to for help when feeling sad or hopeless: 26
percent of Grade 6, 39 percent of Grade 8 and 10, and 31 percent of Grade 12 students.
Research on bullying and student intimidation (harassment) demonstrates the negative impact
of bullying on student achievement, substance abuse and mental health issues (Lillis, 2011;
Juvonen, Wang, & Espinoza, 2011; Tharp-Taylor, Haviland & D’Amico, 2009). In 2010, 30
percent of 6th and 8th grade students, 24 percent of 10th graders, and 17 percent of 12th grade
youth were bullied on one or more days in the past month. Middle school aged students were
more likely than their high school-aged peers to be bullied and 8th and 10th grade girls reported
high incidences as compared to the male peers (DSHS, 2011). Findings from the 2010 HYS
3
further demonstrate that about one in ten 8th, 10th, and 12th grade youth reported being harassed
via computer or cell phone. Additionally, 13 percent of 8th graders, 11 percent of 10th graders,
and 8 percent of 12th grade participants reported being harassed because someone thought
they were gay, lesbian or bisexual (DSHS, 2011).
Finally, for lesbian, gay, bi-sexual, questioning, or transgender (LGBQT) youth, studies
demonstrate that these youth are at increased risk of mental and emotional disorders,
victimization, harassment, and substance abuse as compared to their peers (Substance
Abuse and Mental Health Services Administration, 2012).
Social, Emotional and Behavioral Health issues and Impact on Academics Academic
Recent studies link drug and alcohol use, bullying, and mental
health issues to negative impacts on a student’s school
performance. According to the National Center for Mental Health
Substance abuse,
Promotion and Youth Violence Prevention, “Substance abuse,
violence, and
violence, and emotional disorders interfere with the ability of children
emotional disorders
to learn and the ability of a school to educate. Students who are
interfere with the
ability of children to
under the influence of alcohol or other drugs or battling emotional
learn and the ability of
problems are not going to be able to learn as well as students who
a school to educate.
devote their full attention to their education.”2
Learn and the ability
of a school to
educate.
In fact, 2010 HYS data demonstrate that
adolescents who used substances in the past
30 days were more likely to have average or
below average grades as compared to their
nonusing peers. Of the 8th, 10th and 12th grade
youth surveyed, 76.8 percent of those who
had no recent alcohol use reported an A or B
grade average as compared to just 59.4
percent of their using peers.
Similarly, findings indicate that frequency of
marijuana use during the past month was also
related to poor academic performance. For
example, among HYS participants who
reported no recent marijuana use, 76.5
percent reported receiving an A or B average
grade during the past school year. In
comparison, among students who reported
recent (past 30 day) use, only 52.7 percent
reported achieving higher academic success.
Nishioka and collegues (2011) found that
bullying has many negative associations with
academic achievement and the social and
emotional development of middle school
students. “Middle school students who bully
2
For additional information go to: www.samhsa.gov.
4
or are victimized by bullying are more likely to have problems that
interfere with success in school, such as higher rates of physical
complaints, truancy or school avoidance, substance abuse, peer
rejection, and mental health conditions such as anxiety and
depression” (p. 2). Additionally meta-analysis of 33 studies found
that bullied students are more likely to earn lower grades and to
receive lower scores on standardized achievement tests as
compared to students who were not victimized (Nakamoto &
Schwartz, 2009).
Findings from the 2006 Oregon Healthy Teens Survey,
demonstrate that 45 percent of the 8th grade students rated their
general emotional and mental health as poor reported having
mostly low grades - C, D, and Fs. In contrast, 14 percent of the 8th
graders that rated their emotional and mental health as excellent,
reported having mostly low grades.3
A meta-analysis of 33
studies found that
bullied students are
more likely to earn
lower grades and to
receive lower scores
on standardized
achievement tests as
compared to students
who were not
victimized.
These issues are disconcerting given the evidence that suggest such problem behaviors are
predictive of academic failure including; dropping out, increased likelihood of delinquency, and
involvement with criminal justice (Gottfredson, 2001; Hawkins, Catalano, Miller, 1992;
Nakamoto & Schwartz, 2009; O’Connell, Boat & Warner, 2009; Skiba & Peterson, 1999).
School-based SAPISP is an effective means to address the above concerns, and are in direct
response to public and parental concerns related to high levels of adolescent alcohol and other
drug use as well as other social, emotional, behavioral health problems (Adelman & Taylor,
2002; Carlson, 201; Klitzner, Fisher, Stewart, & Gilbert, 1992; Moore & Forster, 1993;). In
addition, SAPISP also targets specific vulnerable groups’ needs such as children from
substance abusing families, military families, lesbian, gay, bisexual, transgender,
queer/questioning (LGBTQ), and Native Americans.
THEORETICAL FOUNDATION
Research literature consistently identifies prevention and intervention as one of the most
appropriate strategies for responding to the risks of student
problem behaviors of violence, substance abuse, school failure,
and delinquency (Bosworth, 2000; Klitzner, Fisher, Stewart, &
Research literature
Gilbert, 1992; Moore & Forster, 1993; Steinberg, 1991; Wagner &
consistently identifies
MacGowan, 2006). The literature also supports comprehensive
student assistance
strategies involving multiple systems and dealing with numerous
prevention and
intervention as one of
issues targeting critical developmental stages (Adelman & Taylor,
the most appropriate
1998; Dougherty et al., 1992; Hawkins, Catalano, & Miller, 1992).
strategies for
This structured approach, similar to that found in student
responding to the
assistance programs, allows for the incorporation of two important
risks of student
problem behaviors of
prevention and intervention principles (Quinn, Osher, Hoffman, &
violence, substance
Hanley, 1998, p. 31):
abuse, school failure,
 The intensity of the intervention must be commensurate
and delinquency.
with the severity or intensity of the problem behavior.
 The effectiveness and efficiency of the individual student
system depends on the effectiveness and efficiency of the
schoolwide system.
3
Oregon Adolescent Health Section analysis of 2006 Oregon Healthy Teens Survey data. Prepared
,
November 13 2006. Available at www.nasbhc.org/.
5
Schools are particularly appropriate sites for providing SAPISP as they function as important
social institutions for youth, “second only to families in significance” (Carlson, 2001, p. 3).
Additionally, schools are in a unique position to change students’ interactions and behaviors, and
to model community standards (Hawkins, Farrington, & Catalano, 1998). School-based delivery
provides not only a concentration of the target population but also ensures easier access to
services for both students and parents. Adelman and Taylor (2000) maintain that offering
substance abuse and SEBH related services at schools facilitates access by students and
families with this especially true for underserved and difficult-to-reach populations. Noam and
colleagues (1999) found school-based services are less affected by the stigma associated with
some community based offerings, thus are often more acceptable to student and parents.
Finally, comprehensive, and integrated, school-based delivery systems, conceptually and
programmatically, ensure that students’ academic, SEBH needs have the potential to be
addressed together (Adelman & Taylor, 1997, 2002; O’Connell, Boat & Warner, 2009). Such
delivery systems promise to be more useful and efficient as well as more cost effective.
EFFECTIVE PROGRAM CHARACTERISTICS
Over the past decade, there has been an expansive growth in the knowledge base about the
best approaches for delivery of effective student support programs to address barriers to
learning. Bond and Hauf (2004), in an extensive review of diverse evaluations, including metaanalyses and best practice approaches of prevention and intervention related programs,
identified 11 specific but mutually supporting characteristics of effective programs. These
characteristics have been found to be an integral part of successful programs and are offered as
guiding principles for framing future prevention and intervention practices. Characteristics
fundamental to program success include:
1. Theory and research-based program content, structure and implementation.
2. Clearly defined, attainable, and agreed upon goals to guide assessment and evaluation
of program effectiveness.
3. Multi-system, multi-level perspectives address numerous influences (e.g., individual,
peer, environmental) and various developmental pathways across a wide range of goals.
4. Attends to dosage (intensity of service – insufficient & excessive) as well as follow-up
sessions to achieve and sustain outcomes.
5. Adopt strengths perspectives, to address competence and protective factors while
diminishing risk and adversity.
6. Sensitive in both content and structure/implementation i.e., developmentally appropriate,
culturally sensitive, and responsive to potential stigma, addresses heterogeneity of
group, and is oriented toward empowerment.
7. Incorporates high quality evaluation and monitoring.
8. Easily transferable and translatable among settings.
9. Attends to diverse resource needs i.e., funds, time, legitimacy, staff and linkages with
and among systems and institutions – generates ownership, buy in and commitment.
10. Characterized by socio-political sensitivity – staff are “adept at building constituencies
and connecting with existing power structures” (social marketing) (p.215).
11. Emphasize community-based collaboration.
Research conducted by Gottfredson and Gottfredson Associates (NIJ, 2004), identified other
predictors linked to successful school-based prevention and intervention programs, such as
extensive and high quality training for program staff; highly structured program activities,
including program manuals, quality control, and implementation standards; programs are
locally initiated and run by school insiders; multiple sources of information are used to
6
support program activities; and program activities integrated into the regular school day and
are seen as part of the regular school operations.
The optimal model for SEBH-related services to adolescents is a coordinated response to
multiple concerns and service needs (Stroul & Friedman, 1994; Duchnowski, Kutash, Friedman,
2002). Current knowledge of school-based prevention and intervention services support the
conclusion that there are high needs for such services. These services would be most effective
if comprehensive, integrated, multifaceted, and coordinated with other school and community
resources (Adelman & Taylor, 1997, 2002; 2010; 2011). In addition, to effectively re-engage
students in the learning process, school-based programs must place an increased emphasis on
resilience and the promotion of protective factors across multiple domains (Adelman & Taylor,
2002, 2006; O’Connell et al., 2009).
CONTINUUM OF SERVICES
Because issues related to student learning and the reasons that place students at-risk are
complex, and multifaceted program approaches must adopt multi-level services. These services
must be coordinated in a manner to ensure students receive timely assistance and, as stated
earlier, services that are appropriate to students’ level of need, and are developmentally, and
culturally appropriate (Adelman & Taylor, 2006).
To aptly address these issues a continuum of program services should focus on three specific
facets (Bosworth, 2000; Dusenbury & Hansen, 2004; National Institute of Drug Abuse, 1997;
O’Connell et al., 2009; Quinn, Osher, & Hoffman, 1998):
1. Meaningful and developmentally appropriate content and strategy (i.e., kindergartners
learn about stranger safety, not date rape).
2. At each grade level, there is a three tiered approach to prevention and intervention
services (see Introduction additional resource section for additional information and
section 7 on SAT related to Response to Intervention RTI).::
a. Universal—strategies address the entire population and include whole-child
approaches designed to create a safe and Supportive school environment that
fosters mutual caring and respect among students and staff. Messages are aimed at
preventing or delaying problem behaviors, with the mission of providing all
individuals with information, and skills necessary to navigate relationships effectively
by increasing self, and social awareness to effectively manage negative emotions,
and improved decision-making and negotiation skills to address negative peer
pressures. Schoolwide implementations of universal approaches include curricula,
social norms campaigns aimed at reshaping attitudes and beliefs, and review of
policies and procedures addressing social, emotional behavioral, mental health and
ATOD use.
b. Selective (early intervention)—more intensive intervention activities, curricula,
programs and services that target students who are at-risk of engaging in, or
experiencing, negative problem behaviors due to exposure of risk or lack of
protective factors such as: children from substance abusing families, students who
are experimenting or misusing alcohol, tobacco and other drugs (ATOD), children
from military families, LGBTQ, social emotional, behavioral and/or mental health
problems, and youth who are struggling academically. Research suggests that
between 10–15 percent of students may need this level of more intensive
7
intervention services to help decrease problem behaviors (National Center for Mental
Health Promotion and Youth Violence Prevention, and.; Quinn et al, 1998);.
c. Indicated (intensive strategies)—strategies are designed to address the needs of
those students who are showing early warning signs or already demonstrating
problem behaviors, and provide highly individualized and intensive services.
Indicated intervention approaches are used for students who may or may not be
using substances, but exhibit risk factors that increase the likelihood of involvement
with ATOD, or other social, emotional, behavioral or mental health problem
behaviors (i.e., suicide ideation, depression, anxiety violence, academic failure,
dropping out). Approaches are designed to reduce the length of involvement in
problem behaviors, delay onset of problem behaviors such as substance abuse,
and/or reduce the severity of existing problem behaviors. Research has found that
generally between 1–7 percent of students require this level of intensive services
(National Center for Mental Health Promotion and Youth Violence Prevention, and;
Quinn et al., 1998).
3. The levels of intervention are coordinated across the system so that students can move
among the levels with minimal disruption to routine or program services. Approximately
twenty percent (20 percent) of SAPISP program services are dedicated to providing
Universal schoolwide interventions. The majority of program services (80 percent) serve
those students who make up the smallest proportion of the student body. These
students account for the largest part of problem behaviors, and are served under
selective and indicated, and provided individual, group and case management services.
SUGGESTED AREAS OF FOCUS
The following information outlines the types of services recommended for implementation
across the continuum of grade levels, including suggested program strategies, rational for
services, potential service providers, and risk indicators.
ELEMENTARY LEVEL
Research demonstrates that school based interventions including social-emotional support and
prevention can reduce and prevent the delinquent behavior in children, foster mental wellness,
and improve student and school outcomes (Burns, Howell, Wiig, Augimeri, Welsh, & Petechuk,
2003; Fleming, Haggerty, Brown, et al., 2005). These findings suggest implementing
developmentally appropriate approaches that encompass normative education and social
resistance skills training and incorporate:
 Classroom and schoolwide behavior management programs and policies – found to
reduce aggressive behaviors on playgrounds and in the school setting social
competence promotion curriculums – teach pro-social norms, problem solving, and
social interaction skills.
 Conflict resolution and violence prevention curriculums; bullying prevention efforts – also
focus on problem solving and social interaction skills – found to reduce aggressive
behaviors in students (e.g., Second Step, Steps to Respect).
 Referral to parent education programs designed to provide parents skills to monitor child
problem and pro-social behaviors, and effective family management practices.
 Multi-component classroom-based programs and support groups that help teachers and
parents manage, socialize, and educate students and improve their cognitive, social,
and emotional competencies. These programs seek to reduce misbehaving in and out of
the classroom, and strengthen academic performance through identification and
reduction of early behavior problems.
8
Rationale: Persistently disruptive children are two to three times more likely than are their
counterparts to engage in risky behaviors later in life. Additionally, students who perform poorly
in school are significantly more likely to become involved in delinquency and dropout of school.
At the elementary level, prevention and intervention focuses on students with social, emotional,
behavioral or mental health issues or who exhibit conduct disorder symptoms – aggression,
persistent disruptive behaviors, acting out, destruction, dishonesty, theft, or serious violations of
rules. Initiating interventions early, before or at the onset of problem behaviors, increases the
likelihood that students will be successful in school, and will lead productive, healthy lifestyles.
However, although these behaviors are predictive of more serious delinquency problems in later
adolescence it does not mean all children with social, emotional, behavioral or mental health
issues and/or conduct disorder symptoms would become juvenile delinquents (Burns, et al.,
2003).
Service Providers: In many cases, school counselors provide the majority of prevention
services at the elementary school level. Universal program messages are supported by school
administrators, classroom teachers and other school staff modeling appropriate behaviors and
through school discipline policies. Additionally, parents can support these universal prevention
efforts by modeling behaviors and using a “common language” outside of the school
environment. Student Assistance Program services include assisting school staff with the
identification of appropriate research-based, model program materials. Further, school staff are
provided with professional development opportunities to increase knowledge about signs and
symptoms of problem behaviors, and information related to community and school-based
referral sources. Additionally, these offerings provide school staff with the option of gaining skills
such as classroom and behavior management, socialization, establishing pro-social norms,
conflict resolution, and working with difficult students.
Risk Indicators: persistent disruptive classroom behavior; aggression (physical/verbal);
deceitfulness; theft; destruction of property; poor academic performance (grades, homework);
poor attendance/truancy; school sanctions (detention, suspension); low attachment to school;
inappropriate peers; social withdrawal; poor social coping skills; victim of violence; students in
transition (new to school, divorce in family); and history of family substance abuse, mental
illness or violence, military family stress, and extreme poverty.
MIDDLE SCHOOL LEVEL
Research indicates that at a minimum prevention and intervention strategies should focus on
providing services during the critical middle school years (Burns, et al., 2003). Building upon
and reinforcing normative education and social resistance skills learned at the lower grade level,
the middle school approach infuses a variety of personal and social skills curricula to include
(Burns et al., 2003; Dusenbury & Hansen, 2004; Gottfredson, 2001; Sherman, Gottfredson,
MacKenzie, Eck, et al., n.d.):
 Programs and policies aimed at clarifying and communicating norms about behaviors
such as bullying, substance resistance, and pro-social, emotional, behavioral and mental
health issues that reinforce messages learned at the elementary level while introducing
new normative behaviors;.
 Comprehensive instructional classroom-based programs that focus on a range of social
competency skills (e. g., developing self-control, stress-management, responsible
decision-making, social interaction and problem-solving, bullying prevention,
communication and Assertiveness skills) that are delivered over a long period of time
(10–12 weeks with booster sessions at each grade level) to continually reinforce skills
(Universal). Such programs as Life Skills, Project Alert, Get Real About Violence or other
classroom based proven effective curricula.
9

Behavior modification programs and groups that teach "thinking skills" to high-risk youth,
with the aim of increasing resiliency among participants, such strategies focus directly on
changing and tracking behaviors, setting behavioral goals, and using feedback or
positive or negative reinforcement to change behavior. Efforts to teach students "thinking
strategies" (i.e., cognitive-behavioral) that utilize an interactive teaching method versus
didactic method such as modeling or demonstrating behaviors and providing rehearsal
and coaching in the display of new skills. Such approaches have been shown to reduce
substance use; increase pro-social behaviors; and increase protective factors (Sherman,
et al, n.d) (Selective/Indicated).
Rationale: Middle schools on average experience the highest level of student social, emotional
and problem behaviors, typically have higher levels of disorder, and usually exhibit the greatest
level of need. Risk behaviors peak in mid, or late adolescence, as do adolescent stressors. By
engaging students who exhibit, or are at-risk of problem behaviors, in support services that
increase protective factors, teach resiliency, and provide skills to overcome barriers, intervention
programs are more likely to delay the onset of problem behaviors such as ATOD use, social and
emotional behavior problems including violence, aggression, delinquency and mental health
struggles. In doing so, these programs significantly increase the likelihood of success in school,
decrease the likelihood of school dropout and future criminality; therefore, increase the
likelihood of success in later life.
Service Providers: At the middle school level, program services are more likely to be provided
in a multi-disciplinary or SAT(Core Team) approach. Administrators enforce school/district
policies regarding behavior and discipline. Teachers implement classroom management and
instructional strategies that include interactive and cooperative learning methods to actively
engage students in school. School counselors, in collaboration with the classroom teacher or
SAS, provide classroom based curriculum that promote development of social and emotional
competencies, and norms against violence, aggression, and harassment, intimidation, and
bullying. In addition, SAS provide more intensive services to students identified as at-risk of
initiating or escalating ATOD use, and other problem behaviors. These services include
screening, referral, support groups, individual sessions, recovery support, and case
management.
Risk Indicators: Persistent disruptive classroom behavior; aggression (physical/verbal); lying,
theft; destruction of property; poor academic performance (grades, homework); poor
attendance/truancy; school sanctions (detention, suspension, expulsion); low school
bonding/attachment; social withdrawal; limited personal skills (e.g., self-esteem, self-control) or
poor social coping skills; victim of violence (physical, emotional, sexual); ATOD
experimentation/abuse/dependence; depression; symptoms of substance abuse or
dependence; association with inappropriate peers; eating disorders students in transition (new
to school, divorce in family); family problems such as history of family substance abuse, mental
illness or violence, military family stress, and extreme poverty.
HIGH SCHOOL LEVEL
Prevention and intervention services at the high school level continue to build upon and support
the messages and normative behaviors established at the lower grade levels, with an added
emphasis on assisting students navigating through transitional periods – from middle to high
school and from school to college and work. At a minimum, program strategies should focus on
reinforcing and sustaining prevention and intervention lessons learned during the middle school
years and providing “crisis” intervention services to students who are most vulnerable
10
(Dusenbury & Hansen, 2004; Gottfredson, 2001; Sherman, Gottfredson, MacKenzie, Eck, et al.,
n.d; Quinn et al., 1998). Prevention and intervention approaches include:

All mentioned mentioned above bullet 1 & 2 middle schools prevention and
intervention activities;

Programs and policies that reinforce norms about behaviors learned at the lower
school levels (Universal);

One-on-one substance abuse, social, emotional and behavioral, academic,
vocational/career, and other counseling interventions (i.e. LGBTQ, family stressor,
gang intervention) (Selective/Indicated); and

Behavior modification programs and groups that teach "thinking skills" to vulnerable
youth thereby increasing resiliency (Selective/Indicated).
Rationale: High school aged students benefit most from programs that offer Participation in
community service; substance abuse intervention; violence prevention; job training and
employment; and education and counseling for students and parents with an emphasis on
adolescent and family issues. For students identified at risk, reinforcement of normative
behaviors, academic support, and connection with a caring adult increases the likelihood of
continued school involvement, decreases the likelihood of school dropout and future criminality;
thus, increases the likelihood of success in later life.
Service Providers: Similar to the middle school level, program services are likely to be
provided in a multi-disciplinary approach. Administrators enforce school/district policies
regarding behavior and discipline. Teachers implement classroom management and
instructional strategies and reinforce prevention messages. School counselors provide transition
assistance from middle to high school; career planning and post-secondary transition; general
academic guidance; and assistance and referrals for substance abuse to school and
community-based programs. Students identified with risk of dropping out, exhibit social,
emotional, behavioral, mental health, and/or have substance use issues, or those disciplined
due to violation of the district’s zero tolerance ATOD use policies are referred to SAPISP staff
who provide more intensive services to students identified as at risk of initiating or escalating
ATOD use, and other problem behaviors.
Risk Indicators: Persistent disruptive classroom behavior; aggression (physical/verbal); lying;
theft; destruction of property; poor academic performance (grades, homework); poor
attendance/truancy; school sanctions (detention, suspension, expulsion); low school
bonding/attachment; social withdrawal; limited personal skills (e.g., self-esteem, self-control) or
poor social coping skills; victim of violence (physical, emotional, sexual); ATOD
experimentation/abuse/dependence; depression; eating disorders, students in transition (new to
school, divorce in family); family problems such as history of family substance abuse, mental
illness or violence, military family stress, and extreme poverty.
BARRIERS TO EFFECTIVE PROGRAMMING
Not surprisingly, there are identified characteristics common among ineffective student support
programs (Adelman & Taylor, 2006; Gottfredson & Gottfredson, 2000; National Institute of
Justice, 2004). These barriers span a variety of issues, including:
 Lack of adequate training, staff development and technical assistance for program
implementation and continued support.
11









Inadequate staff resources, program length, and lack of continuity over time.
Weak school or program leadership.
Overworked, stressed staff resistant to the idea of implementing new programs,
especially without additional resources or support.
School/district that “enable” or deny the existence of student or other problems.
Inability to sustain innovative strategies.
Low teacher and other school staff morale.
Lack of program “buy in.”
Failure to implement program model with fidelity.
Inadequately monitoring and evaluating program effectiveness.
Other barriers include school disorganization and climate, lack of leadership and
communication, role definition, and failure to involve staff in program design. Schools with high
levels of disorder, and low staff morale are more likely to be reactive; using crisis response
tactics versus implementing comprehensive student support programs, and being proactive in
addressing identified problems (Adelman & Taylor, 2006; National Institute of Justice, 2004;
Quinn et al., 1998).
SUMMARY
The literature on SAPSIP clearly delineates the components necessary for effective program
practices to reduce barriers to student learning while providing safe and Supportive environment
conducive to learning. Successful programs are comprehensive, multifaceted, and cohesive,
attend to the developmental stages of students, and are provided across the continuum of
school grades (K-12).
WASHINGTON STATE’S MODEL
Washington States’ comprehensive SAPISP model is based upon findings that support a multilevel approach to prevention and intervention services to address dropout, SEBH and other
student problem behaviors to reduce student barriers to learning. As previously noted, this
method has been demonstrated as a highly effective practice to address Schoolwide behavior
problems. Research findings indicate that to be most effective, student support programs must
take a systematic, multifaceted, integrated approach to intervention services. Effective programs
are developmentally appropriate, embedded, and supported by school policies and procedures,
and provided as a continuum, targeting the entire school, classrooms, and individual students.
Furthermore, effective programs adhere to the required dosage/intensity of services, include
staff development and training, and incorporate family and community involvement. In
Washington States’ model, the majority of programs focus on providing services to students at
the secondary grade levels (6th–12th); however, some schools provide services across all school
levels.
In a review of the literature, Carlson (2001) found the student assistance program to be the
dominant model used nationally to provide school-based early intervention services for
adolescents with substance abuse, social, emotional, behavioral, mental health related
problems. In 2009–10, prevention and intervention specialists in 13 local projects provided
direct services to more than three-fourths of Washington State’s secondary schools and over
17,000 students (Einspruch, 2011). Here, as elsewhere, “student assistance programs provide a
range of services, beginning with prevention and extending through intervention in substance
abuse with referrals to more intensive treatment resources and recovery support groups.”
(Carlson, 2001, p. 1)
12
PROGRAM HISTORY4
In 1989, the Washington State Legislature passed the Omnibus Alcohol and Controlled
Substances Act that provides funding for state agencies to conduct a variety of programs that
address the public’s concern about the level and consequences of alcohol, tobacco, and other
drug use. The SAPISP operated by the Office of Superintendent of Public Instruction (OSPI),
places SAS in schools to implement comprehensive student assistance programs that address
problems associated with substance use, social, emotional, behavioral, mental health related
problems and other at-risk behaviors. As stated in the act (ESSHB 1793, Subpart B, Section
310, Paragraph 2), Student Assistance Specialists: (a) Provide early alcohol and other drug
prevention and intervention services to students and their families; (b) Assist in referrals to
treatment providers; and (c) Strengthen the transition back to school for students who have had
problems of alcohol and other drug abuse. Statewide program goals are:
1. Provide early social, emotional, and behavioral support including drug and alcohol
prevention and intervention services to students.
2. Provide high quality prevention and intervention programs to foster a safe and
Supportive a SEBH including substance abuse environment for all students.
3. Develop collaborative relationships with community partners/networks mental health and
treatment agencies to serve students and families comprehensively.
Where are the local programs? In years
past, nearly $5 million were distributed
annually to 13 local grantees—including
the four largest school districts (Seattle,
Tacoma, Spokane, and Kent) and nine
consortia—covering virtually the entire
state. Funding allocations were based on
a formula that accounts for both the
school enrollment and the estimated need
for services of each region. In 2010, the
Department of Behavioral Health and
Recovery (DBHR), formally known as
Department of Alcohol and Substance
Abuse, began implementing Prevention Redesign Initiative (PRI) in 2011 by redirecting funding
to better target and leverage limited prevention resources to higher-need communities. The
intention of redirecting these funds is to support proven strategies that will have a long-term,
positive impact on families and others in their communities. PRI is being implemented through
active partnerships with counties, Educational Service Districts (ESDs), local school districts,
and the Office of the Superintendent of Public Instruction. Retrieved 1/20/2011.
How are the students served? According to research, effective student assistance programs
provide a comprehensive model for the delivery of K-12 prevention (universal), intervention
(selective and indicated) and support services. These services are developmentally and
culturally appropriate.
4
The following information is adapted in part from: Einspruch, E. (2011). Addressing Adolescent Substance Abuse:
An evaluation of Washington’s Student Assistance Prevention and Intervention Services Program. Office of
Superintendent of Public Instruction, Olympia, WA.
13
Universal prevention activities typically target all students through classrooms or entire school
events. Examples include assistance to classroom teachers in the use of age-appropriate
prevention curricula, district policies, supervision of peer leadership or pledge programs, and
promotion of drug-free alternative activities, and social, emotional, behavioral and mental health
wellness activities.
Identification and screening involves a formalized process for identifying students who exhibit
risk factors leading to behaviors that interfere with the learning process or that are harmful to the
student or others in the school setting. If substance use or mental health issues are suspected,
a further information is gathered to help determine whether some form of treatment is
necessary.
Intervention and support services activities includes the identification of students who are:
(a) At-risk of initiating substance use or exhibit signs of SEBH issues, (b) Coping with the
substance use and/or mental health issues of significant others, (c) Using tobacco, alcohol, or
other drugs (including prescriptions drugs), or (d) Developing a dependence on drugs. SAS help
motivate students and their families to address the documented concerns. An array of
counseling, peer support groups, social skills training, and individual and family interventions
are used to address the particular needs of each student, and providing assistance for youth
returning to school after treatment.
Referral and case management services are in place when the severity of substance use or
social, emotional, or mental health issues requires services that cannot be provided in the
school setting, students are referred to community services such as mental health and chemical
dependency treatment.
The statewide Student Assistance Prevention-Intervention Services Program (SAPISP) are
designed to reduce student risk factors, promote protective factors, and increase asset
development. Five organizational factors present in successful SAPISP programs include:





Formal Student Identification Process—Schools have a designated teams often
referred to as a Child Study Team, Student Assistance Team, Core Team, or RTI to
review referrals and prioritize service delivery. Students identified in need of service are
then referred to the SAS who then screens for substance use and mental health
problems requiring intervention or treatment.
Staff Training and Identification—All school staff receive formal in-service training on
signs and symptoms of ATOD, impacts of substance use and mental health issues or
other problem behaviors on learning and school environment as well as the referral
process. Confidentiality and school policy are also covered with staff at the start of each
school year.
Staff Involvement in Identification—All staff—classified and certified—is involved in
the identification of students at-risk.
Training for Student Assistant Prevention-Intervention Services Program Staff—
On-going professional development opportunities are provided to SAPISP staff this
includes addressing community and school-based resources, issues related to dropout,
social, emotional, behavioral needs including substance abuse, mental health and other
problem behaviors, effective intervention techniques such as motivational interviewing,
Cognitive Behavioral and Dialectical Behavioral Therapy techniques, group counseling
and case management strategies.
Formal Assessment and Referrals for Identified Students—Referral for AOD, mental
health and co-occurring assessments to community-based agencies with treatment for
14
student and family as needed. Case management and recovery support for students
returning to the school.
PROGRAM OUTCOMES
Prevention and intervention strategies are intended to, (a) promote the skills and attitudes
necessary to resist pressures to use alcohol, tobacco, and other drugs, (b) help students avoid
antisocial behavior that may disrupt learning, (c) encourage students to reduce the substance
use for which they were referred, and (d) remove barriers to school success. The findings of an
independent statewide evaluation suggest that the SAPSIP has resulted in positive outcomes in
each of these areas as measured by a self-report instrument administered before and after
Participation in program services (Einspruch, 2011)
Skills and attitudes. Students reported that social skills and attitudes that help them resist drug
use and other inappropriate behavior strengthened while participating in the SAPISP. Students
reported modest but statistically significant gains on nine scales including self-concept, selfcontrol, Assertiveness, and cooperation.
Antisocial behavior. Students with an intervention goal of reducing antisocial behavior
indicated modest but significant reductions in five of six indicators.
Substance use. Students with an intervention goal of reducing substance use reported
changes in their level of use:
 Significantly more students perceived moderate to high risk in nine of ten types of
substance use after the program.
 Significantly fewer students reported using alcohol, tobacco, and marijuana in the past
30 days after Participation in the program. For example, 28 percent fewer students
reported marijuana use and 26 percent fewer students reported binge drinking (five or
more drinks) and 9 percent fewer students reported tobacco use in the past 30 days
after participating.
School success. Both teacher ratings and school records provided some evidence that
Participation in the SAPISP can be linked to improved school success:
 Elementary and alternative school teachers observed improved classroom performance
in 86 percent of the students with unsatisfactory performance at baseline. Most of the
remainder had satisfactory performance that remained unchanged.
 Participating students reported a significant increase in school bonding (Deck, 2002).
 Elementary and alternative school teachers observed improved classroom performance
among students who had participated in the program during the school year (Deck,
2002).
 A small high Participation sample of middle school and high school students who were
rated as dependent on alcohol or other drugs achieved a higher grade point average at
the end of a second school year while a similar low Participation group showed a decline
(Deck, 2002).
 Elementary and alternative school teachers observed improved classroom performance
among students who had participated in the program during the school year (Deck,
2005).
 A small high Participation sample of middle school and high school students who were
rated as dependent on alcohol or other drugs achieved a higher grade point average at
15
the end of a second school year while a similar low Participation group showed a decline
(Deck, 2005).
Additionally, research on the effectiveness of the Washington State SAPISP program revealed
the success of the SAPISP as follows (Deck, 2002):
 The program is aligned with current reform efforts to improve academic achievement,
establish and/or maintain safe healthy and Supportive environments, help students build
positive social, emotional and behavioral skills, increase coordination between program
specialists and school staff and other school-based programs, and provide alternative
learning opportunities for vulnerable high-risk students.
 Student participants from schools where prevention programs are age appropriate,
highly coordinated and consistent reported significantly lower usage of tobacco, alcohol
or marijuana in the last 30 days compared with students whose programs have been
developed and implemented in a generic, ad-hoc fashion.
 Schools offering a continuum of services (prevention, early intervention, treatment
referral and aftercare support) ensure safer healthier and Supportive environments
where students from diverse groups receive appropriate counseling. SAS directly
connect several improvements among students—beyond simply learning to develop and
maintain drug-free habits—to the success of prevention and intervention strategies.
These include improvements in their students’ writing and communication abilities,
classroom attendance and Participation, and overall respect for teachers and peers.
 Students receiving intervention services begin to have fewer social, emotional, behavior,
and mental health problems at home, better problem-solving skills, and improved
relationships with friends.
More detailed findings from the ongoing statewide evaluation are presented in:
Einspruch, E. (2011). Addressing Adolescent Substance Abuse: An evaluation of Washington’s
Student Assistance Prevention and Intervention Services Program: 2009–10 Annual Report.
Office of Superintendent of Public Instruction, Olympia, WA.
Deck, D. D. (2004). Addressing Adolescent Substance Abuse: An Evaluation of Washington’s
Prevention and Intervention Services Program: 2001–03 Final Report. Office of Superintendent
of Public Instruction, Olympia, WA.
LEGISLATIVE DIRECTIVE5
Substance Abuse Prevention Awareness – Program Funding
In 1989, the Washington State Legislature adopted RCW 28A.170 – Substance Abuse
Prevention Awareness – providing funding for state agencies to conduct a variety of programs
to address the public’s concern about the level and consequences of alcohol, tobacco, and
other drug use. According to the legislative directive, grants provided under RCW 28A.170.090
(as amended in 2005) may be used solely for services provided by a Student Assistance
Specialist or for dedicated staff time for counseling and intervention services provided by any
school district certificated employee who has been trained by and has access to consultation
with an Student Assistance Specialist.
5
Additional information regarding RCW 28A.170 is available at http://www.leg.wa.gov/rcw/index.cfm
16
SAPISP, according to the legislation, shall be directed at assisting students in kindergarten
through 12th grade to overcome problems of drug and alcohol abuse, and to prevent abuse and
addiction to such substances, including nicotine. The services of the program may be obtained
by means of a contract with a state or community services agency or a drug treatment center.
Services provided by the program staff may include:
(a) Individual and family counseling, including preventive counseling.
(b) Assessment and referral for treatment.
(c) Referral to peer support groups.
(d) Aftercare.
(e) Development and supervision of student mentor programs.
(f) Staff training, including training in the identification of high-risk children and effective
interaction with those children in the classroom.
(g) Development and coordination of school drug and alcohol core teams, involving staff,
students, parents, and community members.
Selection of Grant Recipients—Program Rules
RCW 28A.170.090 states that the Superintendent of Public Instruction shall select school
districts and cooperatives of school districts to receive grants for drug and alcohol abuse
prevention and intervention programs for students in kindergarten through twelfth grade, from
funds appropriated by the legislature for this purpose. The minimum annual grant amount per
district or cooperative of districts shall be twenty thousand dollars. The advisory committee
appointed by OSPI shall determine factors to be used in selecting proposals for funding and in
determining grant awards, with the intent of targeting funding to districts with high-risk
populations. These factors may include:
(a) Characteristics of the school attendance areas to be served, such as the number of
students from low-income families, truancy rates, juvenile justice referrals, and social
services caseloads.
(b) The total number of students who would have access to services.
(c) Participation of community groups and law enforcement agencies in drug and alcohol
abuse prevention and intervention activities.
Current application process:
The application procedures for grantees under this section shall include provisions for
comprehensive planning, establishment of a school and community substance abuse advisory
committee/community coalition under the new DBHR PRI programming, and documentation of
the districts needs assessment and readiness. Planning and application for grants under this
section may be integrated with the development of other substance abuse awareness programs
by school districts and the local community partners. School districts shall, to the maximum
extent feasible, coordinate the use of grants provided under this section with other funding
available for substance abuse awareness programs. School districts are directed to allocate
resources, with emphasis placed on the provision of drug and alcohol abuse intervention
services for the secondary preferable high school students based on targeted state outcomes of
substance abuse reduction at the 10th grade level.
ORGANIZATION OF THE MANUAL
The Washington State Student Assistance Prevention-Intervention Services Program manual
provides guidance to program coordinators and program staff specific to the implementation and
delivery of a research-based, comprehensive, Student Assistance Prevention-Intervention
Services Program (SAPISP). The remainder of the manual is organized into 12 sections
17
including nine (9) aligned with the components of a comprehensive student assistance program
in accord with the National Student Assistance Association, which merged under National
Association of Alcoholism and Drug Abuse Counselors in 20116The manual contains the
following sections:
 Section I Implementation: Provides an overview of the implementation of an effective
SAPISP program;
 Section 2 School Board Policy: Outlines the school board policies that are
recommended to be in place to support the SAPISP program.
 Section 3 Staff Development: Addresses staff development for school staff and the
Student Assistance Specialist (SAS), and describes the necessary components to foster
a foundation of knowledge and skills to reduce risks, increase protective factors, and
foster resilience through SAPISP services.
 Section 4 Program Awareness: Provides information about effective practices to
increase awareness about the SAPISP services through social marketing efforts, and
education of parents, students, agencies, and the community about the harmful impact
of alcohol, tobacco, and other drugs.
 Section 5 Internal Referral Process: Outlines suggested procedures for the
implementation of the internal referral process.
 Section 6 Consideration for Vulnerable Youth Populations—Military Families,
LGBTQ, COSAP, Mental Health and Native American
 Section 7 Student Assistance Team: Provides information related to the forming of
Student Assistance Teams and providing case management.
 Section 8 Program Evaluation: Outlines the state’s program evaluation process and
provides a general framework for quality improvement of student assistance services
and outcomes.
 Section 9 Educational Support Groups: Specifically addresses Washington States’
standards of the four educational support groups.
 Section 10 Cooperation & Collaboration: Addresses cooperation and collaboration
with community agencies and other resources and guides SAS staff in making
connections to support program efforts beyond the schoolhouse.
 Appendix A. Current Trends and Impact.
 Appendix B DBHR Redesign.
 Appendix C Glossary of Terms.
 Appendix D References.
66
NAADAC retrieved 4/13/2012.
18
ADDITIONAL RESOURCES
19
Information Sheet 1:7
A Behavioral Health Lens for Prevention
While many of us working in the substance abuse field have long-recognized the value of
prevention, placing this work in the context of overall behavior health requires a critical shift in
perspective. Applying a behavioral health lens to our current prevention efforts helps us to see
the connections between substance abuse and related problems and to take the necessary
steps to address these problems in a comprehensive and collaborative way.
What is Behavioral Health?
Behavioral health is a state of mental/emotional being and/or choices and actions that affect
wellness. Substance abuse and misuse are one set of behavioral health problems. Others
include (but are not limited to) serious psychological distress, suicide, and mental illness
(SAMHSA, 2011). Such problems are far-reaching and exact an enormous toll on individuals,
their families and communities, and the broader society. Consider these statistics:
• By 2020, mental and substance use disorders will surpass all physical diseases as a
major cause of disability worldwide.
• The annual total estimated societal cost of substance abuse in the United States is
$510.8 billion, with an estimated 23.5 million Americans aged 12 and older needing
treatment for substance use.
• Each year, approximately 5,000 youth under the age of 21 die as a result of underage
drinking.
• More than 34,000 Americans die every year as a result of suicide, approximately one
every 15 minutes.
• Half of all lifetime cases of mental and substance use disorders begin by age 14 and
three-fourths by age 24—in 2008, an estimated 9.8 million adults in the United States
had a serious mental illness.
Overlapping Problems, Collaborative Solutions
In the past, practitioners and researchers saw substance abuse prevention as distinct from the
prevention of other behavioral health problems. But mounting evidence indicates that the
populations affected by these problems overlap significantly, as do the factors that contribute to
these problems. Consequently, improvements in one area often have direct impacts on the
other.
Many young people have more than one behavioral disorder.
These disorders can interact and contribute to the presence of
other disorders, leading to concurrent diagnosable disorders or
“comorbidity”. An estimated 37 percent of alcohol abusers and 53
percent of other drug abusers also have at least one serious
mental illness.
“One in five individuals
with a diagnosable
mental health disorder
also suffer from a
substance abuse
disorder.”
(O’Connell, 2009)
Despite extensive research documenting strong associations between multiple problems, it’s not
always clear what leads to what. For example, can substance abuse lead to thoughts of suicide,
or can thoughts of suicide lead to substance abuse? Or are they both the product of a third,
unknown causal factor?
7
CAPT Behavioral Health Fact Sheets (2012). Retrieved from http://captus.samhsa.gov/preventionpractice/prevention-and-behavioral-health/behavioral-health-lens-prevention/1.
20
Mental and physical health is also connected. Good mental health often contributes to good
physical health. Similarly, the presence of mental health disorders, including substance abuse
and dependence, is often associated with physical health disorders (O’Connell, 2009). A large
number of studies provide strong evidence that drinking alcohol is a risk factor for primary liver,
breast, and colorectal (colon) cancer. Positive lifestyle adjustments, however—like sleep, diet,
and activity and physical fitness—can also significantly strengthen mental health (O’Connell,
2009).
As prevention practitioners, our responsibility is to be mindful of these linkages and see our
work as part of a broader effort to improve overall health. Recognizing these linkages can help
us identify opportunities to address health in a more comprehensive way—by working across
disciplines, pooling resources, and reaching people in those settings and during those times in
their lives where and when services are most likely to have an impact.
Prevention as Part of a Continuum of Care
A comprehensive approach to behavioral health also means seeing prevention as part of an
overall continuum of care. The Behavioral Health Continuum of Care Model helps us recognize
that there are multiple opportunities for addressing behavioral health problems and disorders.
Based on the Mental Health Intervention Spectrum, first introduced in a 1994 Institute of
Medicine report, the model includes these components:
•
Promotion: These strategies are designed to create environments and conditions that
support behavioral health and the
ability of individuals to withstand
challenges. Promotion strategies
also reinforce the entire
continuum of behavioral health
services.
•
Prevention: Delivered prior to
the onset of a disorder, these
interventions are intended to
prevent or reduce the risk of
developing a behavioral health
problem, such as underage
alcohol use, prescription drug misuse and abuse, and illicit drug use.
•
Treatment: These services are for people diagnosed with a substance use or other
behavioral health disorder.
•
Maintenance: These services support individuals’ compliance with long-term treatment
and aftercare.
Keep in mind, however, that interventions do not always fit neatly into one category or another.
For example, consider co-morbidity. If some disorders (like substance use) are risk factors for
other disorders (like depression)—does that mean that all treatment can be seen as prevention?
Each prom season, communities across the nation implement safe driving campaigns—are they
promoting healthy lifestyles or preventing potential substance use?
Working Across the Continuum
The Continuum of Care model reminds us to think, more explicitly, about the relationships
between promotion, prevention, and treatment. All too often these relationships are overlooked
opportunities for collaboration are missed, and outcomes are compromised. Consider this
example:
21
To address increasing rates of underage drinking, the anti-drug task force of a small New
England town decided to strengthen enforcement of its underage drinking laws. Police began
arresting youth they found attending underage drinking parties. The arrested youth were
required to receive an assessment of their substance use and attend a six-week education
program provided by the local substance abuse and mental health agency. The intervention was
effective on the prevention end: knowing that the threat of arrest was real, fewer youth attended
underage drinking parties and underage drinking decreased. But what about its effects related
treatment services? The increased enforcement efforts produced an increase in the number of
referrals to the local substance abuse and mental health agency, as well as a change in the
type of referrals. Prior to the increased enforcement, most of the youth referred to the agency
were at high risk for substance use. These youth received selective interventions tailored to
their needs. Now most of the referrals were youth who were at much lower risk; their needs
were significantly different. Recognizing the potential impact of its new enforcement policy, the
task force worked closely with administrators of the treatment agency to prepare. Knowing what
was coming down the pike, the agency was able to more appropriately allocate resources and
address the diverse needs of all its referrals. Thus, collaboration and a more comprehensive
approach to the problem of underage drinking produced a better outcome overall.
Sources
Compton, M. T. (2009). Clinical Manual of Prevention in Mental Health (1st ed.). American
Psychiatric Publishing, Inc.
O’Connell, M. E., Boat, T., & Warner, K. E. (Eds.). (2009). Preventing mental, emotional, and
behavioral disorders among young people: Progress and possibilities. National Research
Council and Institute of Medicine of the National Academies. Washington, D.C.: The National
Academies Press. • Substance Abuse and Mental Health Services Administration. (2011).
Leading change: A plan for SAMHSA’s roles and actions 2011–14. SAMHSA.
World Health Organization. (2008). Closing the gap in a generation: health equity through action
on the social determinants of health: Commission on Social Determinants of Health final report.
Geneva: World Health Organization.
22
Information Sheet 2:
Levels of Risk, Levels of Intervention
Prevention practitioners have long targeted risk and protective factors as the “influences” of
behavioral health problems. The 2009 report preventing mental, emotional, and behavioral
disorders among young people: Progress and possibilities defines risk and protective factors as
follows:
• Risk factor: A characteristic at the biological, psychological, family, community, or
cultural level that precedes and is associated with a higher likelihood of problem
outcomes.
• Protective factor: A characteristic associated with a lower likelihood of problem
outcomes or that reduces the negative impact of a risk factor on problem outcomes.
Some risk factors are causal: cigarette smoking, for instance, has been closely linked to lung
cancer. Others act as proxies (e.g., living in an area with a high prevalence of cigarette
smoking) or markers of an underlying problem (e.g., having a smoker’s cough).
Some risk and protective factors, such as gender and ethnicity, are fixed: they don’t change
over time. For instance, at a population level being a boy is a risk factor for substance abuse
because boys develop substance abuse problems more quickly than girls. Other risk and
protective factors are considered variable: these can change over time. Variable risk factors
include income level, peer group, and employment status.
Many factors influence an individual’s likelihood to develop a substance abuse or related
behavioral health problem. Effective prevention focuses on reducing those risk factors, and
strengthening those protective factors, that are most closely related to the problem being
addressed.
Prevention: Universal, Selective, and Indicated.
Not all people or populations are at the same risk of developing behavioral health problems.
Preventive interventions are most effective when they are appropriately matched to their target
population’s level of risk. The Institute of Medicine defines three broad types of prevention
interventions:
1. Universal preventive interventions take the broadest approach, targeting “the general
public or a whole population that has not been identified on the basis of individual risk”
(O’Connell, 2009). Universal prevention interventions might target schools, whole communities,
or workplaces.
Examples: community policies that promote access to early childhood education,
implementation or enforcement of anti-bullying policies in schools, education for
physicians on prescription drug misuse and preventive prescribing practices, social and
decision-making skills training for all sixth graders in a particular school system.
2. Selective preventive interventions target “individuals or a population sub-group whose risk
of developing mental disorders [or substance abuse disorders] is significantly higher than
average,” prior to the diagnosis of a disorder (O’Connell, 2009). Selective interventions target
biological, psychological, or social risk factors that are more prominent among high-risk groups
than among the wider population.
Examples: prevention education for new immigrant families living in poverty with young
children, peer support groups for adults with a history of family mental illness and/or
23
substance abuse.
3. Indicated preventive interventions target “high-risk individuals who are identified as having
minimal but detectable signs or symptoms foreshadowing mental, emotional, or behavioral
disorder” prior to the diagnosis of a disorder (O’Connell, 2009). Interventions focus on the
immediate risk and protective factors present in the environments surrounding individuals.
Examples: information and referral for young adults who violate campus or community
policies on alcohol and drugs; screening, consultation, and referral for families of older
adults admitted to emergency rooms with potential alcohol-related injuries.
Individual vs. Population Risk
It’s simplest to think about risk on an individual level. Consider this example:
Sandra is a 12-year-old girl with a family history of alcoholism and mental illness Sandra’s
mother is a functioning alcoholic and her father suffers from undiagnosed depression. Over
the past 5 years, Sandra’s family has moved four times: she now lives in low-income
neighborhood with high crime and many abandoned buildings. At night, neighborhood youth
use the corner park to drink and use drugs. Sandra is bussed across town to attend school
but lives close to her grandparents, with whom she has a close relationship. She attends an
after-school program at the local Girls, Inc. where she is the lead scorer on her basketball
team.
• What is Sandra’s level of risk?
• What are some of the risk and protective factors in her life?
• Which of these factors are fixed and which are variable?
But it’s important to realize that every community includes many Sandra’s: Adolescents who live
in conditions and experience combinations of risk and protective factors that place them at risk
for substance abuse and other related behavioral health problems. As prevention practitioners,
we focus not only on individuals but on whole populations, looking for ways to address risk and
protective factors that contribute to problems on the population level.
Sources
Compton, M. T. (2009). Clinical Manual of Prevention in Mental Health (1st ed.). American
Psychiatric Publishing, Inc.
Mrazek, P. J., & Haggerty, R. J. (Eds.). (1994). Reducing Risks for Mental Disorders: Frontiers
for Preventive Intervention Research. Washington, D.C.: The National Academies Press.
O’Connell, M. E., Boat, T., & Warner, K. E. (Eds.). (2009). Preventing mental, emotional, and
behavioral disorders among young people: Progress and possibilities. National Research
Council and Institute of Medicine of the National Academies. Washington, D.C.: The National
Academies Press.
Substance Abuse and Mental Health Services Administration. (2011). Leading change: A plan
for SAMHSA’s roles and actions 2011-2014. SAMHSA.
24
Information Sheet 3:
Key Features of Risk and Protective Factors
The 2009 report Preventing mental, emotional, and behavioral disorders among young people:
Progress and possibilities presents four key features of risk and protective factors for
practitioners to consider when designing and evaluating prevention interventions, each
described below:
1. Risk and protective factors can be found in multiple contexts.
2. Effects of risk and protective factors can be correlated and cumulative.
3. Some risk and protective factors have specific effects, but others are associated with
multiple behavioral health problems.
4. Risk and protective factors influence each other and behavioral health problems over
time.
1. Risk and Protective Factors Exist in Multiple Contexts
Individuals come to the table with biological and psychological characteristics that make them
vulnerable to, or resilient in the face of, potential behavioral health problems. Individual-level risk
factors include genetic predisposition to addiction or exposure to alcohol prenatally; protective
factors might include positive self-image, self-control, or social competence.
But individuals don’t exist in isolation. They are part of
families, part of communities, and part of society. A
variety of risk and protective factors exist within each of
these contexts. For example:
• In families, risk factors include parents who use
drugs and alcohol or who suffer from mental
illness, child abuse and maltreatment, and
inadequate supervision; a protective factor would
be parental involvement
• In communities, risk factors include
neighborhood poverty and violence; protective
factors might include the availability of faith-based
resources and after-school activities
• In society, risk factors can include norms and
laws favorable to substance use, as well as racism and a lack of economic opportunity;
protective factors include policies limiting availability of substances or anti-hate laws
defending marginalized populations, such as LGBTQ youth.
Practitioners must look across these contexts to address the constellation of factors that
influence both individuals and populations: targeting just one context is unlikely to do the trick.
For example, a strong school policy forbidding alcohol use on school grounds will likely have
little impact on underage drinking in a community where parents accept underage drinking as a
rite of passage or where alcohol vendors are willing to sell to young adults. A more effective—
and comprehensive—approach might include school policy plus education for parents on the
dangers of underage drinking, or a city ordinance that requires alcohol sellers to participate in
responsible server training.
2. Risk and Protective Factors are Correlated and Cumulative
Risk factors tend to be positively correlated with one another, and negatively correlated with
protective factors. That is to say, young people with some risk factors have a greater chance of
exposure to still more risk factors—they are also less likely to have protective factors.
25
Risk and protective factors also tend to have a cumulative effect on the development—or
reduced development—of behavioral health problems. Young people with multiple risk factors
have a greater chance of developing a problem, while young people with multiple protective
factors are at reduced risk. Understanding how risk and protective factors influence one
another—that they do, in fact, influence one another—underscores the importance of, (1)
Intervening early, and (2) Developing interventions that target multiple factors, rather than
addressing individual factors in isolation.
3. Individual Factors Can be Associated with Multiple Problems
Though preventive interventions are often
designed to produce a single outcome,
research shows that some risk and
protective factors are associated with
multiple outcomes. For example, negative
life events, such as divorce or sustained
neighborhood violence, are associated not
only with substance abuse but also with
anxiety, depression, and other behavioral
health problems. What this tells us is that
preventive efforts targeting a particular set
of risk and protective factors have the
potential to produce positive effects in multiple areas. Interventions with multiple benefits can
lead to broad improvements in health are a cost-effective investment for society.
4. Risk and Protective Factors are Influential Over Time
Risk and protective factors can strengthen or limit the presence of other factors and disorders
over a lifetime. For example, risk factors such as poverty and family dysfunction, can contribute
to later psychosocial problems and behavioral disorders, such as risky sexual behavior and
depression. Moreover, risk and protective factors within one particular context—such as the
family—may also influence or be influenced by factors in another context. For example, effective
parenting has been shown to mediate the effects of multiple risk factors, including poverty,
parental divorce, parental bereavement, and parental mental health problems. The more we
understand about how risk and protective factors interact, the better prepared we will be to
develop appropriate interventions. In the past, prevention practitioners typically focused on a
select group of factors that they thought contributed to a specific issue or produced a single
outcome. Today, practitioners have begun broadening their lens—to look at connections
between risk factors and implement effective programs strategically to address multiple
outcomes.
Sources
Compton, M. T. (2009). Clinical Manual of Prevention in Mental Health (1st ed.). American
Psychiatric Publishing, Inc.
O’Connell, M. E., Boat, T., & Warner, K. E. (Eds.). (2009). Preventing mental, emotional, and
behavioral disorders among young people: Progress and possibilities. National Research
Council and Institute of Medicine of the National Academies. Washington, D.C.: The National
Academies Press.
Rutter, M. (1987). Psychosocial Resilience and Protective Mechanisms. American Journal of
Orthopsychiatry, 57(3), 316-331.
Substance Abuse and Mental Health Services Administration. (2011). Leading change: A plan
for SAMHSA’s roles and actions 2011–14. SAMHSA.
Information Sheet 4:
26
The Developmental Framework
A developmental approach to prevention helps to ensure that interventions have the broadest
and most significant impact. The developmental framework organizes risk and protective factors
and their potential consequences and benefits according to defined developmental periods. This
enables practitioners to match their prevention and promotion efforts to the developmental
needs and competencies of their audience. It also helps planners align prevention efforts with
key periods in young peoples’ development, when they are most likely to produce the desired,
long-term effects.
Stages of Development
Preventing behavioral problems begins with an understanding of how young people develop
and how the challenges they face and overcome interact to produce changes in their mental
and physical health over their lifetimes. As children grow, they progress through a series of
developmental periods. Each of these periods is associated with a set of developmental
competencies: cognitive, emotional, and behavioral abilities children need to adapt to new
challenges and experiences. Developmental competencies are “essential as a young person
assumes adult roles and the potential to influence the next generation of young people.”
(O’Connell, 2009)
The likelihood of individuals gaining these competencies depends on, (1) Their foundation of
other competencies; and (2) The risk and protective factors they encounter at each
developmental stage. Information Sheet 5 maps out some of the core competencies and the
contextual risk and protective factors for substance abuse associated with each developmental
period.
Windows of Opportunity
When addressing risk and protective factors,
timing is critical. Half of all behavioral
disorders appear during adolescence. While
the average age of diagnosis varies by
disorder, the first symptoms of most
behavioral health disorders typically occur
two to four years before diagnosis. In the
case of substance abuse disorders, for
example, initial symptoms appear around
age fourteen—about four years before these
symptoms progress to the point of a
diagnosable disorder.
If we can intervene during these windows of
opportunity—during the period between the
time when symptoms can be first detected
and disorders can be diagnosed—we are more likely to prevent the onset of the disorder and
produce lasting and long-term impacts. And if we can intervene even sooner, to promote healthy
lifestyles, our potential for reducing the toll of behavioral health problems on individuals,
communities, and society is even greater.
Matching Interventions to Developmental Phase
Certain risk and protective factors are more common and influential during particular
developmental periods. The developmental framework helps practitioners match their
27
prevention and promotion efforts to the developmental needs and competencies of their
audience. It’s important to note that many actors affect more than one phase, as do the
corresponding interventions. Consider the following scenarios:
• Scenario 1: A prevention and wellness committee of an urban elementary school
reviews recent efforts to reduce substance abuse and improve behavioral health. The
committee decides to address identified gaps in programming for kindergartners by
implementing a program that focuses on healthy decision-making and critical thinking
skills.
• Scenario 2: A community-wide substance abuse coalition identifies underage drinking
as a primary focus for its prevention efforts; coalition members are concerned about
alcohol being served at community events and that adults buy alcohol for minors. To
address these problems, the coalition decides to implement Across Ages, an evidencebased intervention designed to increase protective factors for high-risk students by
matching youth with older adult community mentors.
In both scenarios, the intentions are good but the developmental-appropriateness of the
selected interventions is questionable: neither intervention matches the developmental phase of
the target audience or addresses the risk and protective factors most influential during that
phase. In the first scenario, the intervention addresses competencies that children develop later
in life, during their middle-childhood and adolescence. A more appropriate intervention might be
one that targets kindergarten teachers, helping them to provide better support for their students’
behavioral health. In the second scenario, the intervention targets individual-level behavior
change. A more effective approach might be to reduce social access to alcohol—by enforcing
bans on serving and selling alcohol to minors.
Matching Interventions to Setting
It’s also important to consider the “where” of an intervention. Children develop competencies in
a range of settings. In just one day, a child might move from his home to school, then to afterschool day-care, then on to a neighborhood park to play with friends. Each of these settings
plays a role in a child’s development. As individuals progress through their youth and into
adulthood, the significance of setting in shaping behavioral health evolves. For example, when
individuals are very young, immediate family members play a key role in shaping development.
But as children mature their friends and peers become significantly more influential, which
introduces new risk and protective factors in, and out-of-school.
Sources
Compton, M. T. (2009). Clinical Manual of Prevention in Mental Health (1st ed.). American
Psychiatric Publishing, Inc.
O’Connell, M. E., Boat, T., & Warner, K. E. (Eds.). (2009). Preventing mental, emotional, and
behavioral disorders among young people: Progress and possibilities. National Research
Council and Institute of Medicine of the National Academies. Washington, D.C.: The National
Academies Press.
Substance Abuse and Mental Health Services Administration. (2011). Leading change: A plan
for SAMHSA’s roles and actions 2011–14. SAMHSA.
28
Information Sheet 5:
Developmental Competencies and Associated Risk & Protective Factors by Context
Infancy and Early Childhood
Competencies: Infants begin understanding their own and others’ emotions, to regulate their
attention, and to acquire functional language
Risk Factors
Protective Factors

Individual: difficult temperament.

Family: parental drug/alcohol use,
cold and unresponsive mother
behavior.
 Individual: Self-regulation, secure attachment,
mastery of communication and language
skills, ability to make friends and get along
with others.
 Family: Reliable support and discipline from
caregivers, responsiveness, protection from
harm and fear, opportunities to resolve
conflict, adequate socioeconomic resources
for the family.
 School/community: Support for early learning,
access to supplemental services such as
feeding and screening for vision and hearing,
stable and secure attachment to childcare
provider, low ratio of caregivers to children,
regulatory systems that support high quality of
care.
Middle Childhood
Competencies: Children learn how to make friends, get along with peers, and understand
appropriate behavior in social settings
Risk Factors
Protective Factors



Individual: Poor impulse control,
sensation- seeking, lack of behavioral
self-control, impulsivity, early
persistent behavior problems,
attention deficit/hyperactivity disorder,
anxiety, depression, antisocial
behavior.
Family: Permissive parenting, parentchild conflict, low parental warmth,
parental hostility, harsh discipline,
child abuse/maltreatment, substance
use among parents or siblings,
parental favorable attitudes toward
alcohol and/or drug use, inadequate
supervision and monitoring, low
parental aspirations for child, lack of
or inconsistent discipline.
 Individual: Mastery of academic skills (math,
reading, writing), following rules for behavior
at home and school and in public places,
ability to make friends, good peer
relationships.
 Family: Consistent discipline, language-based
rather than physically-based discipline,
extended family support.
 School/community: Healthy peer groups,
school engagement, positive teacher
expectations, effective classroom
management, positive partnering between
school and family, school policies and
practices to reduce bullying, high academic
standards.
School/community: School failure, low
commitment to school, peer rejection,
29
deviant peer group, peer attitudes
toward drugs, alienation from peers,
law and norms favorable toward
alcohol and drug use, availability and
access to alcohol.
Adolescence
Competencies: Adolescents focus on developing good health habits, practice critical and
rational thinking, and seek Supportive relationships
Risk Factors
Protective Factors

Individual: Emotional problems in
childhood, conduct disorder, favorable
attitudes toward drugs, rebelliousness,
early substance use, antisocial
behavior.

Family: Substance use among
parents, lack of adult supervision,
poor attachment with parents.

School/community: School failure, low
commitment to school, not college
bound, aggression toward peers,
associating with drug-using peers,
societal/community norms about
alcohol and drug use.
 Individual: Positive physical development,
academic achievement/intellectual
development, high self-esteem, emotional
self-regulation, good coping skills and
problem-solving skills, engagement and
connections (in school, with peers, in
athletics, employment, religion, culture).
 Family: Family provides predictable structure
with rules and monitoring, Supportive
relationships with family members, clear
expectations for behaviors and values.
 School/community: Presence of mentors and
support for development of skills and
interests, opportunities for engagement within
school and community, positive norms, clear
expectations for behavior, physical and
psychological safety.
Early Adulthood
Competencies: Individuals learn to balance autonomy with relationships to family, make
independent decisions, and become financially independent
Risk Factors
Protective Factors

Individual: Lack of commitment to
conventional adult roles, antisocial
behavior.

Family: Leaving home.

School/community: Attending college,
substance-using peers.
 Individual: Identity exploration in love and
work and developing a world view, subjective
sense of adult status, subjective sense of selfsufficiency, making independent decisions,
becoming financially independent, future
orientation, achievement motivation.
 Family: Balance of autonomy and relatedness
to family, behavioral and emotional autonomy.
 School/community: Opportunities for
exploration in work and school,
connectedness to adults outside of family.
30
Source
O’Connell, M. E., Boat, T., & Warner, K. E. (Eds.). (2009). Preventing mental, emotional, and
behavioral disorders among young people: Progress and possibilities. National Research
Council and Institute of Medicine of the National Academies. Washington, D.C.: The National
Academies Press.
American Counseling Association, American School Counselor Association, National
Association of School Psychologists, School Social Work Association of America
Removing Barriers to Learning and Improving Student Outcomes:
The Importance of School-Based Mental Health Services8
School mental health services are integral to student success. Mental health is as
important as physical health to children’s quality of life and directly impacts their learning and
development. Children cannot learn effectively if they are struggling with a mental health
problem, such as depression, or feel overwhelmed by academic, social or family pressures. It is
important to recognize that mental health is not simply the absence of mental illness; it also
means having the skills necessary to cope with life’s challenges. Students, families, schools,
and society at large benefit when schools meet the needs of the whole child by fostering socialemotional skills and identifying and preventing mental health problems early.
Research demonstrates that students who receive social-emotional support and
prevention services achieve better in school. School leaders who recognize the relationship
between student success, good schooling/instruction, and comprehensive school health
programs that include attention to students’ mental health will more effectively improve student
and school outcomes. A recent longitudinal study provided strong empirical evidence that
interventions that strengthen students’ social, emotional, and decision-making skills also
positively impact their academic achievement, both in terms of higher standardized test scores
and better grades (Fleming et al., 2005). Prevention programs that reach all students and early
identification and intervention with at-risk students are both crucial. Examples include education
on mental health issues, school violence prevention, social skills training, bullying prevention,
suicide prevention, conflict resolution, and screening for emotional and behavioral problems.
There is a growing and unmet need for mental health services for children and youth.
One in five children and adolescents will experience a significant mental health problem during
their school years (US Department of Health and Human Services, 1999). Examples include
stress, anxiety, bullying, family problems, depression, a learning disability, and alcohol and
substance abuse. Serious mental health problems, such as self-injurious behaviors and suicide,
are also on the rise, particularly among youth. Unfortunately many children and youth do not
receive the help they need. Among the 2.2 million adolescents aged 12 to 17 who reported a
major depressive episode in the past year, nearly 60 percent did not receive any treatment
(SAMHSA, 2005). Of the adolescents who do get help, nearly two thirds do so only in school. In
a recent study by the Annenberg Public Policy Center (2004), two thirds of school districts
reported that the need for mental health services had increased since the previous year, while
over one third of these districts also reported a reduction in mental health program funding.
8
Retrieved from http://www.nasponline.org/advocacy/bigideashandout.pdf.
31
Schools are a natural place to provide mental health services. Virtually every community
has a school and most children spend at least six hours a day there. Schools offer an ideal
context for prevention, intervention, positive development, and regular communication between
school and families. Parents and children are familiar with the environment and staff. In fact,
students are more likely to seek counseling when services are available in schools (Slade,
2002). In many states, schools are the major providers of mental health services to children
(Rones & Hoagwood, 2000; Weist et al., 2003). In some cases, such as rural areas, schools
provide the only mental health services in the community.
School mental health services must be integrated with community services on a
continuum of care. Not all services, clinical psychiatric care, for example, can or should be
provided in schools. School-employed professionals must coordinate with community
service providers to ensure that children receive needed support through a seamless and
timely process. Funding and services must follow the needs of students. The UCLA Center for
Mental Health in the Schools (Adelman & Taylor, 2005) suggest that policy makers and school
staff must work with families and community providers to create a cohesive and integrated
continuum of interventions that meets the universal needs of students and those with severe
problems.
Crisis events provide vivid examples of the need for mental health services. The terrorist
attacks on September 11, 2001 and the Gulf Coast Hurricanes clearly demonstrated the central
role schools play in supporting students’ mental health needs. School crises range from largescale disasters like these events to such events as the death of a fellow student, an act of
violence on campus, or the deployment for war of a family member who is serving in the
military. Too often the mental health concerns of students are not assigned a high priority on a
daily basis and only gain stature in the event of a crisis such as a school shooting (Adelman &
Taylor, 2005). This elevated stature is only short-lived until the urgency of the crisis passes,
compromising the effectiveness of these programs and services. Ideally, mental health services
should be in place before a crisis occurs; encompass prevention, rapid response, and recovery
services (e.g., counseling); and be coordinated with community services.
Providing quality school mental health services requires that schools have an adequate
amount of appropriately trained professionals. The vast majority of school-based services
are provided by school-employed school counselors, psychologists, and social workers. They
are specially trained in school system functioning and learning, as well as family contexts and
mental health. Proper training is critical, as is close collaboration among school-based providers
and with other educators. While sharing some core competencies, each profession also has its
own unique skills and provides different, albeit interrelated, services. Together, school mental
health providers support teachers, improve school safety and climate, and reach out to all
students and families, enabling teachers to teach and students learn more effectively.
There is a shortage of school mental health positions. The ratio of students to professionals
across all three professions is more than two to three times greater than the maximum ratios
recommended by the profession 250 students per counselor; xxx per social worker; and 1,000
per psychologist). The current national averages are 488 per school counselor and over 1,600
per school social worker and psychologist. This shortage compromises the ability of schools to
provide broad-based mental health services that span the prevention to intervention continuum.
Meeting children’s mental health needs is a wise investment. Failure to support students’
mental health has serious negative consequences, including increased risk for school failure,
social isolation, unsafe sexual behavior, drug and alcohol abuse, and suicide, while
32
exacerbating long-term social problems such as incarceration, unemployment, and poor health.
All are costly societal problems both in terms of personal and economic consequences. For
example, the Seattle Social Development Project (focused on grades one through six) has been
estimated to save $9,837 per student in averted long-term social problems (Aos et al., 2004).
And, it is estimated that the United States loses $192 billion (1.6 percent of the Gross Domestic
Product) in combined income and tax-revenue losses with each cohort of 18-year olds who
never complete high school. Increasing the educational attainment of that cohort by one year
would recoup nearly half of those losses (Columbia University Symposium on the Social Costs
of Inadequate Education, 2005).
Our children need public policy that expands and improves school-based mental health
services. The current system is fractured, overburdened, and unable to meet the growing
demand for services. Specific goals must be:
 Improved access and availability of quality school mental health services for children and
youth.
 Improved coordination and leadership between SAMSHA and the Department of
Education.
 Streamlined/blended funding that follows that child.
 Funding for adequate numbers of highly trained school-employed providers, including
incentives to reduce shortages in these professions.
 Focus on evidence-based programs and interventions.
33
Resources
The following websites are excellent sources for information about promising approaches to and
“best practices” in the prevention of the use of alcohol, tobacco and other drugs; social,
emotional learning; and mental health.
www.health.org/ -- National Clearinghouse for Alcohol and Drug Information (NCADI) is a
resource for information about substance abuse prevention and treatment. It distributes recent
studies and surveys, as well as information for the general public. The materials available come
from a wide variety of government agencies, and most are free or low-cost.
http://captus.samhsa.gov/ -- SAMHSA's Collaborative for the Application of Prevention
Technologies (CAPT) is a national substance abuse prevention training and technical
assistance (T/TA) system dedicated to strengthening prevention systems.
www.rwjf.org -- Robert Wood Johnson Foundation
www.csap.org -- Center for Substance Abuse Prevention
www.ncadi.org -- National Clearinghouse of Alcohol and Drug Information
http://www.schoolbasedhealthcare.org/ -- Center for School, Health and Education
http://www.samhsa.gov/prevention/ -- Substance Abuse and Mental Health Services
Administration a wealth of information and resources for prevention or substance abuse and
mental illness, behavioral health, and suicide prevention.
http://www.pbis.org/ -- Positive Behavioral Intervention and Supports
http://www.RTI4success.org/ -- National Center on Response to Intervention
http://casel.org/ -- Collaborative for Academic, Social, and Emotional Learning
http://smhp.psych.ucla.edu/ -- Center for Mental Health in Schools at UCLA
http://www.drugabuse.gov/ -- National Institute on Drug Abuse
http://www.drugabuse.gov/ -- National Institute on Alcohol Abuse and Alcoholism
http://www.k12.wa.us/CompassionateSchools/default.aspx -- Compassionate Schools
http://www.k12.wa.us/OperationMilitaryKids/default.aspx -- Operation Military Kids
http://adai.washington.edu/ - Alcohol and Drug Abuse Institute
https://nsduhweb.RTI.org/ - National Survey on Drug Use and Health (NSDUH)
http://monitoringthefuture.org/ -- Monitoring the Future
34
Other useful resources are your Regional Alcohol and Drug Resource Network, your state
Clearinghouse for Alcohol and Drug Information, and your state Department of Education media
library.
35
References:
Healthy Youth Survey 2010 Analytic Report. Washington State Department of Health, Office of
the Superintendent of Public Instruction, Department of Social and Health Services, Department
of Commerce, Family Policy Council and Liquor Control Board, June 2011
Tharp-Taylor, S., Haviland, A., and D’Amico, E. (2009) Victimization from Mental and Physical
Bullying and Substance Use in Early Adolescence. Addiction Behavior, 34(6-7): 561–567.
Retrieved 5/3/2010 http://www.ncbi.nlm.nih.gov/pmc/articles/PMC2707251/pdf/nihms120665.pdf
Lillis, R. (2011) Relationship Between Bullying and Academic Achievement and Direct and
Indirect Impact of Olweus Bullying Prevention Program: A Brief Review of Literature.
Evalumetrics Research Report. Available at
http://www.evalumetrics.org/files/Olweus_Bullying_Review.pdf
Juvonen, J., Wang, Y., and Espinoza, G. (2001). Bullying Experiences and Compromised
Academic Performance Across Middle School Grades. Journal of Early Adolescence 31(1) pp.
152-173. Retrieved 5/3/2012 at
http://ucla.academia.edu/GuadalupeEspinoza/Papers/400292/Bullying_Experiences_and_Comp
romised_Academic_Performance_Across_Middle_School_Grades
Nishioka, V., Coe, M., Burke, A., Hanita, M., and Sprague, J. (2011). Student-reported overt and
relational aggression and victimization in grades 3–8. (Issues & Answers Report, REL 2011–No.
114). Washington, DC: U.S. Department of Education, Institute of Education Sciences, National
Center for Education Evaluation and Regional Assistance, Regional Educational Laboratory
Northwest. Retrieved from http://ies.ed.gov/ncee/edlabs.
Nakamoto, J. & Schwartz, D. (2009). Is peer victimization associated with academic
achievement? A meta-analytic review. Social Development, 19, 221-242.
Adelman, H. S. and Taylor, L. (2011). Expanding school improvement policy to better address
barriers to learning and integrate public health concerns. Policy in Education, 9 (3), pp. 431 –
446.
Adelman, H. S. and Taylor, L. (2010). Creating successful school systems requires addressing
barriers to learning and teaching. The F.M. Duffy Reports, 15 (3), 1-11. Available at
http://smph.psych.ucla.edu/publications/duffyreport.pdf
Wagner, E. and Macgown, M. (2006). School-based group treatment for adolescent substance
abuse. In, Liddle, H. and Rowe, C. (Eds.), Adolescent Substance Abuse, (pp. 333- 356).
Cambridge, NY: Cambridge University Press.
O’Connell, M., Boat, T., and Warner, K. (2009). Preventing mental, emotional, and behavioral
disorders among young people. National Academy of Sciences. Available at
http://www.nap.edu/catalog.php?record_id=12480
Stroul, B. A. & Friedman, R. M. (1994). A system of care for children and youth with severe
emotional disturbances. (Revised edition). Washington, D.C.: Georgetown University Child
Development Center, CASSP Technical Assistance Center.
Schinke, S., Brounstein, P., and Gardner, S. (2002). SAMHSA Model Programs. Science-Based
36
Prevention Programs and Principles 2002: Effective Substance Abuse and Mental Health
Programs for Every Community. Available at www.samhsa.gov/publications/publications.htm
Substance Abuse and Mental Health Services Administration. (2012). Top health issues for
LGBT populations & resource kit. HHS Publication No. (SMA) 12-4684. Rockville, MD:
Substance Abuse and Mental Health Services Administration.
Adelman, H.S. & Taylor, L. (2006). The current status of mental health in schools: A policy and
practice brief. Los Angeles, CA: UCLA School Mental Health Project.
Duchnowski, A. J., Kutash, K., and Friedman, R. M. (2002). Community-based interventions in a
systems of care and outcomes framework. In, Burns, B., J., and Hoagwood, K. (Eds).,
Community Treatment for Youth, (pp. 16-37). New York, NY: Oxford University Press, Inc.
National Center for Mental Health Promotion and Youth Violence Prevention. (n.d.). Positive
Behavioral Intervention and Supports Brief. Retrieved May 5, 2012 from http://www.pbis.org/
Fleming, C. B., Haggerty, K. P., Brown, E. C., Catalano, R. F., Harachi, T. W., Mazza, J. J., &
Gruman, D. H. (2005). Do social and behavioral characteristics targeted by preventive
interventions predict standardized test scores and grades? Journal of School Health, 75, 342349.
Adelman, H.S. & Taylor, L. (2006). School and community collaboration to promote a safe
learning environment. Los Angeles, CA: UCLA School Mental Health Project. Available at
http://smhp.psych.ucla.edu/publications/school&communitycollaboration.pdf.
37
SECTION 1
IMPLEMENTATION OF
EFFECTIVE STUDENT
ASSISTANCE PROGRAMS
38
IMPLEMENTATION OF EFFECTIVE STUDENT ASSISTANCE
PREVENTION-INTERVENTION SERVICES PROGRAMS
STUDENT ASSISTANCE PROGRAMS
The Student Assistance Program is a framework for delivery of prevention, intervention, and
support services to students and educators in grades K-12. Student Assistance Programs
address barriers to learning that impact both the individual and the school in order to improve
student academic achievement. These programs emerged in the 1970’s to assist secondary
schools in dealing with alcohol and other drug problems. The programs are modeled after the
successful approach of Employee Assistance Programs (EAPs) popular since the 1960’s
(Lenhardt, 1994). Changes in Student Assistance Program services evolved over the next 30
years to focus on addressing barriers to learning including substance use, mental health issues,
and violence, as well as a host of other individual and environmental problems with the aim of
assisting students to succeed academically and to complete the educational process (NSAA,
2003).
Student Assistance Programs utilize both individual strategies for identified students and
environmental approaches to improve the educational opportunity for all students and
educators. In an era focusing on educational accountability – Elementary and Secondary
Education Act,9 Race to the Top and Investing in Innovation– schools must strategically assist
students in reaching their greatest potential, improving educational outcomes for all students,
closing the achievement gaps, increasing equity, and improving the quality of instruction.
Student Assistance Programs provide greater opportunities for improvement in student
achievement and academic success by addressing the nonacademic barriers to learning.
Student assistance professionals/Specialist (SAS) provide an integrated system of care
including prevention, early intervention and support services that address mental health and
substance use issues that would otherwise result in barriers to student learning and success.
Student assistance programs (SAPs) evolved from the Employee Assistance Program (EAP)
model of the 1960s–1970s. Student assist SASPISP services have evolved over the next 30
years to focus on addressing barriers to learning, including substance use, mental health issues
and violence, as well as a host of other individual and environmental problems. Ultimately the
goal of student assistance programs is to help students to succeed academically and to
complete their education (National Associations of Alcoholism and Drug Abuse Counselors
[NAADAC] 2011).
According to the Substance Abuse and Mental Health Administration publication, A Behavioral
Health Lens for Prevention Overlapping Problems, Collaborative Solutions (2012).
In the past, practitioners and researchers saw substance abuse prevention as distinct from the
prevention of other behavioral health problems. But mounting evidence indicates that the
populations affected by these problems overlap significantly, as do the factors that contribute to
these problems. Consequently, improvements in one area often have direct impacts on the
other. Many young people have more than one behavioral disorder. These disorders can
interact and contribute to the presence of other disorders, leading to concurrent diagnosable
disorders or “comorbidity.” An estimated 37 percent of alcohol abusers and 53 percent of other
drug abusers also have at least one serious mental illness. As prevention practitioners, our
9
ESEA NCLB flexibility DoED 1/19/2012
39
responsibility is to be mindful of these linkages and see our work as part of a broader effort to
improve overall health. Recognizing these linkages can help us identify opportunities to address
health in a more comprehensive way—by working across disciplines, pooling resources, and
reaching people in those settings and during those times in their lives where and when services
are most likely to have an impact (p.1).
The SAPISP model promotes healthy SEBH including substance abuse free choices and
through strength-based prevention and intervention approaches foster resilience. The SAPISP
model does not provide treatment or mental health therapy, but utilize existing resources within
the school and community to address identified concerns; link students and their families with
resources to meet more intensive, specialized, service needs and case manage.
SERVICE DELIVERY MODELS
According to SAMHSA (2007) there are three service delivery models, or program designs, that
have emerged from school-based student assistance programs. These are: 1) Internally-based;
2) Eternally-based; 3) Core (or student assistance) team models. In addition to the three service
delivery models more recently, school-based health centers have also been introduced and
implemented in schools as a service deliver model. Each program has its own unique
composition, strengthens and weaknesses and schools should consider these when deciding
which of the models is most appropriate for their own program needs. These models are evident
within Washington State’s SAPISP, and in some cases, programs use a combination of the
models.
Internally-based programs are composed of staff hired by the school, district or ESD to deliver
student assistance prevention and intervention services. Program staff – SAS are usually
certified chemical dependency professionals, guidance counselors, school social workers, or
prevention specialists that work within the school on a full or part-time basis. Students are
referred to program staff who works with the student to attempt to overcome identified problem
behaviors or other issues.
Externally-based programs, or screening agency models, are staffed by professionals
contracted from community-based organizations. In this model, professionals from outside the
school spend an allocated amount of time in the schools delivering program services. Students
are referred to a contracted professional who either provides direct services or refers the
student to other school or community-based resources.
The SAT model incorporates a cadre of staff within the school site to coordinate needed
services and is usually composed of administrators, the Student Assistance Specialist,
teachers, coaches, and other staff trained to work with identified students. Each member of the
team has a key function within the service delivery model. Students are referred to the Student
Assistance Team, whose members provide services and make recommendations for additional
support as needed to address student SEBH including alcohol, tobacco, and other drug (ATOD)
and serious mental health/emotional disturbances.
Coordinated School Health (CSH) model.10 A CSH program works towards fostering healthy
schools and healthy, successful students by coordinating effective policies and programs, and
encouraging the collaboration of schools, communities and families. Training in the model has
been in partnership with. It is supported by funding from the Centers for Disease Control and
10
http://www.doh.wa.gov/cfh/CWP/CSHP.htm retrieved 1/2012.
40
Prevention. Further, the CSH program is a partnership between school administrators, teachers,
other staff, students, families, and community members to increase access to health needs, set
priorities and plan, implement, and evaluate school health program activities. There are eight
components of a coordinated school health program:
• Health education.
• Health services.
• Nutrition services.
• Health promotion for school staff.
• Physical education.
• Mental health and social services.
• Healthy and safe school environments.
• Family and community involvement.
ROLES WITHIN THE SAPISP MODEL
Role of the State
OSPI is responsible for the administration and oversight of the program. OSPI allocates funds to
local grantees, Educational Services District’s (ESD) for the purpose of implementing schoolbased prevention and intervention services. OSPI SAPISP falls under the department of
Student Support and supervised by Student Assistance/Dropout Prevention Program
Supervisor.
The supervisor oversees multiple state and federal grant programs and influences the planning
and implementation of dropout, emotional and behavioral health including substance abuse
prevention-intervention services in public schools statewide. In addition, the supervisor retains a
leadership role in the overall statewide effort to develop and maintain Supportive learning
environments, and to prevent/reduce youth substance abuse and other SEBH through policy
development, committee membership, and expert consultation to school districts, ESDs,
community organizations, and other state agencies. The program supervisor also serves as a
liaison between the ESD and Department of Behavior Health and Recovery by negotiating
details of the service delivery contracts; evaluation and participating in monthly prevention
redesign planning and implementation meetings/phone conferences.
The OSPI Student Support Department also coordinates multiple school programs that are
integrated within Student Assistance Program delivery (i.e. School Nurse Corp, Readiness to
Learn, 21rst Century Afterschool programs, School Safety Center, Homeless – Mckinney Vento,
Title I D. Neglected and Delinquent JRA/Detention Schools and Education Advocates). Student
Support division primary focus is to provide student support to assists schools and districts to
develop and improve systems that support student academic) success, and collaborates with
other agencies around the needs of children, families, and communities.
Role of the Program Coordinator
At the local level, the Program Coordinator is responsible for implementation and oversight of all
aspects of the comprehensive SAPISP. Coordinators are Masters and/or Bachelors-level
professionals with background and experience in delivery of SAPISP program services,
supervision, and working in the school setting. In addition, Coordinators are knowledgeable
about adolescent development, social, emotional, behavioral health including substance abuse
and mental health issues, risk and protective factors, and resilience concepts, and adolescent
social and cultural issues. Depending on the service delivery model, the Coordinator may or
may not assume a supervisory role. Coordinators work at an ESD’s Prevention, Student
41
Services, or Safe and Civil Schools Center. ESD’s may opt to hire directly or contract with a
qualified agency to deliver SAPISP services in the schools.
Coordinator supervisory responsibilities encompass providing direct program and clinical
supervision as well as on-site supervision, monitoring, recordkeeping of student screening and
progress, attendance logs, and data entry collection. Program coordinators plan and coordinate
staff schedules, site assignments and orientation and training for SAPISP staff. Coordinators
may also provide direct services within school specific to screening and referral, student
leadership awareness planning events, parent education, staff training, policy development and
coalition Participation.
In the case of contracted services, SAS are employees of an external agency, and the agency
assumes supervisory responsibilities as described above. However, the Coordinator shares joint
responsibilities with agency supervisors in monitoring program implementation, reviewing data,
conducting site visits, and providing staff development opportunities. In addition, the Coordinator
is responsible for keeping the agency supervisor informed of program changes and decisions
made at the state level.
Coordinator technical assistance responsibilities include assisting with the implementation of
overall program services such as meeting with school administration to provide orientation,
conducting annual review of progress related to program services, and reviewing needs
assessment data such as results from the Healthy Youth Survey or other related data to make
program decisions and prioritize services.
Coordinator collaboration efforts include:
1. Working with the state departments OSPI, DBHR and on occasion Department of
Health, community partners, and participating in community coalition activities,
collaborative needs assessment, identification/selection of prevention redesign targeted
communities, and program promotional activities as a means of changing community
norms, fostering healthy behaviors, sustaining and marketing program services. DBHR
requires, as part of the PRI Redesign, both ESD Coordinators and County Coordinators
to meet at least once per month or more frequently as needed to discuss, progress on
strategic work plan, contract compliance, TA/training needs and next steps. For more
information on the prevention programming go to http://www.wa.dshs.gov/pdf/
Publications/22-1464.pdf.
2. Working within the local community to promote and develop an integrated primary and
behavioral health services to better address the needs of individuals with serious mental
illness and/or substance use disorders. According to SAMHSA (2012), research has
shown integrating mental health, substance abuse, and primary care services produces
the best outcomes and proves the most effective approach to caring for people with
multiple healthcare needs Some examples of collaborating integrated partnerships at the
local level may include:
a. Working with the local mental health center and coalitions on a mental health
promotion campaign.
b. Networking with treatment to providers to streamline screen/assessment and
address barriers or issues related to access to services, joint treatment planning, and
SAPISP serving as the primary case manager.
c. Collaborating on suicide awareness, Trauma, and other related community and
school trainings.
d. Including suicide training for staff and establishing policies for staff to follow.
42
e. Connecting and consulting with community resources for cultural, ethic, language
and other barriers. Especially with the populations such as LGBTQ, first generation
immigrants where there are language barriers, Native American and other ethnic
groups, and military insulations.
For more information on development and strategies of integrated primary and behavioral health
services to better address and improve the needs of individuals with mental health and
substance use conditions, information can be obtained at
http://www.integration.samhsa.gov/about-us).
Role of the Student Assistance Specialist
Program staff, hired and placed in schools, deliver SAPISP and spend from four to forty hours
within the school setting. Fulltime Student Assistance Specialists (SAS) often deliver services in
multiple school sites, with part-time SAS assigned to a single school. Staff that are part of the
DBHR Prevention Redesign are assigned as a 1.0 FTE (180 days- 7.5-8 hours/day, during the
school year). SAS are often trained chemical dependency professionals, guidance counselors,
school social workers, or prevention specialists. DBHR (2011) has identified the following as
responsibilities of the SAS in providing comprehensive program services.11
 Screening and referral information to students (parents) involved in the SAPISP;
 Early intervention educational support groups for selected and indicated students.
 Attendance and participate in local community coalition activities.
 Delivery of a prevention education information series to the entry grade level of the
targeted school each year.
 Providing information and increase awareness of available prevention, intervention and
treatment services to school staff, parents and students.
 Participating as integral member of the multi-disciplinary team at assigned school(s);
 Assisting in developing alcohol, tobacco and other drug related policies at school(s)
when needed.
 Conducting data entry for program evaluation.
Role of the School
Schools are particularly appropriate sites for providing SEBH prevention and intervention
services as they function as an important social institution for youth, second only to families in
significance (Carlson, 2001). More importantly, schools are in a unique position to change
students’ interactions and behaviors and to model community values and attitudes (Hawkins et al.,
1998). As such, schools are an integral component of the SAPISP and if the programs are to be
successful, a high level of support and collaboration between the school and the program is
necessary.
Schools have specific roles within the statewide SAPISP model, the least of which is the
provision of a positive learning environment that supports the healthy growth and development
of the student body. Through the adoption, implementation, and enforcement of SEBH including
alcohol, tobacco, and other drug policies, and by reinforcing and reflecting healthy values,
schools act as a catalyst for change. School administrators can set the tone for staff’s
acceptance of prevention and intervention efforts by demonstrating support of program services,
engaging in policy development, and providing feedback and monitoring of program services. In
11
Department of Behavioral Health and Recovery (2012 draft). Prevention Redesign Clarification of Roles document.
43
addition, schools promote prevention and intervention services through the education of school
staff, students and parents, and provide staff with professional development opportunities to
increase knowledge, awareness, and skills related to SEHB issues including; substance abuse
and other problem behaviors that are barriers to student academic success. Moreover, schools
provide financial and/or material resources to support program services such as confidential
space, encouraging students to participate in out-of-class sessions through flexible scheduling,
and demonstrating respect for program aims.
Role of School Faculty
Every staff member in the school has a role in the SAPISP. Through training, all staff members
gain awareness and develop knowledge of the levels of the prevention and intervention
continuum and the role of the SAS, and the SAT (if applicable). It is important that school faculty
members understand the importance of their roles to the success of the SAPISP. These roles
include teaching and reinforcing prevention messages, assisting with prevention activities,
referring students when they suspect alcohol and other drug use or a student is impacted by
someone else’s use (i.e. parent, sibling, friend), and becoming knowledgeable about the
program, informing parents and students, and assisting them to access services (State of
Virginia, Department of Education SAP manual, 2005).
The role of the school faculty is vital to the early identification of students who may need
assistance. School personnel, teachers, coaches, librarians, etc., are in the best positions to
observe and note changes in student conduct on a regular, daily basis, thus they play the most
vital role in early identification of students experiencing difficulties (Anderson, 1993, CSAP
2007). Staff members assist students by:
 Referring students to the SAP.
 Completing the behavior checklist/referral form.
 Consulting with the SAT or SAS.
 Acquiring basic training in fundamental SEBH issues including substance abuse.
 Being informed about LGBTQ, Mental Health and cultural competence prevention and
intervention concepts and risk and protective factors.
 Maintaining confidentiality.
 Reporting policy violations immediately.
 Taking care of themselves by not enabling.
Role of the Community Coalitions
The County Prevention Coordinator serves as the staff person to the community coalition. All
PRI sites work collaboratively with the ESD’s Coordinators and SAS staff to promote and
provide awareness education and environmental prevention strategies in the targeted
communities. The coalition focus is to change community norms and foster healthy behaviors.
The Role of Cultural Competence
The National Center for Cultural Competence (NCCC), describes cultural competence as “a
developmental process that evolves over an extended period. Both individuals and
organizations are at various levels of awareness, knowledge and skills along the cultural
competence continuum.”12 The NCCC further explains:13
Cultural competence requires that organizations:
12
13
Retrieved (6/2012) from: http://nccc.georgetown.edu/foundations/frameworks.html
Ibid
44

Have a defined set of values and principles, and demonstrate behaviors, attitudes,
policies and structures that enable them to work effectively cross-culturally.
 Have the capacity to, 1) Value diversity, (2) Conduct self-assessment, (3) Manage the
dynamics of difference, (4) Acquire and institutionalize cultural knowledge, and (5) Adapt
to diversity and the cultural contexts of the communities they serve.
 Incorporate the above in all aspects of policy making, administration, practice, service
delivery and involve systematically consumers, key stakeholders and communities.
For more information on cultural competence see additional resources at the end of this section,
information includes an excerpt from the NCCC and DBHR.
PREVENTION STRATEGIES14
In a 1994 report on prevention research and recently updated in 2009, the Institute of Medicine,
proposed a new framework for classifying prevention based on Gordon's (1987) operational
classification of disease prevention. The IOM model divides the continuum of care into three
parts: prevention, treatment, and maintenance. The prevention category is divided into three
classifications--universal, selective, and indicated prevention interventions, which replace the
confusing concepts of primary, secondary, and tertiary prevention. Although the IOM system
distinguishes between prevention and treatment, intervention in this context is used in its
generic sense and should not be construed to imply an actual treatment protocol. This
prevention framework provides the foundation for Washington’s SAPISP.
Universal prevention strategies address the entire population (national, local community, school,
neighborhood), with messages and programs aimed at preventing or delaying social, emotional
and behavior health problems including the abuse of alcohol, tobacco, and other drugs. For
example, it would include the general population and subgroups such as pregnant women,
children, adolescents, and the elderly. The mission of universal prevention is to deter the onset
of substance abuse by providing all individuals the information and skills necessary to prevent
the problem. All members of the population share the same general risk for mental health
issued and substance abuse, although the risk may vary greatly among individuals. Universal
prevention programs are delivered to large groups without any prior screening for social,
emotional, behavioral health or substance abuse risk. The entire population is at-risk and can
benefit from prevention programming. Universal prevention strategies in Washington State’s
SAPISP include:
 Information dissemination.
 Classroom or small group education.
 School-wide awareness events e.g., mental health promotion awareness, healthy
choices, social norms campaigns, Red Ribbon Week, Great American Smoke Out.
 School and Community-based healthy and positive Supportive activities e.g. dances,
community youth activity centers, mentoring, boys and girls clubs and volunteer
programs.
 Policies that promote a safe and Supportive school climate and have consequences for
inappropriate behaviors including threats, bullying harassment and intimidation and
alcohol, tobacco, and other drug use.
 Parent awareness events/information dissemination.
Selective prevention strategies target subsets of the total population that are deemed to be at
risk of engaging in, or experiencing, negative and/or social, emotional, behavior issues by virtue
14
Adapted in part from: National Institute on Drug Abuse. (1997). Drug abuse prevention: What works. Pp. 10-15
(Publication No. 97-4110, 1997). National Institute of Health. Bethesda, MD.,
45
of their membership in a particular population segment--for example, children of substance
abusing parents, dropouts, youth who are truant or students who are failing academically,
history of family violence, mental illness or criminal behavior, youth involved in antisocial peer
behaviors including substance use. Risk groups may be identified on the basis of biological,
psychological, social, or environmental risk factors known to be associated with substance
abuse (IOM 1994, 2009), and targeted subgroups may be defined by age, gender, family
history, place of residence such as high drug-use or low-income neighborhoods, and
victimization by physical and/or sexual abuse.
Selective prevention targets the entire subgroup regardless of the degree of risk of any
individual within the group. One individual in the subgroup may not be at personal risk for
substance abuse, while another person in the same subgroup may be abusing substances. The
selective prevention program is presented to the entire subgroup because the subgroup as a
whole is at higher risk for SEBH issues including substance abuse than the general population.
An individual's personal risk is not specifically assessed or identified and is based solely on a
presumption given his or her membership in the at-risk subgroup. Selective prevention
strategies in Washington State’s SAPISP include:
 Identification, screening and referral.
 Individual counseling.
 At Risk, Children from Substance Abusing Parents/families, and social/coping skills
educational support group services.
 Case management.
 Parenting skills training specific to the subgroup target and Family consultation/support.
Indicated prevention strategies are designed to intervene of youth who are harmfully impacted
socially, emotionally, behaviorally (SEBH) including mental health and substance abuse who
are showing early danger signs, such as being truant and having falling grades use of alcohol
and other gateway drugs, depression and rebellious. The purpose of indicated prevention is to
identify individuals who are exhibiting early warning signs associated with SEBH problems and
to target them with special programs services. Indicated prevention approaches under the
student assistance model can also be for individuals: who may or may not be abusing
substances, but exhibit risk factors that increase their chances of developing a drug abuse
problem; youth in recovery needing support for staying clean and sober or with serious
emotional disturbances (mental health) needing support within the school to cope with stressors
within the school setting working in collaboration with community substance abuse treatment or
mental health center.
Indicated prevention programs address risk factors associated with the individual, such as
depression, suicide risk, conduct disorders, and alienation from parents, school, and positive
peer groups, and substance using. Less emphasis is placed on assessing or addressing
environmental influences, such as community values. The aim of indicated prevention programs
is not only the reduction substance abuse and other problem behaviors, but also reduction in
the length of time the signs continue, and/or reduction in the severity of SEBH issues.
Individuals can be referred to indicate prevention programs by parents, teachers, school
counselors, school nurses, youth workers, friends, or the courts. Young people may volunteer to
participate in indicated prevention programs. Indicated prevention strategies in Washington
State’s SAPISP include those listed under selective prevention strategies as well as:
 Care-frontation around use.
 Intervention and Recovery Support group services.
46



Case management and counseling support specific to accessing treatment and
attendance at and motivational counseling.
Alcohol, tobacco and other drug urine analysis monitoring in collaboration with
parents/treatment agency.
Aftercare/Recovery support and planning.
The SAPISP Three tiered approach is barrowed from the public health triage models that focus
on levels of treatment based on need. Simply put, it is a model consisting of three well-defined
and separate processes running on different levels within a system. The different tiers represent
a change in how something is done or how supports are delivered. In addition, many schools
have implements a Response to intervention (RTI) a multi-level tiers system where the
academic and/or behavioral interventions change, or become more intense, as student needs
are addressed. See Introduction section for additional information on the three tiered approach
in SAPISP referred to above and Section 7, Student Assistance Team, for more information on
RTI.
47
DISTRIBUTION OF TARGETED STUDENTS & PROGRAM SERVICES
Research findings indicate that the majority of students (80
percent) will never present major behavioral problems
(Gottfredson & Gottfredson, 2000). Nonetheless, all students
benefit from universal program services. Staff provide universal
student-centered interventions, with the aim of creating a civil
environment that supports mutual caring and respect among
students and staff, creates a common language, increases the
likelihood of appropriate behaviors and decreases the frequency
and intensity of inappropriate behaviors for all students.
Although a smaller proportion of staff time is dedicated to this
level of service, this service will most likely reach the highest
number of students. Universal program services set a strong
foundation for selective and indicated intervention services.
1–7 percent of students
require more targeted,
indicated services.
10–15 percent requires
selective services that
are more intensive.
The majority of students
(80 percent) will never
present major
behavioral problems.
The majority of program services serve those students who make up the smallest propoRTIon
of the student body. These students account for the largest part of problem behaviors; selective
and indicated services aimed at addressing these students will most likely have the largest
impact. Ten to 15 percent of students require more intensive Selective program services
designed to address factors that place students at risk for substance abuse and other problem
behaviors.
Approximately one to seven percent of students require more targeted, Indicated support
services, to address significant school problems (truancy, suspension); patterns of individual
problem behaviors (ATOD use, discipline problems, internal and external disorders); and predelinquent behaviors (runaway, gang association). These students usually account for between
40 to 50 percent of major school problem behaviors (Gottfredson & Gottfredson, 2000).
Targeted interventions for this groups of youth are student-centered, highly individualized, and
provide an array of support services. Services aim to increase positive interactions.
PROGRAM LOGIC MODEL15
Comprehensive school-based prevention-intervention services programs require
implementation of school-wide activities as well as individualized and group services. According
to Deck (2002, p. viii), “effective programs have clear goals and an explicit, research-based
model that relates the needs of the targeted audience to relevant program activities and to
desired outcomes.” Such programs provide a continuum of services from universal
programming (primary prevention), addressing the needs of the whole school to
selective/indicated (early intervention) programming targeting services to students identified as
at greatest risk of initiating or escalating problem behaviors. Properly implemented programs
are expected to impact short and long term outcomes such as establishment of pro-social
emotional and behavioral health norms, increased student knowledge about alcohol, tobacco,
and other drug use (ATOD) with long term outcomes effecting delay in onset of use and
reduction in the overall prevalence of ATOD use. Figure 1 below illustrates the Universal
Prevention Logic Model adopted by Washington State’s Student Assistance Prevention-
15
Source: Deck, D. (2004). 2001-03 Final report. Addressing adolescent substance abuse: An evaluation
of Washington States’ prevention and intervention services program. Office of Superintendent of Public
Instruction. Olympia, WA.
48
Intervention Services Program,16 linking school characteristics, activities, and targeted short and
long term outcomes.
School or Community
Characteristics
Group Prevention
Activities
Short-Term Outcomes
Long-Term Outcomes
Age-appropriate
prevention curriculum.
Early onset of substance
use by students.
Unacceptably high level
of substance use or
other social, emotional
behavioral health
(SEBH) issues among
students in the school.
Lack of clear, pro-social,
no use attitudes among
students and staff.
Lack of accurate
information about the
effects of alcohol and
other drugs, the role of
the media, and actual
prevalence of use.
School policies promoting
a safe, Supportive and
drug-free environment
Peer leadership or pledge
programs and peer-lead
school activities with no
use message and positive
SEBH alternatives.
Prevention Education
classroom presentation on
positive social, emotional
and behavioral issues and
impact of substance
abuse.
Positive after school
programs
Parent education and
engagement activities.
Establishment of prosocial norms and
attitudes about positive
SEBH issues including
substance use.
Expanded knowledge
of the harmful effects
of substance use, the
role of the media, and
prevalence of use and
other negative SEBH
issues.
Delayed onset and
reduced prevalence
of SEBH issues
including substance
abuse in whole
school.
Involvement in drugfree activities.
Staff training.
Figure 1: Universal Services Logic Model of services provided by SAP program. Schoolwide activities are in direct
response to general community and school risk factors, with activities linked to the delay of and reduction in the
prevalence of substance use and violence (Deck, 2004).
In addition to targeting whole school and universal program services, the SAPISP provides
selective and indicated services to students identified as at-risk of initiating or escalating ATOD
use or other SEBH. These intervention services usually include ATOD and mental health
prescreening, support groups, one-on-one counseling and may include educational programs
for parents and other adults. Program staff provide referral and case management services,
referring students identified in need of substance abuse/addiction or serious mental health
issues to community based treatment agencies/centers.
Figure 2, on the following page, illustrates the logic model for selective and indicated services
adopted by Washington State’s SAPISP, linking individual student characteristics, intervention
activities, and targeted short and long term outcomes (Deck, 2004). Intervention services are
initiated when a student is identified as having risk factors that place them at-risk of use or
indicate use. Program staff refer students to a variety of school based interventions or make
referrals to other school or community based resources. If program services are well designed
and implemented, and if students fully engage in targeted intervention services, certain short
term outcomes are expected such as increased knowledge of risk of use, strengthened prosocial skills, and increased bonding. Longer term impacts include reduced use, improved
16
Updated 6/15/2012–Office of Superintendent Public Instruction, Department of Student Support, Educational
Service District’s Prevention Directors K-20. Changes will be reflected in the 2012–13 Washington State Student
Assistance Prevention and Intervention Program Evaluation.
49
academic performance, decreased SEBH problems, and increased likelihood that the student
will make healthy life style choices.
Student
Characteristics
Limited personal skills
(e.g., self-esteem, selfcontrol) or social skills
to resist substance use
or other SEBH.
Negative attitudes
toward school and
distrust of adults.
Coping with others who
are involved with
alcohol and other drugs
as well as other SEBH
issues.
Experimentation with
tobacco, alcohol, or
other drugs.
Symptoms of substance
abuse or dependence.
Unaware of available
school and community
services.
Intervention
Activities
Identification process:
- Staff training.
- Referrals from school
staff, parents, peers or
self
- School team.
Screening and referral:
- Informal screening .
- Formal screening .
- Family consultation.
- Referral to treatment.
- Treatment support.
- Community referrals.
School interventions:
- Individual counseling.
- Group counseling.
- Staff consultation.
- Alcohol, tobacco, and
other drug education.
Short-Term
Outcomes
Long-Term
Outcomes
Expression of feelings
on life issues.
Recognition of risks of
substance use and
commitment to healthy
life choices.
Strengthened personal
and SEBH skills.
Increased bonding with
family, school, and
adults.
Utilization of available
school and community
resources.
Delayed onset or
reduced level of
substance use.
Improved academic
performance and
retention in school.
Increase pro-social
emotional, and
behavioral health.
Healthy life choices.
Group skill-building:
- At-risk
- COSAP
- Intervention group.
- SEBH Social skills
group.
Reentry program:
-Recovery group.
-Recovery plan.
-SEBH plan
Figure 2: Early Intervention (selective/indicated) Services Logic Model of services for students referred to the
program due to substance use or other risk factors (Deck, 2004).
REQUIRED COMPONENTS OF AN EFFECTIVE SAP PROGRAM
The National Student Assistance Association established nine required components for effective
SAP services (NSAA, 2003). Washington States’ SAPISP model has adopted the nine
components in 2005. The SAPISP and the statewide program manual are based on these
identified effective SAP components. The components described below are recommended as
the minimum requirements needed to reduce barriers to learning and ensure student success in
safe, disciplined, and drug-free schools and communities.
50
Information provided within each section of the manual is aligned with the nine components of
an effective Student Assistance Program as recommended by the National Student Assistance
Association (NSAA), under the National Association Alcohol and Drug Abuse (NAADAC) and
includes an additional component, consideration for vulnerable youth populations.
School Board Policy: To define the school's role in creating a safe, disciplined and drug-free
learning community and to clarify the relationship between student academic performance and
the use of alcohol, other drugs, violence and high-risk behavior.
Staff Development: To provide all school employees with the necessary foundation of attitudes
and skills to reduce risks, increase protective factors and foster resilience through SAP services.
Program Awareness: To educate parents, students, agencies and the community about the
school policy on alcohol, tobacco, other drugs, disruptive behavior and violence and provide
information about Student Assistance services that promote resilience and student success.
Internal Referral Process: To identify and refer students with academic and social concerns to
a multi-disciplinary problem-solving, student assistance team.
Student Assistance Team: Problem Solving Team and Case Management: To evaluate
how the school can best serve students with academic or social problems through solutionfocused strategies.
Consideration for Vulnerable Populations: To identify and provide support, teach coping
skills, refer and link to community resources.
Educational Student Support Groups: To provide information, support and problem-solving
skills to students who are experiencing academic or social problems.
Cooperation and Collaboration with Community Agencies and Resources: To build
bridges between schools, parents and community resources through referral and shared case
management.
Student Assistance Program Evaluation: To ensure continuous quality improvement of
student assistance services and outcomes.
SUGGESTED PROGRAM OPERATIONS
The following provides program coordinators with suggested program design related to SAPISP
service provision by program staff including the SAS’s role, distribution of service delivery,
targeted number of students served annually as well as a detailed account of the first month of
school services.
STUDENT ASSISTANCE SPECIALISTS RESPONSIBILITIES
According to RCW 28A.170 – Substance Abuse Awareness Program—Student Assistance
Specialists (SAS) are qualified chemical dependency professionals, or certified educational staff
such as a guidance counselors, school social workers, school nurses, school psychologists or
prevention specialists. Program staff are responsible for the delivery of the comprehensive
program within the school setting as well as linking students and families to other school and
community-based services. These services, as noted previously, include the delivery of
universal and selective/indicated prevention-intervention services such as screening/pre51
assessment, resource referral and case management, individual and group counseling, and
program awareness.
Universal Prevention Services
SAP services are to be delivered in the area of universal prevention, which includes classroom
ATOD presentations or curriculum delivery, Schoolwide awareness events student prevention
clubs, and parent education and support (see Section 4 Program Awareness).
Selective and Indicated Prevention/Intervention Services
Prioritizing students: There may be times when the SAS will have more students referred than
can see on a regular basis. However, general guidelines can be utilized to ensure that students
are prioritized based upon need, and that students in crisis are seen immediately. Issues to
consider in determining student needs include:
The student is …
 An immediate danger to self or others.
 Suicidal.
 Using substances regularly and exhibits loss of control.
 Engaging in high-risk behavior when under the influence, i.e., driving, fighting, has
weapons.
 In danger due to someone else’s behavior i.e., child abuse.
 A disciplinary referral.
and/or
 The student has ready access to a weapon.
 The school is expressing grave concern about the student.
 The parents are requesting assistance with the student.
Prioritizing students is sometimes difficult; professional assessment on the part of the SAS is
required; when in doubt the SAS should seek assistance from the program coordinator. If
attempts are made to see a high priority student, and the student does not respond because of
personal choice or the classroom teacher does not allow access to the student, it is important
that the attempts be documented.
ANNUAL SERVICE DELIVERY TARGETS
The following provides a guideline for the targeted number of selective/indicated students
served annually based upon FTE assignment per school building.
NUMBER OF DAYS PER WEEK/BUILDING
2 days a week/1 building (0.4 FTE)
2.5–3 days a week/building (0.5 FTE)
5 days a week
MINIMUM TARGET NUMBER OF
STUDENTS SERVED
20 students
30 students
50 students
In Washington State’s model, there are four primary educational support groups:
 At-Risk/Social Skills–Prevention-oriented support groups typically focus on students who
have been identified as being “at high-risk” for substance use but have not yet started or
52



exhibiting other SEBH. Examples include students who lack commitment to school,
exhibit low impulse control, are alienated from peers, or suffer from low self-esteem.
Intervention–Early intervention groups, often referred to as “Insight” groups, are
educational, time-limited groups for adolescents identified as at-risk due to increased
risk of initiating or escalating their tobacco, alcohol, marijuana, or other drug use.
Children from Substance Abusing Parents–These groups specifically target students
who are impacted by someone else’s substance abuse/use. Students are usually from a
chemically dependent/substance abusing home environment.
Recovery Support–For students who have stopped using alcohol or other drugs. These
are often students who have completed some form or in-patient or out-patient treatment.
Students returning to the school environment following treatment services are much
more likely to remain abstinent if provided with school based recovery support groups.
Such groups provide students with strategies to cope with peer pressures, to avoid
slippery/risky situations, and provide support for staying clean and sober.
The majority of students on a caseload are to be served in the above group settings (see
Section 8 Educational Support Groups for additional details). In addition, other support groups
may be offered depending upon identified school and student need, such as Tobacco
education/cessation, ATOD education, and social/coping skills groups.
Depending on the availability of program staff – hours worked – the following table outlines the
minimum number of groups to be delivered in the school setting.
NUMBER OF DAYS PER BUILDING
NUMBER OF GROUPS IMPLEMENTED
2–3 days a week
5 days a week
2 groups per week minimum of 4 groups per year
3 groups per week minimum of 6 groups per year
STUDENT ASSISTANCE SPECIALIST ROLE IN PROGRAM IMPLEMENTATION
Detailed Tasks for First Month of School
The following information outlines the specific tasks to be accomplished by program staff when
implementing Student Assistance Prevention-Intervention Services Program or at the start of
the school year.
Meet the Building Principal
 Explain groups and alignment with academic standards, staff awareness education
groups, ask for assistance.
 Discuss purpose of program.
 Outline a procedure for students leaving classes, or ask for input in developing one.
 Ask about Child Protective Services reporting protocol.
 Locate, copy and review district policy and procedures for alcohol, tobacco and other
drug discipline, weapons and other safety concerns.
 Ask for time at a staff meeting to explain program.
Presentation to School Staff (with SAT if possible)
 Explain purpose of program.
 Explain process for making referrals.
 Office hours and days in their building.
 Handouts – explain groups, academic alignment, and outline of services available.
53

Other ways to communicate with staff including memos and information flyers.
Classroom Presentation to Students (each presentation approximately 10 – 15 minutes).
Presentation should include:
 Introductions, purpose of program, referral process, office hours, time/days in building.
 Services offered: Group, Individual, Classroom Presentations, etc.
 Sign-up forms – all students receive one; one option on form is for “no service.”
1) Make Sure Paperwork is in Order
 Referral forms, group materials ready.
 Disclosure, consent, and release of information forms.
 RMC record keeping - Pre & Post student forms, Intake and Services form and Universal
activities form, and other data collection instruments as applicable.
2) Create a Group Schedule for at least the First Semester
 Outline number of days in building per week, periods when groups are scheduled,
specific times and/or periods when you will be doing other activities.
 Meet with individually with students prior to placement.
 Collect permission slips (if required by program) and complete disclosure, consent, and
release of information forms with student.
3) Become Knowledgeable about Community Resources
 Treatment agencies.
 Mental Health services.
 Other community resources.
4) Begin Organizing for Schoolwide Awareness Activities
 Red Ribbon Week.
 Day of National Concern About Young People and Gun Violence.
 Great American Smoke Out.
 National Inhalants and Poisons Awareness Week.
 Substance Abuse Prevention Week.
 Kick Butts Day.
 Mental Health Promotion.
 Prom Promise.
 World No Tobacco Day.
54
ADDITIONAL
INFORMATION
55
Cultural Competency Information
Conceptual Frameworks/Models, Guiding Values and Principles17
The NCCC embraces a conceptual framework and model for achieving cultural and linguistic competence
based on the work of Cross et. al. (1989). The NCCC uses this framework and model to underpin all activities.
Cultural Competence: Definition and Conceptual Framework
Cultural competence requires that organizations:
 Have a defined set of values and principles, and demonstrate behaviors, attitudes, policies and
structures that enable them to work effectively cross-culturally.
 Have the capacity to (1) Value diversity, (2) Conduct self-assessment, (3) Manage the dynamics of
difference, (4) Acquire and institutionalize cultural knowledge and (5) Adapt to diversity and the cultural
contexts of the communities they serve.
 Incorporate the above in all aspects of policy making, administration, practice, service delivery and
involve systematically consumers, key stakeholders and communities.
Cultural competence is a developmental process that evolves over an extended period. Both individuals and
organizations are at various levels of awareness, knowledge and skills along the cultural competence
continuum. (adapted from Cross et. al., 1989)
Culturally Competent Guiding Values & Principles
Organizational
 Systems and organizations must sanction, and in some cases mandate the incorporation of cultural
knowledge into policy making, infrastructure and practice.*
 Cultural competence embraces the principles of equal access and nondiscriminatory practices in
service delivery.*
Practice & Service Design
 Cultural competence is achieved by identifying and understanding the needs and help-seeking
behaviors of individuals and families.*
 Culturally competent organizations design and implement services that are tailored or matched to the
unique needs of individuals, children, families, organizations and communities served.*
 Practice is driven in service delivery systems by client preferred choices, not by culturally blind or
culturally free interventions.*
 Culturally competent organizations have a service delivery model that recognizes mental health as an
integral and inseparable aspect of primary health care.
Community Engagement
 Cultural competence extends the concept of self-determination to the community.*
 Cultural competence involves working in conjunction with natural, informal support and helping
networks within culturally diverse communities (e.g. neighborhood, civic and advocacy associations;
local/neighborhood merchants and alliance groups; ethnic, social, and religious organizations; and
spiritual leaders and healers).*
 Communities determine their own needs.**
 Community members are full partners in decision making.**
 Communities should economically benefit from collaboration.**
17
Excerpt retrieved (6/2012) from: http://nccc.georgetown.edu/foundations/frameworks.html
56

Community engagement should result in the reciprocal transfer of knowledge and skills among all
collaborators and partners.**
Family & Consumers
 Family is defined differently by different cultures.***
 Family as defined by each culture is usually the primary system of support and preferred
intervention.***
 Family/consumers are the ultimate decision makers for services and supports for their children and/or
themselves.***
Linguistic Competence: Definition The capacity of an organization and its personnel to communicate
effectively, and convey information in a manner that is easily understood by diverse audiences including
persons of limited English proficiency, those who have low literacy skills or are not literate, individuals with
disabilities, and those who are deaf or hard of hearing. Linguistic competency requires organizational and
provider capacity to respond effectively to the health and mental health literacy needs of populations served.
The organization must have policy, structures, practices, procedures, and dedicated resources to support this
capacity.
Goode & Jones (modified 2009). National Center for Cultural Competence, Georgetown University Center for
Child & Human Development.
Go to http://nccc.georgetown.edu/documents/Definition%20of%20Linguistic%20Competence.pdf for the full
text definition of linguistic competence..
Guiding Values and Principles for Language Access
 Services and supports are delivered in the preferred language and/or mode of delivery of the
population served.
 Written materials are translated, adapted, and/or provided in alternative formats based on the needs
and preferences of the populations served.
 Interpretation and translation services comply with all relevant Federal, state, and local mandates
governing language access.
 Consumers are engaged in evaluation of language access and other communication services to
ensure for quality and satisfaction.
Footnotes
* Adapted from Cross, T. et al, 1989
** "Other Guiding Values and Principles for Community Engagement" and "Family & Consumers" are excerpts
from the work of Taylor, T., & Brown, M., 1997, Georgetown University Child Development Center, (GUCDC)
University Affiliated Program, and
*** "Promoting Cultural Diversity and Cultural Competency- Self Assessment Checklist for Personnel
Providing Services and Supports to Children with Disabilities & Special Health Care Needs Goode, T., 2002,
NCCC, GUCDC.
Go to http://nccc.georgetown.edu/resources/index.html, Resources and Tools for checklists that reflect these
values and principles in policy and practice.
57
GUIDELINES FOR A STUDENT SUPPORT COMPONENT18
1. Major Areas of Concern Related to Barriers to Student Learning
1.1. Addressing common educational and psychosocial problems (e.g., learning problems;
language difficulties; attention problems; school adjustment and other life transition
problems; attendance problems and dropouts; social, interpersonal, and familial
problems; conduct and behavior problems; delinquency and gang-related problems;
anxiety problems; affect and mood problems; sexual and/or physical abuse; neglect;
substance abuse; psychological reactions to physical status and sexual activity;
physical health problems).
1.2. Countering external stressors (e.g., reactions to objective or perceived
stress/demands/crises/deficits at home, school, and in the neighborhood; inadequate
basic resources such as food, clothing, and a sense of security; inadequate support
systems; hostile and violent conditions).
1.3. Teaching, serving, and accommodating disorders/disabilities (e.g., Learning Disabilities;
Attention Deficit Hyperactivity Disorder; School Phobia; Conduct Disorder; Depression;
Suicidal or Homicidal Ideation and Behavior; Post Traumatic Stress Disorder; Anorexia
and Bulimia; special education designated disorders such as Emotional Disturbance
and Developmental Disabilities).
2. Timing and Nature of Problem-Oriented Interventions
2.1. Primary prevention.
2.2. Intervening early after the onset of problems.
2.3. Interventions for severe, pervasive, and/or chronic problems.
3. General Domains for Intervention in Addressing Students’ Needs and Problems
3.1. Ensuring academic success and also promoting healthy cognitive, social, emotional,
and physical development and resilience (including promoting opportunities to enhance
school performance and protective factors; fostering development of assets and general
wellness; enhancing responsibility and integrity, self-efficacy, social and working
relationships, self-evaluation and self-direction, personal safety and safe behavior,
health maintenance, effective physical functioning, careers and life roles, creativity).
3.2. Addressing external and internal barriers to student learning and performance.
3.3. Providing social/emotional support for students, families, and staff.
4. Specialize Student and Family Assistance (Individual and Group)
4.1. Assessment for initial (first level) screening of problems, as well as for diagnosis and
intervention planning (including a focus on needs and assets).
4.2. Referral, triage, and monitoring/management of care.
4.3. Direct services and instruction (e.g., primary prevention programs, including
enhancement of wellness through instruction, skills development, guidance counseling,
advocacy, schoolwide programs to foster safe and caring climates, and liaison
connections between school and home; crisis intervention and assistance, including
18
Adapted from: Mental Health in Schools: Guidelines, Models, Resources, and Policy Considerations a
document developed by the Policy Leadership Cadre for Mental in Schools. Available from the Center
for Mental Health in Schools at UCLA. Downloadable from the Center’s Web site at:
http://smhp.psych.ucla.edu.
58
psychological and physical first-aid; pre-referral interventions; accommodations to allow
for differences and disabilities; transition and follow-up programs; short, and longer term
treatment, remediation, and rehabilitation).
4.4. Coordination, development, and leadership related to school-owned programs,
services, resources, and systems – toward evolving a comprehensive, multifaceted,
and integrated continuum of programs and services.
4.5. Consultation, supervision, and in-service instruction with a trans-disciplinary focus.
4.6. Enhancing connections with and involvement of home and community resources
(including but not limited to community agencies).
5. Assuring Quality of Intervention
5.1. Systems and interventions are monitored and improved as necessary.
5.2. Programs and services constitute a comprehensive, multifaceted continuum.
5.3. Interveners have appropriate knowledge and skills for their roles and functions and
provide guidance for continuing professional development.
5.4. School-owned programs and services are coordinated and integrated.
5.5. School-owned programs and services are connected to home & community resources.
5.6. Programs and services are integrated with instructional and governance/management
components at schools.
5.7. Program/services are available, accessible, and attractive.
5.8. Empirically-supported interventions are used when applicable.
5.9. Differences [Cultural Competency] among students/families are appropriately
accounted for (e.g., diversity, disability, developmental levels, motivational levels,
strengths, weaknesses).
5.10. Legal considerations are appropriately accounted for (e.g., mandated services;
mandated reporting and its consequences).
5.11. Ethical issues are appropriately accounted for (e.g., privacy & confidentiality;
coercion).
5.12. Contexts for intervention are appropriate (e.g., office; clinic; classroom; home).
6. Outcome Evaluation and Accountability
6.1. Short-term outcome data.
6.2. Long-term outcome data.
6.3. Reporting to key stakeholders and using outcome data to enhance intervention quality.
59
SECTION 2
SCHOOL BOARD
POLICY
60
SCHOOL BOARD POLICY
To better understand the nature of the policies that may be in use around the country, the
Institute of Education Sciences commissioned a study to examine the features of the written
substance-related policies for the 100 largest school districts in the country.
Key findings include:



A large majority of districts indicate that students may or will be reported to law
enforcement for incidents involving the possession or use of alcohol or drugs (86 percent
of districts), or sale or distribution of alcohol or drugs (87 percent of districts).
Other responses include principal-determined suspensions (98 percent of districts
indicate that students may or will be subject to a principal-determined suspension for
possession or use; 84 percent of districts indicate that students may or will be subject to
a principal-determined suspension for sale or distribution), recommendation for an
expulsion hearing (90 percent for possession or use; 94 percent for sale or distribution),
placement in an alternative schooling program (80 percent for possession or use; 71
percent for sale or distribution), and parent conference or notification (85 percent for
possession or use; 82 percent for sale or distribution).
Nearly one-third of districts (30 percent) report having graduated sanctions for repeat
offenses. For example, 15 percent of districts explicitly allow principals to increase the
duration of a suspension for possession or use if it is the student’s second offense.
Institute of educational sciences – national center for education evaluation and regional
assistance retrieved 2/1/2012 http://ies.ed.gov/ncee/pubs/20124022/.
Goal seven of the Goals 2000: Educate America Act calls for safe,
disciplined, and drug-free schools. This goal was codified in the
1994 Safe and Drug-Free Schools and Communities Act (Title IV
of the Improving America’s Schools Act of 1994, P.L. 103-382) in
response to increased occurrence of thefts and violent crimes
occurring on or near school campuses. The Act requires all
schools to design programs to:
Component 1
School Board Policy:
To define the school's
role in creating a safe,
disciplined and drug-free
learning community and
to clarify the relationship
between student
academic performance
and the use of alcohol,
other drugs, violence and
high-risk behavior.

Prevent the use, possession and distribution of tobacco,
alcohol and illegal drugs by students and to prevent the
illegal use, possession, and distribution of such substances
by employees.

Prevent violence and promote school safety.

Create a disciplined environment conducive to learning (Section 4116(a) Drug- Free
Schools and Communities Act of 1994).
In direct response to this act in 1998, the federal government required that school districts
develop and implement policies related to alcohol and other drugs. Although not funded, the act
and subsequent requirements remain in the Elementary and Secondary Education Act Act.
61
RELATED POLICIES
Bullying
In addition to well established schoolwide substance abuse policy, there has been a great deal
of attention given to student safety. In Washington State, the 2010 Legislature passed
Substitute House Bill 2801, a Washington State law which prohibits harassment, intimidation,
and bullying (HIB) in our schools. RCW 28A.300.285 defines harassment, intimidation and
bullying as any intentionally written message or image—including those that are electronically
transmitted—verbal, or physical act, including but not limited to one shown to be motivated by
race, color, religion, ancestry, national origin, gender, sexual orientation, including gender
expression or identity, mental or physical disability or other distinguishing characteristics, when
an act:




Physically harms a student or damages the student’s property, or
Has the effect of substantially interfering with a student’s education, or
Is so severe, persistent or pervasive that it creates an intimidating or threatening
educational environment, and/or environment, or
Has the effect of substantially disrupting the orderly operation of the school.
Bullying, per se, is repeated negative behavior toward a less powerful person or persons.
Hitting, name-calling, shunning, and shaming are common examples of bullying. Spreading
rumors, gossiping and making threats are also forms of bullying. Electronic forms of HIB,
commonly referred to as cyber-bullying, is also included under this bullying RCW.
Districts are required to adopt the state model policy and procedures, and training for all staff
around these policy and procedures is also required. In addition, districts are to identify an HIB
Compliance Officer, a point person to ensure that policies and procedures are upheld. Schools
are required to take action if students report they are being bullied. If an incident of bullying
becomes so severe and persistent that it is reported to the school, strict investigation and
parental contact timelines are also in place. Compliance Officers are also charged with
collecting the results of the investigations.
Information on state policy and procedures is posted on the OSPI Safety Center Web site along
with contact information for district Compliance Officers. Training and additional resource
materials are also available on the Safety Center Web site..
http://www.k12.wa.us/SafetyCenter/BullyingHarassment/default.aspx
Threat Assessment
Further, effort has been put into a statewide Threat Assessment policy and procedure. Threat
assessment is a structured group process used to evaluate the risk posed by a student or
another person, typically as a response to an actual or perceived threat or concerning behavior.
Threat assessment as a process was developed by the Secret Service as a response to
incidents of school violence. Washington follows the model initially developed by the Secret
Service. Information about the Secret Service model is available on the National Threat
Assessment Center.
62
The primary purpose of a threat assessment is to prevent targeted violence. The threat
assessment process is centered upon on analysis of the facts and evidence of behavior in a
given situation. The appraisal of risk in a threat assessment focuses on actions,
communications, and specific circumstances that might suggest that an individual intends to
mount an attack and is engaged in planning or preparing for that event.
In a situation that becomes the focus of a threat assessment inquiry or investigation, appropriate
authorities gather information, evaluate facts, and make a determination as to whether a given
student poses a threat of violence to a target. If an inquiry indicates that there is a risk of
violence in a specific situation, authorities conducting the threat assessment collaborate with
others to develop and implement a plan to manage or reduce the threat posed by the student in
that situation.
Information on state law related to threat assessments is posted on the OSPI Safety Center
Web site along with sample threat assessments and policies. Training and additional resource
materials are also available on the Safety Center page.
http://www.k12.wa.us/SafetyCenter/Threat/default.aspx
PUTTING POLICY INTO ACTION
The purpose of any school policy is to define the school’s role in creating a safe, disciplined,
and drug-free learning environment and to clarify the relationship between student academic
performance and high-risk behaviors. Appropriate policy language represents the principal legal
document that establishes due process in the school system for students, staff, and parents
regarding the management of problems. Through the adoption and enforcement of such
policies, the school sends a clear “no tolerance” message to students, staff, and parents setting
the foundation to implement student assistance program practices to address these issues
(Anderson, 1993; Burk, 1998; Newsam, 1992).
In addition to addressing violator sanctions, the policy should offer assistance . Policies
should address actions to be taken by the school to intervene or assist students or staff
struggling with personal or family problems. Once implemented, schools should be consistent
and fair in their adherence to enforcement of policies. Finally, records regarding enforcement
should be maintained, through the implementation of a reporting system that tracks policy
violations.
At minimum, adopted policies should address the following information:
 A statement outlining the school’s commitment to assist students and staff with
any ATOD, bullying and/or safety related problems.
 Clear definition of offense including jurisdictional area of the school (school
property, school sponsored events).
 Use, possession, distribution, sale, and manufacturing of substances;
 Clearly stated standards of conduct – student and staff.
 Clearly delineated procedures for violation of policies including first, second, or
third offense.
 Clear statement about disciplinary sanctions up to and including expulsion, and
referral for prosecution for students that violate the standards of conduct.
 A statement that prevention and intervention services are available to students
that violate the policy.
63

Language that suspension and expulsion may be reduced “in lieu of” if a student
agrees to participate in intervention services.
Policies are reviewed with school and program staff annually to ensure clear
understanding and implications of enforcement. In addition, all students and parents are
informed of policies in a timely manner with these distributed to students and their parents as
part of the school’s student handbook.
DEFINITION – SCHOOL BOARD POLICY
Defines the school's role in creating a safe, disciplined, and drug-free learning community
and to clarify the relationship between student academic performance and the use of
alcohol, other drugs, violence, and high risk-behavior.
 The policy includes the school's "zero tolerance" for crimes involving alcohol,
tobacco, other drugs, weapons, or violence; including consequences for violations;
and identifies procedures for attaining help through the SAPISP.
 The policy clarifies the process of self-referral, the limits of confidentiality for minors,
parents' right-to-know, procedures for reporting knowledge of a crime (i.e., illegal
possession), and the responsibility of a witness. In addition, the relationship of
student assistance services to policies regarding other co-curricular activities,
including athletics, plus the involvement of law enforcement, juvenile justice, and
mental health professionals are explained in a school board policy.
Sample ATOD No Use Policy
3.22 Substance Use Policy
In order to maintain “safe and drug-free schools” and in accordance with the “Elementary and
Secondary Education Act,” the possession, distribution, dispensation, use, and/or being under
the influence of any form of alcohol, anabolic steroid, narcotic drug, hallucinogenic drug,
amphetamine, barbiturate, marijuana or other controlled substance (as defined in the Drug
control Act of Chapter 15.1 of Title 54of the Code of Virginia and as defined in schedules IV of
21 USC *182), imitation controlled substance, or drug paraphernalia (as described in *18.2265.1 of the Code of Virginia) is prohibited within any Roanoke County Public School or its
property to include school vehicles, at any school-sponsored event/trip, going to and from
school, or while participating in school-sanctioned activities. Furthermore, in handling such
violations the school board authorizes the superintendent who may authorize a designee to
conduct a preliminary review of substance use policy violations to determine whether a
disciplinary action other than expulsion is appropriate (State of Virginia, Department of
Education, 2005).
Alternative to Suspensions
“Alternative to Suspension" is a term applied to a wide variety of school-based interventions. Its
purpose is to provide opportunities to keep students engaged in school while still holding them
accountable for their suspendable behavior. Alternatives to suspension are most effective when
supported by policies and procedures that address a tiered approach. A safe and Supportive
64
school culture with an early warning identification system can avert suspendable behaviors from
happening, and increase the support for when they do. An active, multidisciplinary designed to
provide for screening, referral and intervention recommendations for affected youth is an
essential element to successful reengagement. Alternatives to Suspension are about creating
opportunities to remove the barriers to a student's success in school rather than removing the
student.
SUGGESTED PROGRAM OPERATIONS
The following provides program coordinators with suggested program operations related to
technical assistance for ATOD policy and procedure development and implementation as well
as suggested guidelines for the SAS’s role in responding to disciplinary referrals.
ESD Coordinator’s Role in Policy Implementation
The ESD Coordinator may assist school districts and schools in the development, adoption,
implementation, and periodic review of policies and procedures related to ATOD violations. In
order to facilitate buy-in from the schools, the coordinator educates administration about
effective policy and procedure practice; provides sample policies; and builds awareness about
the importance of getting help for youth who are harmfully involved in alcohol, tobacco or other
drug.
SAS’s Role
The SAS may participate in policy and procedure development, adoption, implementation and
periodic review of policies and procedure in collaboration with the coordinator. In terms of policy
violations, it is important that the SAS maintains neutrality and refrains from involvement in the
investigative, punitive or disciplinary process. The role of the SAS in disciplinary procedures is
to serve the student once the consequences have been determined as part of a “buy-back” or in
lieu of suspension alternatives. Specific information related to the SAS’s role in the disciplinary
process is described in detail in Section 5—Internal Referral Process.
Additionally, the SAS can serve as a resource to community coalitions relative to school board
policy. They may provide education relative to the content of the policy, as well as the actual
procedures that are followed.
65
SAMPLE POLICY19
3.22 – AR Substance Use Policy
I. Purpose
The purpose of the Roanoke County Public Schools substance use policy is to promote
safe and drug-free schools. Furthermore, it is designed to establish guidelines in accordance
with the “Elementary and Secondary Education Act of 2001” for dealing with students who show
evidence of substance involvement.
II. Definitions and Clarifications
A. Under the influence means when a student’s comportment, behavior, condition, speech,
or appearance is affected by or evinces prior use of alcohol, controlled substances, other
substances and/or inhalants.
B. Alcoholic beverage shall include alcohol, spirits, wine and beer, and any one or more
of such varieties containing one-half of one percent or more of alcohol by volume,
including mixed alcoholic beverages, and every liquid or solid, patented or not,
containing alcohol, spirits, wine, or beer and capable of being consumed by a human
being.
C. Controlled substances include, but are not limited to, narcotic drugs, hallucinogenic or
mind-altering drugs or substances, amphetamines, barbiturates, stimulants,
depressants, marijuana, anabolic steroids, designer drugs, and other controlled
substances as defined in the Drug Control Act of Chapter 15.1 of Title 54 of the Code
of Virginia and as defined in schedules I through V of 21 USC & 812.
D. Imitation controlled substance shall mean a pill, capsule, tablet, or other item which is
not a controlled substance, an alcoholic beverage, anabolic steroid, marijuana, or any
of those substances commonly referred to as designer drugs but which by overall
dosage unit appearance, including color, shape, size, marking or package, or by
representations made, is intended to lead or would lead a reasonable person to
believe that such pill, capsule, tablet or other item is a controlled substance, an
alcoholic beverage, anabolic steroid, or marijuana.
E. Other substances include, but are not limited to, prescription medications and/or overthe-counter drugs which may not or may contain a combined dosage of caffeine and
ephedrine hcl, herbal stimulants, herbal euphoriant, ephedra or ma huang such as
Magnum 357, Mini-Thin, Max Aler, Perk Mini-hearts, Bidis, Beedees, No-Doz, Jimson
Weed, cold medications and cough syrups such as Robitussin or drugs manufactured
using such DXM or other over-the-counter drugs not taken in accordance with the
medication policy.
F. Inhalants include any substance not prescribed by a physician and inhaled as a vapor,
gas or mist. Inhalants may include, but are not limited to adhesives; aerosols; solvents
and gases (freon and butane); cleaning agents; and room deodorizers.
19
Source: State of Virginia, Department of Education.
66
G. Anabolic steroids include natural synthetic compounds ingested for the purpose of
enhancing physical strength but which have detrimental effects on the healthy growth
and development of students.
H. Drug paraphernalia shall include, but are not limited, those items defined in Section
18.1-265.1 of the Code of Virginia.
I.
An offense is the violation of any rule or combination of rules as defined in the Student
Conduct Code.
J. To be in possession of means to have alcoholic beverage(s), imitation and/or
controlled substances, other substances, inhalants, anabolic steroids and/or drug
paraphernalia on one’s person, or in one’s personal property, automobile, or other
vehicle, or locker, desk or other school-provided storage area.
K. Possession with the intent to sell, give, or distribute means to have alcoholic
beverage(s), controlled substances, other substances, inhalants, anabolic steroids
and/or drug paraphernalia, and it is determined by the evidence of the packaging,
amount, etc. that the intent was to sell, give or distribute.
L. Distribution means to pass, give or sell alcoholic beverage(s), imitation and/or
controlled substances, other substances, inhalants, anabolic steroids and drug
paraphernalia.
M. Unlawful manufacture means the illegal act of producing or assembling alcoholic
beverage(s), controlled substances, other substances, inhalants and/or drug
paraphernalia.
N. Where and when policy violations occur include on school property, in a school
vehicle, at any school-sponsored event, going to and from school or while participating
in school-sanctioned activities. It also extends to off school property, if the acts
committed are either detrimental to the interest of the school or adversely affect school
discipline.
III. Substance Use Violations
A. Under the Influence - Students shall not be under the influence of any no prescribed
substance, including but not limited to: alcohol, marijuana, inhalants, anabolic steroid,
imitation and/or controlled substance, designer substance, and/or other substances. In order
to be found in violation of being under the influence (versus in “possession” of a substance),
the student must have used the substance away from school and/or its property (as
described within the substance use policy statement). If the student admits to having
possession of the substance and taking the substance in any Roanoke County Public
School or on its property, then the student would have committed a “possession” violation.
First Offense: Parent/guardian(s) and law enforcement will be contacted
immediately upon verification of the violation. From the day of the offense, the
student will receive an out-of-school suspension, with no right to make up missed
work, for ten (10) school days and will be ineligible to participate in or attend all
67
extracurricular activities for twelve (12) calendar months and will lose school
parking privileges for up to twelve calendar months.
The building administrator may reduce the ten-day suspension to five (5) days in
school suspension with the right to make up work. Also, the twelve (12) month
loss of attending or participating in extracurricular activities will be reduced to
thirty (30) calendar days and the loss of parking privileges for up to thirty (30)
school days if:
1. The student and parent/guardian(s) agree to participate in the Student
Assistance Prevention Intervention Services Program(SAPISP) and follow
the recommendations made by the SAP (Student Assistance Program)
core team for up to one year from the date the contract is signed.
2. The student must complete a urine screen within two business days of
the contract and an evaluation for alcohol and other drug abuse within
fifteen (15) calendar days from the date of the contract. The expense of
such services is the responsibility of the parent/guardian(s).
3. The student and parent/guardian(s) release the results of the evaluation
and urine drug screen to the SAS.
4. The student and parent/guardian(s) complete a two-session educational
program on substance use/abuse as coordinated by the SAS.
5. The student must complete periodic drug testing for up to one year,
releasing the results of testing to his/her parent/guardian(s) and the SAS
Coordinator. The expense of the testing is the responsibility of the
parent/guardian(s).
6. If recommended by the substance evaluation and with the consent of the
student's parent/guardian(s), the student participates in a substance
abuse treatment program. The expense of such services is the
responsibility of the parent/guardian(s).
Failure on the part of the student and/or parent/guardian(s) to comply with
any of these conditions will result in a recommendation to the school board
for expulsion, as will any additional substance use policy violation.
B. Possession/Distribution - Students shall not possess nor possess with the intent to
give, sell or distribute alcoholic beverage(s), imitation and/or controlled substances,
other substances, inhalants, anabolic steroids, or drug paraphernalia.
First Offense – Parent/guardian(s) and law enforcement will be contacted
immediately upon verification of the violation. The superintendent or designee will
be notified and will conduct a preliminary review of the case to determine if a
recommendation for expulsion is warranted or if another discipline action would
be more appropriate. This preliminary review will take place within ten (10)
school days from the date of the incident with the student not being allowed to
attend regular school sessions during that time. If available and deemed
68
appropriate by the superintendent or designee the student may be placed in an
alternative setting during the interval.
If the recommendation from the superintendent or designee is expulsion, the
school board will hear the student's case. The school board will consider the
details of the student’s case and then make a determination regarding what
disciplinary action is indicated. If the student is expelled the school board will
consider conditions/stipulations by which the student and parent/guardian(s) may
comply in order for the student to be reinstated. At the same time, the school
board retains the authority to not reinstate.
If the student is to remain in school or be reinstated at some later point, the
school board will similarly consider conditions by which the student must comply.
Conditions/stipulations will be consistent with the standard practices of substance
abuse intervention services and according to the needs of the youth. Meeting
these conditions will be the financial responsibility of the parent/guardian(s).
Examples of conditions/stipulations that the school board might implement
include but are not limited to: SAPISP involvement and compliance with SAP
Core Team recommendations; completion of a substance abuse evaluation,
including urine drug test and release of results to the SAS; completion of
student/parent education program; Participation in a substance abuse treatment
program; compliance with periodic drug testing for a designated time period.
If the superintendent or designee determines that a disciplinary action other than
expulsion is appropriate, consequences will include at a minimum:
1. The student will serve five (5) days of in school suspension with the right
to make-up work.
2. The student will be ineligible to attend or participate in extracurricular
activities for thirty (30) calendar days and parking privileges for up to thirty
(30) school days.
3. The student and parent/guardian(s) must agree to participate in the
SAPISP and satisfactorily follow the recommendations made by the SAP
Core Team for up to one year from the date a contract is signed.
4. The student must complete a urine drug screen within two business days
of the date of a contract and release the results of that screen to the SAS
-- the expense being the responsibility of the parent/guardian(s).
5. The student must complete an evaluation for alcohol and other drug
abuse within fifteen (15) calendar days from the date of a contract and
release the results of that evaluation to the SAP Coordinator -- the
expense of such services being the responsibility of the
parent/guardian(s).
6. The student and parent/guardian(s) must complete a two-session
educational program on substance use/abuse as coordinated by the SAS.
69
7. The student must complete periodic drug testing for up to one year,
releasing the results of the testing to their parent/guardian(s) and the SAS
-- the expense of that testing being the responsibility of the
parent/guardian(s).
8. If recommended by the substance evaluation and with the consent of the
student’s parent/guardian(s), the student will participate in a substance
abuse treatment program with the expense of such services being the
responsibility of the parent/guardian(s).
9. In addition, the superintendent or designee may stipulate other conditions
for the student, consistent with the standard practices of substance abuse
intervention services, and according to the needs of the youth. Financial
responsibility will be the parent/guardian(s).
10. Failure on the part of the student and/or parent/guardian(s) to comply with
any of these conditions will result in a recommendation to the school
board for expulsion, as will any additional substance use policy violation.
Second Offense - If a student violates the substance use policy within (12) calendar
months of a previous violation, the event will be considered a Second Offense.
Parent/guardian(s) and law enforcement will be contacted immediately upon verification
of the violation. The superintendent or designee will be notified and will conduct a
preliminary review of the case to determine if a recommendation for expulsion is
warranted or if another discipline action would be more appropriate. This preliminary
review will take place within ten (10) school days from the date of the incident with the
student not being allowed to attend regular school sessions during that time. If available
and deemed appropriate by the superintendent or designee the student may be placed
in an alternative setting during the interval.
If the recommendation from the superintendent or designee is expulsion, the school
board will hear the student's case. The school board will consider the details of the
student’s case and then make a determination regarding what disciplinary action is
indicated. If the student is expelled the school board will consider conditions/stipulations
by which the student and parent/guardian(s) may comply in order for the student to be
reinstated. At the same time, the school board retains the authority to not reinstate.
If the student is to remain in school or be reinstated at some later point, the school board
will similarly consider conditions by which the student must comply. Conditions/
stipulations will be consistent with the standard practices of substance abuse
intervention services and according to the needs of the youth. Meeting these conditions
will be the financial responsibility of the parent/guardian(s). Examples of
conditions/stipulations that the school board might implement include but are not limited
to: SAPISP involvement and compliance with SAP Core Team recommendations;
completion of a substance abuse evaluation, including drug test and release of results to
the SAS; completion of student/parent education program; Participation in a substance
abuse treatment program; compliance with periodic drug testing for a designated time
period.
70
If the superintendent or designee determines that a disciplinary action other than
expulsion is appropriate, alternative consequences of the possession/distribution
violation at a minimum must include:
1. The student will serve five (5) days of in-school suspension with
right to make-up work.
the
2. The student will be ineligible to attend or participate in extracurricular
activities for thirty (30) calendar days, and parking privileges for up to
thirty (30) school days.
3. The student and parent/guardian(s) must agree to participate in the
SAPISP and satisfactorily follow the recommendations made by the SAP
Core Team for up to one year from the date the contract is signed.
3. The student must complete a urine drug screen within two (2) business
days of the date of the contract and release the results of that screen to
the SAS. The expense of the screen will be the responsibility of the
parent/guardian(s).
4. The student must complete an evaluation for alcohol and other drug
abuse within fifteen (15) calendar days from the date of the contract and
release the results of that evaluation to the SAS -- the expense of such
services being the
responsibility of the parent/guardian(s).
5. The student and parent/guardian(s) must complete a two-session
educational program on substance use/abuse as coordinated by the SAS.
6. The student must complete periodic drug testing for up to one year,
releasing the results of the testing to their parent/guardian(s) and the
SAS -- the expense of that testing being the responsibility of the
parent/guardian(s).
7. If recommended by the substance evaluation and with the consent of the
student’s parent/guardian, the student will participate in a substance
abuse treatment program with the expense of such services being the
responsibility of the parent/guardian(s).
8. In addition, the superintendent or designee may stipulate other conditions
for the student consistent with the standard practices of substance abuse
intervention services according to the needs of the youth. Financial
responsibility will be the parent/guardian(s).
9. Failure on the part of the student and/or parent/guardian(s) to comply with
any of these conditions will result in a recommendation to the school
board for expulsion, as will any additional substance use policy violation.
71
III. Responsibilities and Privacy
A.Evaluations concerning satisfactory progress in the SAPISP will be made by the SAS
Coordinator in consultation with the building administrator and other core team members.
B. Failure on the parent of parent/guardian(s) and/or student to comply with any of the
recommendations agreed upon in conjunction with the SAS representative(s) will result
in a recommendation for expulsion.
C.
The school board regards chemical dependency to be a chronic, progressive illness,
which is fatal if left untreated. Consequently, refusal by parents to seek treatment for a
chemically dependent child will result in a report to the Department of Social Services for
suspected child abuse/neglect under Section 63.1-248.3 of Virginia Statutes.
D.
Given the imminent danger that drug use poses, students exhibiting evidence of acute
intoxication, incapacitation, or a drug overdose in school or at school-sponsored events
will be transported immediately to the local hospital or detoxification facility, followed by
immediate notification of parents and police. Following his/her return to school, Section 2
of this policy will be implemented.
E.
The use of prescription medications is to be construed as an exception to this policy
when the medication is being used by the individual for whom it is prescribed, in a
manner and amount as prescribed, and in accordance with other school policies
governing student medications.
Revised 7/19/00, 10/11/00, 9/3/03
72
SAMPLE: Substance Use Policy Violation Flowchart20
Student Violates
Policy
The decision is made by Assistant Superintendent to offer
student/parents SAPISP intervention at home school or to bring the case
before the school board for expulsion.
Student/parents receive
services at home school
through SAPISP contract.
No other violation for a
year and completion of
the program the student
is exited from the SAP.
Student has a
second violation
within the year
period and/or
non-compliance with
SAP contract.
20
Ibid.
Student is brought before the school
board to hear the substance use
violation case.
Returned to home
school with
consequences and
SAP intervention
Expulsion held in
abeyance if
student/parents
agree to
attendance at
Alternative
School and SAP
intervention.
Upon completion
student is
returned to
regular school
setting with a
transition
contract and
board approval.
Student
expelled
from school.
Student/parents
petition the
school board for
reinstatement.
Boards agrees to
reinstate at
alternative or
regular school
setting with
agreement and
SAP
intervention.
73
SAMPLE POLICY21
7.6 – AR RULES FOR MIDDLE SCHOOL AND VIRGINIA HIGH SCHOOL LEAGUE
PARTICIPANTS
I.
Purpose:
To establish rules and guidelines for students’ Participation in Virginia High School League
(VHSL) contests:
II.
To be eligible to represent a school in any VHSL contest, a student:
Must be a regular bona fide student in good standing of the school he/she represents.
Must be enrolled in the last four years of high school.
Must have enrolled no later than the 15th day of the current semester.
For the first semester, must be currently enrolled in no fewer than five subjects, or their
equivalent, offered for credit, and which may be used for graduation the immediate
preceding year or the immediate preceding semester for schools that certify credits on a
semester basis. (Take five subjects - pass five subjects)
For the second semester, must be currently enrolled in no fewer than five subjects, or
their equivalent, offered for credit, and which may be used for graduation and have
passed five subjects, or their equivalent, offered for credit and which may be used for
graduation the immediate preceding semester.
Must sit out all VHSL competition for 365 consecutive calendar days following a school
transfer unless the transfer corresponded with a family move. (Take five subjects - pass
five subjects)
Cannot repeat and use a previously passed course for eligibility purposes.
Must not have reached your 19th birthday on or before the first day of August of the
current school year.
Must not, after entering the ninth grade for the first time, have enrolled in or been eligible
for enrollment in high school not more than eight consecutive semesters.
Must have submitted to your principal before any kind of Participation, including tryouts
or practice as a member of any school athletic team, an Athletic Participation/Parent
Consent/Physical Examination form, completely filled in and properly attesting that you
have been examined during this school year and found to be physically fit for athletic
competition, and that your parents’ consent to your Participation.
21
Ibid.
74
Must not be in violation of VHSL Amateur, Awards, All-Star, or College Team rules. This
section does not apply to cheerleaders.
A team meeting shall be held prior to the beginning of each season to discuss safety,
team rules and VHSL rules changes and eligibility. The principal or athletic director will
interpret and explain exemptions provided under VHSL rules.
(Adapted from the Virginia High School League Handbook, 1996-97)
III.
.
The Participant Shall:
A. Be courteous to visiting teams and officials.
B. Play hard and to the limit of ability, regardless of discouragement. The true
athlete does not give up nor does he/she quarrel, cheat, gripe or grandstand.
C. Retain his/her composure at all times and never leave the bench or enter the
playing field/court to engage in a confrontation.
D. Be modest when successful and be gracious in defeat. A true sportsman does
not offer excuses for losing.
E. Maintain a high degree of physical fitness by observing team and training rules
conscientiously.
F. Demonstrate loyalty to the school by maintaining a satisfactory scholastic
standing and by participating in or supporting other school activities.
G. Play for the love of the game.
H. Understand and observe the rules of the game and the standards of eligibility.
I. Set a high standard of personal cleanliness.
J. Respect the integrity and judgment of officials and accept their decisions as a
good sportsman.
K. Respect the facilities of host schools and the trust entailed in being a guest.
IV.
Specific Rules to Observe
Training - In order to achieve the ultimate goal of maximum effort and efficiency, athletes
must get proper rest, eat right and train effectively. The use of any form of tobacco,
alcoholic beverage(s), stimulants, steroids, other illegal substances and other
substances used improperly as defined in the Roanoke County Public Schools
Substance Use Policy 3.22 is prohibited.
The use, possession and/or distribution of any of these substances may lead to
dismissal from the team. This rule applies for the full duration of the specific sport
season and is inclusive of out-of-school events which occur during the season. The use
of illegal substances will lead to a referral to the Student Assistance Prevention
Intervention Services Program (SAPISP).
Training rules apply during a specific sport season. Authority is not given out of season
except for school violations when the student is under the supervision of schools.
Disregard of training rules will lead to disciplinary action by the head coach which may
consist of a conference, warning, suspension or dismissal. The head coach must review
recommendations for suspensions and dismissals with the principal before arriving at a
final decision. However, upon the occurrence of a substance use policy violation, the
75
principal and head coach must follow procedures according to Policy 7.6 and make a
referral to SAP.
V.
Punctuality - Athletes are expected to arrive at practices and games on time as well as
depart for practices, games and other meetings at the established times.
A. Attendance - Attendance is required at practices, games and all called meetings
except for excused absences documented by parents and/or physicians. An
athlete may not participate in a game, practice or scrimmage held on a school
day unless that student has attended a minimum of one-half of scheduled
classes. If an athlete leaves school early because of illness, the student may not
participate in an athletic event that evening. The principal may, under extenuating
circumstances, make exceptions to these rules.
B. Absences - The coach/school shall be called in the first half of the day when an
athlete is home ill or must be out of school. Parents may be required to verify the
reason the athlete is absent.
C. Truancy - The athlete, when truant from school, will be treated as a regular
student and will be subject to school and school board policies which may
prevent him/her from participating in games or practices.
F. Travel with team - Athletes must travel with their respective teams according
to school arrangements unless permission is specifically approved by the athletic
director or coach. In any event, this permission must conform to school board
policy.
D. Reporting of injuries - Athletes must report known injuries to the coach
immediately and seek attention from the trainer or medical doctor as soon as
possible as needed. The coach will follow recommendations of the Roanoke
County trainer and/or doctor. The Roanoke County trainer and/or doctor
determine when the athlete may participate again.
E. Attendance at parties - Athletes are discouraged from attending nonchaperoned
parties and other events where illegal substances may be used and abused.
Athletes who, in their sport season, do attend such events and are found to have
in their possession and/or participated in the use, abuse and/or distribution of
substances are subject to consequences outlined in this policy. Athletes who
participate in the use and abuse of substances are subject to team training rules
and will be disciplined, up to and including dismissal from the team. The athlete
will be referred to the student assistance program.
F. Letters and awards - Athletes will be given the requirements for lettering in each
sport and will be provided information on awards that are to be given and the
criteria for each. Each athlete must meet all requirements.
G. Communication - Parents, coaches and athletes must maintain open lines of
communication.
H. Misdemeanor/Felony Conviction - VHSL participants convicted of a felony or
misdemeanor may be disciplined up to and including dismissal from the team at
the discretion of the principal.
I. Consequences for Violation of Athletic/Training Policy 7.6 Substance Use
(nontobacco)
1. Initial steps as mandated by school board policy:
a. In the event that the substance use violation occurred on school
property, in a school vehicle, at any school-sponsored event,
going to and from school or while participating in school76
sanctioned activities and involves the above-mentioned
substances, then the Substance Use Policy 3.22 shall be followed.
b. If the substance use violation did not occur during any of the
above mentioned conditions, then the consequences for
Substance Use under Policy (7.6) shall be followed.
c. Parents will be contacted and informed.
d. Parents will attend a conference with the SAP Coordinator and/or
Core Team members.
2.
Consequence Options:
The student will receive a suspension from the squad and will be ineligible for
Participation in all extracurricular activities for a period of twelve (12) calendar
months and will lose school parking privilege for up to twelve (12) months from
the date of the offense. OR
3. The building administrator may reduce the suspension and loss of extracurricular
eligibility to thirty (30) calendar days and parking privilege for up to thirty (30) school
days if the student and parent/guardian(s):
1. Agree to participate in the Student Assistance Prevention Intervention
Services Program and satisfactorily follow the recommendations made by the
Student Assistance Program Core Team and,
2. Agree to complete a drug urine screen within two (2) business days from the
date of the contract. The expense of such service is the responsibility of the
parent/guardian(s).
3. Agree to complete an evaluation for alcohol and other drug abuse within
fifteen (15) calendar days from the date of the contract. The expense of such
service is the responsibility of the parent/guardian(s).
4. Release the evaluation and urine drug screen results to the SAP Coordinator,
and thereafter complete periodic drug screens for up to one year from the
date of the contract, releasing the results to the SAS and parent/guardian(s).
The expense of such services is the responsibility of the parent/guardian(s).
5. If recommended by the substance evaluation and with the consent of the
student’s parent/guardian(s), the student will participate in a substance abuse
treatment program. The expense of such services will be the responsibility of
the parent/guardian(s).
6. The parent/guardian(s) and student will complete the two-session
parent/student educational program on substance use/abuse coordinated by
the SAS.
7. The student may continue to participate in practice without the opportunity to
attend contests/games and shall not participate in any other extra-curricular
activities for thirty (30) calendar days.
8. An event occurring at the end of a season shall carry over to the following
season. Any remaining calendar days would be picked up at that time.
Failure on the part of the parents and/or students to comply with any of the conditions
agreed upon in conjunction with the Student Assistance Program representative(s) will
result in a recommendation of the full one-year suspension from the team or squad. In
addition, the student will be ineligible for participating in all extracurricular activities
during the same period
77
Student Violates Substance Use
Policy 3.22
Under the Influence
Parent/guardian(s) and law enforcement
are contacted immediately upon
verification of the violation.
Parent(s)/guardian(s) attend a conference
with the Building Administrator, SAP
Coordinator and/or Core Team Member(s).
Parents/Students are given option A or B.
Under the Influence - Students shall not be under the
influence of any non-prescribed substance, including but not
limited to: alcohol, marijuana, inhalants, anabolic steroid,
imitation and/or controlled substance, designer substance,
and/or other substance. In order to be found in violation of
being under the influence (versus in “possession” of a
substance) the student must have used the substance away
from school and/or its property (as described within the
substance use policy statement). If the student admits to
having possession of the substance and taking the substance
in any Roanoke County Public School or on its property, then
the student would have committed a “possession” violation
Option A
From the date of the offense, the student will receive an out-ofschool suspension, with no right to make up missed work, for ten
(10) school days and will be ineligible to participate or attend all
extracurricular activities for twelve (12) calendar months and will
lose school parking privileges for up to twelve (12) calendar
months.
Option B
The building administrator may reduce the suspension to five (5) days in school with the right to make up work and
reduce the loss of attending or participating in extracurricular activities to thirty (30) calendar days and the loss of
parking privilege for up to thirty (30) school days if:
1. The student and parent/guardian(s) agree to participate in the Student Assistance Program and follow the
recommendations made by the Student Assistance Program (SAP) Core Team for up to one year from the date
the contract is signed.
2. The student must complete a urine drug screen within two business days of the date of the contract and an
evaluation for alcohol and other drug abuse within fifteen (15) calendar days from the date of the contract. The
expense of such services is the responsibility of the parent/guardian(s).
3. The student and parent/guardian(s) release the results of the evaluation and urine drug screen to the SAP
Coordinator.
4. The student and parent/guardian(s) complete a two-session parent/student educational substance use/abuse
program coordinated by the SAP.
5. The student must complete periodic drug testing for up to one year from the date of the contract and release the
results to his/her parent/guardian(s) and the SAP Coordinator, the expense of these services being the
responsibility of the parent/guardian(s).
6. If recommended by the substance evaluation and with the consent of the student’s parent/guardian(s), the
student participates in a substance abuse treatment program, the expense of such services being the
responsibility of the parent/guardian(s).
7. Failure on the part of the student and/or parent/guardian(s) to comply with any of these conditions will result in a
recommendation to the school board for expulsion, as will any additional substance use policy violation.
Use "Contract For Being Under the Influence" (Form 1)
Staff Development 78
SECTION 3
STAFF DEVELOPMENT
Staff Development 79
STAFF DEVELOPMENT
THE IMPORTANCE OF STAFF DEVELOPMENT
Key to the success of an effective Student Assistance Prevention
Intervention Services Program (SAPISP) is the ongoing support
and professional development of program and school staff.
Consistent training builds a strong foundation and increases
knowledge and awareness, provides staff with attitude and skills to
effectively address social, emotional, behavioral health (SEBH)
issues including substance abuse. Presentations include
information about making appropriate referrals, reducing risk and
increasing protective factors, understanding the addiction process,
mental health promotion and strategies to foster resilience through
student assistance program services.
Component 2
Staff Development:
Staff development
offerings are practical,
experiential and designed
to increase knowledge
and skills, shape
attitudes, change
behaviors, and challenge
participants to expand
their knowledge base and
increase awareness.
Staff development opportunities target core staff members such as administrators, classroom
teachers, counselors, custodial and playground staff, and administrative staff. Professional
development opportunities are necessary to support effective program services. Staff
development offerings are practical, experiential and designed to increase knowledge and skills,
as well as shape attitudes, change behaviors, and challenge participants to expand their
knowledge base and increase awareness.
STAFF DEVELOPMENT FOR SCHOOL FACULTY
The purpose of providing school staff development offerings is to:
 Educate faculty about the identification and referral processes of SAPISP.
 Educate staff about the impacts of substance use, as well as other SEBH issues on the
learning environment and academic achievement.
 Build awareness about the program’s aim to reduce barriers to learning.
 Increase staff awareness and skill level to reduce risks, increase protective factors, and
foster resilience in students.
 Support staff wellness through education and referral.
The goals for staff development include:
 Increasing the number of students with problem behaviors identified by school staff.
 Linking students to support systems – Student Assistance Prevention-Intervention
Services Program.
 Providing school staff with a common language that encourages students in need,
particularly those from vulnerable populations, to seek out assistance.
Generally, staff development in-service topics addressing these goals include:
 Overview of SAPISP program and its core components including review of SAPISP role,
duties, and purpose, policy and procedures for referral (i.e. staff, disciplinary, parent,
outside, peer and self) and review of school policy specific to disciplinary referrals.
 Staff members’ role in identification and referral.
 Confidentiality.










ATOD dynamics of use, abuse, and dependency and symptomology of use associated
with each substance including summary of drugs of abuse - current trends and signs and
symptoms.
Overview of mental health, social, emotional and behavioral correlations to substance
abuse risks as well as high risk populations such as military families, lesbian, gay,
transgender and questioning/queer (LGBTQ), and cultural risks. This also includes
adverse childhood experiences.
Impact of substance abuse on the family structure and especially upon children in the
case of adult children of substance abusing parent (COSAP).
Denial and enabling concepts.
Services provided to families for pre-assessments, treatment referrals, and re-entry
support following treatment.
Student Assistance Program model and the relationship to academic achievement and
the School Improvement Process.
Interface of SAPISP and response to intervention model focusing on the purpose of
universal, early intervention (selective) and Intensive strategies (indicated services) and
activities such as schoolwide awareness events, individual and group counseling and
case management.
Student Assistance/Core Team model and approach.
Risk and Protective factor theory, Assets model and Resiliency theory.
Needs assessment data such as Healthy Youth Survey results and how to put them to
use.
STAFF DEVELOPMENT FOR STUDENT ASSISTANCE SPECIALISTS
Student Assistance Specialists (SAS) require sufficient staff development to ensure the
implementation of an effective student assistance program as well as to improve the probability
of reaching targeted program outcomes. Staff development is also continuous and ongoing. The
purpose of staff development for the SAS is to provide the SAS’s with the basic knowledge,
skills, and competencies to effectively implement deliver and provide school-based prevention
and intervention services (see Program Staff Competency Rubric, at end of this section).
The goals for SAS staff development include:
 Providing staff with a general understanding core components of a SAPISP.
 Decision-making regarding student service needs based upon screening/preassessment findings.
 Ensure staff are prepared to navigate the school system, with experience and
knowledge regarding learning theory and strategies, classroom management, school
policy, school disciplinary and restorative practices, and teacher, other staff and
parent roles.
 Program staff are also equipped with the knowledge of community collaboration and
partnerships to support and sustain SAPISP efforts and available resources for
community-based referrals. Training topics for staff development opportunities for
SAS’s are recommended as follows:
o Awareness of the components of a comprehensive SAPISP.
o Nature and progression of adolescent substance use, abuse, and
dependency (continuum of use) including dynamics of denial and enabling.
Staff Development 81
o
o
o
o
o
o
o
o
o
o
o
o
Understanding and skills related to screening, pre-assessment, identification
and the internal referral process including the “how to” in using the
Washington State mandated screening tool Global Appraisal of Individual
Needs - Short Screener GAIN SS screening tool.
Knowledge of American Society of Addiction Medicine (ASAM) placement,
Diagnostic and Statistical Manual of Mental Disorders IV (DSM VI) criteria and
Counseling skills and techniques such as group facilitation and dynamics,
working with families, and motivational interviewing.
Clarification of roles – administrator, counselor, classroom teacher, other
school and program staff – in the identification, assessment, intervention,
treatment and support of students identified with ATOD related problems.
Clear understanding of the types and purposes of educational support groups
– objectives, targeted students – and issues related to implementation.
Confidentiality and student rights to privacy (42 CFR part 2, FERPA, and
HIPPA).
Record keeping and data entry requirements.
Risk, protective and resilience factors related to overall social, emotional
behavioral including substance abuse mental health.
Vulnerable populations at-risk such as COSAP, LGBTQ, mental health/cooccurring diversity and risk with certain ethic groups, and military families.
Including adverse childhood experiences (ACE) including family dynamics,
rule, and roles and the impact of family chemical dependency and other
ACE’s.
Cultural and linguistic competency.
Alignment of Student Assistance Services with state academic standards.
Exploration of the treatment and recovery process.
Self-care practices and wellness.
In addition, specialized training is provided for all SAS expected to conduct educational support
groups. Training topics include: Group dynamics and stages, Group activities, Active listening,
Motivational intervening and solution focused counseling techniques, Dealing with challenging
behaviors, Co-facilitation, Empathizing, Evaluating goals and outcomes, Terminating, and
Content information specific to each group. To help avoid burnout Student Assistant Specialists
must have realistic expectations regarding group outcomes.
SUGGESTED PROGRAM OPERATIONS
The following Competency Rubric Assessment Tool provides program coordinators with
suggested guidelines for use in determining program staffs’ level of capabilities across all
components of an effective SAPISP program. The information within the rubric can be used to
establish job descriptions, identify areas of professional growth and development, and staff
training needs.
Information is also provided on the Ethical Guidelines and Standards of Practice for program
staff written by the National Association of Alcoholism and Drug Abuse Counselors (NAADAC)
and the state legislation (RCW 18.130.180) related to Unprofessional Conduct for registered
counselors.
Staff Development 82
Student Assistance Specialist (SAS)
Competency Rubric Assessment
Name of Specialist
Date completed:
STUDENT ASSISTANCE
PROGRAM SERVICES
MODEL
Supervisor
Follow-up review date(s):
Rating 1:
Unsatisfactory
Limited understanding of
student assistance program
services model evidenced by:
 Inability to implement the
SAPISP core components
within the school setting.
 Inability to work within the
school to provide an adequate
continuum of care
(prevention-early interventiontreatment –recovery support
and follow up)
Rating 2:
Basic
Demonstrates a basic
understanding of student
assistance program services
model evidenced by the ability
to:
 Implement, identify,
intervene, refer, support and
follow up
 Most students are placed
appropriately according to
screening and served by the
SAPISP according to the
continuum of care
prevention-early interventiontreatment –recovery support
and follow up.
Rating 3:
Proficient
Holds a proficient understanding
of the purposes of the student
assistance program services
model, evidenced by ability to
provide examples of services in
the following context:
 Consistently places students in
the appropriate in program
target groups (at-risk, COSAP,
abuse/dependent, recovery
support and nonusers)
 Meet expectations for required
number of groups and effectively
manages prevention (universal)
and selective and indicated
intervention level of service
determined by the Supervisor
(e.g 20 percent universal and
80 percent selective & indicated
or 40 percent universal and 60
percent selective & indicated
split).
 Case manage students served
based on the continuum of care
(prevention-early interventiontreatment –recovery support and
follow up)
 Provides multiple examples of
integration of SAPISP services
within the school setting
Rating 4:
Distinguished
Distinguished in all areas of
understanding the depth and
necessary SAPISP services,
evidenced by ability to:
 Mentor new staff assigned to
shadow the SAS.
 Have groups well integrated in
the school programming
 Consistently places students in
program target groups (at-risk,
COSAP, abuse/dependent,
recovery support and nonusers)
and also offers more than the
required groups (i.e. social,
coping and anger management
skills)
 Provides input at staff meetings
and in one-one to peers on
counseling support and case
management based on the
continuum of care (preventionearly intervention- treatment –
recovery support and follow up)
 Links to community partners and
coalitions (for PRI sites) in
promoting the program services
and maintains a level of interest
at the school level and
sustaining SAs within the school
setting.
Staff Development 83
KNOWLEDGE OF
PREVENTION
CONCEPTS & THEORY
Rating 1:
Unsatisfactory
 Unable to identify and apply
risk, protective and resiliency
concepts to intervention
services evidence in student
group and individual lesson
planning, and staff
presentations.
 Unable to implement effective
response to intervention
delivery of program services
based on universal, early
intervention (selective) and
intensive (indicated) levels.
This is evidenced by the
continuum of care that is
weighted more heavily in one
are such as most of SAS time
is focused on prevention or
early intervention.
Rating 2:
Basic
 Follows manual accordingly
in appropriately applying risk,
protective and resiliency
concepts to intervention as
evidenced by lesson plans,
group notes and staff
presentations.
 Implements as required the
three tiered response to
intervention delivery of
program services based on
universal, early intervention
(selective) and intensive
(indicated) levels with
guidance and suggestions
provided by supervisor. This
is evidenced by services
meeting the 20/40 percent
universal and 80/60 percent
selective- indicated and most
of the delivery in done by the
SAS.



Rating 3:
Proficient
Further developed his/her
understanding of prevention
concepts and theory’s by
participating in continual
professional development on
current research and trends.
This is evidenced by
articulating and sharing
information learned with
supervisors and actively
participating in professional
development opportunities
(i.e. trainings, book reads and
article reviews).
Appropriately applies risk,
protective and resiliency
concepts to intervention as
evidenced by lesson plans,
group notes and staff
presentations.
Program services delivered at
the school encompass and
effectively implement
response to intervention
delivery of program services
based on universal, selective
and indicated levels without
supervision, guidance or
monitoring. Evidenced by
SAS coordinating most
activities with some faculty
involvement in prevention
awareness events and SAT.



Rating 4:
Distinguished
Takes initiative/actively seeks
up-to-date information on
prevention concepts and
theories. SAS in turn uses the
knowledge to train others (i.e.
school faculty, community
partners, parents and peers)
on current research and
trends.
Develops lesson plans using
current prevention concepts
and theories to further
enhance group offerings and
classroom presentations as
appropriate.
Is well integrated in schoolbased planning from multiple
program services that
encompass response to
intervention delivery of
universal, selective and
indicated levels. This is
evidenced by school-wide
prevention activities, school
climate, and curriculum
delivery is not only the SAS
responsibility and SAT is
established with active
Participation from school staff
in identifying appropriate
interventions.
Staff Development 84
POLICY AND
PROCEDURE
Rating 2:
Basic
Knowledgeable about
effective policy and
procedure.
Knowledgeable in required
school policy related to
ATOD offenses.
“Alternative to suspension”
disciplinary process is in
place at the school sites
served by the specialist.
Evidenced by SAS getting
referrals for discipline.
Faculty presentation has
been conducted and faculty
members are aware of
ATOD policy.
Rating 3:
Proficient
 School administration articulates
value in effective policy and
procedure to ATOD offenses.
 “Alternative to suspension”
disciplinary process has been
integrated within the school
setting and is maintained each
year as part of the disciplinary
procedures. Evidenced by SAS
providing ongoing guidance and
is involved in the referral
process and informed.
 Presentations on SAPISP
components and policy review is
well integrated into the school
setting. The majority of faculty
have a clear understanding of
the ATOD policy and make
appropriate referrals.
Rating 4:
Distinguished
 Articulates to school board,
building administration, faculty,
parents and community
partner’s effective policy and
procedures that address student
use, distribution, sale and
manufacturing of substances.
 The policy includes a clear
statement that disciplinary
sanctions up to and including
expulsion and referral for
prosecution for students that
violate code of conduct.
 Has implemented a parent
component that includes
information and education to
parents regarding effective
prevention/intervention
parenting strategies.
 Staff have not pursued or
advanced knowledge related
to Student Assistance
Program.
 Staff maintains required
hours for certification and/or
attends all required trainings
offered through the
Educational Service District.
 Staff identifies and participates
in professional development
opportunities to further enhance
skills and knowledge.
 Has not hosted/provided a
presentation or training to
faculty.
 Has provided 1-2 faculty
presentations (for the
school year) specific to
increasing knowledge or
skills about Student
Assistance Services. (See
above staff development for
faculty as list of options).
 Faculty presentations are
integrated within the school
setting to provide information
to school faculty on a regular
basis.
 Works with supervisor to
sponsor a professional
development event that
includes clock hours for
educators (3 hours or more).
 Staff consistently seeks out
information, research, and
professional development to
maintain ongoing and
continuous improvement in
knowledge and skill level.
 Shares with peers and
supervisor information that adds
value to the profession.
 Works with community
partners and promotes
trainings offered though the
community within the school
setting.
 Plans and develops
professional development
training schedule for educators
that is integrated as part of
educator’s professional
development.




STAFF DEVELOPMENT
SAS KNOWLEDGE
STAFF DEVELOPMENT
FOR SCHOOL FACULTY
Rating 1:
Unsatisfactory
Lacks knowledge about
effective policy and
procedure.
Lacks knowledge in required
school policy related to ATOD
offenses.
“Alternative to suspension”
disciplinary process is not in
place at the school served by
the specialists.
Has not presented to school
faculty about policy and
referral and few school staff
have a clear understanding of
the ATOD policy.




Staff Development 85
PROGRAM
AWARENESS
Includes Prevention
Groups and
Students Against
Destructive
Decisions (SADD)
Groups
INTERNAL
REFERRAL
PROCESS
(Screening)
Rating 1:
Unsatisfactory
 Has not coordinated/sponsored
a large awareness event.
 Has not engaged school/
community partners in
awareness activities.
 Student classroom
presentation are limited or
nonexistent.
Rating 2:
Basic
 Coordinates at a minimum one
large (all school) awareness
event that reaches all students
within the school setting.
 Hosts events involving school
and community partners.
 Implements and delivers a
prevention education series, as
assigned by supervisor.
Referrals are not being made to
22
the SAS and caseload is low
Faculty as well as school
administrators make referrals to the
SAS. This is evidenced by the
majority of referrals recorded.
SCREENING COMPENTENCY
 Needs further training on the
use of appropriate screening
protocol.
 Supervisor staff’s with SAS
for identification of risk and
placement of youth in
appropriate school-based and
community based services.
 Supervise or assist with
coaching staff on appropriate
intervention methods and
ongoing follow-up and the
potential need for consecutive
and sequential intervention.
22
SCREENING COMPENTENCY
 Follows appropriate screening
protocol.
 Identifies risks according to
screening protocol and places
youth in appropriate schoolbased or community based
services with little guidance and
direction from supervisor.
 Demonstrates various
intervention methods and
differentiate when appropriate.
 Possesses the ability to identify
and plan for ongoing follow-up
and the potential need for
consecutive and sequential
intervention.
Rating 3:
Proficient
 Awareness events are
integrated within the school
setting. Planning and
involvement for the events
include both faculty and
students.
 Partnerships are well
established with community
stakeholders and events are
planned jointly.
 Prevention education series is
implemented and other
classroom presentations take
place throughout the school
year.
 Faculty makes regular
referrals to the SAPISP and is
well informed by the SAS on
the referral process. This is
evidenced by the majority of
referrals recorded coming
from faculty.
 Faculty education on the
referral process and signs
and symptoms is integrated
into the school setting
 Referrals include student and
self-referrals.
SCREENING COMPENTENCY
 Ability to screen efficiently
and proficiently without
guidance from supervisor.
 Identifies and places youth in
appropriate school-based and
community-based services
according to GAIN SS.
Rating 4:
Distinguished
 Majority of awareness events
are coordinated with community
and school staff who take on a
lead role in assisting the SAS.
 Awareness activities stretch
beyond the school-day and
include athletic events and other
extra curricula activities.
 Has the ability to train/mentor
others on how to establish a
referral/screening process.
 Peers contact SAS to case
consult on students who are
screened and need to be
referred.
 Has the ability to engage and
enroll students in services and
carry a high caseload of student
and self-referrals.
Minimum number of students to be served if in building: 2 days = 20; 2.5- 3 days = 30 and 5 days = 50
Staff Development 86
Rating 1:
Unsatisfactory
 Has limited connection to an
operating and functioning SAT
 Referrals are made in isolation
of a Response to Intervention
(RTI) framework.
Rating 2:
Basic
 SAS is part of a SAT where
referrals are staffed. The team
may not be formalized but a
system for staffing is in place.
STUDENT
ASSISTANCE
PROGRAM
EVALUATION
 Evaluation data is not
consistently entered into the
Web-Based reporting system.
 Ability to enter data into WebBased reporting system with
little assistance.
 Data is entered on a monthly
basis and student pre/postevaluation sheets are sent in
monthly.
 Data is used shared with
building and/or district
administration.

EDUCATIONAL
SUPPORT GROUP
(Selective and
Indicated)
 Direction from supervisor is
needed to organize groups and
properly screen as well as
place in appropriate groups
settings.
 Direction from supervisor is
needed to develop content for
support groups.
 Demonstrated the ability to
organize groups according to
target populations.
 Students are properly screened
and placed in appropriate
groups settings.
 Each support group has clear
goals and objectives for student
learning, outcome measures for
student progress, and focused
on removing barriers to
academic learning.
 Groups have been integrated
into the school setting and are
part of the SAP programming.
 Faculty are aware of support
group goals and objectives
and see value in SAP
services as it addresses
barriers to academic learning.
STUDENT
ASSISTANCE
TEAM



Rating 3:
Proficient
SAS is part of a SAT that is
formalized and meets on a
regular basis to staff student
referrals and concerns.
The RTI framework is being
used as a means to monitor
student progress and identify
strategies to inform the
school, students, parents and
community of the SAP team
process.
Data is entered on time
consistently and student
pre/post-evaluation sheets
are submitted monthly.
Generates and utilize on-line
performance reports by
incorporating results of SAP
evaluation in program.
planning, service delivery and
improvement with little
guidance from supervisor.
Rating 4:
Distinguished
 SAS is an active member of the
RTI SAT at the school.
 Demonstrates strategies for
selecting, integrating, retaining,
and rotating team members.
 Evaluation data is used for
presentations to students,
faculty, parents and community
partners on an ongoing basis
without supervisor direction or
guidance.
 SAS provides guidance and
provides group activity content
and ideas to peers.
 School expects and sees value
in support groups as part of
schoolwide efforts to address
barriers to learning.
 Faculty receive
information/education through
faculty presentations on benefits
of support groups in addressing
barriers to academic learning.
Staff Development 87
EDUCATIONAL
SUPPORT GROUPS
Continued23.
COOPERATION
AND
COLLABORATION
Rating 1:
Unsatisfactory
 Core groups (At-Risk,
COSAP, Intervention, and
Recovery Support) are not
offered on a consistent basis.
 Staff continually struggle to
get referrals for group and
meet target number of
students to be served by the
SAS in the building.
 Works in isolation. SAP
program is a one person
program with little or no
involvement from school staff.
 RMC data indicates few
referrals were made to
outside services and there
was minimal student follow
through.
 Relationships have not been
established with local service
agencies and coalitions.






Rating 2:
Basic
Core groups (At-Risk, COSAP,
Intervention, Recovery Support)
are offered according to the
minimal expectations.
SAS is able to articulate,
pursue, and gain support for a
pull-out model to best serve
youth within the school system.
Staff consistently remain on
target for number of students to
be served by the SAS in the
building.
Referral process is implemented
within the school setting that
includes referrals from
administration for discipline
violation and faculty.
RMC data indicates students
and families are being referred
in the appropriate services in
community for ATOD and
mental health assessments and
treatment.
Relationships have been
established with local service
agencies and coalitions.
Rating 3:
Proficient
 Core groups (At-Risk,
COSAP, Intervention,
Recovery Support) are
implemented according to
expectations and additional
groups (i.e. coping, gang
prevention, social skills etc.)
are offered.
Rating 4:
Distinguished
 Group offerings have been
expanded beyond the three
primary core groups based on
identified needs within the
school setting.
 Staff exceeds expected number
of group offerings.
 Utilized community partners and
services to provide groups and
also present to students in the
groups the SAS provides.
 Referral process is
implemented within the school
setting. Referrals are also
made by students, and
parents. Referrals include
youth at –risk of dropping out,
failing academically, social,
emotional and behavioral
issues and/or have
attendance problems.
 RMC data indicates the
majority of student’s access
services when identified with
a substance use or mental
health issue.
 Youth are referred for ATOD
and mental health
assessments and treatment
24
as needed .
 SAS actively meets with local
service agencies to case
consult and coordinate
services.
 The referral process is well
integrated into the school
system. Administration and
faculty report they cannot live
without the service.
 SAS can take a lead role in
training/providing staff with
information on how to work with
school staff to include discipline
referrals related to youth at-risk
of dropping out, failing
academically, social, emotional
and behavioral issues and/or
have attendance problems.
 RMC data shows thoroughness
in program case management
and consistent follow through by
the SAS.
 Positive working relationships
are maintained with local
service agencies.
 Community partnerships are
well integrated and part of
prevention efforts.
23
The expected number of groups if 2 days minimum is 2 groups per week and 4 groups per year; and 5 days per week 3 groups per week minimum is 6 groups
per year. However, Supervisor may change expectations depending on school readiness, climate, and number of disciplinary referrals/grouping needs.
24
Exception, if treatment services are not available, transportation is a variable or other related barrier due to rural locations, and supervisor is informed.
Staff Development 88
CULTURAL
COMPENETNCY
Includes Ethnicity,
gender, Social
Economic,
Community
Dynamics, Mental
Health (social,
emotional and
behavioral), COSAP’s,
ACE’s, LGBTQ and
Military families.
Rating 1:
Unsatisfactory
 Demonstrates minimal
awareness of local diversity
issues and how they impact
school climate.
 Possesses limited
knowledge in regards
culturally competent
communication skills.
 Demonstrates minimal
knowledge regarding
diversity of culture,
ethnicity, socio-economic,
gender, religion etc.
Rating 2:
Basic
 Shows a basic understanding of
local diversity issues and how
they impact the school climate.
 Identifies own cultural rules and
biases and the impact it can
have on providing counseling
support services.
 Understands cultural
competency and is able to
appropriately and effectively
communicate with students and
families
.






PROFESSIONALISM,
LAWS AND
REGULATIONS
 Does not know legal rights
of parents/caregivers and
students in the SAP (i.e.
HIPPA, FERPA and
Federal Confidentiality
laws).
 Does not understand the
laws related to
confidentiality and release
of records.
 Possesses the ability to identify
legal rights of
parents/caregivers and students
in the SAP process (i.e. HIPPA,
FERPA and Federal
Confidentiality laws).
 Understands laws regulating
confidentiality and release of
records.



Rating 3:
Proficient
Recognizes and understands
the local community and school
cultural and issues in regards to
the impact on school climate.
Possesses the ability to identify
and discuss the factors that help
to define the culture of each
individual student and family.
Identifies and uses professional
practices that respect the
diversity of each student and
family.
SAS understands their own
strengths, needs, and
boundaries when working with
each student and family.
Demonstrates culturally
competent communication skills
with students and families.
Continues to explores at a
deeper level cultural and social
justice issue as it applies to
providing se.
Possesses a clear at
understanding of the legal rights
of parents/caregivers and
students in the SAP process
(i.e. HIPPA, FERPA and
Federal Confidentiality laws).
Is able to provide examples of
when such laws come into effect
in providing services.
Understands the purpose and
application of confidentiality
laws and demonstrates the
ability to work within the
restrictions of confidentiality and
educating others without
violating confidence.




Rating 4:
Distinguished
Provides guidance and
consults with peers on the
local community cultural and
how they impact the school
climate.
Possesses the ability to
articulate insights into own
cultural rules and biases and
recognizes how to respond to
cultural biases.
Seen as a resource by peers
to case consult on cultural
issues, strategies and ideas.
Initiates and develops
interactions with diverse
groups of people and.
suspends judgments in
valuing interactions with the
diversity of others.
 Demonstrates the ability to
provide guidance to peers on
practical implications of legal
rights of parents/caregivers
and students in the SAP
process.
 Complies with all components
of program implementation
related to the laws regulating
confidentiality and release of
records.
Staff Development 89
ENGAGING
PARENTS/CARE
GIVERS IN THE SAP
PROCESS
Rating 1:
Unsatisfactory
 Needs guidance and
structure from supervisor to
identify strategies for
establishing and
maintaining working
relationships with
parents/caregivers.
Rating 2:
Basic
 Engages the majority of parents/
caregivers in the SAP process.
 Identifies strategies for
establishing and maintaining
working relationships with
parents/caregivers.




Rating 3:
Proficient
Thoroughly understands the
purpose and importance
engaging the parents/
caregivers in the SAP process.
Develops intervention strategies
based on the identification of the
students and
parent’s/caregivers level of
motivation and the level of
concern regarding the student’s
observable behaviors.
Utilizes multiple strategies for
establishing and maintaining
working relationships with
parents/caregivers.
Has the ability to describe
adaptations and considerations
needed for culturally
effective/competent
communication with
parents/caregivers.




Rating 4:
Distinguished
Possesses the Ability to
train others and serve as a
role model to peers in
engaging parents/
caregivers in the SAP
process.
Utilizes the stages of
change as they relate to
students and parents/
caregiver motivation to
intervene on substance
using/abusing/dependent
youth and families.
Consistently is involved
with, and working with,
parents/caregivers in efforts
to better the family system.
Ability to adapt intervention
strategies with family
system/culture.
Staff Development 90
SUGGESTED ETHICAL GUIDELINES & STANDARDS OF PRACTICE
Philosophy Statement for Student Assistance Programs
A Student Assistance Program (SAP) is a school based comprehensive prevention and
intervention program for students that utilize a response to intervention system to address the
educational, SEBH barriers which interfere with student learning, and works to enhance the
developmental assets of students. This professional, systematic process is designed to provide
education, universal prevention, early identification and intervention, intensive support services
and referral, for students exhibiting vulnerable behaviors which are interfering with their
education. The positive influence of Student Assistance Programs encourages student success
in a safe school environment, provides skills development, risk reduction and fosters positive
asset and resiliency development.
The primary services provided under a Student Assistance Program are delivered by the
Student Assistance Specialist who has a counseling background with specific training in the
field of addictions including SEBH issues. Therefore, it is recommended that the SAS and
project coordinators follow The National Associations of Alcohol and Drug Abuse Counselors
(NAADAC) of which the National Student Assistance Association merged with in 2011. In
addition, SAS and project coordinators should be aware of and use as a guide the Washington
State’s Department of Licensing unprofessional conduct regulations. Both the ethics and
unprofessional conduct regulations are provided below.
Introduction to NAADAC Ethical Standards25
Ethics are generally regarded as the standards that govern the conduct of a person. Smith and
Hodges define ethics as a “human reflecting self-consciously on the act of being a moral
being.” This implies a process of self-reflection and awareness of how to behave as a moral
being. Some definitions are dictated by law, individual belief systems, religion or a mixture of all
three.
NAADAC recognizes that its members and certified counselors live and work in many diverse
communities. NAADAC has established a set of ethical best-practices that apply to universal
ethical deliberation. Further, NAADAC recognizes and encourages the notion that personal and
professional ethics cannot be dealt with as separate domains. NAADAC members, addiction
professionals and/or licensed/certified treatment providers (subsequently referred to as
addiction professionals) recognize that the ability to do well is based on an underlying concern
for the well-being of others. This concern emerges from recognition that we are all stakeholders
in each other's lives - the well-being of each is intimately bound to the well-being of all; that
when the happiness of some is purchased by the unhappiness of others, the stage is set for the
misery of all. Addiction professionals must act in such a way that they would have no
embarrassment if their behavior became a matter of public knowledge and would have no
difficulty defending their actions before any competent authority.
The NAADAC Code of Ethics was written to govern the conduct of its members and it is the
accepted standard of conduct for addiction professionals certified by the National Certification
25
Source: Excerpt from The National Association for Addiction Professionals Code of Ethics. Retrieved (4/10/2012)
from www.naadac.org/resource/codeofethics.
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Commission. The code of ethics reflects ideals of NAADAC and its members. When an ethics
complaint is filed with NAADAC, it is evaluated by consulting the NAADAC Code of Ethics. The
NAADAC Code of Ethics is designed as a statement of the values of the profession and as a
guide for making clinical decisions. This code is also utilized by state certification boards and
educational institutions to evaluate the behavior of addiction professionals, and to guide the
certification process.
The Revised Code of Ethics is divided under major headings and standards. The sections
utilized are: The Counseling Relationship, Evaluation, Assessment and Interpretation of Client
Data, Confidentiality/Privileged Communication and Privacy, Professional
Responsibility, Working in a Culturally Diverse World Workplace Standards Supervision and
Consultation, Resolving Ethical Issues, Communication and Published Works Policy, and
Political Involvement.
I. The Counseling Relationship
It is the responsibility of the addiction professional to safeguard the integrity of the counseling
relationship and to ensure that the client is provided with services that are most beneficial. The
client will be provided access to effective treatment and referral giving consideration to
individual educational, legal and financial resources needs. Addiction professionals also
recognize their responsibility to the larger society and any specific legal obligations that may, on
limited occasions, supersede loyalty to clients. The addiction professional shall provide the
client and/or guardian with accurate and complete information regarding the extent of the
potential professional relationship. In all areas of function, the addiction professional is likely to
encounter individuals who are vulnerable and exploitable. In such relationships he/she seeks to
nurture and support the development of a relationship of equals rather than to take unfair
advantage. In personal relationships, the addiction professional seeks to foster self-sufficiency
and healthy self-esteem in others. In relationships with clients he/she provides only that level
and length of care that is necessary and acceptable.
Standard 1: Client Welfare
The addiction professional understands that the ability to do good is based on an underlying
concern for the well-being of others. The addiction professional will act for the good of others
and exercise respect, sensitivity and insight. The addiction professional understands that the
primary professional responsibility and loyalty is to the welfare of his or her clients, and will work
for the client irrespective of who actually pays his/her fees.
1.
2.
3.
4.
The addiction professional understands and supports actions that will assist clients to a
better quality of life, greater freedom and true independence.
The addiction professional will support clients in accomplishing what they can readily do
for themselves. Likewise, the addiction professional will not insist on pursuing treatment
goals without incorporating what the client perceives as good and necessary.
The addiction professional understands that suffering is unique to a specific individual
and not of some generalized or abstract suffering, such as might be found in the
understanding of the disorder. On that basis, the action taken to relieve suffering must
be uniquely suited to the suffering individual and not simply some universal prescription.
Services will be provided without regard to the compensation provided by the client or by
a third party and shall render equally appropriate services to individuals whether they are
paying a reduced fee or a full fee or are waived from fees.
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Standard 2: Client Self Determination
The addiction professional understands and respects the fundamental human right of all
individuals to self-determination and to make decisions that they consider in their own best
interest. In that regard, the counselor will be open and clear about the nature, extent, probable
effectiveness and cost of those services to allow each individual to make an informed decision
about his or her care. The addiction professional works toward increased competence in all
areas of professional functioning; recognizing that at the heart of all roles is an ethical
commitment contributing greatly to the well-being and happiness of others. He/she is
especially mindful of the need for faithful competence in those relationships that are termed
fiduciary - relationships of special trust in which the clients generally do not have the
resources to adequately judge competence.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
The addiction professional will provide the client and/or guardian with accurate and
complete information regarding the extent of the potential professional relationship,
including the Code of Ethics and documentation regarding professional loyalties and
responsibilities.
Addiction professionals will provide accurate information about the efficacy of treatment
and referral options available to the client.
The addiction professional will terminate work with a client when services are no longer
required or no longer serve the client’s best interest.
The addiction professional will take reasonable steps to avoid abandoning clients who
are in need of services. Referral will be made only after careful consideration of all
factors to minimize adverse effects.
The addiction professional recognizes that there are clients with whom he/she cannot
work effectively. In such cases, arrangements for consultation, co-therapy or referral are
made.
The addiction professional may terminate services to a client for nonpayment if the
financial contractual arrangements have been made clear to the client and if the client
does not pose an imminent danger to self or others. The addiction professional will
document discussion of the consequences of nonpayment with the client.
When an addiction professional must refuse to accept the client due to inability to pay for
services, ethical standards support the addiction professional in attempting to identify
other care options. Funding constraints might interfere with this standard.
The addiction professional will refer a client to an appropriate resource when the client’s
mental, spiritual, physical or chemical impairment status is beyond the scope of the
addiction professional's expertise.
The addiction professional will foster self-sufficiency and healthy self-esteem in others.
In relationships with clients, students, employees and supervisors, he/she strives to
develop full creative potential and mature, independent functioning.
Informed Consent: The addiction professional understands the client’s right to be
informed about treatment. Informed consent information will be presented in clear and
understandable language that informs the client or guardian of the purpose of the
services, risks related to the services, limits of services due to requirements from a third
party payer, relevant costs, reasonable alternatives and the client’s right to refuse or
withdraw consent within the time frames covered by the consent. When serving coerced
clients, the addiction professional will provide information about the nature and extent of
services, treatment options and the extent to which the client has the right to refuse
services. When services are provided via technology such as computer, telephone or
web-based counseling, clients are fully informed of the limitations and risks associated
with these services. Client questions will be addressed within a reasonable time frame.
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11.
Clients will be provided with full disclosure including the guarantee of confidentiality if
and when they are to receive services by a supervised person in training. The consent to
treat will outline the boundaries of the client-supervisee relationship, the supervisee’s
training status and confidentiality issues. Clients will have the option of choosing not to
engage in services provided by a trainee as determined by agency policies. Any
disclosure forms will provide information about grievance procedures.
Standard 3: Dual Relationships
The addiction professional understands that the goal of treatment services is to nurture and
support the development of a relationship of equals of individuals to ensure protection and
fairness of all parties.
Addiction professionals will provide services to clients only in the context of a professional
setting. In rural settings and in small communities, dual relationships are evaluated carefully and
avoided as much as possible.
1.
Because a relationship begins with a power differential, the addiction professional will
not exploit relationships with current or former clients, current or former supervisees or
colleagues for personal gain, including social or business relationships.
2. The addiction professional avoids situations that might appear to be or could be
interpreted as a conflict of interest. Gifts from clients, other treatment organizations or
the providers of materials or services used in the addiction professional's practice will
not be accepted, except when refusal of such gift would cause irreparable harm to the
client relationship. Gifts of value over $25 will not be accepted under any circumstances.
3. The addiction professional will not engage in professional relationships or commitments
that conflict with family members, friends, close associates or others whose welfare
might be jeopardized by such a dual relationship.
4. The addiction professional will not, under any circumstances, engage in sexual behavior
with current or former clients.
5. The addiction professional will not accept as clients anyone with whom they have
engaged in romantic or sexual relationships.
6. The addiction professional makes no request of clients that does not directly pertain to
treatment (giving testimonials about the program or participating in interviews with
reporters or students).
7. The addiction professional recognizes that there are situations in which dual
relationships are difficult to avoid. Rural areas, small communities and other situations
necessitate discussion of the counseling relationship and take steps to distinguish the
counseling relationship from other interactions.
8. When the addiction professional works for an agency such as department of corrections,
military, an HMO or as an employee of the client’s employer, the obligations to external
individuals and organizations are disclosed prior to delivering any services.
9. The addiction professional recognizes the challenges resulting from increased role of the
criminal justice system in making referrals for addiction treatment. Consequently he/she
strives to remove coercive elements of such referrals as quickly as possible to
encourage engagement in the treatment and recovery process.
10. The addiction professional encourages self-sufficiency among clients in making daily
choices related to the recovery process and self-care.
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11. The addiction professional shall avoid any action that might appear to impose on others’
acceptance of their religious/spiritual, political or other personal beliefs while also
encouraging and supporting Participation in recovery support groups.
Standard 4: Group Standards
Much of the work conducted with substance use disorder clients is performed in group settings.
Addiction professionals shall take steps to provide the required services while providing clients
physical, emotional, spiritual and psychological health and safety.
1. Confidentiality standards are established for each counseling group by involving the
addiction professional and the clients in setting confidentiality guidelines.
2. To the extent possible, addiction professionals will match clients to a group in which
other clients have similar needs and goals.
Standard 5: Preventing Harm
The addiction professional understands that every decision and action has ethical implication
leading either to benefit or harm, and will carefully consider whether decisions or actions have
the potential to produce harm of a physical, psychological, financial, legal or spiritual nature
before implementing them. The addiction professional recognizes that even in a life well lived,
harm may be done to others by thoughtless words and actions, If he/she becomes aware that
any word or action has done harm to anyone, he/she readily admits it and does what is possible
to repair or ameliorate the harm except where doing so might cause greater harm.
1. The addiction professional counselor will refrain from using any methods that could be
considered coercive such as threats, negative labeling and attempts to provoke shame
or humiliation.
2. The addiction professional develops treatment plans as a negotiation with the client,
soliciting the client’s input about the identified issues/needs, the goals of treatment and
the means of reaching treatment goals.
3. The addiction professional will make no requests of clients that are not necessary as
part of the agreed treatment plan. At the beginning of each session, the client will be
informed of the intent of the session. Collaborative effort between the client and the
addiction professional will be maintained as much as possible.
4. The addiction professional will terminate the counseling or consulting relationship when
it is reasonably clear that the client is not benefiting from the exchange.
5. The addiction professional understands the obligation to protect individuals, institutions
and the profession from harm that might be done by others. Consequently there is
awareness when the conduct of another individual is an actual or likely source of harm to
clients, colleagues, institutions or the profession. The addiction professional will assume
an ethical obligation to report such conduct to competent authorities.
6. The addiction professional defers to review by a human subjects committee (Institutional
Review Board) to ensure that research protocol is free of coercion and that the informed
consent process is followed. Confidentiality and deceptive practices are avoided except
when such procedures are essential to the research protocol, and are approved by the
designated review board or committee.
7. When research is conducted, the addiction professional is careful to ensure that
compensation to subjects is not as great or attractive as to distort the client’s ability to
make free decisions about Participation.
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II. Evaluation, Assessment and Interpretation of Client Data
The addiction professional uses assessment instruments as one component of the
counseling/treatment process taking into account the client’s personal and cultural background.
The assessment process promotes the well-being of individual clients or groups. Addiction
professionals base their recommendations/reports on approved evaluation instruments and
procedures. The designated assessment instruments are ones for which reliability has been
verified by research.
Standard 1: Scope of Competency
The addiction professional uses only those assessment instruments for which they have been
adequately trained to administer and interpret.
Standard 2: Informed Consent
Addiction professionals obtain informed consent documentation prior to conducting the
assessment except when such assessment is mandated by governmental or judicial entities and
such mandate eliminates the requirement for informed consent.
When the services of an interpreter are required, addiction professionals must obtain informed
consent documents and verification of confidentiality from the interpreter and client.
Addiction professionals shall respect the client’s right to know the results of assessments and
the basis for conclusions and recommendations. Explanation of assessment results is provided
to the client and/or guardian unless the reasons for the assessment preclude such disclosure or
if it is deemed that such disclosure will cause harm to the client
Standard 3: Screening
The formal process of identifying individuals with particular issues/needs or those who are at
risk for developing problems in certain areas is conducted as a preliminary procedure to
determine whether or not further assessment is warranted at that time.
Standard 4: Basis for Assessment
Assessment tools are utilized to gain needed insight in the formulation of the most appropriate
treatment plan. Assessment instruments are utilized with the goal of gaining an understanding
of the extent of a person’s issues/needs and the extent of addictive behaviors.
Standard 5: Release of Assessment Results
Addiction professionals shall consider the examinee’s welfare, explicit understanding of the
assessment process and prior agreements in determining where and when to report
assessment results. The information shared shall include accurate and appropriate
interpretations when individual or group assessment results are reported to another entity.
Standard 6: Release of Data to Qualified Professionals
Information related to assessments is released to other professionals only with a signed release
of information form or such a release from the client’s legal representative. Such information is
released only to persons recognized as qualified to interpret the data.
Standard 7: Diagnosis of Mental Health Disorders
Diagnosis of mental health disorders shall be performed only by an authorized mental health
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professional licensed or certified to conduct mental health assessments or by a licensed or
certified addictions counselor who has completed graduate level specific education on diagnosis
of mental health disorders.
Standard 8: Unsupervised Assessments
Unless the assessment instrument being used is designed, intended and validated for selfadministration and/or scoring, addiction professional administered tests will be chosen and
scored following the recommended methodology.
Standard 9: Assessment Security
Addiction professionals maintain the integrity and security of tests and other assessment
procedures consistent with legal and contractual obligations.
Standard 10: Outdated Assessment Results
Addiction professionals avoid reliance on outdated or obsolete assessment instruments.
Professionals will seek out and engage in timely training and/or education on the administration,
scoring and reporting of data obtained through assessment and testing procedures. Intake data
and other documentation obtained from clients to be used in recommending treatment level and
in treatment planning are reviewed and approved by an authorized mental health professional or
a licensed or qualified addiction professional with specific education on assessment and testing.
Standard 11: Cultural Sensitivity Diagnosis
Addiction professionals recognize that cultural background and socioeconomic status impact the
manner in which client issues/needs are defined. These factors are carefully considered when
making a clinical diagnosis. Assessment procedures are chosen carefully to ensure appropriate
assessment of specific client populations. During assessment the addiction professional shall
take appropriate steps to evaluate the assessment results while considering the culture and
ethnicity of the persons being evaluated.
Standard 12: Social Prejudice
Addiction professionals recognize the presence of social prejudices in the diagnosis of
substance use disorders and are aware of the long term impact of recording such diagnoses.
Addiction professionals refrain from making and/or reporting a diagnosis if they think it would
cause harm to the client or others.
III. Confidentiality/Privileged Communication and Privacy
Addiction professionals shall provide information to clients regarding confidentiality and any
reasons for releasing information in adherence with confidentiality laws. When providing
services to families, couples or groups, the limits and exceptions to confidentiality must be
reviewed and a written document describing confidentiality must be provided to each person.
Once private information is obtained by the addiction professional, standards of confidentiality
apply. Confidential information is disclosed when appropriate with valid consent from a client or
guardian. Every effort is made to protect the confidentiality of client information, except in very
specific cases or situations.
1.
The addiction professional will inform each client of the exceptions to confidentiality and
only make a disclosure to prevent or minimize harm to another person or group, to
prevent abuse of protected persons, when a legal court order is presented, for purpose of
research, audit, internal agency communication or in a medical emergency. In each
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2.
3.
4.
5.
6.
7.
situation, only the information essential to satisfy the reason for the disclosure is
provided.
The addiction professional will do everything possible to safeguard the privacy and
confidentiality of client information, except where the client has given specific, written,
informed and limited consent or when the client poses a risk of harm to themselves or
others.
The addiction professional will inform the client of his/her confidentiality rights in writing
as a part of informing the client of any areas likely to affect the client’s confidentiality.
The addiction professional will explain the impact of electronic records and use of
electronic devices to transmit confidential information via fax, email or other electronic
means. When client information is transmitted electronically, the addiction professional
will, as much as possible, utilize secure, dedicated telephone lines or encryption
programs to ensure confidentiality.
Clients are to be notified when a disclosure is made, to whom the disclosure was made
and for what purposes.
The addiction professional will inform the client and obtain the client's agreement in areas
likely to affect the client's Participation including the recording of an interview, the use of
interview material for training purposes and/or observation of an interview by another
person.
The addiction professional will inform the client(s) of the limits of confidentiality prior to
recording an interview or prior to using information from a session for training purposes.
IV. Professional Responsibility
The addiction professional espouses objectivity and integrity and maintains the highest
standards in the services provided. The addiction professional recognizes that effectiveness in
his/her profession is based on the ability to be worthy of trust. The professional has taken time
to reflect on the ethical implications of clinical decisions and behavior using competent authority
as a guide. Further, the addiction professional recognizes that those who assume the role of
assisting others to live a more responsible life take on the ethical responsibility of living a life
that is more than ordinarily responsible. The addiction professional recognizes that even in a life
well-lived, harm might be done to others by words and actions. When he/she becomes aware
that any work or action has done harm, he/she admits the error and does what is possible to
repair or ameliorate the harm except when to do so would cause greater harm. Professionals
recognize the many ways in which they influence clients and others within the community and
take this fact into consideration as they make decisions in their personal conduct.
Standard 1: Counselor Attributes
1.
2.
3.
Addiction professionals will maintain respect for institutional policies and management
functions of the agencies and institutions within which the services are being performed,
but will take initiative toward improving such policies when it will better serve the interest
of the client.
The addiction professional, as an educator, has a primary obligation to help others
acquire knowledge and skills in treating the disease of substance use disorders.
The addiction professional, as an advocate for his or her clients, understands that
he/she has an obligation to support legislation and public policy that recognizes
treatment as the first intervention of choice for nonviolent substance-related offenses.
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4.
The addiction professional practices honesty and congruency in all aspects of practice
including accurate billing for services, accurate accounting of expenses, faithful and
accurate reporting of interactions with clients and accurate reporting of professional
activities.
5. The addiction professional recognizes that much of the property in the substance use
disorder profession is intellectual in nature. In this regard, the addiction professional is
careful to give appropriate credit for the ideas, concepts and publications of others when
speaking or writing as a professional and as an individual.
6. The addiction professional is aware that conflicts can arise among the duties and rights
that are applied to various relationships and commitments of his/her life. Priorities are
set among those relationships and family, friends and associates are informed to the
priorities established in order to balance these relationships and the duties flowing from
them.
7. When work involves addressing the needs of potentially violent clients, the addiction
professional will ensure that adequate safeguards are in place to protect clients and staff
from harm.
8. Addiction professionals shall continually seek out new and effective approaches to
enhance their professional abilities including continuing education research, and
Participation in activities with professionals in other disciplines. Addiction professionals
have a commitment to lifelong learning and continued education and skills to better
serve clients and the community.
9. The addiction professional respects the differing perspectives that might arise from
professional training and experience other than his/her own. In this regard, common
ground is sought rather than striving for ascendance of one opinion over another.
10. Addiction professionals, whether they profess to be in recovery or not, must be
cognizant of ways in which their use of psychoactive chemicals in public or in private
might adversely affect the opinion of the public at large, the recovery community, other
members of the addiction professional community or, most particularly, vulnerable
individuals seeking treatment for their own problematic use of psychoactive chemicals.
Addiction professionals who profess to be in recovery will avoid impairment in their
professional or personal lives due to psychoactive chemicals. If impairment occurs, they
are expected to immediately report their impairment, to take immediate action to
discontinue professional practice and to take immediate steps to address their
impairment through professional assistance. (See Standard 2, item 3 below).
Standard 2: Legal and Ethical Standards
Addiction professionals will uphold the legal and ethical standards of the profession by being
fully cognizant of all federal laws and laws that govern practice of substance use disorder
counseling in their respective state. Furthermore, addiction professionals will strive to uphold not
just the letter of the law and the Code, but will espouse aspirational ethical standards such as
autonomy, beneficence, nonmalfeasance, justice, fidelity and veracity.
1.
2.
3.
Addiction professionals will honestly represent their professional qualifications,
affiliations, credentials and experience.
Any services provided shall be identified and described accurately with no
unsubstantiated claims for the efficacy of the services. Substance use disorders are to
be described in terms of information that has been verified by scientific inquiry.
The addiction professional strives for a better understanding of substance use disorders
and refuses to accept supposition and prejudice as if it were the truth.
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4.
5.
6.
7.
The impact of impairment on professional performance is recognized; addiction
professionals will seek appropriate treatment for him/herself or for a colleague. Addiction
professionals support the work of peer assistance programs to assist in the recovery of
colleagues or themselves.
The addiction professional will ensure that products or services associated with or
provided by the member by means of teaching, demonstration, publications or other
types of media meet the ethical standards of this code.
The addiction professional who is in recovery will maintain a support system outside the
work setting to enhance his/her own well-being and personal growth as well as
promoting continued work in the professional setting.
The addiction professional will maintain appropriate property, life and malpractice
insurance policies that serve to protect personal and agency assets.
Standard 3: Records and Data
The addiction professional maintains records of professional services rendered, research
conducted, interactions with other individuals, agencies, legal and medical entities
regarding professional responsibilities to clients and to the profession as a whole.
1. The addiction professional creates, maintains, disseminates, stores, retains and
disposes of records related to research, practice, payment for services, payment of
debts and other work in accordance with legal standards and in a manner that
permits/satisfies the ethics standards established. Documents will include data
relating to the date, time and place of client contact, the services provided, referrals
made, disclosures of confidential information, consultation regarding the client,
notation of supervision meetings and the outcome of every service provided.
2. Client records are maintained and disposed of in accordance with law and in a
manner that meets the current ethical standards.
3. Records of client interactions including group and individual counseling services are
maintained in a document separate from documents recording financial transactions
such as client payments, third party payments and gifts or donations.
4. Records shall be kept in a locked file cabinet or room that is not easily accessed by
professionals other than those performing essential services in the care of clients or
the operation of agency.
5. Electronic records shall be maintained in a manner that assures consistent service
and confidentiality to clients.
6. Steps shall be taken to ensure confidentiality of all electronic data and transmission
of data to other entities.
7. Notes kept by the addiction professional that assist the professional in making
appropriate decisions regarding client care but are not relevant to client services
shall be maintained in separate, locked locations.
Standard 4: Interprofessional Relationships
The addiction professional shall treat colleagues with respect, courtesy, fairness and good faith
and shall afford the same to other professionals.
1.
Addiction professionals shall refrain from offering professional services to a client in
counseling with another professional except with the knowledge of the other professional
or after the termination of the client's relationship with the other professional.
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2.
3.
The addiction professional shall cooperate with duly constituted professional ethics
committees and promptly supply necessary information unless constrained by the
demands of confidentiality.
The addiction professional shall not in any way exploit relationships with supervisees,
employees, students, research participants or volunteers.
V. Working in a Culturally Diverse World
Addiction professionals, understand the significance of the role that ethnicity and culture plays in
an individual’s perceptions and how he or she lives in the world. Addiction professionals shall
remain aware that many individuals have disabilities which may or may not be obvious. Some
disabilities are invisible and unless described might not appear to inhibit expected social, work
and health care interactions. Included in the invisible disabled category are those persons who
are hearing impaired, have a learning disability, have a history of brain or physical injuries and
those affected by chronic illness. Persons having such limitations might be younger than age
65. Part of the intake and assessment must then include a question about any additional factor
that must be considered when working with the client.
1.
2.
Addiction professionals do not discriminate either in their professional or personal lives
against other persons with respect to race, ethnicity, national origin, color, gender, sexual
orientation, veteran status, gender identity or expression, age, marital status, political
beliefs, religion, immigration status and mental or physical challenges.
Accommodations are made as needed for clients who are physically, mentally,
educationally challenged or are experiencing emotional difficulties or speak a different
language than the clinician.
VI. Workplace Standards
The addiction professional recognizes that the profession is founded on national standards of
competency which promote the best interests of society, the client, the individual addiction
professional and the profession as a whole. The addiction professional recognizes the need for
ongoing education as a component of professional competency and development.
1.
2.
The addiction professional recognizes boundaries and limitations of their own
competencies and does not offer services or use techniques outside of their
own professional competencies.
Addiction professionals recognize the impact of impairment on professional performance
and shall be willing to seek appropriate treatment for oneself or for a colleague.
Working Environment
Addiction professionals work to maintain a working/therapeutic environment in which clients,
colleagues and employees can be safe. The working environment should be kept in good
condition through maintenance, meeting sanitation needs and addressing structural defects.
1.
2.
3.
The addiction professional seeks appropriate supervision/consultation to ensure
conformance with workplace standards.
The clerical staff members of the treatment agency hired and supervised by addiction
professionals are competent, educated in confidentiality standards and respectful of clients
seeking services.
Private work areas that ensure confidentiality will be maintained.
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VII. Supervision and Consultation
Addiction professionals who supervise others accept the obligation to facilitate further
professional development of these individuals by providing accurate and current information,
timely evaluations and constructive consultation. Counseling supervisors are aware of the
power differential in their relationships with supervisees and take precautions to maintain ethical
standards. In relationships with students, employees and supervisees he/she strives to develop
full creative potential and mature independent functioning.
1. Addiction professionals must take steps to ensure appropriate resources are available
when providing consultation to others. Consulting counselors use clear and
understandable language to inform all parties involved of the purpose and expectations
related to consultation.
2. Addiction professionals who provide supervision to employees, trainees and other
counselors must have completed education and training specific to clinical and/or
administrative supervision. The addiction professional who supervises counselors in
training shall ensure that counselors in training adhere to policies regarding client care.
3. Addiction professionals serving as supervisors shall clearly define and maintain ethical
professional, personal and social relationships with those they supervise. If other
professional roles must be assumed, standards must be established to minimize
potential conflicts.
4. Sexual, romantic or personal relationships with current supervisees are prohibited.
5. Supervision of relatives, romantic partners or friends is prohibited.
6. Supervision meetings are conducted at specific regular intervals and documentation of
each meeting is maintained.
7. Supervisors are responsible for incorporating the principles of informed consent into the
supervision relationship.
8. Addiction professionals who serve as supervisors shall establish and communicate to
supervisees the procedures for contacting them, or in their absence alternative on-call
supervisors.
9. Supervising addiction professionals will assist those they supervise in identifying
counter-transference and transference issues. When the supervisee is in need of
counseling to address issues related to professional work or personal challenges,
appropriate referrals shall be provided.
VIII. Resolving Ethical Issues
The addiction professional shall behave in accordance with legal, ethical and moral standards
for his or her work. To this end, professionals will attempt to resolve ethical dilemmas with direct
and open communication among all parties involved and seek supervision and/or consultation
as appropriate.
1.
2.
When ethical responsibilities conflict with law, regulations or other governing legal
authority, addiction professionals should take steps to resolve the issue through
consultation and supervision.
When addiction professionals have knowledge that another counselor might be acting in
an unethical manner, they are obligated to take appropriate action based, as
appropriate, on the standards of this code of ethics, their state ethics committee and the
National Certification Commission.
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3.
4.
When an ethical dilemma involving a person not following the ethical standards cannot
be resolved informally, the matter shall be referred to the state ethics committee and the
National Certification Commission.
Addiction professionals will cooperate with investigations, proceedings and requirements
of ethics committees.
IX. Communication and Published Works
The addiction professional who submits for publication or prepares handouts for clients,
students or for general distribution shall be aware of and adhere to copyright laws.
1. The addiction professional honestly respects the limits of present knowledge in public
statements related to alcohol and drug abuse. Statements of fact will be based on what
has been empirically validated as fact. Other opinions, speculations and conjectures
related to the addictive process shall be represented as less than scientifically validated.
2. The addiction professional recognizes contributions of other persons to their written
documents.
3. When a document is based on cooperative work, all contributors are recognized in
documents or during a presentation.
4. The addiction professional who reviews material submitted for publication, research or
other scholarly purposes must respect the confidentiality and proprietary rights of the
authors.
X. Policy and Political Involvement
Standard 1: Societal Obligations
The addiction professional is strongly encouraged to the best of his/her ability, actively engage
the legislative processes, educational institutions and the general public to change public policy
and legislation to make possible opportunities and choice of service for all human beings of any
ethnic or social background whose lives are impaired by alcoholism and drug abuse.
1.
2.
3.
The addiction professional understands that laws and regulations exist for the good
ordering of society and for the restraint of harm and evil and will follow them, while
reserving the right to commit civil disobedience.
The one exception to this principle is a law or regulation that is clearly unjust, where
compliance leads to greater harm than breaking a law.
The addiction professional understands that the determination that a law or regulation is
unjust is not a matter of preference or opinion but a matter of rational investigation,
deliberation and dispute, and will willingly accept that there may be a penalty for justified
civil disobedience.
Standard 2: Public Participation
The addiction professional is strongly encouraged to actively participate in community activities
designed to shape policies and institutions that impact on substance use disorders. Addiction
professionals will provide appropriate professional services in public emergencies to the
greatest extent possible.
Standard 3: Social and Political Action
The addiction professional is strongly encouraged to understand that personal and professional
commitments and relationships create a network of rights and corresponding duties and will
103
work to safeguard the natural and consensual rights of each individual within their community.
The addiction professional, understands that social and political actions and opinions are an
individual’s right and will not work to impose their social or political views on individuals with
whom they have a professional relationship.
This resource was designed to provide an ethics code and ethical standards that will be used by
counseling professionals. These principles of ethical conduct outline the importance of having
ethical standards and the importance of adhering to those standards. These principles can help
professionals face ethical dilemmas in their practice and explore ways to avoid them.
104
WASHINGTON STATE’S UNPROFESSIONAL CONDUCT REGULATION
RCW 18.130.180: Unprofessional conduct. The following conduct, acts, or conditions
constitute unprofessional conduct for any license holder or applicant under the jurisdiction of this
chapter:
(1) The commission of any act involving moral turpitude, dishonesty, or corruption
relating to the practice of the person's profession, whether the act constitutes a crime or
not. If the act constitutes a crime, conviction in a criminal proceeding is not a condition
precedent to disciplinary action. Upon such a conviction, however, the judgment and
sentence is conclusive evidence at the ensuing disciplinary hearing of the guilt of the
license holder or applicant of the crime described in the indictment or information, and of
the person's violation of the statute on which it is based. For the purposes of this section,
conviction includes all instances in which a plea of guilty or nolo contendere is the basis
for the conviction and all proceedings in which the sentence has been deferred or
suspended. Nothing in this section abrogates rights guaranteed under chapter 9.96A
RCW;
(2) Misrepresentation or concealment of a material fact in obtaining a license or in
reinstatement thereof;
(3) All advertising which is false, fraudulent, or misleading;
(4) Incompetence, negligence, or malpractice which result in injury to a patient or which
creates an unreasonable risk that a patient may be harmed. The use of a nontraditional
treatment by itself shall not constitute unprofessional conduct, provided that it does not
result in injury to a patient or create an unreasonable risk that a patient may be harmed;
(5) Suspension, revocation, or restriction of the individual's license to practice any health
care profession by competent authority in any state, federal, or foreign jurisdiction, a
certified copy of the order, stipulation, or agreement being conclusive evidence of the
revocation, suspension, or restriction;
(6) The possession, use, prescription for use, or distribution of controlled substances or
legend drugs in any way other than for legitimate or therapeutic purposes, diversion of
controlled substances or legend drugs, the violation of any drug law, or prescribing
controlled substances for oneself;
(7) Violation of any state or federal statute or administrative rule regulating the
profession in question, including any statute or rule defining or establishing standards of
patient care or professional conduct or practice;
(8) Failure to cooperate with the disciplining authority by:
(a) Not furnishing any papers or documents;
(b) Not furnishing in writing a full and complete explanation covering the matter
contained in the complaint filed with the disciplining authority;
(c) Not responding to subpoenas issued by the disciplining authority, whether or not the
recipient of the subpoena is the accused in the proceeding; or
(d) Not providing reasonable and timely access for authorized representatives of the
disciplining authority seeking to perform practice reviews at facilities utilized by the
license holder;
(9) Failure to comply with an order issued by the disciplining authority or a stipulation for
informal disposition entered into with the disciplining authority;
(10) Aiding or abetting an unlicensed person to practice when a license is required;
(11) Violations of rules established by any health agency;
105
(12) Practice beyond the scope of practice as defined by law or rule;
(13) Misrepresentation or fraud in any aspect of the conduct of the business or
profession;
(14) Failure to adequately supervise auxiliary staff to the extent that the consumer's
health or safety is at risk;
(15) Engaging in a profession involving contact with the public while suffering from a
contagious or infectious disease involving serious risk to public health;
(16) Promotion for personal gain of any unnecessary or inefficacious drug, device,
treatment, procedure, or service;
(17) Conviction of any gross misdemeanor or felony relating to the practice of the
person's profession. For the purposes of this subsection, conviction includes all
instances in which a plea of guilty or nolo contendere is the basis for conviction and all
proceedings in which the sentence has been deferred or suspended. Nothing in this
section abrogates rights guaranteed under chapter 9.96A RCW;
(18) The procuring, or aiding or abetting in procuring, a criminal abortion;
(19) The offering, undertaking, or agreeing to cure or treat disease by a secret method,
procedure, treatment, or medicine, or the treating, operating, or prescribing for any
health condition by a method, means, or procedure which the licensee refuses to divulge
upon demand of the disciplining authority;
(20) The willful betrayal of a practitioner-patient privilege as recognized by law;
(21) Violation of chapter 19.68 RCW;
(22) Interference with an investigation or disciplinary
proceeding by willful misrepresentation of facts before the disciplining authority or its
authorized representative, or by the use of threats or harassment against any patient or
witness to prevent them from providing evidence in a disciplinary proceeding or any
other legal action, or by the use of financial inducements to any patient or witness to
prevent or attempt to prevent him or her from providing evidence in a disciplinary
proceeding;
(23) Current misuse of: (a) Alcohol; (b) Controlled substances; or (c) Legend drugs;
(24) Abuse of a client or patient or sexual contact with a client or patient;
(25) Acceptance of more than a nominal gratuity, hospitality, or subsidy offered by a
representative or vendor of medical or health-related products or services intended for
patients, in contemplation of a sale or for use in research publishable in professional
journals, where a conflict of interest is presented, as defined by rules of the disciplining
authority, in consultation with the department, based on recognized professional ethical
standards. [1995 c 336 § 9; 1993 c 367 § 22. Prior: 1991 c 332 § 34; 1991 c 215 § 3;
1989 c 270 § 33; 1986 c 259 § 10; 1984 c 279 § 18.]
106
SECTION 4
PROGRAM AWARENESS
Prevention Universal Strategies for Substance Abuse
Prevention and Mental Health Promotion
107
PURPOSE OF PROGRAM AWARENESS
Program awareness is an important component of an effective
Student Assistance Prevention and Intervention Program
(SAPISP). Program awareness activities target both those inside
and outside of the school environment, with the aim of delaying
unhealthy choices such as substance abuse and/or changing
behaviors through strategic use of communication strategies.
This is the “universal” component of SAPISP.
Component 3
Program Awareness:
To educate parents,
students and the
community about mental
health social, emotional,
behavioral issue including
substance abuse and
provide information about
SAPISP services that
promote resilience, foster
student success and
create a safe supportive
learning environment.
The purpose of program awareness is to educate school staff,
parents, students, and the community about mental health,
social, emotional, behavioral including substance abuse issues,
and to provide information about student assistance services that
promote resilience and student success. This is done through
school-wide awareness activities, prevention clubs (aka as SADD
groups), prevention education curriculum and other classroom presentations.
Program awareness involves parents, students, school staff, and community members in
fostering a safe and Supportive learning environment. This includes disseminating information
on school policies related to alcohol, tobacco and other drugs, bullying, intimidation and
harassment, and threatening and disruptive behaviors; promoting the SAPISP services
available and how to access these services; and conducting educational school-wide events
and classroom presentations geared towards raising awareness and changing attitudes.
Within the school setting, program awareness is a tool to accomplish social change, aimed to
influence action, to change attitudes and behaviors. Substance Abuse Mental Health Services
Administration Prevention Training and Technical Assistance Center describes social
marketing26 as practitioners who “use advertising principles to change social norms and
promote healthy behaviors. Like public education, social marketing uses a variety of media
channels to provide a message to targeted groups of individuals.”
Program awareness aligns with the social marketing as described by SAMHSA in that
awareness activities aim to change social norms and promote healthy behaviors. Program
Awareness activity efforts are about motivating students to make healthy choices and avoid
engagement negative SEBH behaviors. According to the Center for Substance Abuse
Prevention, social marketing message must:
 Capture the attention of the audience.
 Be meaningful.
 Provide one small, practical step to begin the change process.
In the school environment, the concepts of social marketing and program awareness are
concerned with creating readiness for change: mobilizing participants (students, staff, parents,
and others); guiding understanding of program aims; gaining commitment, support, and building
enthusiasm toward substance abuse prevention and mental health promotion initiatives. It is
within this context that student assistance professionals are called to work.
26
Retrieved (6/2012) from: http://captus.samhsa.gov/prevention-practice/prevention-approaches/communicationeducation/2.
108
Program Awareness within the school setting spans several topical areas including (Deck,
2004):
1. Dissemination strategies encompass program outreach efforts such as participating in
health fairs, curriculum development, speaking engagements, media campaigns, and
materials development and dissemination.
2. Educational strategies include classroom based educational services, parent/family
education, peer leader programs, and educational services for youth groups. Generally,
activities involve multiple sessions with a structured or semi-structured curriculum.
3. Alternative strategies incorporate drug-free social events, positive peer support activities
and youth leadership functions.
4. Environmental strategies include establishing and enforcement of Alcohol Tobacco and
Other Drugs (ATOD)-free and safe and Supportive school climate policies, changing
students, parents and community attitudes, norms and perspectives, and public policy
efforts.
5. Community strategies include assessing community needs, targeting resources
according to the need, providing training and town meetings, mentoring and other
community/volunteer services.
Schoolwide program awareness prevention activities, as noted above, aim to change attitudes
and norms around ATOD use and promote a positive school climate that fosters a Supportive
social, emotional and behavioral environment. Program/social marketing awareness events are
considered universal prevention and can target students, parents or the community. These
events are generally large in scope and have a concrete message. If implemented properly,
expected outcomes include increased perception of harm, decreased ATOD use or reduction of
age onset, increased safety, social responsibility and overall wellness of children and youth.
SUGGESTED PROGRAM OPERATIONS
The following provides program coordinators with
suggested activities related to social marketing
and program awareness events as they pertain to
the SAS’s role within the school setting.
The Student Assistance
Specialists are the “front line”
marketers of SAPISP program
services. Part of program staffs’
responsibilities is to promote
services and raise awareness
through the above mentioned
universal prevention strategies to
students, faculty, parents, and the
community-at-large.
The SAS are the “front line” marketers of SAPISP
program services. Part of program staffs’ responsibilities
is to promote services and raise awareness
through the above mentioned universal prevention
strategies to students, faculty, parents, and the
community-at-large. The community-at-large, includes,
but is not be limited to, agencies such as the health department, juvenile justice, law
enforcement, Department of Social and Health Services, medical and mental health treatment
agencies, and local businesses. The SAS is the primary person responsible for organizing,
coordinating, and facilitating school-based prevention program awareness activities. The SAS’s
may assist with community coalition activities as applicable, this may include being a liaison with
the school and community coalition, keep school administration informed of events being
planned, recruiting youth involvement, and aligning school prevention activities with community,
state and national awareness events as applicable.
109
Suggested School-wide Program Awareness Activities:
The SAS’s fosters a positive, Supportive environment in the school by employing a variety of
marketing activities such as:
 Visibility. Getting out into the hallways. Be available in the lunchroom. Students are
naturally curious about school staff, especially if they’re a bit more casual and relaxed.
 Arranging to appear in classrooms for a 5-minute “commercial.”
 Knowing where students congregate, and be there.
 Talking to students in the lunchroom.
 Conducting prevention activities via prevention clubs such as putting up positive social
norm messages,27 create and distribute posters.
 Being interviewed for the school newspaper or having a column in the student newsletter
or bulletin sending a positive social norms message.
 Make regular announcement concerning ATOD and mental health issues and program
services.
 Inform incoming students of program services.
 Being visible in the teachers’ lounge. Introduce yourself to everyone in the school.
 Attending and participating in open house or other extracurricular or school supported
activities. Distribute program promotional flyers, brochures, and resource materials.
 Having an open door policy to invite students to drop in.
It is important to remember that program awareness and social marketing activities are a
continuous process: it works best to start early and continue throughout the school year!
Other Schoolwide Program Awareness Ideas:
 Write informative articles for the school’s newsletters for parents and staff on topics such
as fad drugs, recognizing new drug trends, abuse of over the counter medications, etc.;
 Creating and maintain a SAPISP Web site via the school.
 Creating a SAPISP pamphlet or add a SAPISP column to an existing Counseling Center
pamphlet.
 Attending community-based task force meetings.
 Presenting at community forums.
 Connecting with mental health and substance abuse treatment providers, pediatricians,
other doctors, probation officers and law enforcement personnel.
 Offering a parent education series.
2
A social norms campaign is based on the central concept that much of people’s behavior is influenced
by their perceptions of what is “normal” or “typical.” The problem is that people often misperceive
behaviors or attitudes of their peers. For example, if students believe that the majority of their peers
smoke, then they are more likely to smoke. However, data related to the actual use is much less. By
correcting the commonly held misperception that “everybody does it,” the true message becomes the
majority choose not to use tobacco. A social norms campaign consisted of daily announcements and
lunchtime activities, including a student pledge to support an alcohol, tobacco and drug-free school. In
addition, students covered the school in posters with social norms messages. For more information on
positive social norms go to www.mostofus.org.
110
Program Awareness through Classroom Presentations
An effective way to promote programs services, generate referrals, reinforce positive social
norms and teach about the harmful effects of alcohol, tobacco and other drugs is through
classroom presentation. DBHR requires as part of the PRI sites that a prevention education
series is provided by the SAS at the entry level of the school where SAS services are being
provided, this is also recommended for nonPRI sites. In SAMHSA (2007), Help is Down the
Hall, A Handbook on Student Assistance, recommends prevention education curriculum
includes:
 The impact of alcohol, tobacco, marijuana and other drug abuse and addiction on the
individual and family.
 The pervasiveness of alcohol and other drug addiction.
 What to do if concerned about someone’s behavior or alcohol/drug addiction.
 A clear understanding that children are not to blame for the disease.
 Encouragement and permission to ask for help if worried about the alcohol/drug abuse
of a family member.
 How to access any part of the SAPISP, including various educational support groups
 Decision making, refusal and coping skills (p. 85).
A follow-up presentation may include information on the effects of drug abuse on the family,
military family stressor, and discuss support groups.
School Faculty Program Awareness:
In general, when promoting program services to school staff, it is important to develop strategies
designed to orient staff to the overall goals and objectives of the program, the level of services
available, how students access services (including the internal and disciplinary referral
processes), and to emphasize the importance of their role in creating and maintaining a
successful program. The best marketing strategies are completed and implemented at the
beginning of the school year - a natural time for school orientation. Continued program
marketing takes place throughout the school year. Staff provide updates on number of students
served, inform staff about the outcomes of the program, and share factual information on
substance abuse trends and social, emotional and behavioral support activities that teachers
can do to foster resiliency and promote wellness.
Suggested Faculty Program Awareness Activities:
At the beginning of the school year the SAS provide school faculty with an overview of program
services and basic structure as well as a summary of the program outcomes the year prior.
Other topics that maybe covered include:
 Fundamentals of ATOD and mental health issues.
 Review of signs and symptoms.
 Role of program staff.
 Internal referral process.
 Guidelines and constraints of federal and state confidentiality laws.
 Opportunity for feedback–What’s working, what’s not, and how to make it better.
111
SAS’s continue with program awareness/social marketing to school faculty throughout the
school year by:
 Providing regular updates at staff meetings on program services.
 Distributing a SAPISP Newsletter.
 Hosting an training offerings.
 Reviewing and summarizing current trends.
 Disseminating information on vulnerable populations (i.e. COSAP, military families,
LGBTQ and Native Americans) and how to best support these populations in the school
setting.
 Summarizing and presenting on Healthy Youth Survey data, as applicable.
Community Program Awareness
It is important for the SAS to network within the community to promote the SAPISP program
services and interface with the coalition on awareness events and campaigns. Activities include:
 Conducting informal site visits at local agencies to orient agency staff to the overall
program and basic structure.
 Distributing program information in the community setting.
 Networking with community-based program providers.
 Attending at coalition meetings, health fairs, and other ATOD related prevention
activities.
 Collaborating with community partners to host ATOD awareness, mental health
promotion, social responsibility and violence, bullying, harassment and intimidation well
as awareness events.
112
ADDITIONAL RESOURCES
113
MENTAL HEALTH PROMOTION28
In 1994, the Substance Abuse and Mental Health Services Administration (SAMHSA) began a
public awareness effort "Caring for Every Child's Mental Health" with a mission to increase
awareness around children's mental health. The "Caring for Every Child's Mental Health" team
works to support SAMHSA-funded sites that promote social marketing and communications
strategies. The team’s overarching purpose is to stimulate support for a comprehensive,
systems of care approach to children's mental health services
In 2005, SAMHSA, United States Department of Health and Human Services, established an
annual National Children's Mental Health Awareness Day. Now, as a result of this initiative,
year-round activities take place and connect cross-disciplinary organizations in their efforts to
promote awareness of children's mental health issues.
The National Children's Mental Health Awareness Day is a key strategy of the Caring for Every
Child's Mental Health Campaign. The effort seeks to raise awareness about the importance of
children's mental health and that positive mental health is essential to a child's healthy
development from birth. Communities around the country participate by holding their own
Awareness Day events, focusing either on the national theme, or adapting the theme to the
populations they serve.
For more information go to http://www.samhsa.gov/children/preparing_for_awarenessday.asp.
The benefits of participating in of the Mental Health Awareness Day/Events:29
 Reinforces ones commitment to the total wellness of children and youth.
 Highlights at the local level, Participation in collaboration with other national
organizations and Federal agencies addressing children's mental health needs.
 Promotes schools, communities and other organization or company brand in the
materials and online content produced to educate and inform participants and the public
on Awareness Day.
 Provides access to SAMHSA's social marketing tools to support awareness-raising
initiatives for children's mental health.
 Enhances agencies reputation as service provider in providing greater access to
children's mental health services and supports.
28
29
Retrieved 4//16/2012 http://www.samhsa.gov/children/national.asp
Retrieved 4/16/2012 http://www.samhsa.gov/children/benefits.asp
114
Technical Assistance Bulletin30
You Can Avoid Common Errors as You
Develop Prevention Materials
An organization may spend thousands of dollars in developing a campaign to fight the problems
caused by alcohol, tobacco, and other drugs. But that money goes to waste if the messages
promoted in the campaign are unclear, outdated, or irrelevant.
September 1994
Prevention materials can play a key role in the fight against alcohol, tobacco, and other drug
problems. A well-executed campaign can foster an environment where dangerous drug-related
behavior is widely recognized as unacceptable. And a young person who might otherwise have
been inclined to begin using alcohol, tobacco, or other drugs might lose that inclination if he or
she is fully informed about the dangers of alcohol, tobacco, and other drug use and addiction.
But sometimes prevention materials fail to achieve the desired response because the intended
audience either misinterprets or ignores the prevention message. Poorly executed campaigns
may even stimulate dangerous drug-related behavior or offend the target audience, thus
ensuring that no prevention message will be heard. In order to achieve their goals, developers
of prevention materials must do all that they can to ensure that their products are clear, based
on solid scientific findings, and relevant to the intended audience.
The Center for Substance Abuse Prevention (CSAP) in the Substance Abuse and Mental Health
Services Administration (SAMHSA) has reviewed thousands of products intended to prevent
alcohol, tobacco, and other drug abuse and found several unacceptable messages -- messages
that are open to misinterpretation, messages that are not adequately supported by scientific
research, and messages that fail to address the real concern of, or appeal to, the intended
audience.
In order to eliminate the chance for misinterpretation of prevention messages, and to ensure
that messages actually reach their intended audiences, CSAP has developed public health
principles, and scientific and communications guidelines. These principles and guidelines form
the basis of CSAP's evaluation of all prevention materials. These principles and guidelines are
first and foremost based on the major tenet of "Do no harm." Prevention workers are urged to
use these principles and guidelines when screening or developing materials for use in Federal,
State, or local prevention programs.
The purpose of this bulletin is to help developers of prevention materials avoid those messages
that may do more harm than good. The bulletin focuses on the principles and guidelines with
which prevention programmers most often fail to comply.
Make the Message Clear
Prevention materials sometimes contain subtle messages that run counter to the intent of the
prevention program. An individual who is inclined to smoke, abuse alcohol, or use other drugs is
30
Developed and Produced by the CSAP Communications Team. Patricia A. Wright, Ed.D., Managing
Editor. Distributed by the National Clearinghouse for Alcohol and Drug Information, P.O. Box 2345,
Rockville, MD 20852.
115
likely to look for any justification for his or her behavior. That individual may misinterpret a
prevention message in order to find that justification. This section provides examples both of
mixed messages and of clear messages. The examples of mixed messages are derived—
although not directly quoted—from materials reviewed by CSAP. Some of these messages may
be interpreted to condone what is actually unwise or unsafe behavior. Some of the examples of
clear messages may have a familiar ring. These are adapted from national campaigns that have
received CSAP approval. Others are also taken from materials submitted by CSAP grantees.
These examples are provided to illustrate the clear, positive communication that CSAP is
seeking to promote as well as the mixed communication CSAP is seeking to avoid.
Public Health Principle:
Make it clear that illegal and unwise drug use is unhealthy and harmful for all
In an attempt to be "even handed" or "realistic," may prevention materials acknowledge (either
directly or indirectly) illegal drug use as a "fact of life." Even though the ultimate intention may
be to prevent this kind of behavior, this acknowledgment will be read by some to mean that such
drug use is "normal." All prevention materials should take a clear stand against:
 The use of any legally prohibited drug.
 The use of a drug for a purpose other than its prescribed use.
 The use of any product or substance that can produce a drug-like effect.
 The use of any legal drug, including alcohol or tobacco, by individuals legally underage
for its use.
 The illegal or unwise use of a legal drug.
Mixed Messages
 "While some people may be able to use a 'soft,' mood-altering drug like marijuana for
occasional recreational purposes without any apparent ill effects, no individual can be
sure that he or she will not have a negative response to a such drug."
 "Any substance, in and of itself, is neither good nor bad. It is only the improper use,
misuse, or abuse of substances that is bad."
Note that these mixed messages imply that some illegal drug use may be "safe" even though
they are intended to discourage drug use.
Clear Messages
 "It is unlawful to produce, distribute, or purchase cocaine under any circumstances."
 "Even substances that are not prohibited by law can harm your health if they are used
improperly."
 "It is not only unhealthy to allow your teenager to smoke cigarettes, but it's also against
the law."
Public Health Principle:
Give a clear message that "risk" is associated with using any form or amount of alcohol,
tobacco, or other drugs.
Even though alcohol consumption and tobacco use are legal for individuals who are 21 or older,
this does not mean that these practices have no adverse consequences. Even small amounts of
alcohol, tobacco, and other drugs increase injury or health risks.
116
Mixed Messages
 "The alcoholic content of beer and wine is not as high as that of hard liquors like whiskey
or vodka."
 "Many people use alcohol in social settings to relax and to celebrate special occasions.
There is nothing wrong with social drinking as long as one stays within moderation and
does not drive after drinking."
Clear Messages
 "The alcohol content of one bottle of beer is the same as that of a martini or a shot of
whiskey."
 "Alcohol is a drug. And like any drug, it will affect your judgment and your physical
coordination, even when taken in small amounts. Another danger of alcohol is that it can
be addicting."
Note that euphemistic terms like "mood-altering drug" or "recreational use" should be replaced
with more accurate terms like "mind-altering."
Public Health Principle:
When targeting persons under 21 years of age, pregnant women, recovering alcoholics,
or persons taking prescription or nonprescription drugs, give a clear message of no
alcohol use.
Many prevention materials aimed at youth stress the importance of learning to make wise
decisions. But these materials stop short of giving all the information that would help the
teenager make the wise decision of abstinence from alcohol or other drug use. Materials often
fail to mention that alcohol consumption by anyone under 21 years of age is illegal. Materials
that urge moderation in alcohol use for pregnant women fail to take into account recent research
that reveals that even small amounts of alcohol will increase the risk of birth defects.
Mixed Messages
 "Part of growing up is learning how to make wise decisions. If you choose to drink, drink
responsibly. Don't overdo it. And don't drink and drive."
 "You owe it to yourself and your unborn child to be informed about drinking during
pregnancy and to avoid excessive or abusive drinking."
These mixed messages do not contain any incorrect information. But they fail to give the clear
"no use" message that should be sent to all underage individuals, pregnant women, recovering
alcoholics and drug addicts, and individuals using prescription or nonprescription medications.
Furthermore, materials should clearly state that pregnant women should consult their physician
before buying any new medication, refilling a prescription, or taking medication on hand for
common ailments, such as headaches and colds.
Common over-the-counter drugs that should be avoided by pregnant women without first
consulting their physicians include antacids, nasal sprays, nose drops, aspirin, laxatives, and
vitamins.
117
Likewise, commonly prescribed drugs that can be dangerous to the fetus include antibiotics,
antihistamines, vaccinations, antimigraines, tranquilizers, antinauseants, sedatives, diuretics, or
hormones (e.g., oral contraceptives).
Materials must state clearly that these and other drugs should only be used by pregnant women
on the advice of their physicians or other medical practitioners.
Clear Messages
 "Part of growing up is learning how to make wise decisions. You should know that if you
choose to drink before you are 21, you are breaking the law."
 "The United States Surgeon General says that 'the safest choice is not to drink at all
during pregnancy or if you are planning pregnancy.”
Public Health Principle:
Materials targeting youth should not use recovering addicts or alcoholics as role models.
A number of celebrities who have had problems with alcohol or other drugs are eager to use
their celebrity status to help others. But the message the celebrity intends to convey may not be
the message that teenagers and preteens receive. While the celebrity may be saying, "Don't do
it," the youth are hearing, "I did it, and I'm okay now. Taking drugs is part of being famous."
Mixed Message
 "I was stupid to do drugs. I almost threw away my whole career. But now that I'm off
drugs, I've been able to turn out hit records just like I used to."
Clear Message
 "Taking drugs lessens your chance of succeeding at whatever career you would choose
to pursue. Drugs close the doors of opportunity."
An exception may be made for role models who clearly show that they have been negatively
affected by the use of alcohol, tobacco, and other drugs, such as someone now visibly disabled
or injured as a result of alcohol, tobacco, and other drug use.
Public Health Principle:
Do not unintentionally glamorize or glorify the use of alcohol, tobacco, and other drugs.
In the effort to be informative about drugs, many prevention materials detail the effects the drug
has on the user. Even though most prevention materials focus on the negative effects, even a
brief description of a drug's positive or euphoric effects might attract a potential user.
Mixed Messages
 "Alcohol helps many people relax or be more sociable at parties."
 "Jeremy giggled a lot when he smoked marijuana because the drug made him think that
everything was funny."
Clear Messages
 "Alcohol impairs the drinker's speech, coordination, and judgment."
118


"Even more cancer-causing agents are found in marijuana smoke than in tobacco
smoke."
"People who snort cocaine frequently develop nasal problems, including holes in the
cartilage separating the nostrils."
Public Health Principle:
Do not include illustrations or dramatizations that could teach people ways to prepare,
obtain, or ingest illegal drugs.
Many prevention materials use photographs or illustrations of illegal drugs or drug paraphernalia
as graphic fillers. Illustrations of drugs or drug paraphernalia should be used only when they
serve a specific purpose (e.g., helping parents to recognize signs of drug use by children.)
Materials intended to warn against drugs may inadvertently teach someone how to use drugs.
Furthermore, scenes of people injecting drugs, sniffing cocaine, or drinking alcohol may
stimulate the behavior. These are best portrayed as implied actions. For example, someone
representing a drug user might be shown with his or her back toward the camera so that only a
general suggestion of drug use is presented. Prevention materials should avoid representing
any details of the procedures of drug use. A powerful craving for cocaine has been found to be
very common for all cocaine addicts and can be easily triggered by the sight of this drug and by
objects, people, paraphernalia, places, and emotions associated in the addict's mind with this
drug.
Public Health Principle:
Do not "blame the victim."
Addiction is an illness. Therefore, materials should focus on preventing and treating the disease
and not on berating the individual. When you use negative terms to describe an addict, you may
be sending the message that the individual is not worth helping. Do not use insulting terms
about the victims of alcohol, tobacco, or other drug abuse. Likewise, do not focus on an
individual's shortcomings as a reason for use or addiction. This does not imply that a person
should not take responsibility for his or her alcohol, tobacco, and other drug problems, whether
related to addiction, dependence, or unwise use. Encourage the person to take responsibility for
seeking help if alcohol, tobacco, and other drug problems continue or if dependence is
suspected.
Mixed Messages
 "Only losers take drugs."
 "Stay away from pot heads and dope fiends."
 "Some people start taking drugs as a form of escape because they do not have the
courage to face their problems."
Clear Messages
 "Be smart. Don't start."
 "If you have problems with alcohol, tobacco, or other drugs, you can get help. But YOU
have to take the first step."
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Materials that encourage individuals to seek help should include information about organizations
or agencies where help is available.
Public Health Principle:
State that abstinence is a viable choice.
In a culture that is conditioned to treat any ailment with a drug, it may not occur to some
individuals that they have the option of not taking a drug at all. Be careful to avoid implying that
the only solution for a headache is an over-the-counter analgesic or that the only way to
celebrate a special event is with an alcohol beverage toast. In fact, prevention materials should
strongly recommend alternatives to drug-reliant behaviors. Materials that focus on reducing or
limiting the amount of alcohol, tobacco, or other drug taken send a mixed message if they do
not include total abstinence as another viable choice.
Mixed Messages
 "If you want to teach your children to be responsible with alcohol, be a responsible
drinker yourself."
 "It's fine to relax with a beer at the end of a hard day. But know your limit."
 "In most cases, curing insomnia requires nothing stronger than the sleeping pills you can
buy at your local grocery store."
Clear Messages
 "If you want to teach your children to be responsible with alcohol, show them that you
can abstain from alcohol and still have good time."
 "It's fine to relax with a beer at the end of a hard day. But you don't need a beer to relax."
 "If you have trouble getting to sleep, do not assume that finding the right pill to take is the
solution. A change in your nighttime routine might be just as effective."
This last message in no way implies that valid medical attention, including appropriate drugs,
should be withheld from anyone for any reason.
Make the Message Accurate
In addition to being clear, prevention messages must be accurate and based on solid evidence
derived from the latest scientific research. Unjustified claims can undermine the credibility of a
prevention message. Furthermore, outdated information may fail to contain important findings.
For example, as more is learned about Fetal Alcohol Syndrome (FAS), the clearer it becomes
that abstinence from alcohol is the wisest course for pregnant women. But in the 1970's, it was
common for medical officials to recommend only that women limit their consumption of alcohol.
It was even suggested in some materials that as much as two drinks a day was a safe level of
alcohol consumption for pregnant women.
Scientific Guideline:
Be sure your message is scientifically significant, based on valid assumptions,
accurately referenced, and appropriately used.
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If you are working from hypotheses, theories, or models but not from statistically significant,
conclusive, and replicated research, be especially careful that your assumptions will not
increase drug use and that application will not result in misperception or other harm.
For example, if you are reporting that research has not yet conclusively proven a link between a
drug and a suspected health hazard, be very careful not to imply that the drug has been proven
harmless. Promoters of some substance (e.g., the tobacco industry) have use a "lack of
conclusive scientific evidence" as an argument against restrictions imposed on their products.
As the FAS example demonstrates, prevention materials should make it clear that a lack of
conclusive evidence is grounds for greater caution rather than for lighter restrictions.
Occasionally, CSAP reviewers find statements that have no apparent scientific base. An
example is a course purporting that men required 10 to 12 years to develop the disease of
alcoholism while women required half that long and teenagers "only 6 months." These
statements may be a misapplication of a sound scientific study, but the reader has no way of
discovering the mistake because no source is cited in the course materials. These statements
are dangerous not only because of their inaccuracy and their lack of referencing, but also
because they may encourage irresponsible use of alcohol. While the statements are clearly
intended to demonstrate how easily a teenager may be trapped by alcohol, the statements
inappropriately suggest that adults, especially adult men, are relatively immune to the disease
for a long period of time. Such a statement clearly violates the tenet of "do no harm."
If you are presenting information derived from scientific research, be certain that the information
is adequately referenced and appropriately applied to the issue at hand. Many prevention
materials give relevant information but fail to identify the source of that information. While some
readers may be convinced that a statement is true simply because it appears in print, others
demand and deserve to know the source of the findings that are being presented. If evidence is
derived from sound scientific experiments conducted by respected individuals at reputable
institutions, citing the source of the evidence can only help to make the prevention message
more convincing.
Make the Message Relevant
Even though your message is clear and accurate, it will serve no purpose if your intended
audience ignores the message. In order to reach their targets, prevention messages must be
relevant. That is, they must appeal to the values and interests of the audience.
Prevention messages must be cast in a language and at a level of diction that is understood by
the audience. However, prevention workers should be careful when attempting to use the
dialect or slang that is associated with the target audience. Such attempts may be perceived as
inauthentic and condescending. Furthermore, imitations of a group's dialect may reinforce
negative stereotypes.
Public Health Principle:
Check for cultural and ethnic biases and sensitivity.
Many of the negative stereotypes associated with minority groups involve perceptions of their
alcohol, or other drug-related behaviors. Prevention materials that address alcohol, tobacco,
and other drug abuse problems within a specific minority should avoid reinforcing those
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negative stereotypes. Information about any group's pattern of alcohol, tobacco, or other drug
use should be presented objectively,—and based only on scientific and demographic research
findings.
Presenting role models from a targeted minority can be an effective means of appealing to that
audience. But program developers should avoid limiting their chosen spokespersons to minority
athletes and entertainers. Community leaders, teachers, doctors, lawyers, educators, military
personnel, writers, parents, and many others can help to demonstrate the variety of
opportunities open to minority youth.
Prevention messages must reflect the cultural norms of the audience. It is not enough simply to
include images of an ethnic or economic group in the prevention materials. Be sure to reflect the
social, economic, and familial norms and symbols of your audience as well as their physical
appearance. For example, groups are more important than individuals among some
populations; spiritual symbols are important among others. You may also want to reflect such
cultural factors as the importance of the extended family, the key role of grandparents, and
religion.
Always be extremely careful that you do not inject any of your own biases that could perpetuate
a myth or stereotype about a group of people. For example, do not portray everything good with
white symbols and everything bad with dark symbols. And don't show only males being arrested
for alcohol-impaired driving.
A campaign aimed at any group should communicate that the message sender cares about the
well-being of the audience. If a campaign aimed at a specific ethnic group contains negative
stereotypes of that group or fails to include any positive symbols of the audience's culture, the
audience will receive the mixed message that you are insensitive to their needs. The intention
may be to say "We want to help you." But what is being said is "We don't care enough about
you to learn anything about your culture."
The best way to ensure that prevention materials will appeal to their intended audience is to
involve members of the targeted cultural or ethnic group in the planning and development
processes. If your organization does not already include members of the targeted group, people
with knowledge of the intended audience should be sought out to provide input at an early
stage.
Furthermore, all materials should be pre-tested before they are widely distributed. Pre-testing
may include the use of focus groups or individual interviews with representatives of the targeted
cultural or ethnic group. Questions asked during pre-testing should be designed to reveal
whether the audience understands the central message of your product, whether the audience
believes the message and the message giver, and whether the audience finds the message
personally relevant.
Pre-testing may not guarantee the success of a campaign. But it should identify any mistakes
that could guarantee its failure. Pre-testing can identify the barriers to communication that often
keep prevention messages from reaching those who need them most.
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The No-Harm Checklist




Give a clear no-use message for:
o Any illegal drug use.
o Anyone under 21 years of age
o Pregnant women.
o Recovering alcoholics or drug
addicts.
Ensure that scientific findings:
o Will not encourage drug use.
o Are up to date.
o Are adequately referenced.
Make your materials:
o Relevant to the targeted
audience.
o Free of negative stereotypes.
o Appealing.
Pretest your materials.
Communication Guidelines:
Prevention messages should include appeals that the target audience will perceive as
personally relevant.
The producers of prevention messages may strive to keep teens from becoming addicted to
drugs or facing other risks, including injuries or health problems. Yet teens who perceive
themselves to be immortal may turn off messages that emphasize effects they don't believe they
are at risk for. Rather, appeals should be based on something that teens value or consider
important, such as peer pressure or looking good and feeling good.
Communication Guideline:
Prevention messages should inform the reader of the seriousness of the problem,
persuade the reader of the need for change, and engage the reader with a call for action.
Messages should make the reader aware of the need for change, the need for further
information, or the seriousness of alcohol, tobacco, and other drug problems. Materials must not
preach but rather find positive appeals that engage and motivate the target audience. And
finally, materials must present a desired behavior so the message is not merely negative.
Positive actions called for in prevention materials might include seeking treatment, calling a
referral number, confronting a drug-using spouse or friend, or joining a parent group.
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Communication Guideline:
Do all you can to make your product professional and attractive in appearance. Gear the
format (type, size, layout, style) to your target audience.
You do not have to use high-cost techniques to reflect high productions quality. For example,
although people generally do pay more attention to materials that use color, black, white
materials can be very appealing. Use screens to achieve various shades of gray; box in some
copy; use photographs, figures, and bullets.
When developing publications or other products relying on the written word, use white space
generously to keep the text from becoming dense and the heading and photo captions to impart
essential information. In addition, use a large typeface for materials that will be read by young
children, people with low literacy level, or the elderly.
Audiovisual materials should offer clear and understandable sound and visual quality.
Finally, the style of the product should be appropriate to the audience. For example, teens may
find some cartoons "babyish." Some Hispanics may be attracted to fotonovellas. MTV-style
videos may appeal to teens and be incomprehensible to their parents.
Developed and Produced by the CSAP Communications Team.
Patricia A. Wright, Ed.D., Managing Editor. Distributed by the National Clearinghouse for
Alcohol and Drug Information, P.O. Box 2345, Rockville, MD 20852. This bulletin is one in a
series developed to assist programs that are working to prevent alcohol, tobacco, and other
drug problems. We welcome your suggestions regarding information that may be included in
future bulletins. For help in learning about your audience, developing messages and materials,
and evaluating communications programs, contact the CSAP Communications Team.
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SECTION 5
INTERNAL REFERRAL
PROCESS
125
INTERNAL REFERRAL PROCESS
INTRODUCTION
Component 4
Essential to the success of the Student Assistance PreventionInternal Referral
Process:
Intervention Services Program is the implementation of a
To identify and refer
standardized internal referral process. The purpose of the
students with social,
referral process is to provide school staff with a mechanism for
emotional, behavioral
identifying and referring students with social, emotional,
and academic concerns
behavioral problems including substance abuse and academic
for problem-solving and
problems, or violation of no use policies to program services.
case management.
Administrators, teachers, counselors, and other school staff are
trained to recognize and refer students experiencing problems to the Student Assistance
Specialist or SAT for appropriate screening, referral, and support services.
Washington State’s comprehensive SAPISP model’s internal referral process consists of five
components: 1) Early identification; 2) Screening; 3) Referral to other school and communitybased services; 4) Intervention; and, 5) Support services.
 Early identification. A process for identifying students who are using alcohol, tobacco,
and other drugs, or are exhibiting other risk factors which lead to behaviors that interfere
with the learning process or are harmful to the student or others in the school setting
(Deck, 2004).
 Screening. The collection of information designed to identify students who are at
increased risk of having substance use disorders or other problem behaviors that justify
program placement decisions such as immediate attention, school-based support
services, or a referral to a community-based agency for more comprehensive
assessment (Grisso & Underwood, 2004).
 Referral. Students are referred to in-school programs or community-based AOD
assessment, treatment (out-patient, in-patient), mental health counseling or other
community-based services based upon the student’s identified needs (Deck, 2004).
 Intervention. School-based activities provided by the Student Assistance Specialist in
group or individual settings that are informative and educational to motivate students to
change negative, disruptive behaviors (see Section 7 Educational Support Groups).
Educational support groups also serve as an alternative to other disciplinary actions e.g.,
suspension. Additional school-based interventions provided by the SAS include parent
conferences, behavior contracts, and peer support groups (Deck, 2004). Other school
interventions may include groups provided by the school counselor or another
professional in the school (i.e. loss a grief and divorce groups; or military families,
academic, LGBTQ and other supports).
 Support Services. Support services include advocating for students, by helping them
overcome barriers to accessing treatment and/or mental health counseling or other
community support services, providing re-entry support for students returning to school
after treatment, and case management (Deck, 2004).
The establishment of an internal referral process requires the program to:
a. Implement or review with school administrators no use policies and procedures,
disciplinary referral processes, and possible buy back structure – in lieu of suspension.
b. Educate faculty about ATOD signs and symptoms, social, emotional, behavioral and
mental health concerns, and school policies and procedures for ATOD violations, explain
the referral process, confidentiality and students’ rights to privacy.
c. Provide staff development and in-service trainings ongoing related to nonacademic
barriers (see Section 3 Staff Development).
d. Promote program services to students; parents and the community at large (see Section
4 Program Awareness).
EARLY IDENTIFICATION
The early identification of students at risk for substance use or other
social, emotional or behavioral problems is the first step to getting
students referred to program services. Early identification involves “being
alert to any unexplained change in the pattern of a student’s behavior,
conduct, and/or academic performance – especially where such changes
represent a decline” (Anderson, 1993, p. 89). These can include changes
in:
 Academic performance – a decline in grades, or Participation.
 Attendance – unexplained absences or increased tardiness.
 Disruptive classroom behaviors – fighting, sleeping in class,
acting out.
 Disciplinary problems.
 Legal problems – possession charges, shoplifting, vandalism;
 Problems with out of school activities – sudden loss of
involvement and/or interest in extracurricular activities.
 Problems at home.
 Violation of no use policies or ATOD specific behaviors.
It is important to
remember that a
referral is an
intervention.
Because it involves
decisions about
how to move from
what is currently
happening to a
better state of
affairs. (CMHS,
2003)
In addition to the above, special considerations should be in relation to vulnerable populations
who are at greater risk of substance abuse. This includes LGBTQ, a student from a military
family where a family member has been deployed, children from substance abusing home or
family member with mental illness, or student with severe emotional issues (see Section 6
Vulnerable Populations).
As part of the early identification process, SAS educate referral sources about the signs and
symptoms of social, emotional and behavioral problems changes in a student’s attitude or
behaviors, and vulnerable populations that generate a referral to the SAPISP program (see
Section 3: Staff Development). School staff completes a Referral Form (sample is provided at
end of this section under additional resources) and forward the form to the SAS for review and
implementation of next steps. Referrals sources include school administrators, school staff, self,
peers, parents, and community members.
REFERRAL SOURCES
Administrative Referrals
School administrators enforce the school and/or district’s ATOD policies by referring students to
the SAS to begin the intervention process. The administrator may also refer students who have
truancy problems, disciplinary offenses, and/or social, emotional, and behavioral issues that are
disruptive to the learning environment. In general, the administrator offers the disciplined
student an “alternative to suspension” or “in lieu of suspension” alternative in accordance with
district’s ATOD policies. In general, the “buy back” option shortens the student’s recommended
suspension time providing the student agrees to meet with the SAS to complete the
screening/pre-assessment process and that the student follows through with referral and
program service recommendations.
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Staff Referrals
Teachers, counselors, and other school staff make up the largest propoRTIon of referrals to
program services. Due to school staffs regular contact with students they are in the best position
to observe attitude or other changes in student conduct and behavior, and as such are a vital
component in the early identification process.
At times school staff may request information from the SAS about a student referred to program
services. Most often staff want to be reassured that the student receives the assistance needed,
however, federal confidentiality regulations limit the disclosure of information regarding the
student as well as placement decisions (See Confidentiality information in this section under
additional resources). Nonetheless, it is permissible to follow-up with staff and to inform him/her
that the referral was received. Also, providing staff with a quarterly newsletter highlighting the
number of students referred and served is a good way to promote services (See Section 4
Program Awareness).
There may be times that staff members do not want to jeopardize their classroom relationships
with students and ask to remain anonymous. Honoring this request is important. If school staff
knows they can refer students of concern anonymously and are assured that students are
getting needed services they will continue to refer and gain trust in the SAPISP program.
Peer Referrals
Adolescents usually know what is going on in their friends’ lives better than adults do, and may
be aware of social, emotional, behavioral problems including mental health and substance
abuse issues long before school staff or parents. This makes peer referrals a critical component
of the SAPISP program. Peer pressure is strong during the adolescence, and so is the desire to
refrain from “snitching.” Using classroom presentations to address fears associated with seeking
help for friends (“snitching”), dispelling use myths, and providing students with a broad
understanding of the SAPISP program increases peer and self-referrals. Students need to be
assured that the information shared is kept in strictest confidence and that a Supportive adult is
available to discuss concerns (Anderson, 1993). When informed, coached, and supported,
students generally understand the importance of referring.
Self-Referrals
Self-referrals take place when a student voluntarily seeks out information or assistance from
program staff. Students who self-refer need to be certain that information shared during initial
visits, unless otherwise noted, is confidential. In general, effective [programs] contain
assurances that students will not be punished or penalized for behavior that occurs prior to the
point of self-referral” (Anderson, 1993, p. 94).
Parent Referrals
Parent referrals can be a powerful asset in identifying students at-risk. When the SAS receives
a referral, a first step is to try and contact the parents/guardian to: a. provide an overview of
SAPISP program services; b. ask the parent about any concerns he/she may have had with
his/her son/daughter (this may include exploring family history of mental health and substance
abuse); c. provide general information about signs and symptoms of ATOD use; and d. provide

Note of Caution: All students need to be informed of their right to confidentiality and the conditions
under which this right is waived (i.e. harm to self (suicide ideation), or others, or under the influence at
school). A sample Student Consent to Services and Disclosure form is available under additional
resources in this section and provides detailed information on what a student needs to understand
when agreeing to participate in program services.
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information about the parents’/guardians’ role in the prevention-intervention process. (Note:
Depending on individual ESD/school district policies, the SAS may not always contact parents
first. Follow policies established at the local level regarding parental engagement).
Additional ways to engage parents in program services are to provide information on signs of
symptoms, behaviors of concern, and the internal referral process in the school newsletter, or
annually published student handbook, and by hosting awareness events. The more parents are
aware of SAPISP services and perceive the program to be “credible, safe, and confidential” the
more likely they will be to contact the school for information and assistance to help their child
(Anderson, 1993, p. 94).
Community Referrals
Outside referrals from community-based agencies increase when community partners are
aware of program policies, services, and the referral processes. Pediatricians, primary care
physicians, and dentists may refer to school-based tobacco programs or educational support
groups. Clergy and religious leaders may refer families or students for education or intervention
services or family education groups, if provided. Juvenile justice programs may refer students of
concerns through probation and diversion programs. Outside therapists and mental health care
providers may work with the SAS when families inform them of their child’s involvement in
SAPISP support groups. Local treatment agencies may refer students who are in treatment
back to the SAPISP program for recovery support.
SUGGESTED PROGRAM OPERATIONS
The following information provides project coordinators and SAS’s with suggested program
operations related to implementing an internal referral process including steps to screening/
referred students. Also provided, is information on the state mandated adolescent screening
tools, suggested protocols related to confidentiality and record keeping as well as a collection of
sample forms.
This section of the manual is of vital importance in assisting the SAS in understanding his/her
role in providing SAPISP services to youth impacted social, emotional, behavioral substance
abuse issues. The Internal Referral Process is the most in-depth and detailed section of the
manual; therefore, we recommend the project coordinator carefully review this section in its
entirety and work with the SAS to establish the SAPISP internal referral process in his/her
school(s).
SCREENING PROCESS
According to the National Institute of Alcohol Abuse and Alcoholism (2003), screening is defined
as:
The formal process of testing to identify individuals with substance-related problems or
consequences, or those who are at-risk for such difficulties. Screening is used to determine
whether a client does or does not warrant further assessment at the current time (n.p.).
Screening is not diagnostic; “it does not establish definitive information about diagnosis and
possible treatment” (Winters, 1999, p.2). Rather the screening process “focuses on empirically
verified “red flags” or indicators of serious substance-related problems” across “two broad
categories: those that indicate substance use problem severity and those that are psychosocial
factors” (Winters, p. 3). The findings of the screening process identify issues that require more
formal assessment, and assists program staff in making effective recommendations for referral
and intervention services. Screening instruments provide a preliminary indication of problem
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behaviors and address a variety of problems from substance use/abuse to mental health and
other psycho-social issues. However, even the most accurate and reliable screening
instruments rely on the SAS’s professional judgment to make the appropriate placement
decisions guided by the screening results (Center for Mental Health in Schools, 2001; Winters,
1999).
Once a student is referred to the SAPISP program, the SAS begins a multi-step screening
process. The four step process yields a clear understanding of the student’s needs and assists
program staff in developing a plan to address these. This “triage” process starts with the
collection of information from a variety of sources, and reviews data related to student behavior,
presence of risk and protective factors, and includes a brief ATOD screening. The process
assists the SAS to “identify students exhibiting risk factors leading to behaviors that interfere
with the learning process or that are harmful to the student or others in the school setting”
(Deck, 2002, p 17). The intent of the screening process is not to provide a clinical and/or
psychiatric diagnosis, but to recognize the “red flags” that:
1. Identify those students who may benefit from SAPISP intervention services.
2. Guide staff to make effective referral and placement decisions based upon identified
risks and needs.
3. Indicate students in need of a longer, more formal assessment for treatment services
(AOD or mental health).
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STEP ONE – GATHER SUPPORTING DATA
The first step is to gather information and data prior to an initial meeting with the student.
Information is obtained from school files (attendance records, grades, and discipline data);
discussions with the referral source, other school staff or administrators regarding areas of
concern; and parent interviews. This step is often referred to as collecting collateral or
corroborative information – information that supports or informs program staff about the student
from multiple sources such as teachers, administrators, probation officers, and parents. School
staff may have firsthand information regarding the student’s conduct and recent changes in
attitude and behaviors. Parents can provide valid information regarding externalizing behaviors
(conduct problems, delinquency, and attention deficits) as well as confirm information about
internalizing issues (mood disorders, self-concept) (Winters, 1999). According to Winters
(1999), “Getting information from other sources helps the [Student Assistance Specialist] guard
against developing an incorrect picture based solely on the young person’s self-report” (p.6).
STEP TWO – BUILDING RAPPORT
Program staff conducts an informal interview with the student. The initial interview is relatively
short, about a 15–30 minute consultation, and is an opportunity for the SAS to:
 Build rapport, demonstrate care and concern.
 Describe SAS role and explain program services including confidentiality and rights to
privacy.
 Determine student’s frame of mind, appearance, attitude, and willingness to participate.
 Check in to determine if there are issues that may be affecting the student’s life in which
s/he needs immediate assistance.
Conduct (if student is amenable) or make an appointment to administer a brief ATOD screening
if the student is going to continue with services. Often step two is combined with step three, due
to scheduling and limited class release time. The main priority is to make sure rapport is built
prior to asking sensitive questions.
STEP THREE–IDENTIFY RISKS AND NEEDS
The third step in the screening process is to gather, review and assess data on the student
related to the nature and severity of the student’s problem behaviors and needs; prevalence or
lack of risk and protective factors; social, emotional and behavioral issues; nature of the
student’s substance use history and severity of use; and the student’s readiness to change. A
sample Intake Form, under additional resources guides the SAS in collecting risks and needs
data. Additional information regarding selecting screening instruments to compliment the intake
form and screening process is also included in the additional resources section.
Assessing Risk and Protective Factors
The presence of risks, or lack of protective factors, is indicative of potential risk of substance
abuse (Hawkins, et al., 1992) and serious emotional disturbance/mental health issues. SAS
need to be aware of such issues as school related risks which include academic failure,
disruptive classroom behavior, aggressive and/or violent behavior, poor school bonding
(truancy, attendance), and affiliation with antisocial peers, or peers that use/abuse substances.
Risk factors at home also affect the student’s behavior such as ineffective parenting, lack of

Caution: Make every effort to protect confidentiality and student’s rights to privacy. If the student is
seen prior to the collection of data, the SAS must obtain a signed release before collecting information
from sources other than school records (See pages 116–122 for additional information on
confidentiality).
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parental monitoring, a chaotic home environment, lack of significant relationship with a caring
adult, and a parent/guardian that abuses substances, suffers from mental illness, or engages in
criminal behaviors. Being aware of the multiple factors that influence a student’s behaviors is
critical to ensuring appropriate placement into services to address identified needs (Hawkins, et.
al. 1992; Robertson & Rao, 2003). (Detailed information related to risk and protective factors is
located in Additional Resources at the end of Section 1).
Alcohol and Other Drug Use Screening
A central purpose of the SAPISP program is to intervene and reduce student substance use or
delay onset of substances. Students referred to program services span a range from those who
have not used to those who exhibit characteristics and behaviors that put them at risk of
substance use. Other students may be experimenting with tobacco, alcohol, and marijuana,
while some referred for services have progressed to heavier use level and are exhibiting signs
of dependence (Deck, 2004).
All students referred to program services, are screened for ATOD use, which includes collecting
information about the student’s lifetime and recent history of substance use, and family use
history. In Screening and Assessing Adolescents for Substance Use Disorders Treatment
Improvement Protocol (TIP) Series 31 (1999), Winters states,
A screen should be simple enough that a wide range of health professionals can administer it. It
should focus on the adolescent’s substance use severity (primarily consumption patterns) and a
core group of associated factors such as legal problems, mental health status, educational
functioning, and living situation. The client’s awareness of her problem, her thoughts on it, and
her motivation for changing her behavior should also be solicited” (p.8).
The ATOD screening process collects student self-reported data on substance use history,
including lifetime, current (30 day), and severity of use.
Washington State requires all publicly funded substance abuse and mental health programs to
use the Global Appraisal of Individual Needs Short Screen (GAIN SS) as the primary screening
tool. SAS’s use this tool along with an intake that includes a substance use history. The license
to use the GAINSS is purchased by the state for all ESD’s to utilize the GAIN SS. Coordinators
train the SAS staff how to administer the GAIN SS.
The Global Appraisal of Individual Needs – Short Screener (GAIN-SS)3132 Interviewer or selfadministered screening questionnaire. Developer: Michael Dennis (2005). The GAIN-SS is a
brief, efficient behavioral health screening instrument for use in multiple settings. It can be
interviewer- or self-administered in 5 to 10 minutes. The tool is available in two formats, items
31
32
Source: Chestnut Health Systems, www.chestnut.org/li/gain
Validity/Reliability: The 20 symptom Total Disorder Screener has high reliability (alpha=.86), and is correlated .94
with the 123 symptom General Individual Severity Scale (GISS) in the full GAIN scale (see
www.chestnut.org/li/gain). Using a cut point of 3 or more on this scale had excellent sensitivity (91%) for identifying
people with a disorder and excellent specificity (89%) for correctly ruling out people who did not have a disorder. In
both cases, using a lower (1+) cut point would increase sensitivity further, but decrease specificity. The 5 item
subscales have alphas of .73 to .78 and are correlated .87 to .92 with their respective scales in the full GAIN (i.e,
43 item Internal Mental Distress Scale, 33 item Behavior Complexity Scale, 16 item Substance Problem Scale, and
31 item Crime/Violence Scale). Within each sub screener, using a cut point of 1+ achieved over 90% sensitivity and
70% specificity (within the area) for both adults and adolescents. Using 3+ in the subscales provided 70%
sensitivity and 90% specificity (within the area) for both adults and adolescents. Thus, the interpretative ranges are
set at low (0), moderate (1-2) and high (3+) for the total and each subscale.
132
on one are written in “yes/no” format and collect information for “past year” occurrences. In the
second format, questions use a regency response set to generate past month counts to
measure change, past year measures for screening, or lifetime measures as covariates. The
GAIN-SS is available in English and Spanish versions.
Description: Similar to the GAIN-Q, the Short Screener is a brief screening instrument used to
identify various life problems among adolescents and adults in the general population. The
instrument contains total scale (20-symptoms) and its 4 subscales (5-symptoms each) for
internal disorders, behavioral disorders, substance use disorders and crime/violence designed
to screen for people with clinical disorders among general populations of adolescents, young
adults and adults. The subscales are based on a series of exploratory and confirmatory factor
analyses of psychiatric symptoms and disorders among clinical samples. Scales:





Internal Disorder Screener (IDScr) – one or more symptoms used to identify over 94
percent of people with depression, anxiety, suicide ideation, acute/post traumatic
disorders, or other internal disorders.
External Disorder Screener (EDScr) – one or more symptoms used to identify over 97
percent of people with attention deficit, hyperactivity, other impulse control disorders,
conduct disorder (including antisocial personality disorder), aggression/violence, criminal
activity or other external behavior problems.
Substance disorder screener (SDScr) – one or more symptoms used to identify over 96
percent of people with abuse or dependence on alcohol or other drugs.
Crime/Violence Screener (CVScr) – one or more symptoms used to identify over 91
percent of the people with physical conflict or criminal involvement.
Total Disorder Screener (TDScr) – one or more of any of the above identifies over 99
percent of the disorders listed above.
Population: Adolescents (over 11); Adults
Stages and/or Continuum of Adolescent Substance Use
All adolescents progress through predictable stages of use, but all youth do not necessarily
progress through all stages of substance use. Only a small propoRTIon of youth will progress to
the final stages (abuse/dependency) (Steinberg & Levine, 1990; Winters, 1999). There are
several varying descriptions of the progression of adolescent substance use; each is relatively
consistent with the others, however terminology and description of stages may differ. To
determine a student’s stage or where he/she is on the continuum of substance use, information
is collected on recency (past 90 days) and severity of substance use. Severity ratings, as cited
by Deck (2005), are adapted from the DSM-IV criteria and from Mueser (1995).33
 Never used. The student has never used this substance.
 Abstained. The student has used this substance, but not in the past three months.
 Misused. The student has used the substance in the past three months, but there is no
evidence of persistent or recurrent social, occupational, psychological, or physical
problems related to the use and no evidence of recurrent dangerous use.
 Abused. The student has used during the last three months and there is evidence of
persistent or recurrent social, occupational, psychological, or physical problems related
to the use and evidence of recurrent dangerous use. For example, recurrent drug use
leads to disruptive behavior problems. Problems have persisted for at least one month.
 Dependent. They meet the criteria for abuse, plus at least three of the following:
33
Deck, D. (2005). Washington State prevention and intervention services program. Data collection
manual, p. 13. Office of Superintendent of Public Instruction. Olympia., WA.
133








Greater amounts or intervals of use than intended.
Much of their time is spent obtaining or using the substance.
Frequent intoxication or withdrawal interferes with other activities.
Important activities are given up because of drug use.
Continued use despite knowledge of substance-related problems.
Marked tolerance.
Characteristic withdrawal symptoms.
Alcohol or other drugs are taken to relieve or avoid withdrawal symptoms.
STEP FOUR – INTERVENTION AND OTHER SUPPORT SERVICES
The final step is to determine the best course of action and to develop placement decisions and
referral recommendations for intervention or other school and community based service options
based upon the findings of the screening process. The following suggested support service
placement guideline assists program staff in determining placement using a standardized
referral and services process (Figure 5.1). It is important to note that referral and service
provision is not a static process but a cyclical one; students can move in and out of services,
depending on need and success.
1. Students identified with no to low risks and no use, are referred to other school
services such as the school counselor, and after school program, or tutor/mentor
program.
2. Students identified with low to moderate risks and minimal/experimental use are
enrolled in selective/indicated program services, referred to the appropriate SAS led
educational support group, seen individually by the SAS, receive case management, and
may be referred to other school and community based agencies based upon identified
needs.
3. Students identified with moderate risks and moderate use/abuse are enrolled in
selective/indicated program services, referred to the appropriate SAS led educational
support group, seen individually by the SAS, receive case management, and may be
referred to other school and community based agencies based upon identified needs.
4. Students identified with high risks and high use/dependent are enrolled in
selective/indicated program services, referred to the appropriate SAS led educational
support group, and seen individually by the SAS. Students receive case management,
family consultation, and may be referred to other school and community based agencies
based upon identified needs. These students are also provided with re-entry support,
upon returning from or while involved treatment.
134
Figure 5.1 SAPISP Decision Tree for Services
SAP
Identification&
Referral
Quick
Intervention
No/Minimal Risks;
No Use
(less than 2
contacts)
School
Administrator
School Staff
Self/Peer
SAP
Parent
Full Intervention
Screen:
Collateral information
Community
Minimal/Mod Risks;
Minimal
Use/experimentation
RMC Intake & Services
Pre-Test
Consent
No/Minimal Risks;
No Use
Other Services
School Counselor
School Psychologist
After school Program
Tutoring
Community-based
services
Moderate Risks;
Moderate Use/Abuse
High Risks;
High Use/Dependent
RMC Intake & Services
Pre-Test
Consent
RMC Intake & Services
Pre-Test
Consent
SAPI Services
SAPI Services
Individual sessions
Group sessions: At
Risk/Social Skills;
Intervention; Concerned
Persons/Affected Others;
Coping Skills and other
social emotional behavioral
groups
Case Management
Individual sessions
Individual sessions
Group sessions: Intervention;
Challenge; Concerned
Persons/Affected Others
specific to family; Coping Skills
and other social emotional
behavioral groups
Case Management
Group sessions: Intervention;
Challenge; Recovery &
Relapse prevention; Concerned
Persons/Affected Others
specific to family; Coping Skills
and other social emotional
behavioral groups
Referral Services
Case Management
Reentry Support:
Refer to Other School Services:
School Counselor
Referral Services:
Formal AOD Assessment
School Psychologist
After School Program
Family Consultation
Refer to Treatment
SAPI Services
Referral Services
Refer to Other School
Services:
School Counselor
School Psychologist
Treatment Support
Mental Health Counseling
Community linkages
Community Resources
Mental Health
Medical Care
Family Services
Parent Support/ED
Social & Health Services
Educational (Voc/College)
Work Source
12-Step/Faith-based/Other
At completion of SAPI
services or the end of school
year complete RMC posttest.
135
UNDERSTANDING CONFIDENTIALITY IN SAPISP PROGRAMS
Maintaining student confidentiality is of utmost importance within the SAPISP setting. Program
staff needs to be aware of not only school policies associated with disclosure of student related
information but to federal and state regulations. The information outlines a process for avoiding
implicit or accidental disclosure of a student’s status as an individual referred for, diagnosed
with, or treated for alcohol or other substance abuse in the Student Assistance PreventionIntervention Services Program.
CONFIDENTIALITY REGULATION: FEDERAL REGULATIONS – 42 CFR. PART 2.
§2.1. Statutory authority for confidentiality of drug abuse patient records.
The restrictions of these regulations upon the disclosure and use of drug abuse patient records were
initially authorized by section 408 of the Drug Abuse Prevention, Treatment, and Rehabilitation Act (21
U.S.C. 1175). That section as amended was transferred by Pub. L. 98–24 to section 527 of the Public
Health Service Act which is codified at 42 U.S.C. 290ee–3. The amended statutory authority is set forth
below:
SECT;290EE-CONFIDENTIALITY OF PATIENT RECORDS.
(a) Disclosure authorization.
Records of the identity, diagnosis, prognosis, or treatment of any patient which are maintained in
connection with the performance of any drug abuse prevention function conducted, regulated, or directly
or indirectly assisted by any department or agency of the United States shall, except as provided in
subsection (e) of this section, be confidential and be disclosed only for the purposes and under the
circumstances expressly authorized under subsection (b) of this section.
CONFIDENTIALITY: QUESTIONS AND ANSWERS
34
The need to maintain and uphold confidentiality regulations is an important task. In a question and
answer format, the information below provides program staff with a clear understanding of how to
avoid unintended disclosure of student information. The information provided here does not
substitute for legal counsel. In the event that question and/or issue arise regarding a student’s right
to confidentiality and privacy, seek the services of a competent professional.
Unintended, implicit disclosure of student sensitive information can occur in a number of ways:
 The person disclosing the information is identified in the school and community as being
a provider of referral, diagnostic or treatment services for alcohol or other substance
abuse.
 Confirming that a student is a participant in the program, even if the person seeking
confirmation appears to have the information independently.
 Sending a student a letter in an envelope indicating that the addressee is a client in the
program.
 Faxing information or sending a letter to or about a student on program stationary.
 In a message on an answering machine or voicemail.
 Disclosing sufficient information to identify a student who is in the program.
 Producing or identifying the student when police arrive with an arrest warrant, but
without a proper court order.
 Failing to protest a search warrant when police do not have a proper court order.
34
Source: OESD 114 Prevention and Treatment Center. Kristin Schutte, Director.
136
The danger of unintended, implicit disclosure of a student’s involvement in program services is
somewhat lessened when the program staff providing the services is known in the school and
community as providing a variety of services, such as general mental health counseling, anger
management, social skills, curriculum delivery, tobacco cessation counseling, and student
leadership activities.
At times, program staff needs to report information relating to a student in the program, but in doing
so, the student’s status as a program participant is indirectly disclosed by the mere fact that the
staff member is known to exclusively provide substance abuse services. As described in more
detail below, in certain circumstances program staff will need to report the information
anonymously.
Even in circumstances where there are authorized consents or a legal basis for disclosure of a
student’s Participation in program services, take steps to ensure that accidental or indirect
disclosure to unauthorized third persons does not occur, as described below.
Routine Matters (e.g. referral, attendance, taking student out of class)
Question: How do I inform the principal or school counselor that a student was seen by program
staff in pursuant to a referral?
Answer: The consent form permits this type of disclosure. To avoid unauthorized disclosure to third
parties, the information should be given in writing, on the form provided, with the warning against
disclosure attached to the front of the reporting form, transmitted in a generic envelope or folded
over and stapled.
Question: How do I inform the attendance officer or principal that a student was at an appointment
with me?
Answer: The consent form permits this disclosure. To avoid unauthorized disclosure to third
parties, the information should be given in writing, on the form provided, with the warning against
disclosure attached to the front of the reporting form, transmitted in a generic envelope or folded
over and stapled.
Question: How do I get a student out of class for an appointment?
Answer: Provide passes that do not identify the SAPISP as the destination.
Medical Emergencies.
Question: When may I disclose a specific diagnosis of substance abuse in a medical emergency?
Answer: The law permits the disclosure of a diagnosis to medical personnel treating the student, or
another, when it is necessary for the medical treatment. This would include suicide attempts or
threats, drug overdose, and tuberculosis reporting when a student is not taking medications. You
must immediately document the disclosure, recording the name of the recipient and his or her
affiliation with any health care facility, the name of the individual making the disclosure, the date
and time of the disclosure and the nature of the emergency. If time permits, you should consult with
your supervisor before making the disclosure.
137
Question: When the law permits me to disclose a diagnosis to medical personnel, may I tell anyone
else about a diagnosis in a medical emergency?
Answer: No, you cannot reveal a diagnosis. But the consent form permits the disclosure of the fact
that the student is a participant in the program to school administrators and the parents or guardian
for the purpose of complying with school district policy concerning notification of medical
emergencies involving students. When you notify them of the medical emergency, you must also
transmit to them the warning against disclosing any information that would identify the student as a
participant in the program (such as the fact that they obtained the information from program staff).
Question: What can I do when school district policy requires me to report or take other action in a
medical emergency to protect a student or another person, but it is not necessary for medical
treatment to disclose a student’s diagnosis?
Answer. The consent form permits the disclosure of the fact that the student is a participant in the
program to school administrators and the parents or guardian for the purpose of complying with
school district policy concerning notification of medical emergencies involving students. The
administrator may then report the medical emergency in accordance with district policy, but may
not disclose the fact of the student’s Participation in the program in doing so. You can report the
emergency yourself if you do so without identifying your affiliation with the program. When you
report the medical emergency to anyone permitted by the consent, you must also transmit to them
the warning against disclosing any information that would identify the student as a participant in the
program, unless they obtain consent.
NonMedical Emergencies.
Question: When may I disclose the status of a student as a participant in the program in connection
with: a)A crime or threat of crime on program premises or against program personnel? b) A crime
or threat of crime elsewhere or against others? or c) Violation of school district policy regarding
being on district premise or at district functions while under the influence of alcohol or drugs?
Answer:
a) Crime or threat of crime on program premises (against anyone) or against program personnel
(anywhere). The law permits you to report to law enforcement that a student is a participant in the
program in the course of reporting that he or she has committed, or threatened to commit, a crime
against anyone on the program premises or against program personnel on or off program
premises. This applies to confessions of past crimes if they are within these circumstances. The
consent form permits you to disclose the same information to school district administrators and the
parents or guardians when required by district policy. In doing so, you may not disclose the
program status of a victim or witness who is a participant in the program. You must give anyone to
whom you made a disclosure the warning against disclosure without consent. If time permits, you
should consult with your supervisor before making a disclosure.
b) Crime or threat of crime elsewhere or against others. The consent form permits you to disclose
the fact that the student is a participant in the program to school district administrators, and the
parents or guardians when district policy requires you take action in cases of crimes or threats of
crimes involving a student The administrator may then report the crime or threat of crime
accordance with district policy, but may not disclose the fact of the student’s Participation in the
program in doing so. You can report the crime or threat yourself if you do so without identifying
your affiliation with the program. When you report the crime or threat to anyone permitted by the
consent, you must also transmit to them the warning against disclosing any information that would
138
identify the student as a participant in the program, unless they obtain consent. If time permits, you
should consult with your supervisor before making any disclosure.
c) Violation of district policy concerning being under the influence of alcohol or drugs. The consent
form permits you to disclose the fact that the student is a participant in the program to school
district administrators and the parents or guardians if district policy requires you to report when a
student is under the influence of alcohol or drugs on district premises or at district functions. When
you report the incident to anyone permitted by the consent, you must also transmit to him or her
warning against disclosing any information that would identify the student as a participant in the
program, unless they obtain consent. If the student’s condition constitutes a medical emergency,
then see the instructions pertaining to medical emergencies. If time permits, you should consult
with your supervisor before making any disclosure.
Question: What can I do to comply with State laws requiring reporting suspected child abuse or
neglect?
Answer: You may make a report and confirm a report in writing, but no more. Files may not be
disclosed to any authority, including law enforcement, without consent or a proper court order.
Court Orders and Subpoenas
Question: What do I do when I am served with a court order to disclose a student’s records or a
court order that accompanies a search or arrest warrant?
Answer: Give a copy of the order to your supervisor to determine if it is proper. If he or she
determines that it is a proper court order, then you may disclose the information described in the
order.
Question: What do I do if I am served with a subpoena?
Answer: Give a copy to your supervisor. He or she may contact the student and seek his or her
consent to release the subpoenaed information, or may contact the party that issued the subpoena
to persuade the party to obtain a proper court order, or, if that fails, move to quash the subpoena.
Question: What do I do if I am served with a search or arrest warrant without a court order?
Answer: You must resist the warrants, but not to the point of using force. Contact your supervisor
and try the following to avoid compliance:

Produce a copy of the regulations and explain that you cannot cooperate unless they have
a proper court order.

Explain that your supervisor is contacting an attorney.

Ask to contact the prosecuting attorney or commanding officer so that you can repeat your
reasons for resisting without a proper court order.

Try other appeals to reason.
If all of the above fail, do not forcibly resist. Allow the law enforcement officials to enter, but do not
point out the student or the records sought.
139
SUGGESTED SAS PROTOCOL FOR RELEASING CONFIDENTIAL INFORMATION35
Federal and State law protects the confidentiality of participant records maintained by the
Student Assistance Prevention-Intervention Services program. This means that the program
may not disclose to anyone outside the program a participant’s program status e.g. enrolled,
participating, etc., or to disclose any type of communication between staff and participants.
According to Federal and State law, confidentiality protections do not apply under the following
circumstances:
 A student gives written consent to release information to a specific person or agency
(Probation officers receives only a summary of progress toward goals).
 A court order, with special findings, requires disclosure.
 The disclosure is made in the course of reporting suspected child abuse or neglect as
required by State law.
 If a participant is in danger of harming himself or herself or others, the program may
notify the school administrator, counselor, parent/guardian, mental health professional,
or law enforcement agency, as appropriate and necessary. This includes suicidal intent
or late stage addiction constituting “imminent harm.” Program staff will not disclose that a
participant is involved in substance abuse services without written consent.
 The Program Director, in the course of carrying out his or her duties to administer the
program and supervise staff.
 The disclosure is made to medical personnel in a medical emergency where disclosure
of the diagnosis is necessary to treat the emergency.
 The disclosure is made to qualified personnel for research, audit or program evaluation.
 The disclosure is made in the course of reporting to law enforcement any crime
committed by a participant at the program or against any program staff, or any threat of
such a crime.
All participants in the program must sign the Confidentiality Notice and Consent Form. If a
participant refuses to sign the form, services cannot be provided to the student or family. Each
participant must read (or outline) and sign form both forms. If the child is under 13, a parent
must also sign the forms. Provide a photocopy of each form along with a copy of RCW
18.130.180 (Unprofessional Conduct).
What can be shared with the Principal/Counselor without a Confidentiality and Release of
Information forms signed?
 Name of students on caseload (which must be printed on Disclosure form).
 School behavior activity not related to substance using/abuse status.
 Type of services/groups provided to students without specifying names.
 CPS referral, suicide/homicide, weapon issues (follow local level protocols).
Any other information shared without a signed Release of Information, is a breach of
confidentiality regulations.
How to Share Additional Information:
With a Release of Information signed by student and parents (when appropriate), the following
information can be shared with the specific person identified:
 Information as indicated on the release form.
 Case consultation without releasing any diagnosis of student and family.
 Behavior contracts, case management, and family situations.
35
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
140
If a participant is willing to sign a Release of Information form to parent(s), school
administration, counselor, or legal authorities, specify the name of each individual receiving the
information. Do not use referent titles such as “administration” or “school counselor.”
Participation on Student Assistance Teams (SAT):
We want SAS to participate in SAT/teams; however, unless the Release of Information form
includes the names of all team members, information regarding specific students and/or families
may not be disclosed.
 Involvement in the SAT/teams can help generate referrals and gain information.
 SAS may case consult at any time regarding a child/family if they have not previously
met with the child or family or in general terms without being specific about a student on
his/her caseload.
Helpful Hints to Build Relations without a Signed Release:
 Assist teachers and building administrators by providing generic descriptions of a child
coming from a difficult home environment.
 Provide global informational handouts related to classroom management, supporting
challenging youth, and implementing behavior plans.
SAMPLE FORMS FOR COMPLIANCE WITH CONFIDENTIALITY REGULATIONS
The following pages provide a collection of sample forms and resource information for use
within the SAPISP program when enrolling a student in selective and indicated services. The
forms cover a variety of areas related to the internal referral process including a Referral Form,
Sample Intake Form, Confidentiality Notice and Consent Form, Disclosure Statement and
Consent Form, Consent for Exchange of Confidential Information, and staff feedback forms.









Checklist for agency-based SAPISP programs to ensure forms comply with regulations.
Confidentiality Notice and Consent Form.
Disclosure Statement and Consent Form.
Consent for Exchange of Confidential Information.
Attendance document for School Administrator.
Transmittal Form cover page.
Parent letter regarding violation of the school district policy.
Confidentiality Agreement for SAT members.
Protection of Public Rights Amendment (PPRA): Model Notification of Rights.
141
SAMPLE
SAPISP CONFIDENTIALITY FORMS CHECKLIST FOR AGENCY-BASED PROGRAM 36

Form
Purpose
Consent to Seek
Parental Permission for
Student Participation in
Program
To be used before the start of
services to obtain participant’s
authorization to seek parental
permission for student to
participate in the program.
 Must comply with 42 C.F.R. § 2.31.
 Advise participant that records are protected under
federal and state laws and regulations; application
for services are governed by 42 C.F.R. Part 2 and
cannot be disclosed without written consent;
consent may be revoked at any time except if
already relied upon; consent expires on specific
date, event, or condition.
 Signed by participant.
Parental Permission
To be used after receiving
consent from participant, and
before the start of services, to
ensure parent’s awareness that
child of any age intends to
participate in any aspect of the
program.
To be used at the start of
services to (a) provide
mandatory disclosures, and (b)
obtain consent for services.
 Include a description of program mission, goals,
and services.
 Provide notice regarding confidentiality of
information.
 Signed by parent/guardian.
Federal Confidentiality
Notice and Consent
To be used at the start of
services to (a) provide notice of
confidentiality rights, and (b)
obtain consent for additional
releases of confidential
information that are critical to
the success of the program.
Consent for Exchange
of Confidential
Information
To be used to obtain consent
either to send confidential
information to other persons or
to receive confidential
information from other persons.
 Organize form into two sections on (1) notice, and
(2) consent.
 Notice section must comply with 42 C.F.R. § 2.22.
 Consent section should seek from participant
consent for release of limited confidential
information to school administrators and parents
regarding Participation in program.
 Consent section must indicate that anyone
receiving information will be given written notice
prohibiting re-disclosure without consent; consent
may be revoked at any time except if already relied
upon; and consent expires when participant is no
longer a student in district.
 Signed by both participant and SAPISP
professional.
 Signed by parent/guardian if participant under 13.
 Must comply with 42 C.F.R. § 2.31.
 When seeking information, health care providers
may require that consent complies with additional
HIPAA Privacy Rule requirements.
 Signed by participant.
 Signed by parent/guardian if participant under 13.
Transmittal Cover
Sheet
To be used as a cover sheet
anytime that confidential
information is disclosed.
Disclosure Statement
and Consent
36
Key Elements
 Must comply with chapter 18.19 RCW and WAC
246-810-310.
 Provide list of the acts of unprofessional conduct in
RCW 18.130.180.
 Signed by both participant and P/IS professional.
 Signed by parent/guardian if participant under 13.
 Must include redisclosure language contained in
42 C.F.R. § 2.32.
Source: Puget Sound ESD, Prevention Center, Kimberly Noel, Director
142
SAMPLE
STUDENT ASSISTANCE PREVENTION-INTERVENTION SERVICES PROGRAM
CONFIDENTIALITY NOTICE & CONSENT FORM37
A.
Notice of Confidentiality of Program Participant Records
Federal and State law protects the confidentiality of participant records maintained by this
Student Assistance Prevention Intervention Services Program (the Program). Generally, this
means that the Program may not disclose to anyone outside the Program that a participant
attends the Program or disclose communications between staff and participants. Under Federal
and State law, confidentiality protections do not apply in these circumstances:
Exceptions applicable to all Program participants:
 A participant gives written consent to release information to a specific person or agency.
(Probation officers will receive only a summary of work done toward goals).
 A court order that includes special findings requires it.
 The disclosure is made in the course of reporting suspected child abuse or neglect as
required by State law.
 When a person is in danger of harming themselves or others the Program may notify
school administrators, counselor, parents/guardian, a Mental Health Professional, or law
enforcement, as may be appropriate and necessary. This includes suicidal intent or late
stage addiction constituting “imminent harm.” Program staff will not disclose that a
participant is being seen for substance abuse without written consent.
 The Program Director, in the course of carrying out his or her duties to administer the
Program and supervise staff.
 The disclosure is made to medical personnel in a medical emergency where disclosure
of the diagnosis is necessary to treat the emergency.
 The disclosure is made to qualified personnel for research, audit, or program evaluation.
 The disclosure is made in the course of reporting to law enforcement any crime
committed by a participant at the Program or against any Program staff, or any threat of
such a crime.
For substance abuse programs, federal law prohibits disclosure outside the Program that a
participant is being seen in the Program for a substance abuse problem or disclosure of any
information that identifies a participant as a person who has a substance abuse problem, except
for the circumstances described above. Violation of this Federal law and regulation by the
Program is a crime. You may report suspected violations to the appropriate authorities in
accordance with Federal regulations. (See Federal laws 42 U.S.C. 290dd-3 and 42 U.S.C.
290ee-3 and Federal regulations 42 CFR, Part 2.). In all cases described above, except when
written consent is given, the Program Director will be consulted before any disclosure is made.
In all cases, the recipient of the disclosure will be informed that disclosure is not permitted
without your written consent.
B. Consent for Release of Confidential Information
Because this is a school-based program offered in cooperation with your school district, you are
asked to consent to the disclosure of limited information (including your status as a participant in
the Program for substance abuse, if applicable) to school administrators and your parents or
guardian under the following circumstances:
37
Source: OESD 114 Prevention and Treatment Center. Kristin Schutte, Director.
143




The fact that you have complied with a referral to the Program (including completing or
dropping out of the program) may be disclosed to a school principal or counselor for the
purpose of informing them how your needs are being served.
The dates and times of your attendance at the Program may be disclosed to a school
principal or attendance officer for the purpose of verifying that you complied with the
State school attendance laws and were properly absent from class.
The fact that you are a participant in the Program may be disclosed to school
administrators and your parents or guardians if Program staff are obligated to report a
medical emergency in accordance with school district policy and procedures concerning
notification of medical emergencies involving students.
The fact that you are a participant in the Program may be disclosed to school
administrators and your parents or guardians if Program staff are obligated to report any
violations by you of school district policies, including those concerning the commission of
a crime, or threat to commit a crime, on school premises or being on school premises or
at school functions under the influence of alcohol or drugs.
Anyone receiving information allowed by this Consent will also be given written notice that they
may not further disclose the information unless you give written consent.
You may revoke this Consent at any time except to the extent that action has been taken in
reliance on it and, in any event, this Consent expires automatically when you are no longer a
student in the School District in which you are currently enrolled.
C. Signature
I have read the Notice of Confidentiality Participant Records and the Consent for Release of
Confidential Information and had them explained to me.
Signature of participant/student
Date
Signature of parent/guardian*
_____________________________
Date
Signature of Specialist
_____________________________
Date
* Required for students under the age of 13.
144
SAMPLE38
CONSENT FOR EXCHANGE OF CONFIDENTIAL INFORMATION
Student Name: ____________________________________ Date of Birth: ______________
I hereby consent to the exchange of information described below by [Agency Name].
and:
Name of Specialist
Name:
Institutional Affiliation/Relationship:
Address:
Type of Information:












Identifying information (e.g. name, birth date, SSN, dates admitted to/discharged from program)
Emergency contacts
Medical and medication information, including diagnosis
Alcohol/Drug assessment, evaluation, diagnosis, treatment recommendations, and prognosis
Results of urinalysis or other drug and alcohol tests
Student’s counseling experience
Legal, social, educational, and vocational history
Treatment history and progress
Identified strengths of the family and student
Current family stressors or challenges
Discharge summary and recommendations
Other
Purpose of Information:






Access in emergency situations
Exchange and verify client case planning information
Access resources that best meets needs of the family
Assist in appropriate treatment placements
Brainstorm solutions to decrease family stressors
Other
This consent is in effect until __________________________________, but does not authorize the
release of information relating to future care received more than 90 days after this date. This consent is
subject to revocation, orally or in writing, at any time except to the extent [agency name] has already
taken action in reliance on it. No disclosure may be made without specific authorization.
Student
Date
Parent/Guardian*
Date
* Required for students under the age of 13
38
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
145
SAMPLE39
ATTENDANCE/REFERRAL FEEDBACK FORM
FOR A STUDENT ASSISTANCE PREVENTION INTERVENTION PROGRM
The following is confidential information:
TO: _________________________________________________________
FROM: ______________________________________________________
1.
_______________________________________________________
2.
_______________________________________________________
3.
_______________________________________________________
4
_______________________________________________________
5.
_______________________________________________________
6.
_______________________________________________________
7.
_______________________________________________________
8.
_______________________________________________________
9.
_______________________________________________________
10.
_______________________________________________________
PROHIBITION ON REDISCLOSURE
This information is disclosed to you from records protected by Federal confidentiality rules (42
CPR Part 2). The Federal rules prohibit you from making any further disclosure of this
information unless further disclosure is expressly permitted by the written consent of the person
to whom it pertains or as otherwise permitted by CFR Part 2. A general authorization for the
release of medical or other information is NOT sufficient for this purpose. The Federal rules
restrict any use of the information to criminally investigate or prosecute any alcohol or drug
abuse patient.
39
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
146
SAMPLE40
TRANSMITTAL COVER SHEET
To: ______________________________________________________
PROHIBITION ON REDISCLOSURE
This information is disclosed to you from records protected by Federal confidentiality rules (42
CFR Part 2). The Federal rules prohibit you from making any further disclosure of this
information unless further disclosure is expressly permitted by the written consent of the person
to whom it pertains or as otherwise permitted by 42 CFR Part 2. A general authorization for the
release of medical or other information is NOT sufficient for this purpose. The Federal rules
restrict any use of the information to criminally investigate or prosecute any alcohol or drug
abuse patient.
40
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
147
SAMPLE41
PARENT LETTER
(Date)
(Parent’s address)
Dear
,
Your child,
, has been referred to me for a violation of the school
district policy. Unfortunately, I have been unable to contact you by telephone to discuss my role
in your child’s intervention.
Please feel free to contact me at
with any questions or concerns you may
have. If I am not available, please leave a number and a time when I can reach you. I am happy
to discuss how I might assist you with this discipline referral.
Sincerely,
(Print Name)
Program Staff Name
41
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
148
SAMPLE42
STUDENT ASSISTANCE PREVENTION-INTERVENTION SERVICES PROGRAM
CONFIDENTIALITY AGREEMENT43
As an administrator, counselor, and/or teacher, in connection with the SAPISP services, I agree
to the following:
1. All files, charts, notes, and other written material, concerning students will be held in staff
offices or former students will be secured when not being used.
2. All discussions concerning students will be held in staff offices or other places which assure
privacy.
3. All information about students or former students will be kept confidential.
4. No privileged information about students or former students will be discussed with families
and/or friends.
5. For privileged information, written or verbal, to be shared with agencies or professionals,
written authorization will first be obtained from the student.
_____________________________________
Signature
_____________________________________
Student Assistance Specialist
_____________________________________
Date
42
43
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
Source: OESD 114 Prevention and Treatment Center. Kristin Schutte, Director.
149
SAMPLE
Protection of Pupil Rights Amendment (PPRA):
Model Notification of Rights44
The PPRA affords parents certain rights regarding our conduct of surveys, collection and use of
information for marketing purposes, and certain physical exams. These include the right to:

Consent before students are required to submit to a survey that concerns one or more of
the following protected areas (“protected information survey”) if the survey is funded in
whole or in part by a program of the United States Department of Education (ED):
1. Political affiliations or beliefs of the student or student’s parent.
2. Mental or psychological problems of the student or student’s family.
3. Sex behavior or attitudes.
4. Illegal, anti-social, self-incriminating, or demeaning behavior.
5. Critical appraisals of others with whom respondents have close family
relationships.
6. Legally recognized privileged relationships, such as with lawyers, doctors, or
ministers.
7. Religious practices, affiliations, or beliefs of the student or parents.
8. Income, other than as required by law to determine program eligibility.

Receive notice and an opportunity to opt a student out of:
1. Any other protected information survey, regardless of funding;.
2. Any nonemergency, invasive physical exam or screening required as a condition
of attendance, administered by the school or its agent, and not necessary to
protect the immediate health and safety of a student, except for hearing, vision, or
scoliosis screenings, or any physical exam or screening permitted or required
under State law.
3. Activities involving collection, disclosure, or use of personal information obtained
from students for marketing or to sell or otherwise distribute the information to
others.

Inspect, upon request and before administration or use:
1. Protected information surveys of students.
2. Instruments used to collect personal information from students for any of the above
marketing, sales, or other distribution purposes.
3. Instructional material used as part of the educational curriculum.
These rights transfer to from the parents to a student who is 18 years old or an emancipated
minor under State law.
[School District will/has develop[ed] and adopt[ed]] policies, in consultation with parents,
regarding these rights, as well as arrangements to protect student privacy in the administration
of protected information surveys and the collection, disclosure, or use of personal information
44
Source: Puget Sound ESD, Prevention Center, Kimberly Noel, Director
150
for marketing, sales, or other distribution purposes. [School District] will directly notify parents
of these policies at least annually at the start of each school year and after any substantive
changes. [School District] will also directly notify, such as through United States Mail or email,
parents of students who are scheduled to participate in the specific activities or surveys noted
below and will provide an opportunity for the parent to opt his or her child out of Participation of
the specific activity or survey. [School District] will make this notification to parents at the
beginning of the school year if the District has identified the specific or approximate dates of the
activities or surveys at that time. For surveys and activities scheduled after the school year
starts, parents will be provided reasonable notification of the planned activities and surveys
listed below and be provided an opportunity to opt their child out of such activities and surveys.
Parents will also be provided an opportunity to review any pertinent surveys. Following is a list
of the specific activities and surveys covered under this requirement:
 Collection, disclosure, or use of personal information for marketing, sales, or other
distribution.
 Administration of any protected information survey not funded in whole or in part by
education.
 Any nonemergency, invasive physical examination or screening as described above.
Parents who believe their rights have been violated may file a complaint with:
Family Policy Compliance Office
United States Department of Education
400 Maryland Avenue, SW
Washington, D.C. 20202-5901
151
RECORD KEEPING
Each project site determines what records are kept and how records are to be stored. It is
recommended that the SAS maintain at a minimum referral, screening, group or individual
attendance and topic log records, signed Confidentiality Notice and Consent Form, Disclosure
Statement and Consent Form, Consent for Exchange of Confidential Information. A single
copy of these forms, along with other significant records, are kept in the Student
Assistance Prevention Intervention Services Program locking file cabinet for each
student with these kept separate from student records. DBHR requires that records are
kept for six years (WAC 275-19-170).
CLOSE OUT PROCEDURES FOR RECORDS
The following steps are to be used as a guide to assist with record keeping procedures once a
student has completed services and records need to be transferred to the main ESD/School
District office location. Note: According to WAC 275-19-170 records are to be kept in a locked
filing cabinet located in a room that also locks.
Student records are to be closed-out when a student has moved out-of-state, graduated, or no
longer need program services (this includes possibility of services needed in the future).
The SAS consolidates the following information for each student.
 List the student’s name, ID number, date, and name of school on folder tab. Each
folder should include the following (those items with an * may not be in every
students file)
 A brief statement of the reason for file closure (see example below), and a list
of groups attended. Signed and dated.
 Referral form *
 Confidentiality & Release forms/permission
 All releases*
 Screening tools i.e. intake, screening/pre-assessment tool (e.g. GAIN
SS,GAIN Q, SASSI, or PESQ, drug log, etc.)
 Individual attendance records
 Referral recommendations *
 All CPS reports/documentation, Suicide No Harm contracts and
Homicidal/Behavior contracts *
Sample Close Out Statement
The record for John Doe is being closed because he moved out of the district in March
2005. John Doe participated in the following groups during the 2004–05 program year:
Insight and Recovery Support.
Or
The record for John Doe is being closed because he is graduating in June 2005. John
Doe participated in the following groups during the 2004–05 program year: Insight and
Recovery Support.
152
SAMPLE SAPISP FORMS
On the following pages is a collection of sample forms to assist the SAS with data collection,
record keeping and to track student progress.
1. School staff referral form
2. Parent Permission Form
3. Sample Intake Form
4. Screening – Recommendation and Referral
5. Group Attendance Log (located in Section 8 Educational Support Groups)*
6. Individual Attendance Log
7. Personal Progress Chart*
8. Student Outcome Plan*
9. Suggested Guidelines In Responding To Disciplinary Referrals
Other records may include correspondence from treatment agencies and community mental
health or other community counseling agencies, CPS reports, suicide contracts, or juvenile
justice probation information.

Note: The Group Attendance Log, Individual Attendance Log Personal Progress Chart, and Student
Outcome Plan are forms that the SAS can use to document progress. It is up to the Project Coordinator
and/or Supervisor to determine what level of progress to record.
153
SAMPLE
STUDENT ASSISTANCE PREVENTION-INTERVENTION SERVICES PROGRAM
SCHOOL STAFF REFERRAL FORM
Date of Referral _______________________
Person Reporting_______________________________
Student Name_______________________________________ Grade_______ Age________________
Homeroom Teacher__________________________________
Areas of Concern (please check all that apply)
_____
No interest in school and poor academic
performance
_____
Frequent absence/tardiness
_____
Sudden or extreme behavior/attitude change or
_____
Threats toward others
_____
Atypical behaviors (lack of attention to
hygiene, grooming, dress)
_____
Unusual risk-taking behaviors
_____
Aggressive/hostile behaviors
_____
Patterns of impulsive and chronic hitting,
appearance
_____
Withdrawn or feelings of isolation and/or being
alone
_____
Detachment/lack of bonding
_____
Feelings of being picked on or persecuted
_____
Being a victim of violence
_____
Uncontrolled anger
_____
intimidation and bullying behaviors
_____
History of disciplinary problems
_____
Delinquent/criminal activity
Excessive feelings of isolation and being alone
_____
Unusual interest/preoccupation with weapons
_____
Suicide threats/self-mutilation
_____
Expression of violence in writings or drawings
_____
Family substance abuse or violence
_____
Suspected substance abuse
Please note any additional concerns or pertinent information regarding this student’s behavior:
_____________________________________________________________________________________________
154
SAMPLE
PARENT PERMISSION
STUDENT ASSISTANCE PREVENTION-INTERVENTION SERVICES PROGRAM45
Mission and Goals:
The SAPISP provides a comprehensive, school based approach for the prevention, identification, intervention, and
support services for secondary schools. The program is successful due to the collaborative efforts among students,
parents, schools, and community resources. The program is designed to:
1. Reduce student risk for alcohol, tobacco and other substance abuse;
2. Strengthen healthy attitudes, positive decision making skills and provide clear standards for behavior;
3. Provide referral and support services for students and families;
4. Provide education for parents, schools and community on ways to support the social/emotional health of our
youth; and
5. Assist students to achieve academic and social success.
Program services include:

ATOD Education classes for students and/or parents

Classroom presentations/education

Consultation for parents and Staff

Youth Empowerment activities, cross-age education, youth led schoolwide prevention events

Social Skills, educational support groups, and social emotional learning

Support for youth with friends that use

Referrals to community services

Screening for high risk behaviors

Tobacco Cessation education and support

Case management with school team

Informational workshops
Your child has expressed interest in and/or has been invited to participate in one or more aspects of this program. All
services are based on best practices and provided by a qualified professional with youth/school based services
experience. This program is available at NO COST through district, state, and federal funding. Federal and state law
protects the confidentiality of participant records maintained by the SAPISP Program.
In an effort to measure the benefits of services on students and to continually improve practices, your child may be
asked to provide information in the form of a questionnaire both at the beginning and at the conclusion of services
regarding: attitudes and behaviors related to substance abuse, school experience, and this program. Parents must
give consent before their children can participate in these questionnaires, pursuant to the Protection of Pupil Rights
Amendment (“PPRA”).
By signing below you are agreeing to your youth’s Participation in one or more of the above services. In addition, you
are consenting to allowing the program to administer the questionnaire for program evaluation purposes.
This consent expires at the end of the 2005–06 school year.
______________________________
Signature
______________________________
Printed name
______________________________
Student’s name
______________________________
Date
THANK YOU FOR YOUR COMMITMENT TO HELP OUR PROGRAM. TOGETHER WE ARE INVESTED IN
SUPPORTING AND STRENGTHENING STUDENT SUCCESS!
45
Source: Puget Sound ESD 121, Prevention Center, Kimberly Noel, Director
155
SAMPLE INTAKE FORM
1. Student ID #:
2. School:
3. Enrollment Date:
I. DEMOGRAPHIC INFORMATION
4. Student Name (Last, First, MI):
5. Gender (circle one)
a. Female
b. Male
6. DOB: (mm/dd/yyyy)
7. Age:
c. Transgender (ID as female)
d. Transgender (ID as male)
8. Race: (circle one)
a. White/Caucasian
b. Black/African American
c. Asian
9. Living Arrangement (circle one):
a.
b.
c.
Both parents
Mother only
Father only
d. American Indian or Alaska Native
e. Native Hawaiian/Pacific Islander
f. Hispanic, Latino or Chicano
d.
e.
f.
g.
Mother and step-parent
Father and step-parent
Mother and partner
Father and partner
10. Address:
g. Multi-racial (specify): ________________
h. Other (specify): _____________________
h.
i.
j.
k.
l.
Grandparent(s)
Other relative _____________________ (specify)
Foster Care
Homeless
Other ___________________________ (specify)
11. City:
14. Home Phone #:
15. Cell Phone #
(
)
(
)
18. Parent/Responsible Adult (Last, First, MI):
12. State
16. Work Phone #:
(
)
20. Responsible Adult Address:
21. City:
24. Responsible Adult’s Employer:
13. Zip
17. Email Address:
18. Daytime Phone:
(
)
22. State
23. Zip
25. Work Phone #:
(
)
27. Work Phone #
(
)
29. Emergency Phone #
(
)
26. Student’s Employer:
28. Emergency Contact (Last, First) (different from #18):
II. SCHOOL/EDUCATION HISTORY
30. Last School Attended: (Name, City, State)
31. Last Date Attended: (mm/dd/yyyy)
32. Highest Grade Completed:
34. Ever held back or flunked
a. Yes b. No If yes, # of times _____
33. On Task to Graduate
a. Yes
b. No
35. School Services (circle all that apply)
a. Regular Classroom
b. Bilingual Education
c. Title I/LAP
d. Gifted/Honors
36. Current Enrollment Status
a. GED Prep
b. Enrolled full-time
c. Enrolled part-time
d. Suspended
e. Expelled
f. Dropped out
e. Home/Hospital
f. Special Education
g. Alternative School
h. Family Support/RTL
g. Tutor
37. Attendance (most recent semester)
a. Excellent, no unexcused absences
b. Good attendance; few unexcused
absences
c. Some partial-day unexcused absences
d. Some full-day unexcused absences
e. Truancy petition/equivalent or withdrawn
39. Academic Performance (most recent semester)
a. Honor students (mostly A’s)
b. Above 3.0 (mostly A’s and B’s)
38. Suspension/Expulsion History:
a. 1 time suspended/expelled
b. 2-3 times
c. 4-5 times
d. 6-7 times
e. 8 or more times
f. Never suspended/expelled
c. 2.0 – 3.0 (mostly B’s and C’s, no F’s)
d. 1.0-2.0 (mostly C’s and D’s, some F’s)
e. Below 1.0 (some D’s and mostly F’s)
156
III. JUVENILE JUSTICE HISTORY
40. Juvenile Justice Status: (circle all that apply)
a. On probation
b. On diversion
b. Other (specify) _______________________________
Reports to: ____________________________________
41. Criminal History (circle all that apply)
a. Against person offenses/arrests (specify)_______________
b. Property offenses/arrests (specify) ____________________
c. Drug and alcohol offenses/arrests (specify) _____________
d. Other offenses/arrests (specify) ______________________
e. None
42. Age of first offense:
43. Times in secure confinement:
IV. PERSONAL HISTORY
44. In your lifetime, have you ever been …
a. physically abused?
b. sexually abused?
45. Mental health diagnosis
a. Yes (specify) _____________________________
b. No
c. Unknown
47. Sexually active? Y
48. Pregnant?
Y
49. Parent?
Y
N
N
N
c. emotionally abused?
d. involved with CPS/ICW?
46. Past/Current AOD Assessment
a. Yes (specify agency) _______________________________
b. No
c. Unknown
50. Extracurricular Activities
a. Currently involved? If yes, specify ___________________
b. Previously involved? If yes, when? ____________________
51. Student Self-Assessment of Problem:
52. Peer Behaviors (past 30 days)
a. % of friends who used any drugs _______
b. % who got drunk (5 or more drinks) _______
c. % of friends who worked fulltime __________
d. % of friends involved in illegal activity ________
V. FAMILY BONDING/ATTACHMENT
53. Family Relationships:
Rating
(1=poor 10 = excellent)
a. Name: ___________________________ Age: ______ Relation: _______________ Rating: _____
Current/Past
Substance Abuse
Yes
No
b. Name: ___________________________ Age: ______ Relation: _______________ Rating: _____
Yes
No
c. Name: ___________________________ Age: ______ Relation: _______________ Rating: _____
Yes
No
d. Name: ___________________________ Age: ______ Relation: _______________ Rating: _____
Yes
No
VI. ATOD USE HISTORY
54. In your lifetime, have you ever used any alcohol, marijuana, hallucinogens, amphetamines, cocaine/crack,
inhalants, or other drugs?
a. Yes
b. No, if no SKIP to Question 60
157
IX. SEVERITY OF USE
In the following section, I am going to ask you about your specific drug use. Please be honest about
your drug use, if any.
55. Drug used
Age of
first
use?
Last
time you
used
(days)?
In the past
90 days, on
how many
days did
you use?
What was
the most
you had in
one day?
What was
the least
you had in
one day?
How much
do you
normally
use?
How often do
you use?
a. Tobacco
b. Alcohol
c. Marijuana
d.
Amphetamines
e. Heroin
f. Ecstasy
g.
Hallucinogens
h. Rx.drugs
i. OTC drugs
j. Other
k. Other
56. Has your alcohol/drug use ever caused you
57. Have you ever dealt drugs?
problems at home or at school?
a. Yes
a. Yes
b. No
b. No
58. Do you think you may have a problem with alcohol, 59. Do you want help with your drug use?
marijuana, or other drugs?
a. Yes
a. Yes
b. No
b. No
FAMILY USE HISTORY
60. Do you every worry about your mom’s or dad’s
61. Do you wish you mom or dad drank less or used
drinking, use of medication or use of drugs?
less medication or used fewer drugs?
a. Yes
a. Yes
b. No
b. No
62. Do you wish your mom or dad didn’t drink at all,
62. What makes you worry or wish?
didn’t use medication, or didn’t use any drugs?
a. Yes
b. No
VII. OTHER INFORMATION
63. Reason for Referral (circle all that apply)
c. School Problems (academic performance, attendance)
a. Possible ATOD Use
d. Home/Neighborhood issues
b. Behavior/Peer Relations
e. Mental Health issues
158
64. Previously Enrolled in SAPISP program?
a. Yes (specify) ________________________________
b. No
66. Intervention Group Completed
a. Yes
b. No, if not reason _____________________________
68. Referred for full AOD assessment?
a. Yes. If yes, date ______________________________
b. No
65. Parent involved in process
a. Yes ____ Called ____ Family Conference
____ Info Provided _____ Release Signed to Parent
b. No
67. Student Declined Release
a. Yes, reason ____________________________________
b. No
69. Release signed for treatment center and case
management.
a. Yes
b. No
70. Choices Given (specify)
71. Notes:
159
SAMPLE46
SCREENING RECOMMENDATIONS AND REFERRAL
has completed an Alcohol and Other Drug Screening.
Name
Based on this process, I
am making the following
Student Assistance Specialist
recommendations:
No further services are necessary at this time.
Referral to an Educational Support Group
Further adolescent and family educating/counseling
Social Skills
Challenge
Affected/Concerned others
Recovery
Other
Monitor Urinalysis for Abstinence
Referral for alcohol and other drugs assessment to determine necessary treatment
needs for Outpatient, Intensive Outpatient, or Inpatient.
Agency referrals:
1._____________________________________________________________________
2. ____________________________________________________________________
3. ____________________________________________________________________
Additional Counselor Comments:
Student Assistance Specialist
Date
Phone
PROHIBITION ON DISCLOSURE
This information is disclosed to you from records protected by Federal confidentiality rules (42 CFR Part 2). The Federal rules
prohibit you from making any further disclosure of this information unless further disclosure is expressly permitted by the written
consent of the person to whom it pertains or as otherwise permitted by 42 CFR Part 2. A general authorization for the release of
medical or other information is NOT sufficient for this purpose. The Federal rules restrict any use of the information to criminally
investigate or prosecute any alcohol or drug abuse patient.
46
Source: OESD 114 Prevention and Treatment Center, Kristin Schutte, Director.
160
SAMPLE47
SAPISP
INDIVIDUAL ATTENDANCE LOG
Student Name: _____________________________
ID # _____________________
School: __________________________________ School Year: ____________
Status: Active _____ *Closed Code_____
DATE
TOPIC CODE (S)
Topic Codes:
I = Intake
CU = Consequences of use
DUH = Drug use history
* Closed Codes:
M = Moved/transferred
A = Alt. school
C = Completed .
O = Other/unknown
47
DATE
TOPIC CODE (S)
SS = Social skills
RS = Recovery support
F = Family support
CO = Concern for other’s use
RU = Reasons for use
SA = Self-assessment
O = Other
Q = Quit program
D = Dropped out
G = Graduated
S = Suspended/Expelled
JD = Juvenile Detention
E = End of school year
Source: OESD 114 Prevention and Treatment Center, Kristin Schutte, Director.
161
SAMPLE48
PERSONAL PROGRESS CHART
NAME __________________________________ DATE _____________________
ADDRESS ___________________________________________________________
PHONE NUMBER ________________________
CELL ______________________
GRADE _______
AGE _______
PARENT _____________________________________________________________
EVALUATION DATE _________ LOCATION __________
WITH ______________
COMPLETED _______________ RECOMMENDATIONS ______________________
AA MEETINGS REQUESTED _______________ COMPLETED ________________
PROBLEM
SOLUTION
GOAL
OUTCOME
STUDENT ASSISTANCE SPECIALIST: _____________________________________
COMMENTS: _______________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
48
Source: Puget Sound ESD Prevention Center, Kimberly Noel, Director
162
SAMPLE49
Student Outcome Plan
Student Assistance Specialist _______________________________________________
Date ________________________
District ___________________________
Review Date __________________
Building _______________________
Student ___________________________________
(Use code number)
Grade Level ________
Review Date __________________
Counseling:

Individual Counseling

Group Counseling

At Risk/Social Skills

Intervention (Insight)

Challenge

Affected Others

Recovery Support

Other
Description of Intervention Goals: (Establish at least two goals)
Academic Goals: (Establish at least one goal)
Goal 1 ____________________________________________
Goal 1 ____________________________________________
Goal 2 ____________________________________________
Goal 2Goal
____________________________________________
1 _________________________________________
Goal 3 ____________________________________________
Goal 3 ____________________________________________
Objectives for Meeting Goals
Objectives
Objective 1 ________________________________________
Objective 1_____________________________________
Objective 2________________________________________
Objective 2_____________________________________
Objective 3________________________________________
Objective 3_____________________________________
49
Source: OESD 114 Prevention and Treatment Center, Kristin Schutte, Director; Puget Sound ESD Prevention Center, Kimberly Noel, Director.
163
SUGGESTED GUIDELINES IN RESPONDING TO DISCIPLINARY REFERRALS50
The following provides a guideline for steps that program staff can take in response to student
violation of drug policies and subsequent disciplinary referrals to the Student Assistance
Program (OESD 114, 2002).
Suggested Protocol
1) Once a referral is received from an administrator, make a serious attempt to contact and
involve parents in the intervention process prior to meeting with the student. Make two
attempts to contact the parents by telephone, leaving a message regarding how and when
they can return your call. If there is no response after two attempts, send the parent letter.
Due to federal confidentiality laws, technically we can only leave our name, and
contact information. No information regarding the student’s ATOD referral can be left
in the phone message or included in a letter. In a phone message, the SAS might say,
“I am the Student Assistance Specialist and your (child’s name) was referred to me.”
Research has indicated that a child is less likely to use alcohol/drugs when a parent:
 Is positively involved with his/her child.
 Monitors his/her behavior.
 Uses effective discipline (i.e. setting limits/boundaries that are consistent and clear).
2) As part of a face-to-face meeting or phone conversation, explain to the parent your process
for screening, referral and the disciplinary procedures. Use the parent questionnaire as a
guide to conduct an interview regarding the parents’ concerns related to their child’s
potential ATOD use. Provide the parent with a list of signs and symptoms, as well as
educate the parent on communication and monitoring skills to support his/her child.
3) Following the meeting one or more of the processes may occur:
Scenario 1
Following parent meeting you meet with the
student individually and begin the intervention by
getting to know the student and completing the
intake process.
Determine if the student is appropriate for an inschool intervention program (TEG, ATOD
Education, or Insight) or needs to be referred to an
outside agency for completion of the intervention
(i.e. Intervention) or both.
If the student is appropriate for in-school
intervention–complete the program with the student
Upon completion of the intervention, make
additional recommendations to the referring
administrator.
50
Scenario 2
Following parent meeting you meet with the student
in Insight group and begin the intervention process
through the insight group.
Determine if the student is appropriate for ongoing
in-school intervention support or needs to be
referred to an outside agency for completion of the
intervention (i.e. Intervention) or both.
Upon completion of the intervention, make
additional recommendations to the referring
administrator.
Meet again with the parent(s) and the student to
discuss any further recommendations.
Source: OESD 114 Student Services Center. Kristin Schutte, Director.
164
ADDITIONAL RESOURCES
165
Being Specifically Alert to Substance Abuse Indicators51
The first part of the article can be found on page 103 of the program manual in the Internal
Referral Process section.
Amphetamines (stimulants)
excessive activity
rapid speech
irritability
appetite loss
anxiety
extreme moods and shifts
erratic eating and sleeping patterns
fatigue
disorientation and confusion
increased blood pressure and body temp.
increased respiration
increased and irregular pulse
tremors
Cocaine (stimulant, anesthetic)
short-lived euphoria followed by depression
nervousness and anxiety
irritability
shallow breathing
fever
tremors
tightening muscles
Inhalants
euphoria
intoxicated look
odors
nausea
drowsiness
stupor
headaches
fainting
poor muscle control
rapid heartbeat
anemia
choking
Cannabinoids (e.g., marijuana, hash, THC)
increased appetite initially
decreased appetite with chronic use
euphoria
decreased motivation for many activities
apathy, passivity
decreased concentration
altered sense of time and space
inappropriate laughter
rapid flow of ideas
anxiety; panic
irritability, restlessness
decreased motor skill coordination
characteristic odor on breath and clothes
increased pulse rate
droopy, bloodshot eyes
irregular menses
Narcotics (e.g., opium, heroin, morphine, codeine, methadone, and other pain killers)
extreme mood swings
poor concentration
confusion
insensitivity to pain
drowsiness/decreased respiration
slow, sallow breathing
decreased motor coordination
itchiness
watery eyes/pinpoint pupils
lethargy
weight loss
decreased blood pressure
possible needle marks
as drug wears off nausea &
runny nose
51
Excerpt from: Resource Aid Packet on Substance Abuse. UCLA Center for Mental Health in Schools, Dept. of
Psychology, PO Box 951563, Los Angeles, CA 90095 pp 37-39. Available at:
http://smhp.psych.ucla.edu/pdfdocs/Substance/substance.pdf
166
Barbiturates, sedatives, tranquilizers (CNS depressants)
decreased alertness
intoxicated look
drowsy
decreased motor coordination
slurred speech
confused
extreme mood swings
erratic eating and sleeping patterns
dizzy
cold, clammy skin
decreased respiration and pulse
dilated pupils
depressed mood state
disinhibition
Hallucinogens (effecting perceptions; e.g., PCP, LSD, mescaline)
extreme mood alteration and intensification
altered perceptions of time, space, sights,
sounds, colors
loss of sense of time, place, person
decreased communication
panic and anxiety
paranoia
extreme, unstable behaviors
restlessness
tremors
nausea
flashbacks
increased blood pressure
impaired speech
impaired motor coordination
motor agitation
decreased response to pain
watery eyes
167
SECTION 6
CONSIDERATIONS FOR VULNERABLEGREATER-RISK POPULATIONS
168
INTRODUCTION
This section was written to raise the awareness of Student Assistance Specialist (SAS) and
Project Coordinators about identified populations/groups/individuals that have shown to be at
high risk of developing a behavioral health problem. The bio-psychological-social make up,
social-environment and upbringing, and/or genetic predisposition appear to have an impact as
to what makes these populations/groups/individuals more vulnerable and at greater risk for
substance abuse problems.
In addition, the Substance Abuse and Mental Health Administration Services in 2011 action plan
for 2011-14 identified eight Strategic Initiatives. The following Strategic Initiatives align with the
vulnerable-greater-risk populations/groups/individuals:
Strategic Initiatives # 1: Prevention of Substance Abuse and Mental Illness
Goal 1.3 - Prevent suicide and attempted suicides among populations at high risk,
especially military families LGBTQ youth and American Indian and Alaskan Native (p. 8).
Strategic Initiatives # 2: Trauma and Justice
Goal 2.3 - Reduce the impact of trauma and violence in children, youth and families
(p. 8).
Strategic Initiatives # 3 Military Families
Goal 3.2 - Improve the quality of behavioral health-focused prevention, treatment and
recovery support services by helping providers respond to the needs within the military
family cultures.
Goal 3.3 - Promote behavioral health of military families with programs and evidencebased practices that support their resilience and emotional health and prevent suicide
(p.9).
Strategic Initiatives # 8 Public Awareness and Support
Goal 8.1 - Increase public understanding about mental and substance abuse disorders,
the reality that people recover and how to access treatment and recovery supports for
behavioral health conditions.
Goal 8.5 - increase social inclusion and reduce discrimination (p.12).
To address the above Strategic Initiatives from school-based SAPISP model six vulnerablegreater-risk population/groups/individuals were identified: mental health (includes suicide risk
factors and adverse childhood experiences), children from military families, children from
substance abusing parents, LGBTQ and Native American. A brief overview on each
population/groups/individuals about the risk and statistical facts, special considerations and
strategies is provides. This section is by no means intended to provide SAS with a complete
guide of “how to’s” instead, links to Web sites, suggested curriculum and books are provided to
assist in further professional development
MENTAL HEALTH (Youth with Serious
Emotional Disturbances)
OVERVIEW
The mental health needs of many youth go unmet
because children and adolescents are unable to
access appropriate high-quality mental health
Identifying mental health
problems early and providing
appropriate services are
especially important in improving
academic achievement and
overall student well-being
169
services. Recent research has shown evidence that school-based mental health programs
improve educational outcomes by decreasing absences, reducing discipline referrals, and
improving test scores. Identifying mental health problems early and providing appropriate
services are especially important in improving academic achievement and overall student wellbeing (Safe Schools Health Students, 2009).
The Substance Abuse Mental Health Services Administration (SAMHSA) describes mental
health problems as “… health conditions involving changes in thinking, mood, and/or
behavior…associated with distress or impaired functioning. When they are more severe, they
are called mental illnesses. These include anxiety disorders, attention-deficit/hyperactivity
disorder, depressive and other mood disorders, eating disorders, schizophrenia, and others.
When these occur in children under 18, they are referred to as serious emotional disturbances
(SEDs)”.1
According to a report from Oregon Public Health Division (2006):
 Epidemiological studies suggest that 12 to 30 percent of United States school-age
children and youth experience at least moderate behavioral, social, or emotional
problems.
 Over half of the adolescents in the United States who fail to complete their secondary
education have a diagnosable psychiatric disorder.
 High depression scores are associated with low academic achievement, high scholastic
anxiety and poor peer and teacher relationships.
 Anxiety disorders are associated with drug use and dependence, suicidal behavior and a
reduced likelihood of attending college.
 Teens who have made a suicide attempt in the previous twelve months showed
significantly lower levels of school performance and school connectedness than
nonattempters.
 Adolescents with a six-month diagnosis of alcohol or drug abuse/dependence were
found to have poorer school performance.
 Moderate substance use and/or violence/delinquency were associated with test scores a
full level below scores of groups of students not involved in these behaviors.
SPECIAL CONSIDERATIONS52
Grade-school children with serious emotional disturbances have the highest rates of school
failure because of the discrimination and stigma associated with these disorders. Fifty percent of
these students drop out of high school, compared to 30 percent of all students with disabilities.
The situation gets worse as the students get older: college-age students are especially
vulnerable to mental illness; many psychiatric disorders first emerge in the late teens or early
twenties.
Not only do students with mental health problems experience difficulties but their teachers do,
too. It can be frustrating to teach such students who have mental illnesses not only because of
their challenges in learning but also due to the impact of their behaviors on the rest of the class.
Mental health awareness by everyone in the classroom may increase acceptance and
understanding of people with mental illnesses, decrease the negative attitudes that are
oftentimes attached to mental health problems, and lead to treatment for youth with mental
health disorders.
52
Excerpt retrieved from (4/2012) http://promoteacceptance.samhsa.gov/topic/education/default.aspx.
170
SUGGESTED STRATEGIES AND RESOURCES
Activities geared towards mental health promotion in schools are intended to support enhanced
integration, coordination, and resource sharing among education, mental health, and social
services providers. To support students identified with Serious Emotional Disturbances, at a
minimum school-based student assistance programs should consider including the following
activities:




Training and consultation to school personnel related to childhood mental, social,
and emotional issues.
Procedures for early identification, internal referrals and linkages to the local
public mental health agencies for at-risk children and adolescents and their
families. Services need to include assessment, early intervention and/or
treatment as needed on or off school grounds.
Supportive services to families in order that they may fully participate in the
educational, social, and healthy development of their children.
Policies and procedures, as needed, to ensure enhanced communication and
information sharing across service systems (such as common referral or intake
forms).
171
MENTAL HEALTH (Warning Signs for Youth Suicide)53
Most suicidal young people don’t really want to die; they just want their pain to end. About 80
percent of the time, people who kill themselves have given definite signals or talked about
suicide. The key to prevention is to know these signs and what to do to help.
If a friend or someone you know mentions suicide, take it seriously. If he or she has expressed
an immediate plan, or has access to a gun or other potentially deadly means, do not leave him
or her alone. Get help immediately. Seek out a school counselor or psychologist, family
physician, suicide prevention or crisis line, or a friend to help.
 Contact 911 if you believe someone is in immediate danger of hurting themselves.
 Contact a mental health professional or call 1-800-273-TALK(8255) or
www.suicidepreventionlifeline.org for a referral should you witness, hear or
see anyone exhibiting any one or more of the below warning signs.
Watch for these signs. They may indicate someone is thinking about suicide. The more
signs you see, the greater the risk.
 A previous suicide attempt
 Current talk of suicide or making a plan
 Strong wish to die or a preoccupation with death
 Giving away prized possessions
 Signs of depression, such as moodiness, hopelessness, withdrawal
 Increased alcohol and/or other drug use
 Hinting at not being around in the future or saying good-bye
These warning signs are especially noteworthy if there has been:
 A recent death or suicide of a friend or family member
 A recent break-up with a boyfriend or girlfriend, or conflict with parents
 News reports of other suicides by young people in the same school or community
Other key risk factors include:
 Readily accessible firearms
 Impulsiveness and taking unnecessary risks
 Lack of connection to family and friends (no one to talk to)
Risk Factors for Suicide54
Psychiatric Disorders
At least 90 percent of people who kill themselves have a diagnosable and treatable psychiatric
illnesses such as major depression, bipolar depression, or some other depressive illness,
including:
 Schizophrenia.
 Alcohol or drug abuse, particularly when combined with depression.
 Posttraumatic Stress Disorder, or some other anxiety disorder.
 Bulimia or anorexia nervosa.
 Personality disorders especially borderline or antisocial.
53
Retrieved 4/12/2012 from KING5.com Posted on April 11, 2012 at 1:19 PM. Source of information obtained from K5
News from: Washington State Department of Health and www.yspp.org
54
Retrieved4/12/2012 from KING5.com Posted on April 11, 2012 at 1:19 PM Source of information
from K5 News from: Source: American Society for the Suicide Prevention
172
Impulsivity
Impulsive individuals are more apt to act on suicidal impulses.
Past History of Attempted Suicide
Between 20 and 50 percent of people who kill themselves had previously attempted suicide.
Those who have made serious suicide attempts are at a much higher risk for actually taking
their lives.
Genetic Predisposition
Family history of suicide, suicide attempts, depression or other psychiatric illness.
Neurotransmitters
A clear relationship has been demonstrated between low concentrations of the serotonin
metabolite 5-hydroxyindoleactic acid (5-HIAA) in cerebrospinal fluid and an increased incidence
of attempted and completed suicide in psychiatric patients.
MENTAL HEALTH (Terminology, classroom challenges and
strategies)55
Anxiety Disorder:
Has an excessive, irrational dread of everyday situations that has become disabling. Has
overwhelming anxiety and feelings of extreme self-consciousness in everyday social situations.
Shows intense fear of being watched or judged by others.
Possible Challenges in the Classroom:
Distracted by things beyond the classroom – e.g. excess worry about family, friends, health, etc.
Inability to focus. Often times preoccupied and may need to have information repeated. In
severe cases, student may exhibit signs of panic for unknown or unperceived reasons. May
even result in physical symptoms such as pounding heart, weakness, sweatiness, or dizziness.
Classroom Strategies:
 Talk with the student during times of distress.
 Present calmly to student.
 Use low volume tones.
 Listen and encourage the student to see the school counselor, if warranted.
 Do not force student to talk during class by calling on him or her.
 Foster an environment of respect so student may slowly gain comfort interacting with
peers.
Attention Deficit Hyperactivity Disorder (ADHD):
Hyperactive Symptoms include constant motion, fidgeting, difficulty with quiet tasks, and trouble
sitting still. Impulsive Symptoms include interrupting conversations, bluritng out answers, acting
without regard for consequences, and impatience. In attention. Easily bored, confused and
distracted. Appear to day dream. Forgetfulness. Slow moving.
Possible Challenges in the Classroom:
4
Excerpt from: Hertel, R., Johnson, M., Kincad, S. O., & Wolpow, R. (2009). Heart of learning and teaching:
Compassion, resiliency, and academic Success (p.140-144). Olympia, WA: Office of Superintendent of Public
Instruction - Compassionate Schools.
173
Difficulty paying attention during class. Disruptive behavior. Often distracts other students.
Inability to self-regulate. Easily sidetracked. Frequently daydreaming. Certain events, situations,
or health conditions may cause temporary behaviors that seem like ADHD.
Classroom Strategies:
 Structure, structure, structure.
 Early intervention before behavior escalates.
 Stand in close proximity to student if they are having trouble focusing.
 Medication monitoring by school nurse.
 Short lessons to encourage focus on work.
 Provide family support and social and emotional learning.
Autism Spectrum Disorders (ASD), including Asperger’s:
Has difficulty communicating with others. May exhibit repetitious behaviors, such as rocking
back and forth, head banging, or touching or twirling objects. Has a limited range of interests
and activities. May become upset by a small change in the environment or daily routine. Severe
and pervasive impairment in thinking, feeling, language, and the ability to relate to others. Has
difficulty reading people and situations.
Possible Challenges in the Classroom:
Social etiquette is often inappropriate. Social etiquette skills include how to comfortably join and
exit a group of peers; good sportsmanship; good host behavior during get-togethers; changing
bad reputations and owning up to a previously bad reputation; and handling teasing, bullying
and arguments. May be a target for bullying or other harassment. Challenges with any kind of
intimacy and relationship development.
Classroom Strategies:
 Often receiving specially designed instruction through an IEP.
 Dietary interventions.
 Teaching of social interaction skills. May also need greater one-on-one attention and
help from a teacher.
 Provide personal space for student.
 Little routine change and a structured class.
 Break assignments into small steps.
Bipolar Disorder (Manic Depression):
Changes in mood from being extremely irritable or sad to overly silly and elated.
Manic Symptoms include distractibility, increase in talking, great increase in energy, repeated
high-risk behavior, severe mood changes, unrealistic highs, and not allowing interruptions.
Depressive symptoms include persistent sadness, decreased interest in activities, frequent
complaints of physical illness, irritability, and low energy levels. Shifts in not only mood, but also
energy level and ability to function.
Possible Challenges in the Classroom:
Disruptive behavior or anger towards others for what seems to be no reason and with no
provocation. Teachers may have trouble gauging when mood swings may occur and have little
chance of dispelling them. Medication frequently prescribed if diagnosed.
Classroom Strategies:
174





Allow student to work on a creative or interesting assignment.
Have an aide work one-on-one with the child.
Allow the child to work in a study carrel.
IEP to address accommodations to emphasize strengths, assets of student.
Possible medication monitoring by school nurse.
Borderline Personality Disorder (BPD):
A serious personality disorder characterized by pervasive instability in moods, interpersonal
relationships, self-image, and behavior. Extremes of mood occur. Attention seeking and often
dramatic.
Possible Challenges in the Classroom:
This disorder disrupts individuals’ sense of self-identity. Bouts of aggression may lead to issues
with other students and teachers. Potential substance abuse. Poor boundaries. Issues of other
students often become their own. Intense bouts of anger, depression, and anxiety that circulate
through their daily lives. Often seeks to create a reaction in other students.
Classroom Strategies:
 Watch for signs that warn for something greater than a mere temper tantrum or bad
day– over a prolonged period of time.
 Be very consistent and stable, not reacting to the student’s provocation.
 Know who they are even when they are struggling with their own identity.
 Pay attention to signs of substance abuse and notify counselor if that is the case.
Depression:
Difficulty with relationships. Frequent complaints of physical illness. Frequent sadness or crying.
Low energy, Low self-esteem. Persistent boredom. Poor concentration. Thoughts of suicide.
Loss of interest in activities that were once enjoyable.
Possible Challenges in the Classroom:
Unwilling to participate in class activities or even pay attention. ‘Empty’ feeling may lead to
students disregard for anything and lead to disassociation with what is happening in the
classroom.
Classroom Strategies:
 Offer support.
 Be there for students to talk to if they need to.
 Make sure counselors know that there is something going on with the student so they
can best help.
Eating Disorders:
Severe disturbances in eating behavior, such as extreme reduction of food intake (Anorexia
Nervosa) or purging (Bulimia) accompanied by feelings of extreme distress or concern about
body weight or shape. Frequent trips to the restroom.
Possible Challenges in the Classroom:
Preoccupied with food intake. May refuse snacks or overindulge. Obsessive about body image.
May exhibit excessive weight loss or gain. Often quiet and depressed. Changes in weight are
not always apparent(especially with Bulimia).
175
Classroom Strategies:
 Careful observation.
 Refer to school counselor for appropriate follow up. Do not expect the student to “admit”
to the problem. Behavior is often very secretive.
Fetal Alcohol Syndrome:
Difficult to diagnose. Some symptoms are physical such as low birth weight; small size; small
eyes; flat cheeks and nose; thin upper lip; shaking and tremors; sight and hearing problems;
heart defects; joint defects, and a small, abnormally formed brain. Other symptoms include
eating and sleeping difficulties; delayed speech; ADHD; an undeveloped conscience; lower IQ;
poor coordination; behavior problems; impulsivity; and difficulty getting along with other
students. May develop drug or alcohol dependency, anxiety disorders, and trouble controlling
explosive anger.
Possible Challenges in the Classroom:
Disruptive, out of control, inciting negative behavior in other students. Very short-term memory
for instructions. Talking in the classroom. May appear as if they are simply disinterested in the
material and are choosing to disengage. Difficulty in retaining what is learned.
Classroom Strategies:
 Assess the student’s needs by reviewing the student’s academic history through report
 Cards and by speaking with the parents.
 Record the adaptations and/or modifications that will be used to support the student.
 Observe students’ skills and productivity in the classroom.
 Extra patience, attention and help.
 Lessons need to be shorter in duration and actively seek to gain the attention and
interest of the students.
 Use nonverbal cues.
 Prioritize the student’s needs from most to least important.
Obsessive Compulsive Disorder (OCD):
Recurrent, unwanted thoughts (obsessions) and/or repetitive behaviors (compulsions).
Possible Challenges in the Classroom:
Student may be plagued by persistent, unwelcome thoughts or images or by the urgent need to
engage in certain rituals. May be obsessed with germs, dirt, and washing their hands. They may
be filled with doubt and feel the need to check things repeatedly.
Classroom Strategies:
 Interact with student one-to-one.
 Do not draw attention to behaviors.
 Refer to school counselor for potential referral for mental health services.
 Listen and encourage.
 Be aware of how much the student can comfortably handle.
Oppositional Defiant Disorder (ODD):
Throwing repeated temper tantrums. Excessively arguing with adults. Actively refusing to
comply with requests and rules. Deliberately trying to annoy or upset others, or being easily
annoyed by others. Blaming others for their mistakes. Frequent outbursts of anger and
176
resentment. Seeking revenge. Swearing or using obscene language. Many children with ODD
are moody, easily frustrated and have low self-esteem.
Possible Challenges in the Classroom:
Anger towards the teacher for what may appear to be no rational explanation. Leads to student
focusing on those feelings rather than the schoolwork and may disregard anything the teacher
has to say relevant to schoolwork itself.
Classroom Strategies:
 Students do respond to praise and should be given some flexibility; they also need limits
and consequences.
 Consequences should be appropriate and meaningful, something they want to avoid.
Choose consequences wisely.
 Separate actions from students and understand that their hostility is not personalized
toward you.
 Family support.
 Social and emotional learning.
Post-Traumatic Stress Disorder (PTSD):
An anxiety disorder that can develop after exposure to a terrifying event or ordeal in which grave
physical harm occurred or was threatened.
Possible Challenges in the Classroom:
May appear distracted or daydreaming in the classroom. Expresses fear and may speak of
memories of the event in the class. Student may appear detached and be easily startled.
Classroom Strategies:
 Maintain a calm environment.
 Listen if the student chooses to talk about the event, being careful to terminate
conversation if any anxiety begins to develop.
 Refer to a counselor for community mental health treatment.
Substance Abuse:
Recurrent substance use resulting in a failure to fulfill major role obligations at work, school, or
home. Recurrent substance use in situations in which it is physically hazardous (e.g., driving an
automobile).Recurrent substance-related legal problems (e.g., arrests for substance-related
disorderly conduct).Continued substance use despite having persistent or recurrent social or
interpersonal problems caused or exacerbated by the effects of the substance (e.g., arguments
with friends and family about consequences of
intoxication, physical fights).
Possible Challenges in the Classroom:
Repeat absences. Poor work performance [Disruptive and defiant. Disengaged. Sleeping in
class]. Substance-abuse related suspensions or expulsions.
Classroom Strategies:
 Refer to a Student Assistance Specialist or other personnel for a substance abuse
screening and potential referral for substance abuse treatment.
177
MENTAL HEALTH (Adverse Childhood Experience56)
There is nothing new about the presence of children affected by trauma in schools. What is new
is our knowledge of the problem’s pervasiveness and its effect on school performance. Studies
funded by the Center for Disease Control (Felittiet
al, 1998) and the United States Justice Department
(Snyder, H. & Sickmund, M.,2006) indicate the
Adverse Childhood
significant percentages of American students and
Experiences(ACEs) as defined by
their families who live in a culture of isolating
Felitti & Anda (2009)
familial and societal violence including, but not
■ Child physical abuse
limited to, domestic abuse, rape, homicide, gang
■ Child sexual abuse
■ Child emotional abuse
violence, drug and alcohol abuse and related
■ Emotional neglect
violence, physical, emotional, and sexual abuse,
■ Physical neglect
mental health issues, and loss due to suicide. Take
■ Mentally ill, depressed or suicidal
for example the Adverse Childhood Experiences
person in the home
(ACEs) study. Dr. Vincent Felitti (Kaiser
■ Drug addicted or alcoholic family
Permanente, California) and Dr. Robert Anda
member
(CDC)began by asking over 17,000 adults, who
■ Witnessing domestic violence
were members of a Health Maintenance
against the mother
Organization, about their childhood experiences
■ Loss of a parent to death or
(see Table 1). Then, using health records and
abandonment, including
assessments, they developed an understanding of
abandonment by parental divorce
■ Incarceration of any family member
how these ten ACEs affected the health of the
for a crime.
people in the group over their life spans. Their
Note:
Other categories of ACEs have
survey tool was a sophisticated one. People were
been
studied
in subsequent
asked: “Sometimes physical blows occur between
research.
parents. While you were growing up, in your first 18
years, how often did your father (or stepfather) or
mother’s boyfriends do any of these things to your
mother (stepmother): Push, grab, or throw
something at her? Kick, bite, hit her with a fist or hit her with something hard? Hit her repeatedly
over at least a few minutes? Threaten her with a knife or gun or injure her with a knife or gun?
(For more on the ACEs study visit http://www.acestudy.org/
andhttp://www.cdc.gov/nccdphp/ace).
The prevalence of adverse childhood experiences across this group as a whole was
remarkable. For example, 28 percent had been abused physically as a child,17 percent had a
mentally ill, depressed or suicidal person in the home, and 27 percent had a drug addicted or
alcoholic family member. The researchers made an especially significant finding: the greater the
number of ACEs, the greater the risk for an array of poor physical, mental and behavioral health
outcomes for patients across their life spans. In scientific terms, there was a direct “doseresponse” relationship between ACE’s and serious health issues.
We cannot draw a straight line between ACEs and outcomes. However, we do know that the
higher the ACEs score in a given population, the greater the probabilities of the following co56
Excerpt from: Hertel, R., Johnson, M., Kincad, S. O., & Wolpow, R. (2009). Heart of learning and teaching:
Compassion, resiliency, and academic success (p.140-144). Olympia, WA: Office of Superintendent of Public
Instruction - Compassionate Schools. Olympia, WA
178
occurring conditions: More than 75 percent of the 17,500 adults who participated in the ACEs
study were college graduates, doing well enough economically to be employed and provided
quality health insurance. Despite the traumatic hurricanes in their lives, they were able to
succeed. Will the same be true for students who are seeking solace in our classrooms? What
role can we play to support our students through these storms?
 Alcoholism and alcohol abuse.
 Chronic obstructive pulmonary disease and ischemic heart disease.
 Depression.
 Fetal death.
 High risk sexual behavior.
 Illicit drug use.
 Intimate partner violence.
 Liver disease.
 Obesity.
 Sexually transmitted disease.
 Smoking.
 Suicide attempts.
 Unintended pregnancy.
ACEs and School Performance Those of us who work in the schools already know, intuitively,
that there is a dose-response relationship between adverse childhood experiences and student
learning. Several studies (Delaney-Black et al, 2002; Sanger et al., 2000; Shonk & Cicchetti,
2001), including one conducted here in Washington (Grevstad, 2007), reveal that students
dealing with trauma and trying to play chess in hurricanes . . .
 Are two-and-one-half times more likely to fail a grade.
 Score lower on standardized achievement test scores.
 Have more receptive or expressive language difficulties.
 Are suspended or expelled more often.
 Are designated to special education more frequently.
Recommended Books/Manuals:
Boesky, L. (2007). WHEN to WORRY How to Tell if Your TEEN NEEDS HELP and What to Do
about it. New York, NY: American Management Association. www.amacombooks.org.
Levine, P. A. & Kline, M. (2007).Trauma through a child’s eyes: Awakening the ordinary miracle
of healing. Berkeley, CA:North Atlantic Books.
O’Connell, M., Boat, T., and Warner, K. (2009). Preventing mental, emotional, and behavioral
disorders among young people. National Academy of Sciences. Available at
http://www.nap.edu/catalog.php?record_id=12480
Hertel, R., Johnson, M., Kincad, S. O., & Wolpow, R. (2009). Heart of learning and teaching:
Compassion, resiliency, and academic success. Olympia, WA: Office of Superintendent of
Public Instruction - Compassionate Schools.
Web sites
National child trauma stress network http://www.nctsnet.org
Substance Abuse and Mental Health Services Administration http://www.samhsa.gov
179
MILITARY CHILDREN AND FAMILIES
OVERVIEW
Military-connected students are children in P-6 schools, adolescents in middle and high school
and students who are adolescents or young adults in trade schools, or Institutions of Higher
Education (2 or 4 year schools) that are official dependents of a Military Service member. A
military-connected student has one degree of separation from their military sponsor; the
connection may be biological, because of an adoption, through foster parenting or within loco
parentis authorization.
The Military Child Education Coalition (2012) reports there are currently 2,000,000 militaryconnected students whose parents are active duty, members of the National Guard or Reserves
or Veterans of the United States Military. Statistically, 1,381,584 of the military-connected
students are 4 - 18 years old. Over 80 percent of these children – 1,105,267 students – attend
P-12 public schools and almost every school district in this country has military-connected
students. Approximately 10-12 percent of military-connected students are served in special
education programs. There are an additional 144,191military-connected students age 19 - 23.
The United States National Center for Educational Statistics (2009) research shows that
approximately 70 percent of youth attend college or university, which, equates to 100,934
military-connected students enrolled in post-secondary education in 2009. In addition, since the
onset of Operation Enduring Freedom (OEF) in 2001, over 3,700 military children (under the
age of 18 years old) have lost a Service Member parent and over 41,000 have experienced a
parent who was wounded, injured or ill (Defense Manpower Data Center, 2011)
SPECIAL CONSIDERATIONS
Children’s adjustment to deployment varies by a number of factors including, but not limited to,
age, developmental stage, family composition, length and number of deployments and other
individual and family factors. Parental combat deployment has an effect on both the child, as
well as, the at-home parent both during and following the deployment (Lester, P. et al, 2010).
Research has shown that children of deployed parents face significant difficulty with overall
adjustment, including “externalizing” behaviors (aggression, noncompliance), and “internalizing”
behaviors (depression, anxiety, irritability). Young children may exhibit regression in
developmental milestones, such as bedwetting and thumb-sucking) while older school aged
children may show decline in academic performance and increase in depression and behavioral
problems in response to emotional stress(Department of Defense, 2010). Although all children
are impacted in some way by the deployment of a parent or loved one, the literature suggests
that young children (infants and preschoolers) are still the most impacted by parental
deployment.
A RAND Study (2008) confirmed that recent and frequent Operation Enduring Freedom and
Operation Iraqi Freedom deployments have a negative impact on child and adolescent behavior
and mental health outcomes. Children indicated that they experienced significant difficulties with
readjustment when a parent was both deployed and returned from a deployment. Children
endorsed having difficulty interacting with peers and teachers who had limited understanding of
what their deployment experiences were like. In addition, Reserve Component children felt less
connected or networked with people who understood military life and shared similar
experiences. They reported little opportunity to spend time with other children from military
families and felt that teachers did not understand their experiences.
180
A Department of Defense survey (2008) examined the impact of deployments on children by
surveying a representative sample of over 13,000 military spouses across all branches of the
service and the Reserve Component. Findings indicated that the children of active duty and
reserve component families experienced greater difficulty and experienced a higher incidence of
anxiety and behavioral problems during the deployment of a parent. In addition, in each case,
over a quarter of those families felt that their child(ren) coped “poorly” or “very poorly” during
that time.
Regardless of any difficulties in coping all Military-connected students face the following
challenges:57
 Separations from a parent or caregiver due to deployments.
 High mobility rates – active duty families move every two to three years (This is
approximately three times more often than the civilian population. Students often
experience six to nine moves during their P-12 school education).
 Academic and social challenges attributed to frequent school changes,
deployment of a parent(s), return of a deployed parent, injury to or death of a
parent.
 Difficulties qualifying for, receiving, or continuing special needs services due to
differences in regulation interpretations, testing required to enroll in or receive
special needs services, and resource availability in school districts.
 Understanding and interpreting new school regulations and policies.
 Elevated stress – making new friends and finding a new peer group in a new
school; adjustment to a new school, community, and home.
 At-risk for depression, anxiety and other risk-taking behavioral (including
substance use/abuse) due to relocation, deployment of a parent(s), etc.
 Adjusting to curriculum and instructional methods or school climate/culture that
may differ from school to school.
SUGGESTED STRATEGIES FOR INTERVENTION AND SUPPORT
Preventative interventions for military connected students should be geared toward increasing
understanding and support of the unique challenges faced by military children and youth. In
addition, they should seek to increase knowledge, coordination and resource sharing among
education, social service and military affiliated professionals. To effectively support military
connected students and their families school-based SAS should consider the following
strategies:



Take time to foster your individual knowledge, awareness and understanding of
the experiences and military-connected students by attending workshops on
military culture. Actively engage with military organization to identify support
services offered at the local level that might be appropriate for referrals.
Initiate co-facilitate a military educational support group with schools counselors
(other school-based professionals) to assist students in dealing with the unique
stressors as well as identifying the benefits of being a military-connected youth;
Create an safe environment in the SAPISP setting that is responsive to the
social, emotional and learning needs of military connected students;
57
Excerpt retrieved from (4/2012): http://www.k12.wa.us/OperationMiltiary Kids/.Tough Topics Series Learning and
Teaching Support Issue 1: Supporting Military Children During Deployment.
181

Focus on military-connected students in the school and seek to establish a safe,
Supportive learning environment considerate of the military culture and the
impact of multiple deployments of youth.
ADDITIONAL RESOURCES
Web Sites:
SBH Web Site http://brainhealth.army.mil/SBH/default.aspx
Military Child Education Coalition http://www.militarychild.org/
Operation: Military Kids http://www.operationmilitarykids.org/public/home.aspx
Military Kids Connect https://www.militarykidsconnect.org/
I AM A Military Kid Curriculum http://i-am-a-military-kid.wikispaces.com/
Military One Source http://www.militaryonesource.mil
182
CHILDREN OF SUBSTANCE ABUSING PARENTS (COSAP’s)
OVERVIEW
There are more than 11 million children of substance abusing parents (COSAP’s) under the age
of 18 in the United States. Countless others are affected by alcoholic or drug abusing parents,
siblings, and or other caregivers. In 2001, more than 6 million children lived with at least one
parent who abused or was dependent on alcohol or an illicit drug. Science shows that children
in families affected by substance abuse are at increased risk for illness, injury, emotional
disturbances, educational deficits, behavioral problems, and alcohol abuse later in life. Some
face physical abuse or neglect. More often, they experience shame, confusion, or a vague
sense that they are somehow to blame for the difficulties (SAMHSA, 2004).
All too often alcoholism and other drug addictions become a family legacy. More than fifty
percent of today’s addicted adults are children of substance abusers, and there are millions
challenged by other problems that result from alcoholism or drug addiction in their families. It is
essential to spare children from unnecessary years of silence, shame, and suffering caused by
parental addiction. Through effective prevention measures, professionals in the school-based
setting can play a major part in this process. Individually and collectively, they can be a voice
and steadying force for children who can’t always speak for themselves. The tools these
professionals can use to encourage this process include: age-appropriate information, skill
building, and the bonding and attachment derived through healthy relationships.
SPECIAL CONSIDERATIONS
According to American Academy of Child and Adolescent Psychiatry (2011),one in five adult
Americans have lived with a substance abusing relative while growing up. These children are in
general at greater risk for having emotional problems than children whose parents are not
addicts. Substance abuse runs in families, and children of addicts are four times more likely
than other children to become substance abusers themselves. Compounding the psychological
impact of being raised by a parent who is suffering from addiction is the fact that most children
with such parents have often experienced some form of neglect or abuse.
A child being raised by a parent or caregiver who is suffering from addiction may have a variety
of conflicting emotions that need to be addressed in order to avoid future problems themselves.
They are in a difficult and lonely position because they cannot go to their own parents for
support. Some of the feelings can include: guilt, anxiety, embarrassment; inability to have close
relationships; confusion; anger; and depression.
Although COSAP’s try to keep the addiction a secret, teachers, relatives, other adults, or friends
may sense that something is wrong. Teachers and caregivers should be aware that the
following behaviors may signal a drinking or other drug problem at home:
 Failure in school; truancy; lack of friends; withdrawal from classmates; delinquent
behavior, such as stealing or violence; and frequent physical complaints, such as
headaches or stomachaches; abuse of drugs or alcohol; aggression towards
other children; risk taking behaviors; and depression or suicidal thoughts or
behavior (National Association of Children of Alcoholics 2001)58
 Some COSAP’s may cope by taking the role of responsible “parents” within the
family and among friends. They may become controlled, successful
“overachievers” throughout school, and at the same time be emotionally isolated
58
Children of Alcoholics: A Kit for Educators; National Association of Children of Alcoholics (NACoA);
http://www.nacoa.org/
183
from other children and teachers. Their emotional problems may show only when
they become adults. It is important for relatives, teachers and caregivers to
realize these children and adolescents can benefit from educational programs
and social skill-building support groups specifically targeting the unique needs of
children of substance abusers. In fact, offering these programs in the safety of
the school setting can be extremely helpful and highly effective.
SUGGESTED STRATEGIES FOR INTERVENTION AND SUPPORT
Early intervention is important in preventing more serious problems for children of substance
abusers; including reducing risk for future substance use/abuse themselves. It can also help
them to understand they are not responsible for the substance abuse problems of their parents
and that they can receive help even if a parent is in denial and refusing to seek help. To
effectively support COSAP’s in the school setting SAS’s should consider utilizing the following
strategies:







Conducting educational support groups to teach life skills including feeling
identification, problem solving, decision making, communication skill, etc.
necessary to help students cope with the day-to-day challenges encountered;
Frequently reminding COSAP’s of the “Seven Cs including: I didn’t CAUSE it; I
can’t CURE it; I can’t CONTROL it; I can help take CARE of myself by:
COMMUNICATING my feelings; Making healthy CHOICES; CELEBRATING me
(Moe, J. 2007).59
Educating and giving students the basic information about use and abuse of
alcohol and other drugs to increase their awareness and assist them in making
healthy choices in the future.
Listening to what COSAP’s are saying. Giving them focused attention with plenty
of eye contact. Showing them you genuinely care through your consistency in
thought, word, and deed.
Observing/watching for nonverbal forms of communication. Being aware of facial
expressions, body language, and the manner in which students respond to
others both positively and negatively. In many cases the actions of COSAP’s can
speak much louder than their words.
Validating and letting them know you hear and understand what they are
communicating. Acknowledging what is said, asking questions to show concern
and reflecting in a nonjudgmental manner the feelings that are shared.
Recognizing and holding them accountable for their behaviors both positive and
challenging.
Empowering and helping COSAP’s see there are safe people in their lives that
they may turn to for support and guidance. Safe people are those that truly care
and aren’t harmfully involved in active addiction themselves. Safe people may be
recovering parents, siblings, other relatives, neighbors, teachers, ministers,
coaches, and counselors.
Recommended Books/Manuals:
59
Teachers Can Make A Tremendous Difference by Jerry Moe, M.A. from Children of Alcoholics: A Kit for Educators;
National Association of Children of Alcoholics (NACoA); http://www.nacoa.org/.
184
Black, C. (2002). It will never happen to me: Growing up with addiction as
youngsters, adolescents, adults. Second edition. City Center,
MN: Hazelden Publishing.
Black, C. (1979). My dad loves me, my dad has a disease: A child's view:
Living with addiction. Washington, DC: Mac Publishing.
Fleming, M. (1992). 101 support group activities for teenagers affected by someone
else's alcohol/drug use. Second edition. City Center, MN: Hazelden Publishing.
Leite, E & Espeland, P. (1984). Different like me: A book for teens who worry about
their parents' use of alcohol/drugs. City Center MN: Johnson Institute/Hazelden
Publishing.
Moe, J. (1989). Kids' power: Healing games for children of alcoholics. Deerfield Beach,
FL: Health Communications, Inc.
Typpo, M. & Hastings, J. (1994). Elephant in the living room. City Center,
MN: Hazelden.
Manuals/ Kits:
Children of Alcoholics: A Kit for Educators(2001); National Association of Children of Alcoholics
(NACoA); http://www.nacoa.org/.
Children of Alcoholics: A Guide to Community Action(2004); United States Department of Health
and Human Services, Substance Abuse and Mental Health Services Administration;
http://www.samhsa.gov/.
185
LESBIAN, GAY, BISEXUAL, TRANSGENDER & QUESTIONING YOUTH
OVERVIEW60
Precise prevalence rates of substance use and abuse by LGBTQ individuals is difficult to
calculate because the inability to collect reliable information on the size of the LGBTQ
population, as well as the lack of information from alcohol and drug abuse studies to collect
information about sexual orientation. Additionally, the LGBTQ community differs from other
minority groups in that LGBTQ persons do not come from a common geographic area or have
certain physical characteristics in common.
Studies indicate that, when compared to the general population, LGBTQ individuals are more
likely to use alcohol and drugs, have higher rates of substance abuse, and are more likely to
continue heavy drinking into later life. Specific to LGBTQ youth, most of the available research
has focused on lesbian and gay adolescents. In a study among a multi-ethnic group of selfidentified lesbian, gay and bisexual youth, 93 percent of females and 89 percent of males
reported using licit or illicit substances, with alcohol the most popular licit drug and marijuana
the most popular illicit drug.
SPECIAL CONSIDERATIONS
LGBTQ youth use alcohol and drugs for many of the same reasons as their heterosexual peers:
to experiment and assert independence, to relieve tension, to increase feelings of self-esteem
and adequacy, and to self-medicate for underlying depression or other mood disorders.
However, LGBTQ youth may be more vulnerable as a result, they may use alcohol and drugs to
deal with stigma and shame, to deny same-sex feelings, or to help them cope with ridicule or
antigay violence.61
According to the 2009 National School Climate Survey:62
 Nearly 9 out of 10 LGBTQ youth (84.6 percent) said they’d experienced
harassment in school in the past year because of their sexual orientation.
 Nearly two-thirds (63.7 percent) experienced harassment because of gender
expression.
 Almost two-third (61.1 percent) said they felt unsafe at their school because of
their sexual orientation.
Specific stresses for LGBTQ youth include:63
1. LGBTQ youth have the same developmental stresses as their heterosexual
peers, however they also face the stigma attached to being gay. This additional
stress puts them at greater risk for substance abuse, continued heavy drinking
into later life, unprotected sex, increased psychological distress and suicidal
ideations.
2. LGBTQ youth face the stigma attached to being gay, and are far more likely to be
victims of bullying. These youth must adapt to living in a hostile environment and
learn how to find positive environments.
60
Excerpt from: US Department of Health and Human Services (2001).Provider’s Introduction to Substance Abuse
Treatment for Lesbian, Gay, Bisexual, and Transgender Individuals.
61
Ibid
62
Retrieved from http://www.glsen.org/cgi-bin/iowa/all/library/record/2730.html. GLSEN (Gay, Lesbian, Straight
Education Network).
63
Excerpt from: US Department of Health and Human Services (2001).Provider’s Introduction to Substance Abuse
Treatment for Lesbian, Gay, Bisexual, and Transgender Individuals.
186
3. Homelessness is a particular concern for LGBTQ youth, because many teens
may run away as a result of harassment and abuse from family members or
peers who disapprove of their sexual orientation. Others may be thrown out of
the home when their parents learn they are gay.
4. Like their heterosexual counterparts, homeless LGBTQ youth are at greater risk
of physical health, mental health, and social problems.1
SUGGESTED STRATEGIES FOR INTERVENTION AND SUPPORT64
Interventions with LGBTQ youth should address their social environment, sexual identity, stage
of coming out, support network, and knowledge of safer sex practices. The following is a brief
list of do’s and don’ts when working with LGBTQ youth:4
DO’s








Do create a safe environment for LGBTQ students, including affirming a
confidential setting and Supportive attitude.
Do provide a Supportive adult relationship.
Do consider peer influences for support (such as a Gay Straight Alliance)
Do read about LGBTQ youth and get to know resources available and how to
access them.
Do review forms to ensure inclusive language.
Do have LGBTQ-friendly literature and available in visible places.
Do seek training to increase knowledge and understanding relative to LGBTQ.
Do connect with existing community initiative.
DON’Ts
 Don’t label.
 Don’t pressure a client to come out. Respect where they are in the process and
their need to feel safe.
 Don’t ignore significant others.
 Don’t interject personal feelings into conversations, but follow the clients lead.
For example, “Youth must be angry your parents don’t accept you,” or “it must be
hard being lesbian.”
ADDITIONAL RESOURCES
Web Sites:
OSPI Safety Center http://www.k12.wa.us/SafetyCenter/LGBTQ/default.aspx
A state resource designed to increase the educational community’s understanding of the
challenges lesbian, gay, bisexual, and transgender and questioning youth face in school.
GLSEN (Gay, Lesbian, Straight Education Network)
www.glsen.org/cgibin/iowa/all/home/index.html - a national organization for educators and
student who want to crate schools where differences are respected.
Seattle Counseling Services (includes regional support centers). http://seattlecounseling.org
64
Retrieved from (6/2012): http://www.welcomingschools.org/resources/. Welcoming Schools Guide.
187
Seattle LGBT Commission. http://www.seattle.gov/LGBT/resources.htm.
The Pride Foundation (serving Northwest). http://www.pridefoundation.org/youmatter/.
National Coalition for the Homeless (including LGBTQ youth. http://www.nationalhomeless.org.
The Sexual and Gender Minority Youth Resource Center (serving SW Washington and Portland
area) http://smyrc.org/node/62.
United States Department of Health and Human Services, (2001). A Provider’s Introduction to
Substance Abuse Treatment for Lesbian, Gay, Bisexual, and Transgender Individuals.
Office of Juvenile Justice and Delinquency Prevention: Understanding and Overcoming
Challenges Faced by LGBTQI Youth in Schools and Communities webinar.
188
Native American Youth
OVERVIEW65
It is well documented that alcohol and illicit drug use problems are a critical issues
among American Indian youth. Recent reports have shown higher rates of substance
use among American Indians or Alaska Natives compared with persons from other
racial/ethnic groups. Among American Indian or Alaska Native youths aged 12 to 17,
the rates of past month cigarette use, binge drinking, and illicit drug use were higher
than those from other racial/ethnic groups. Research has shown associations with risk
and protective factors and substance use among American Indian or Alaska Native
youths compared with youths in other racial/ethnic groups.1
SPECIAL CONSIDERATIONS66
In 2008/09, American Indian students accounted for 1.2 percent (585,884) of all K – 12 students
(49,265,572) in the United States. A larger percentage of American Indian or Alaska Native
youths perceived moderate to no risk of substance use compared with youths in other
racial/ethnic groups. For example, 47 percent of American Indian or Alaska Native youths
believed there was moderate to no risk in smoking one or more packs of cigarettes per day
compared with only 36 percent of youths in other racial/ethnic groups. Additionally, American
Indian or Alaska Native youths were less likely to have participated in two or more youth
activities than youths in other racial/ethnic groups. A smaller percentage of American Indian or
Alaska Native youths attended religious services on a regular basis than youths in other
racial/ethnic groups. Fewer American Indian or Alaska Native youths also agreed that religious
beliefs are a very important part of their lives compared with youths in other racial/ethnic groups.
In Indian communities, alcoholism is a multi-generational issue. Alcohol abuse frequently coexists with other problems such as stress related acting out, cultural shame and depression.
Larger percentage of American Indian or Alaska Native youths do not perceive strong parental
disapproval of youth substance use compared with youths in other racial/ethnic groups. Other
important risk factor for Native American youth is poor school performance and the belief that
the majority of their peers are using cigarettes, alcohol, or illicit drugs.
WHERE ARE WASHINGTON TRIBES LOCATED?
The map in Figure 1 below provides the name and location of each Native American Tribe in
Washington State. (DSHS webpage, retrieved June 2012).
65
Excerpt retrieved (6/2012) from: http://samhsa.gov/data/2k4/AmIndianYouthRF/AmIndianYouthRF.htm.
The National Survey on Drug Use and Health Report.
66
Ibid
189
SUGGESTED STRATEGIES FOR INTERVENTION AND SUPPORT67
 Take time to foster your individual knowledge, awareness and understanding of the
experiences of Native American students by attending workshops on tribal culture.
Actively engage with tribal organizations to identify support services offered that
might be appropriate for referrals.
 Create a safe environment in the SAPISP setting that is responsive to the social,
emotional and learning needs of Native American students. Use examples that are
relevant to their lifestyles.
 Allow for one-to-one help, building to small group.
 Vary delivery method, including visual, auditory, tactile, and kinesthetic.
 Allow wait-time for responses and be aware some individuals may not be direct when
they ask questions.
ADDITIONAL RESOURCES
Information factsheets and curriculum
The People (12/30/2008). From Where the Sun Rises: Addressing the Educational Achievement
of Native Americans in Washington State. Section 3, p. 27.
Since Time Immemorial: Tribal Sovereignty in Washington State – a curriculum developed as a
result of House Bill 1495, which officially recommended inclusion of tribal history in all common
schools.
Web Sites
OSPI Indian Education Office
http://www.k12.wa.uis/IndianEd/default.aspx
67
Excerpt Retrieved (6/2012) from: http://literacynet.org/lp/namericans/strategies.html. Strategies for Teaching Native
Americans,
190
Governor’s Office of Indian Affairs
http://www.goia.wa.gov/
Washington State University College of Education, Native Teaching and Learning
http://education.wsu.edu/nativeclearinhouse/
191
SECTION 7
STUDENT ASSISTANCE
TEAM: PROBLEM SOLVING
AND CASE MANAGEMENT
192
STUDENT ASSISTANCE TEAM: PROBLEM SOLVING AND CASE
MANAGEMENT
INTRODUCTION
The satis comprised of administrators, teachers, SAPISP staff,
school counselor, school nurse, social worker, and other interested
school staff members, as needed. The most important part of
forming a team is ensuring the team consists of individuals who
choose to work as members of the team AND who are concerned
about the overall welfare of the student body.
Component 6:
Student Assistance
Team:
Use a multi-level
prevention system to
evaluate how the
school can best serve
students with
academic, social and
behavioral problems
through solutionfocused strategies.
Response to Intervention (RTI) is being used across the country,
including Washington State and encouraged by the federal
government. The New Mexico Public Education Department,
Quality Assurance Bureau program manual (2009) explains, “RTI
as a multi-level prevention system to assist schools to ensure
success for all students, and provide early assistance to students
who are experiencing academic and/or behavioral challenges, or
need opportunities for advanced learning. It is a continuum of schoolwide support that seeks to
maximize the odds of student success and contributes to overall comprehensive school
improvement efforts.” (p.6)
This is a multi-level prevention system has “at least three tiers where the academic and/or
behavioral interventions change, or become more intense, as student needs are addressed in
each successive tier…”(Ibid, p.6). The primary prevention level includes high quality core
instruction. The secondary level includes evidence-based intervention(s) of moderate intensity.
The tertiary prevention level includes individualized intervention(s) of increased intensity for
students who show minimal response to secondary prevention (RTI 4success.org). The term
three-tier model of intervention is borrowed from public health triage models that focus on levels
of treatment based on need. Simply put, it is a model consisting of three well-defined and
separate processes running on different levels within a system. The different tiers represent a
change in how something is done or how supports are delivered. The RTI framework mirrors the
three tiered intervention model established by Center for Substance Abuse Prevention (CSAP)
referred to in the introduction section of the this manual, and also is adopted from the public
health model.
RTI interfaces with Schoolwide Positive Behavioral Supports (SW-PBS), which aligns with the
CSAP three-tiered approach as well. SW-PBS is described as:
Systematic strategies to promote positive student behavior through data based decision
making, providing an outstanding framework from which to enhance mental health
promotion and intervention. Foundational to this work is a ‘shared agenda’ in which
families, schools, mental health systems, and other youth serving community systems
are working together to build a full continuum of multi-tiered programs and services for
students and their families in general [substance abuse, behavioral health] and special
education . These programs and services reflect integrated strategies to promote
student wellness and success in school, and reduce both academic and nonacademic
barriers to learning and school success. SW-PBS has developed a three tiered model of
193
providing services reflecting the social and behavioral component of RTI and consistent
with a public health approach to school mental health promotion and intervention.
Services reflecting the social and behavioral component of RTI and consistent with a
public health approach to school mental health promotion and intervention (Barrett
&Eber, 2012, p.1).
The SAS role is to interface with the RTI/SAT(SAT) by assisting in reviewing and providing
information about referrals generated where substance abuse and other SEBH, issues are of
concern. The SAS is a participating member of the Student Assistant Team and the team works
together to identify intervention needed at tier 2 and 3, and prioritize referrals. The benefits of a
team approach include:
 Improving the quality of intervention strategies by utilizing the skills and experiences of
individual team members.
 Sharing the burden of responsibility for decision making that impacts the lives of
students.
 Increasing the capacity of the school staff to handle student problems.
 Increasing the accountability of the school’s system of identifying and referring students
experiencing difficulty.
IMPORTANCE OF A TEAM 68
Teams consist of individuals with different skills,
knowledge and interest coming together for common
purposes – student advocacy – and work
collaboratively. A team is not the same as a “group of
people.” Teams have a commitment to a common
purpose and are willing to build cohesiveness to
accomplish their goals. The combined energy of
individuals when applied in a team effort is potentially
much greater than the sum of energies expended by
individuals working on their own, or even loosely allied
as a group. A few reasons why teams are effective:
 Local school teams are best suited to address
local problems.
 People are more invested in solutions they
helped to develop.
 Teams create a momentum that individuals
alone do not.
 Team goals give continuity when individuals
leave or are added.
HOW STUDENT ASSISTANCE TEAMS FUNCTION
Teams come together to determine the best ways to
address various student problems. The team will need
to determine how they can best function together as a
unit.
Factors Contributing To SAT Success:
1.
Administrative Support
2.
Regularly held Student AssistanceTeam meetings
3.
Student Assistance-Team manager
with some release time
4.
Early parent involvement
5.
Using team meeting roles
 Team skills -- e.g., active listening
 Written agenda
 Consensus decision-making
 Ground Rules
6.
Clear referral process

Staff, students and parents aware
of the process

Focus on observable behavior
7.
Credibility of the SAPISP process
among staff, students and parents
8.
Team sharing information
appropriately
9.
High level of involvement of staff
beyond Student Assistance-Team
members
10. Written policy to address students “at
risk” and consistent implementation of
the policy to all student
11.
Ongoing training of all staff
12.
Planning, Implementing, Evaluating
and Refining
68
Adapted from: Student Assistance Services Program Guide. Indiana Department of Education. Available at
www.doe.state.in.us/sservices
194
Here are a few tips on team functioning:
1. Seek out a cross-representation of individuals, including professional and
nonprofessional staff, relevant ethnic and cultural groups.
2. Identify the contributions of members to the team, and define the role that each team
member is expected to play.
3. Define the purpose and priorities of the team and continue to redefine these as
necessary as in pursuit of goals.
4. Establish guidelines about meetings and their structure including time, place, length,
interval between, who chairs, takes minutes, etc.
5. Describe how decisions are made with a solution focused criteria (consensus decisionmaking carries the strongest message, but may involve working through some “rough
spots” on the path to consensus).
6. Anticipate potential problems (opposing philosophical positions, for example), think in
advance about possible strategies for dealing with potential problems, or at least know
how to allow extra time to work through them.
SUGGESTED PROGRAM OPERATIONS
The following provides program coordinators and SAS with suggested guidelines to use in
forming a SAT(SAT). In addition, the section includes information on specific roles and task for
team members, team maintenance, and case management procedures.
ROLES AND DUTIES
In general, the SAT meets regularly to review referrals and data generated by school faculty and
on occasion from other students, parents, or community members regarding students of
concern. The team meets to review the needs of referred students and to develop individual
intervention plans. In most cases, the SAS case manages the referrals specific to his/her
students identified with substance abuse and other behavioral health issues as applicable. This
includes screening, referral monitoring, case managing, evaluating students’ progress, and
reports back to the team (within confidentiality guidelines). Some SATs will appoint one of the
team members to serve as the case manager and responsibilities are shared among the team
members. Although, there will be crisis referrals where immediate action is required by the SAS
as well as referrals where a brief consultation is sufficient, the majority of referrals will be taken
to the team for consideration and action.
For teams to function effectively, specific roles can be assigned to members to expedite the
review of materials, assist in the documentation of interventions and the individual student plan,
provide measures for keeping team members focused on the discussion, and serve as a record
of the meeting. If there is not an established SAT in the school then the following roles and
functions are important to the SAS establishing a team:
SAS






Works with school administration/leadership to determine if SAS should link with an
existing team (such as RTI) or stand alone.
Presents SAT concepts to school administration/leadership to obtain approval and buyin.
Recruits team members.
Schedules meeting and logistics.
Coordinates function of team.
Gathers initial data for meeting.
195






Completes student profile sheet.
Gathers additional data after first meeting.
Talks with school staff.
Consults with community resources.
Contacts parents.
Report’s findings and updates to the team.
SAT Facilitator
 Listens, summarizes, maintains, open and balanced conversational flow.
 Protects individuals from personal attacks.
 Focuses discussion on topics.
 Checks out participants’ involvement.
 Clarifies, encourages, and guides group process.
 Keeps meeting content focused on solutions.
SAT Recorder
 Records group discussion and decisions that are made.
 Places information on a flip chart, erasable board, or overhead.
SAT Timekeeper
 Keeps the group on time and informs members when a transition will occur.
 Keeps members on task.
SAT Participants
 Stay actively involved in discussion.
 Monitor the recorder.
SAT members receive ongoing training to provide them with the knowledge and skills that allow
them to effectively carry out their roles and functions in the prevention and intervention of
barriers that place students at risk within the school or community.
SATMEMBER TASKS
Members work interdependently in order to achieve agreed upon program goals, including
promoting the philosophy of the SAPISP; promoting program services through planning and
implementing appropriate in-service training to staff and community professionals; and
facilitating the inclusion of students, staff, parents, and community members in prevention
activities. Additional duties may include:
 Attending training sessions and SAT meetings regularly.
 Being responsible for individual team tasks.
 Contributing to solution-focused problem solving.
 Contributing to the healthy maintenance of team.
 Maintaining confidentiality and the integrity of the team.
 Being familiar with the Ethical Guidelines and Standards of Practice.
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Pre-Meeting Tasks
The team leader will need a preliminary file or case for presentation to the team. If there is not
an established team the SAS would take on this role and function. Pre-meeting task include, but
are not necessarily limited to:
 Reviewing the student’s cumulative records.
 Reviewing attendance records and any legal records, if accessible.
 Sending a information referral form out to other staff who instruct the student to gather
other information (see attached form).
Specific to the needs of the SAS, these three activities should provide sufficient data for the
SAS and/or the team to determine if next steps such as an initial screening with the student
conducted by the SAS, and referral and/or parent notification are warranted or referral to other
school staff. When the referral from the SAT is to the SAS the preliminary information should be
recorded on a student profile sheet kept in a confidential SAPISP file separate from student
records (see sample student SEBH check off list form in additional resources section).
Team Meeting
Team members should come to meetings prepared to collaborate and work towards solutions. It
is important to be on time and available for the entire meeting. Each team member must read all
documentation thoroughly to acquaint themselves with the student. The referring teacher may
be present to answer questions and to take an active role in the meeting. The team begins the
case conceptualization process and develops the individual student plan.
If the SAS is the leader of the team and not part of an established RTI/SAT. The SAS facilitates
the meeting acting as the case manager and reviews with the team previously discussed cases
and newly referred cases. The SAS has overall responsibility of assuring that the individual
student plan is implemented if the student falls under the SAPISP services. The SAS reports the
progress of the plan back to the team with broad brush details without breaching student
confidentiality. The team determines whether to continue with the initial plan, develop
additional assessment/intervention strategies (based on RTI model), or to close the case.
Another option for the SAT is to develop a case management process. In a case manager
system, members take turns in assuming the responsibility of implementing individual student
plans. The designated case manager reports the progress of the plan back to the team at
determined intervals. The team determines whether to continue with the initial plan, develop
additional assessment/intervention strategies, or to close the case. Within such a framework,
team members share responsibilities before, during, and after a team meeting.
It is important for the team to orient any “guest” who may attend a meeting. These guests are
most likely to be the referring teacher or parents but may include other school staff and
community personnel (e.g., probation officers). This orientation should include an explanation of
the team meeting process and roles and an emphasis on the confidentiality of the deliberation.
STUDENT ASSISTANCE TEAMS PROCEDURES
Upon receipt of a referral (specific to substance abuse and emotional/behavioral health issues),
gather information and note any teacher request for assistance. Discuss concerns, brainstorm
ideas for assisting the student and classroom management strategies/techniques that may be
helpful for teachers. When meeting with the parents, share concerns, gather additional
information, explain the purpose of the Student Assistance Team—i.e., a solution focused
197
problem solving team for students, parents, and faculty. Finally, develop the action plan based
upon the input from the team, parents, and other sources.
Meet with teachers and provide list of possible suggestions for classroom management
techniques and strategies for working with referred students (see vulnerable youth section for
information and resources). The team at a minimum reviews and monitors student plans at least
monthly, and every two months conducts ongoing conversations with the student, parents and
faculty to discuss and review progress. If at anytime during this process there is an indication for
the need to rule out learning challenges and/or emotional challenges that are beyond the scope
of the SAT or if after continuous efforts to assist the student there is no improvement then a
referral to other school or community-based agencies is considered.
Documentation
The SAS is responsible for the maintenance of team records as applicable to the students
referred to the SAS. If the SAS establishes the team and the team is not part of the SW-PBI or
RTI then the SAS also keeps on file an attendance list of team members present at each
meeting, having confidentiality agreements signed, and filing student referral information (as
described in section 5 Internal Referral Process). All team members sign the confidentiality
agreement and follow the confidentiality guidelines including not sharing information with other
colleagues or absent team members outside of the team meeting. Under the strictest
confidentiality guidelines, student’s substance abuse diagnosis or history cannot be shared
without a release signed by the student. If he/she is under the age of 13 the parent must also
signed. Release to the team needs to include the nondisclosure statement.
Schools are encouraged to have only objective comments and observable behaviors
documented on the referral forms. The team should document only the intervention or
assessment plan chosen by the team. It is not necessary to document group comments. A
single copy of these forms, along with other significant records, are kept in locking SAPISP file
separate from the student’s regular school records (see Section 5 Internal Referral Process
regarding Record Keeping).
TEAM MAINTENANCE
The team will be dealing with highly sensitive issues related to students, families, and
communities. To help provide longevity and prevent “burnout” of team participants, it is
important for team members to practice healthy communication and to support one another.
Team maintenance techniques along with benevolent and realistic attitudes and goals are
encouraged. Team maintenance can be as simple as “checking-in” with each member at the
beginning and end of meetings, to more formal retreats and planned team outings (see sample
Team Maintenance Evaluation in resource section). Celebration of successes when they occur,
and especially at the end of the school year, can bring a sense of accomplishment to a difficult
job.
Each individual team member is challenged to examine his/her personal boundaries and
reasons for choosing to participate on the Student Assistance Team. It is important to recognize
that over-commitment to the team and unrealistically high expectations for success can lead to
burnout. The following behaviors may reflect burnout:




Coming to meetings unprepared.
Arriving to meetings late and/or leaving early.
Being preoccupied during the meetings.
Acting defensively.
198


Limited problem solving (feeling stuck).
Expressing feelings of hopelessness or blaming.
When members begin to develop a pattern of such behaviors, the team must address the
underlying issues and resolve any conflicts that are interfering with team cohesion and
effectiveness.
The current atmosphere within schools places an enormous pressure upon teams to be
accountable to the school staff, students, and families. SAT members are seen as leaders in
setting the tone in the way problems are addressed within the school. Working together is
essential to the team process, and the team must be a model for the school to emulate.
CASE MANAGEMENT
To engage and keep students involved in intervention services and to ensure a higher level of
follow through, case management is a part the comprehensive SAPISP model. Case
management is designed primarily to:
 Engage and prevent the student from dropping out of the recommended SAPISP
services.
 Overcome barriers to active Participation.
 Identify appropriate services and treatment needs, if necessary.
 Provide links to needed services – school and community-based.
 Monitor student progress.
 Provide motivational enhancement.
 Encourage Participation in other community based support groups.
The SAS, along with the SAT, has primary responsibility for engaging the student in program
services and preventing the student from dropping out. The SAS addresses a broad and
comprehensive array of barriers to services and achievement of intervention goals. As barriers
arise, the SAS develops alternative or creative strategies for achieving desired outcomes.
The following are helpful guidelines to assist the team with effective case management (Project
Care www.projectcare.org, 2005).
1. Is this an appropriate SAPISP referral? If not, then to whom should the student be referred?
2. What is documented as observable behavior? Is more information needed? Who might
provide that information?
3. What action is appropriate?
a. How urgent is the situation?
b. How can the team encourage parent involvement?
c. What is the scope of the problem?
 What in-school resources and/or services could be offered to support the student?
 What community resources would be available and appropriate for this situation?
 Is it appropriate to involve the liaison in this case?
If the SAT shares responsibility for case management, the team’s case management questions
may also include:
1. Which team members can serve as effective resources for this student?
a. Who will be the case manager?
b. Who will call the parent?
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c. Which two (2) team members can meet with the parent?
An important responsibility of the SAS is engagement; program staff provides motivational
support for the student and assists the youth to overcome barriers or resistance to program
Participation. The SAS uses marketing (sales) and motivational skills at each stage of the
process – from referral through completion of program services.
Beginning with the student’s most critical needs, the case manager provides links to services.
The case manager must also teach families how to acquire services so they will have that
knowledge when the support of the case manager is no longer available. Once referrals are
made, the case manager is responsible for monitoring the progress of the adolescent and his or
her family (e.g., checking whether the family members are keeping their appointments and
whether their treatment plan is effective).For the case manager to release information to the
referral agencies in accordance with Federal and State regulations, the adolescent and family
must sign a release form.
Throughout the intervention process, the SAS must provide support to overcome barriers to the
successful completion of intervention services. Program staff must be persistent and assertive
to overcome barriers that prevent the student from receiving needed services. Prompt
intervention when obstacles arise (e.g., transportation) helps decrease the dropout rate and
increase positive outcomes. Program staff should also link students to community support
groups or initiate a peer-led support group.
For SAS to provide effective linkages to community services for students and their families, they
must establish positive working relationships with other service providers in the area. Strategies
developed for establishing relationships with external referral sources, are outlined in Section 9
– Cooperation and Collaboration. Resource lists of help lines or hotlines and community based
agencies should be useful for identifying local service agencies.
Monitoring the Student’s Progress
The SAS monitors the student’s progress by following up on referrals made, ensuring that the
student is keeping their appointments and that their needs are being met. The SAS must also
periodically monitor the intervention plan of the student to make sure that the plan is effective
and to make modifications as necessary.
200
201
ADDITIONAL
RESOURCES
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Development of an Interconnected
Systems Framework for School Mental Health69
(a work in progress)
Revised: February, 2012
Susan Barrett and Lucille Eber, National PBIS Center Partners;
and Mark Weist, University of South Carolina (and Senior Advisor to the University
of Maryland, Center for School Mental Health)
Context
Over the past two decades, there has been a great deal of attention on the development of
models for mental health in schools, including social emotional learning, schoolwide prevention
systems and more timely and effective treatment options for youth with more intensive mental
health challenges. Leaders from two national centers with compatible approaches to this issue,
the National PBIS Center and the Center for School Mental Health (at the University of
Maryland) are working collaboratively to establish a framework inclusive of the experiences and
knowledge of both national centers. This draft concept paper, a work in progress, is one step
towards the development of an interconnected framework for communities and schools to use
as they work in partnership to build more responsive and effective systems that connect mental
health and schools.
During the next 18 months, we have been sharing this draft framework and concept paper
through national meetings, conferences and learning communities to solicit feedback, including
examples that align with the framework’s guiding principles as we finalize a brief monograph.
The goal was to obtain broad input from stakeholder groups as well as to promote a dialogue to
operationalize the concept of an interconnected systems framework inclusive of mental health
and education, and guided by youth and families. The Centers would like to recognize and
extend appreciation to the contributions of the Illinois Children’s Mental Health Partnership
(ICMHP), represented by Colette Lueck and Lisa Betz from the Illinois Department of Human
Services Division (I-DHS) of Mental Health who developed the initial framework, key
components and interconnected systems visual.
Background
Innovations in education and in child and adolescent mental health are growing rapidly; for
example, in relation to Response to Intervention (RTI), and the related development of SchoolWide Positive Behavior Support (SW-PBS) in education, and the move to strong Family
Engagement and Empowerment, and Systems of Care within mental health. Importantly,
innovations in these systems are increasingly linked together through school mental health
(SMH) programs and services. SW-PBS has pioneered systematic strategies to promote
positive student behavior through data based decision making, providing an outstanding
framework from which to enhance mental health promotion and intervention. Foundational to
this work is a ‘shared agenda’ in which families, schools, mental health systems, and other
youth serving community systems are working together to build a full continuum of multi-tiered
programs and services for students and their families in general and special education. These
programs and services reflect integrated strategies to promote student wellness and success in
school, and reduce both academic and nonacademic barriers to learning and school success.
SW-PBS has developed a three tiered model of providing services reflecting the social and
behavioral component of RTI and consistent with a public health approach to school mental
69
Retrieved (5/21/2012) from www.pbis.org/common/pbisresources/publications/ISF_rev.
Reproduced with permission from Positive Behavior Interventions and Supports Organization.
203
health promotion and intervention. The intent of this brief concept paper and figure (attached) is
to promote enhanced collaboration toward system integration among families, youth serving
agencies, and initiatives that connect to schools. It is believed that this enhanced collaboration
will improve program efficiencies, further enhance data-based decision making, increase the
likelihood of evidence-based promotion and intervention, improve student, and school-level
outcomes, and boost policy support for school mental health.
Figure 1 amplifies key themes in this Interconnected Systems Framework for School Mental
Health. Guiding principles for this Interconnected Systems Model include:
1. Programs and services reflect a “shared agenda” with strong collaborations moving to
partnerships among families, schools, and mental health and other community systems.
2. The three-tiered Figure 1 represents systems and progress monitoring features of the multitiered Interconnected System Framework.
3. At all three tiers, programs and services are for students (and their families) in special and
general education, with close collaboration between these two systems within schools.
4. Tier 1 represents systems that support ALL youth; Tier 2 represents systems that
additionally support some students (typically 10-15 percent) and Tier 3 represents systems
that provide an additional level of support to a few youth (typically 1-5 percent).
5. Tier 2 and Tier 3 interventions are anchored in Tier 1 interventions and are natural
extensions or scaled-up versions of Tier 1. For example, students who do not sufficiently
respond to SW-PBS Tier 1/universal interventions receive preventive and Supportive
interventions at Tier 2, and students whose problem behavior persists despite Tier 1 and
Tier 2 intervention, receive intervention at Tier 3.
6. The three tiers represent system structures for providing interventions-- the tiers do not
represent youth.
7. At all three tiers of programs and services, emphasis is on data-based decision making and
on the implementation of evidence-based promotion and intervention.
8. There is strong training, coaching and implementation support for all efforts.
9. All aspects of the work are guided by youth, families, school and community stakeholders
with an emphasis on ongoing quality assessment and improvement.
10. The functioning of school teams is critical to all efforts, and are emphasized and supported
strongly.
11. Prevention is an underlying principle at all 3 tiers with Tier 1 focused on preventing
occurrences of problems, Tier 2 preventing risk factors or early-onset problems from
progressing, and Tier 3 reducing the intensity and duration of symptoms. Prevention is
aligned conceptually and operationally to promotion of health, mental health and wellness.
For example, a Tier 3 (individualized) intervention to reduce anxiety, promotes health and
wellness and increases that student’s Participation in programs and activities in Tiers 1 and
2.
12. Interventions across the 3-tiered model are not “disorder” or “diagnosis” specific but rather
are related to severity of emotional and behavioral challenges that may be present (with or
without mental health diagnosis or special education identification). As part of ongoing
quality assessment and improvement efforts, there is appropriate caution about labeling
students, and training and increased understanding of the impacts of such labeling.
The Three Tiers Defined
Tier 1/Universal: Interventions that target the entire population of a school to promote and
enhance wellness by increasing pro-social behaviors, emotional wellbeing, skill development,
and mental health. This includes school-wide programs that foster safe and caring learning
204
environments that engage students, are culturally aware, promote social and emotional learning
and develop a connection between school, home, and community. Data review should guide the
design of Tier 1 strategies such that 80-90 percent of the students are expected to experience
success, decreasing dependence on Tier II or III interventions. The content of Tier 1/Universal
approaches should reflect the specific needs of the school population. For example, cognitive
behavioral instruction on anger management techniques may be part of a school-wide strategy
delivered to the whole population in one school, while it may be considered a Tier 2 intervention,
only provided for some students, in another school.
Tier 2/Secondary: Interventions at Tier 2 are scaled-up versions of Tier 1 supports for
particular targeted approaches to meet the needs of the roughly 10-15 percent of students who
require more than Tier 1 supports. Typically, this would include interventions that occur early
after the onset of an identified concern, as well as target individual students or subgroups of
students whose risk of developing mental health concerns is higher than average. Risk factors
do not necessarily indicate poor outcomes, but rather refer to statistical predictors that have a
theoretical and empirical base, and may solidify a pathway that becomes increasingly difficult to
shape towards positive outcomes. Examples include loss of a parent or loved one, or frequent
moves resulting in multiple school placements or exposure to violence and trauma.
Interventions are implemented through the use of a comprehensive developmental approach
that is collaborative, culturally sensitive and geared towards skill development and/or increasing
protective factors for students and their families.
Tier3 /Tertiary: Interventions for the roughly 1-5 percent of individuals who are identified as
having the most severe, chronic, or pervasive concerns that may or may not meet diagnostic
criteria. Interventions are implemented through the use of a highly individualized,
comprehensive and developmental approach that uses a collaborative teaming process in the
implementation of culturally aware interventions that reduce risk factors and increase the
protective factors of students. Typical Tier 3 examples in schools include complex functionbased behavior support plans that address problem behavior at home and school, evidencebased individual and family intervention, and comprehensive wraparound plans that include
natural support persons and other community systems to address needs and promote
enhanced functioning in multiple life domains of the student and family.
Next Steps:
Establishing Demonstration Sites
We are working with several states and districts across the country who are
in the process of developing critical collaborative and sustainable strategies for establishing an
interconnected systems framework. These sites have identified key stakeholders representing
mental health and educators and have embarked in a collaborative teaming process. We are
examining current conditions, assessing systems features and selecting the best tools to track
progress and fidelity. Facilitation guides will also broaden our understanding of the roadblocks
and challenges that impede the process of integration.
Building Interconnected Systems: Examples of the Work in Progress
In the current environment of limited resources and increased student exposure to risks that
represent potential barriers to learning, it is critical that schools make efficient use of their own
resources and garner the support that they need to effectively facilitate student performance.
Braiding community resources into school environments using a three tiered public health
approach provides a structured but responsive tool for collaborative planning to maximize the
effect of interventions.
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We are gathering examples from the field to demonstrate how schools, districts and
communities are re-designing the way they approach a fully integrated process.
Example 1: A District-Level Re-Design:
The “old approach” used by the district:
 Each school works out their own plan for involving community mental health staff.
 One community Mental Health clinician is housed in a school building 1 day a week to
“see” students.
 The clinician does not participate in school teams and operates in relative isolation.
 No data are used to decide on or to monitor interventions.
 There is no systematic evaluation, instead “intuitive” monitoring of efforts. The “new
approach” used by the district.
 District has a plan shaped by diverse stakeholders for promotion of learning, positive
behavior and mental health for students, and a “shared agenda” is real in individual
schools, with staff from education, mental health and other child serving systems
working closely together and with youth and families for developing and continuously
improving programs and services at all 3 tiers, based on community data as well as
school data.
 There is “symmetry” in leadership among staff from education and mental health
systems in leading and facilitating activities at all three tiers.
 Personnel from Mental Health agency assists school district clinicians with facilitating
some Tier 2 and Tier 3 interventions including some small group interventions, functionbased behavior plans and wraparound teams/plans.
Example 2: Planning for Transference and Generalization:
A middle school implementing school-wide PBIS had data that indicated an increase in
aggression/fighting between girls. A local community agency had staff trained in the
intervention, Aggression Replacement Training (ART) and available to lead groups in school.
This evidence-based intervention is designed to teach adolescents to understand and replace
aggression and antisocial behavior with positive alternatives. The program's three-part
approach includes training in pro-social skills, anger management, and moral reasoning.
Agency staff worked for nine weeks with students for six hours a week; group leaders did not
communicate with school staff during implementation. Discipline referrals for the girls dropped
significantly during group. At the close of the group there was not a plan for transference of
skills (e.g., training school staff on what behaviors to teach/prompt/reinforce), which resulted in
a reversion to higher levels of referrals for aggressive behaviors among girls. The school’s PBIS
Secondary Systems Team reviewed data and regrouped by meeting with ART staff to learn
more about what they could do to continue the work started with the intervention. The team
pulled the same students into groups led by school staff with similar direct behavior instruction
and developed transference strategies, which resulted again in reductions in referrals for
aggressive behavior by girls.
Example 3: Tiers Working Together:
In an example of a school/community agency partnership, a middle school, and a community
Mental Health agency collaborated to help students at risk be more successful in school.
Seventeen middle school students received additional support via a social/academic
instructional group (a Tier 2/secondary intervention) taught by staff from the community Mental
Health agency partnering with the school. Student need for assistance was determined based
on data showing five or more office discipline referrals (ODRs) for disruption, or noncompliance.
The students met during lunch with a group leader to learn effective skills in communication,
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problem-solving, how to work cooperatively, and set goals. A comparison of ODRs before and
after the intervention showed, overall, the students experienced a 48 percent decline in
referrals. Furthermore, a post-test measure indicating the influence of the intervention on the
students’ attitudes revealed that 60 percent of the participants changed their belief that fighting
was an effective way to handle their anger.
Example 4: Community Clinicians Bringing in Augmenting Strategies:
A school located near an Army base had a disproportionate number of students who had
multiple school placements due to frequent moves, students living with one parent and students
who were anxious about parents as soldiers stationed away from home. These students
collectively received a higher rate of office discipline referrals than other students. The school
partnered with mental health staff from the local Army installation, who had developed a
program to provide teachers specific skills to address the particular needs students from military
families. Teachers were able to generalize those skills to other at risk populations. As a result,
office discipline referrals decreased most significantly for those students originally identified as
at risk but also for the student body as a whole.
Example 5: Systems Collaboration and Cost Savings:
A local high school established a mental health team that included a board coalition of mental
health providers from the community. Having a large provider pool increased the possibility of
providers being able to address the specific needs that the team identified using data,
particularly as those needs shifted over time. In one case, students involved with the Juvenile
Justice System were mandated to attend an evidence-based aggression management
intervention. The intervention was offered at school during lunch and the school could refer
other students who were not mandated by the court system, saving both the school and the
court system time and resources and assuring that a broader base of students were able to
access a needed service. As a result of their efforts, the school mental health team was able to
re-integrate over ten students who were attending an off-site school, at a cost savings of over
$100,000.
Links to Additional Resources:
www.schoolmentalhealth.org http://www.nwi.pdx.edu/ www.sharedwork.org http://www.ideap
artnership.org/ http://cecp.air.org/ http://csmh.umaryland.edu/ http://smhp.psych.ucla.edu/http:/
/www.pbis.org/ http://rtckids.fmhi.usf.edu/sbmh/default.cfm
Interconnected Systems Framework for School Mental Health
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Tier 3: Intensive Interventions for Few
Individual Student and Family Supports

Systems Planning team coordinates decision rules/referrals for this level of service and progress
monitors
Individual team developed to support each student
Individual plans may have array of interventions/services
Plans can range from one to multiple life domains
System in place for each team to monitor student progress




Tier 2: Early Intervention for Some
Coordinated Systems for Early Detection, Identification,
and Response to Mental Health Concerns






Systems Planning Team identified to coordinate referral process, decision rules and progress monitor
impact of intervention
Array of services available
Communication system for staff, families and community
Early identification of students who may be at risk for mental health concerns due to specific risk
factors
Skill-building at the individual and groups level as well as support groups
Staff and Family training to support skill development across settings
Tier I: Universal/Prevention for All
Coordinated Systems, Data, Practices for Promoting Healthy Social
and Emotional Development for ALL Students






School Improvement team gives priority to social and emotional health
Mental Health skill development for students, staff, families and communities
Social Emotional Learning curricula for all students
Safe & caring learning environments
Partnerships between school, home and the community
Decision making framework used to guide and implement best practices that consider unique strengths and
challenges of each school community
Note, in the three tiered described interventions and supports above, the document refers to mental
health and social and emotional supports. SASPISP interventions and supports also include
behavioral health issues including substance abuse in all three tiers.
208
Insert OSPI teaching and support RTI information
Three-Tiered Approach to SBH70
Program services should reflect a three-tiered approach as presented below.
Tier 1 services involve helping to improve the school environment; For example, assuring
that all places within schools are safe, reducing student bullying, taking actions to promote
positive and nurturing interactions among students and staff, and implementing systems of
Positive Behavior Intervention and Support (PBIS).
Tier 1: Classroom
Prevention;
Resilience, wellness,
and prevention
strategies targeting all
students
Ideally, the school is implementing PBIS as supported by most states and local school districts
in the United States Since there is very strong compliment between PBIS and SBH, it is
appropriate for SBH leaders to pursue PBIS connections for the schools, and for SBH
clinicians to help support its implementation. Please note that PBIS is a social/behavioral
strategy for Response to Intervention (a dominant theme within the current United States
educational system focused on tailoring interventions to student needs based on evaluation of
progressively implemented interventions), with major emphasis on a multi-level prevention
system, systematic screening of youth for early problems, active progress monitoring,
and data-based decision making. This has been shown to be more effective than a static
testing approach. Tier 1 services are meant to be helpful to all students. For Military schools
developing programs to ameliorate deployment-related stress are of the highest
importance, and the CAF-BHO will assist installations in selecting and implementing these
programs.
Tier 2 services are focused on students showing early signs of behavioral problems or
demonstrating signs and symptoms of risk, and could be applicable to all students given a
major negative event affecting the whole school such as large scale deployments or the death
of Soldiers. Tier 2 services include focused assessment and intervention services (e.g., for
up to a few session), implementing Supportive and evidence-based group interventions,
70
Excerpt from: Child, Adolescent and Family Behavioral health Office,
United States Army Medical Command, and Office of the Surgeon General
United States Army (10/2011,revised ed.). Available at http://brainhealth.army.mil/SBH/
209
and working collaboratively with educators in promoting positive behavior and managing
negative behavior.
Individualized & Intensive:
High-Risk Students (10%)
Group Intervention & Prevention:
At-Risk Students (20%)
Tier 2: At-Risk Students;
Evidence-based small
group interventions and
short duration one-to-one
treatment
Classroom Prevention:
All Students, Staff & Settings (70%)
Tier 3 services provide behavioral health treatment for students and their families
presenting more serious emotional/behavioral challenges. SBH staff offer more intensive
assessment and diagnostic evaluation, and treatment. This may include individual, group
and/or family therapy with close case management.
In general, SBH staff should emphasize Tier 3 and Tier 2 services targeted to Military Families
with adherence to procedures that meet accreditation requirements of the MTF. However, SBH
staff may provide consultation services to school staff, focused on general issues or strategies
to assist students and promote behavioral health for all students. SBH staff should also be
available to assist students and Families in connecting with other services. For example, for
nonmilitary Families this would include services offered within the school, and through the
local community behavioral health agency. For Military students and Families, this would
include services offered through Child Development Centers, Child and Family Assistance
Centers, and through Army Community Services. In addition, SBH staff represents a resource
for school staff; for example, in providing guidance on coping with stresses of Military life,
promoting the use of wellness strategies, etc.
210
Individualized & Intensive:
High-Risk Students (10%)
Tier 3: High-Risk Students;
One-to-one intervention
Group Intervention & Prevention:
At-Risk Students (20%)
Classroom Prevention:
All Students, Staff & Settings (70%)
SBH programs should utilize evidence-based curriculum and practices in the direct services being
provided to students and Families in all three tiers of the prevention/intervention model illustrated
above. To learn more about evidence-based practices, please visit the Substance Abuse and Mental
Health Services Administrations (SAMHSA's) National Registry of Evidence-based Programs and
Practices (NREPP). This helpful website is an online registry of reviewed behavioral health and
substance abuse interventions that have been determined to have quality research supporting the
intervention and can be readily disseminated. The registry can be found at http://nrepp.samhsa.gov/.
The CAF-BHO will be providing training to installations in modularized CBT interventions.
Examples of Prevention and Wellness Groups:

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Classroom Based Deployment Group (coping with deployment
and reintegration)
Buddy lunches and Brigade Basketball – positive mentoring of
students from the Soldiers from an adoptive brigade.
Understanding and Combating Bullies
Common Sense Parenting; 1-2-3 Magic; SOS Help for Parents
“Copier Chats” – posting info for teachers around the copiers and
quick chats about symptoms of disorders or common challenges
for Military children.
Brown Bag series – symptom and intervention specific support
“Ask a Doc” coffee hours
Health and Fitness groups; Crafting Club; Child-Parent playtime
Campaign of Kindness – Filling someone else’s bucket today (how
can you give to others in your day and make a positive
contribution)
211
Triage Team
The SBH team and school will need to establish a Triage Team to discuss students referred
for evaluation and treatment of behavioral health issues. The team should be chaired by either
the SBH clinician assigned to the school or by a SBH professional, such as the school
psychologist, counselor, or social worker. The Triage Team should meet weekly to discuss the
referred students, progress being made, changes in treatment plans, and other behavioral
health issues pertinent to the school. A lay component of the Triage Team is monitoring
outcomes and ensuring ongoing performance improvement. The Triage Team will work
with other teams in the school (e.g., PBIS, Student Support and School Advisory Team) and
will also assess and monitor staff, family and student relations, and issues related to
community and Military life.
212
STUDENT ASSISTANCE PREVENTION INTERVENTION SERVICES PROGRAM
SCHOOL STAFF REFERRAL FORM
Date of Referral _______________________
Person Reporting_______________________________
Student Name_______________________________________ Grade_______ Age________________
Homeroom Teacher__________________________________
Areas of Concern (please check all that apply)
ATOD-related Issues
School-related Issues
_____ Suspected alcohol use
_____ Poor academic performance
_____ Suspected marijuana use
_____ Poor attendance/frequently tardy
_____ Suspected tobacco use
_____ Low commitment
_____ Suspected other drug use
_____ Disruptive school behavior
_____ History of disciplinary problems
Behavior/Peer Relations
_____ Aggression/fighting
Mental Health Issues
_____ Anger/Lack of control
_____ Anxious, depressed, withdrawn
_____ Poor Social Skills
_____ Low self-esteem
_____ Association with antisocial peers
_____ Other mental health needs
_____ Gang involvement/behavior
_____ Grief/Loss
_____ Inappropriate dating behaviors
_____ Excessive feelings of isolation and
being alone
_____ Patterns of impulsive and chronic
hitting, intimidation and bullying
behaviors
_____ Threats toward others
Home/Community Issues
_____ Substance use by others
_____ Relations with parent/guardian
_____ Physical/sexual/emotional abuse
_____ Legal problems
_____ Grief/Loss
_____ Basic Needs
_____ Suicide threats/self-mutilation
Other
_____ Atypical behaviors (lack of
attention to hygiene, grooming,
dress)
_____ Unusual risk-taking behaviors
_____ Delinquent/criminal activity
_____ Unusual interest/preoccupation
with weapons
_____ Expression of violence in writings
or drawings
_____ Being a victim of violence
Please note any additional concerns or pertinent information regarding this student’s behavior.
213
SAT Meeting Attendance Record
Date
Date
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Name
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Name
Name
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Name
Name
Name
Name
Name
Name
Date
Date
Date
Name
Name
Name
Name
Name
Name
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Name
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214
SAMPLE
TEAM MAINTENANCE EVALUATION71
Directions: Effective teams take time to monitor the process and results of each of their
meetings. Please respond to the following questions, then, as a team, discuss your comments.
1.
Write down three (3) words to describe how you feel about this meeting.
2.
How would you rate the effectiveness of this team to work together?
Low
3.
High
How satisfied are you with the results of this meeting?
Low
71
High
4.
Did you feel that your opinions were heard during the meeting? Why or why not?
5.
What suggestions do you have to improve the next meeting?
Source: Project CARE SAP Training Workbook • www.projectcare.org.
215
Practice Notes:72
MANAGING CARE, NOT CASES
Common terminology designates those whom professionals work with as “cases.” Thus,
considerations about making certain that clients connect with referral resources often are
discussed as “case monitoring” and efforts to coordinate and integrate interventions for a client
are designated “case management.”
Given that words profoundly shape the way people think, feel, and act, some professionals are
arguing for use of the term “care” in place of “case.” Such a move is in keeping with the view
that care is a core value of helping professionals. It also is consistent with the growing emphasis
on ensuring that schools are “caring communities.” For these reasons, it seems appropriate to
replace the term case management with that of management of care.
Management of care involves (1) initial monitoring, (2) ongoing management of an individual's
prescribed assistance, and (3) system's management. As with any intervention, these activities
must be implemented in ways that are developmentally and motivationally appropriate, as well
as culturally sensitive.
Initial Monitoring of Care
Stated simply, monitoring of care is the process by which it is determined whether a client is
appropriately involved in prescribed programs and services. Initial monitoring by school staff
focuses on whether a student/family has connected with a referral resource. All monitoring of
care requires systems that are designed to gather information about follow-through and that the
referral resource is indeed turning out to be an appropriate way for to meet client needs. When
a client is involved with more than one intervener, management of care becomes a concern.
This clearly is always the situation when a student is referred for help over and above that which
her/his teacher(s) can provide.
Subsequent monitoring as part of the ongoing management of client care focuses on
coordinating interventions, improving quality of care (including revising intervention plans as
appropriate), and enhancing cost-efficacy.
Ongoing Management of Care
At the core of the on-going process of care management are the following considerations:

Enhanced monitoring of care with a specific focus on the appropriateness of the chosen
interventions.

Adequacy of client involvement.

Appropriateness of intervention planning and implementation, and progress.
Such ongoing monitoring requires systems for:



72
Tracking client involvement in interventions.
Amassing and analyzing data on intervention planning and implementation.
Amassing and analyzing progress data.
Center for Mental Health in Schools at UCLA.(2003). School-Based Client Consultation, Referral, and Management
of Care.
216

Recommending changes.
Effective Care Management is based upon:

Monitoring processes and outcomes using information systems that enable those
involved with clients to regularly gather, store, and retrieve data.

The ability to produce changes as necessary to improve quality of processes.

Assembling a “management team” of interveners and clients, and assigning primary
responsibility for management of care to one staff member or to several staff who share
the role.

Assuming a role that always conveys a sense of caring and a problem-solving
orientation, and involves families as empowered partners.

Facilitation of self-determination in clients by encouraging Participation in decisionmaking and team reviews (particularly when clients are mandated or forced to enroll in
treatment).

Meeting as a management teams need to meet whenever analysis of monitoring
information suggests a need for program changes or at designated review periods.
A few basic guidelines for primary managers of care are:
 Write up analyses of monitoring findings and recommendations to share with
management team.

Immediately after a team meeting, write up and circulate changes proposed by
management team and emphasize who has agreed to do which tasks by when.

Set-up a "tickler" system (e.g., a notation on a calendar) to remind you when to check on
whether tasks have been accomplished.
Follow-up with team members who have not accomplished agreed upon tasks to see what
assistance they need.
217
SECTION 8
EDUCATIONAL STUDENT
SUPPORT GROUPS
(Selective and Indicated)
EDUCATIONAL STUDENT SUPPORT GROUPS
INTRODUCTION
Research shows that daily or weekly contact with a student greatly
increases protective factors and reduces risks (Bond and Hauf,
2004; Dusenbury and Hansen, 2004). One of the most effective
approaches for weekly contact is the provision of school-based
educational support groups. Student Assistance Specialist (SAS)
trained in the dynamics of group process facilitate support groups.
These support groups are educational, curriculum-based, studentcentered, and solution-focused discussion groups. Educational
support groups are not unstructured rap sessions nor therapeutic
in nature. In the SAPISP, educational support groups are
beneficial for several reasons:73

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




Component 8:
Educational Student
Support Groups
To provide information,
support and problem
solving skills to students
who are experiencing
academic, social,
emotional, and behavioral
problems including
substance abuse
problems.
Time and cost efficiency. Since several children participate in support groups at once and
focus on common concerns, the group format may be more time efficient than one-on-one
counseling. Further, not all schools can afford school counselors, social workers, and/or
psychologists. In any case, these professionals are burdened with ever-increasing
caseloads. Support groups facilitated by trained professionals can ease the counseling
burden and broaden the range of services, especially in small, rural communities.
Breaking the isolation of participants when they meet, talk to, and work with other students
and a caring adult to solve similar problems.
Appropriate emphasis on information. COAs and children from other disrupted family
environments have a lot to learn about how their family problems affect them. Support
groups provide a safe, positive environment in which information can be learned.
Safety and protection. Group members offer each other ideas and experiences on how to
stay safe at home and on the streets.
Healthy relationships. The relationships developed in support groups can serve as
guidelines for developing healthy relationships outside of group.
Respect. Participants learn and model how to give and receive respect from their facilitators
and peers. This may be a new and affirming experience for them.
A positive peer and community environment. Although support groups generally take
place during one period, one day a week, participants may gather outside of group for
recreation or volunteer activities.
Validation of their own experiences. Group feedback helps participants do a “reality
check” and gain perspective on how others’ behavior affects them. By seeing how their
peers are affected by family situations, participants are better able to understand their own.
Absolution of blame. Support groups provide an opportunity for students to hear often, and
from many different sources, that they are not the cause of their parent’s addiction or other
family problems.
Inclusion74
Regardless of whether their concern is with their own alcohol/drug issues experience or
with another's, most children and adolescents have been forced to deal with these
73
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.29-30). Substance Abuse and Mental Health Services Administration. Rockville, MD.
74
Reprinted by permission from “When Chemicals Come to School.” p. 174-175.Copyright 1993 by Gary L. Anderson.
S68 W20707 Stonecrest Rd., Muskego, WI 53150
Educational Support Groups 218
problems in isolation. Most feel that they are the only ones who feel the way they do, that
no one else has similar problems, and that others would judge them harshly if they knew.
The strength of the "no talk rides” and society 's general unwillingness to be open about
family alcoholism leads most affected children to think they are the only ones facing such
problems. Few young people who are abusing alcohol or other drugs discuss their pain
with each other. The student in treatment also often feels isolated and "different,"
convinced that no one else could possibly share his problems. One of the things which the
brief, problem-focused group accomplishes better than anything else is allowing students
to discover that they are not alone. Students discover that they are not alone in feeling
guilty for causing their parent's drinking, in feeling confused and scared about their own
drug experiences, or about their struggle to stay straight. The feeling of isolation
diminishes immediately upon entering the group room for the first time, and disappears
entirely as the group develops.
IMPLEMENTING SUPPORT GROUPS IN THE SCHOOL SETTING
Support groups are seen as a effective and practical way to provide support to young people
who are struggling with their own SEBH issues including substance abuse, lack competent,
caring adults in their lives due to chemical dependency, marital strife, abuse, neglect,
abandonment and various other problems. School-based educational support groups provide
healthy relationships with the adult group leader and the children/youth in the groups. “People of
all ages but especially young people need support when attempting to understand and change
their behavior. Most get support from their immediate or extended family. However, millions of
children lack Competent, caring adults in their lives due to alcoholism, parental marital conflicts,
abuse, abandonment, and other problems” (Center for Substance Abuse Prevention, 2007, p.
27).
Support Groups Are Efficient75
A primary reason for implementing ATOD-related support groups has to do with the fact that
drug abuse and related problems are extremely resistant to change. Whether they are
recovering from chemical dependency, are struggling with their own drug abuse, or are
dealing with the stress of living with a chemically dependent family member, the promotion of
healthier and more constructive behaviors in students requires considerable education,
illustration, and support. Changing resistant behavior requires an environment that is safer
and more Supportive of change than that provided by a student's routine associations with
other students, family members, and even staff members.
One of reasons why constructive change is difficult is that the behavior required is both new
and risky. Thus, from a more pragmatic standpoint, whether the issue is confronting a family
member with a drinking problem, expressing a feeling, or resisting peer pressure, the group
provides an opportunity for students to experiment with and practice new behavior in
group before trying it out in the "real world." Enlisting the ideas and suggestions of group
members also provides the student with many realistic alternative behaviors that he would
typically have been unable to come up with by himself.
According to the Center for Substance Abuse Prevention (2007) “Support groups are neither
“rap” nor therapeutic groups, but are age-appropriate, curriculum-based, solution-focused
student discussion groups. The goal of such groups is to provide education and support
75
Reprinted by permission from “When Chemicals Come to School.” p. 174-175.Copyright 1993 by Gary
L. Anderson. S68 W20707 Stonecrest Rd., Muskego, WI 53150
219
behavior change.” “Research shows that daily or weekly contact with a caring, concerned adult
greatly increases protective factors and reduces risk factors in youth.” (p.28)
Support Groups Are Developmentally Appropriate
Most drug-related behavior occurs within and is supported by a fairly strong and cohesive
peer group that does not readily sanction individual independence, even if the adolescent is
developmentally equipped to resist peer group pressures. For the children of alcoholics, the
family represents a "group" setting which is even more intense and less accepting of changes
that can involve the open recognition of an ATOD problem, violation of the "no talk rules," or
the reduction of enabling behavior by the affected child or adolescent. The support group,
made up of other children or adolescents facing similar problems and tasks, thus provides a
developmentally appropriate context within which to discover, examine, and experiment with
change and still do so in an environment that is both emotionally "safe" and made up of one's
peers.
Similarly, students struggling with their own chemical abuse are not responding to "peer
pressure" to use drugs so much as they are responding to an intense need to belong and to
avoid behavior that would precipitate rejection by their peers. Groups focusing on drug abuse
provide a controlled and directed peer setting within which individual students can examine
"peer pressure" and ways of rejecting drugs that are based on affirming positive aspects of
themselves and that do not involve rejecting other adolescents as people. Groups provide
opportunities to explore such issues and practice behaviors to a degree that one-to-one
counseling relationships do not provide as readily.
Finally, groups are even more developmentally appropriate for the recovering student who is
faced with internal pressures to return to chemical abuse, and an external family, school, and
peer environment that at best often does not understand the magnitude of the task of staying
straight. At worst, the environment actively promotes the return to chemicals. For these
students more than others, the support group provides an environment of peers who are
struggling with the same issues.
Support Group Composition
It is important to be sensitive to group make up or composition. Grouping students will like
issues and risk factors are important (i.e. not combining those harmfully involved with
substances with those who are experimenting or those at potential risks ATOD use and other
SEBH issues. It is critical that placement is based upon identified student risks and needs and
that groups are appropriately mixed (Einspruch and Deck, 1999). Anderson (1993) notes that
close attention must be paid when making group placement decisions. He states:
Among those students affected by their own chemical abuse, a distinction must also be made
between those who are diagnosed as chemically dependent [and serious emotional
disturbances and who have been or are involved in a treatment program and those students
who are not chemically dependent or who have not yet been diagnosed as such. This division
is necessary on both theoretical and practical grounds. First, drug abuse differs conceptually
as well as clinically from drug addiction or dependency. Secondly, the “recovery " issues for
students in each group will consequently differ significantly. Abstinence, for example, is the
prevailing treatment goal for dependent youth, whereas it is not a lifetime necessity for
nondependent youth.
The distinction between "recovering" and other drug-involved youth also makes sense for the
220
school from a procedural point of view. There will be many students who may in fact be
chemically dependent but who have not yet been so diagnosed through referral to
assessment agencies... [A] use-focused group is often the device by which the school can
gather enough meaningful information about a student's drug involvement to justify as well as
bring about a successful referral. Moreover, it would be highly inappropriate to mix students
who have elected a use-focused group in lieu of suspension with students who have returned
to the school from a treatment program (p. 180).
SAP Support Group Limitations
Anderson (1993) notes that establishing the intended target group (i.e., recovering students,
affected others, etc.) as well as identifying goals and objectives for achievement in the support
group setting is an essential step in the planning process. Generally, the intent of educational
support groups should be “to improve rather than cure” (p. 210), and it is important to distinguish
“support groups” from “therapy.” SAPISP support groups have two general goals: 1) “to
promote, enhance, or maintain students’ abilities to cope healthfully and constructively with
ATOD-related problems in themselves and/or others, and 2) to enable students to make use of
those resources available in the environment, where the ‘environment’ is the group, the school
the family, or the community” (p. 210).
Two critical strategies to address personal change within a group setting is to allow students to
define their own ATOD use as a problem and then to provide them with the knowledge, skills,
competencies, and support needed to modify their substance use with reduction of use and
abstinence as the main goal (Einspruch & Deck, 1999). Suggested topics for social, emotional
behavioral health, including substance abuse groups may include information about the
continuum of substance use experience, personal communication skills, the consequences of
substance use or other social, emotional, behavioral problems, alternatives/solutions to problem
behaviors, peer pressure, and decision making.
Einspruch and Deck (1999) conducted research on the effectiveness of SAPISP support
groups intended to provide early intervention to substance using adolescences. Based upon
their findings, they make the following recommendations as a means of increasing the
likelihood of obtaining positive outcomes for students participating in peer support groups (p. E13):
1. Groups should be based on specific activities designed to enhance skills rather than
simply be a time for students to interact with each other in an unstructured environment
that promotes the sharing of deviant norms.
2. The adult group facilitator needs to directly address substance use behaviors and should
deliver a clear message that substance abuse is unacceptable, while still nurturing the
trust and respect of the participating students.
3. Careful consideration should be given to the membership composition of early
intervention peer support programs (e.g., whether new and more experienced substance
users should be in the same group or whether new users and highly deviant users
should be placed in the same group).
See additional resources for more information on the role of the Support Group Facilitator and
Leaders guidelines from Center for Substance Abuse Prevention (2007), Help is Down the Hall
a Handbook on Student Assistance (chapter 4).
WASHINGTON STATE’S SAPISP SUPPORT GROUPS OFFERINGS
221
Washington State’s SAPISP model has four standard student support groups: 1) At Risk/Social
Skills; 2) Intervention; 3) Children from Substance Abusing Parents (COSAP); and, 4) Recovery
Support. Additional groups may include tobacco education/cessation, ATOD education, anger
management, friendship group, gang/violence intervention, or bully/victims.
The following pages provide information on logistics, effective practices in group set up,
information on the stages of group development, goals, and objectives for the four standard
educational support groups and suggested resource list of curriculum/materials for group
activities. Group facilitation skills, practice and theory as well as other support group contents
other than the four standard groups are not covered in the Washington State SAPISP manual.
GROUP LOGISTICS76
The information below describes the logistical details to address before beginning a group in
order to meet the needs of each particular school setting. These seemingly “minor” details can
have enormous positive or negative impact on the character and success of a group.
Space: The meeting place should provide auditory and visual privacy with enough room for
students to move around comfortably. A blackboard, bulletin board, or other writing/drawing
surfaces are available. Desks and chairs are not necessary; if there is a rug and pillows,
students can sit comfortably on the floor. Student behavior problems will be minimized if the
space does not include enticing materials or equipment that is off-limits to the students (e.g.
audio-video equipment, sports equipment, etc.). It is important to have this space reserved for
the group on a regular and on-going basis.
Group space should protect personal privacy. It is important to hold group sessions in areas
in which information cannot be overheard – students should feel comfortable sharing intimate
feelings. It is equally important that SAS’s not confuse privacy with confidentiality. According
to Anderson (1993), “Group confidentiality protects what is said and done in group, not the
fact that a student is in a support group” (p.212). Holding groups in secretive or out-of-theway places may only serve to reinforce students’ secrecy and shame associated with
substance related problems. As long as issues of privacy are adequately addressed, locating
support groups in common areas sends a message of acceptability to participating students.
Accessibility: Group membership and meeting space should be accessible to any student in the
targeted student population. When forming groups, consider the special needs of students to
prevent discrimination.
Time Scheduling: School personnel and the SAS establish the specific timing of groups well in
advance of the initial group session. Groups need to meet regularly to alleviative students’
anxiety or uncertainness about the meeting time and place. Predictability is assured with a
regular meeting time, however this may be difficult for the teacher and student if a student
consistently misses a particular subject; a suggested solution is to plan a rotating group
schedule (1st period one week, 2nd period the next, etc.). Group leaders need to know about
special events, which may interfere with group times to make alternative plans in advance.
Anderson (1993) recommends that group sessions be held during the regular school day to
alleviate issues associated with transportation, extracurricular activities, or parental consent. In
76
Adapted in part from: Kids Like Us Everywhere KCDASAS Prevention Program, Seattle, WA
222
addition, doing so sends a message to both students and staff that SAPISP services are a
significant component of the school system.
Getting Students To and From Group: Procedures need to be defined as to how: 1) students are
to be excused from class; 2) students get to the group location; 3) attendance is recorded; 4)
students return to class; and, 5) teachers and students deal with problem times (e.g., when
testing is going on in the classroom or where the class has field trips planned).
Rules: Leaders should follow existing building rules and disciplinary procedures. SAS’s should
be aware of specific expectations and disciplinary procedures of each of the teachers from
whom the students come and coordinate group expectations as much as possible with the
classroom and building rules. Remember, the school staff member acting as co-leader has
existing authority and should be comfortable exercising this authority when necessary.
Confidentiality. Prior to the start of groups, students are informed of the SAS’s
responsibilities regarding confidentiality including being a designated reporter of child
abuse/neglect and sexual abuse under state statutes and staff’s requirement to comply
with state laws and to follow school procedures for reporting such cases. SAS are
expected to safeguard student confidentiality and disclosure of information within the
group setting. Exceptions to this general policy need to be reviewed with the student and
the group. (For additional information, see Confidentiality, page 123).
Parental Information and Consent. For students under the age of 13, parent permission is
required prior to group Participation. In this case, a letter is sent to the parent/guardian,
seeking written permission for their child to participate in a support group. For students
over the age of 13, consent may be passive or active and is determined by school policies
and the program supervisor. Note of Caution: Some schools and SAPISP require active
and/or passive parent consent regardless of the student’s age.
GROUP PREPARATION AND SET UP
The overall goal of SAPISP is to improve not “cure” the identified problem behaviors or needs of
referred students. Student support groups are one element of a comprehensive approach to
helping students, with these viewed as one of many components linking students to other
sources of support – school and community-based.
Pre-Group Screening: It is recommended that all students are screened as outlined in Section 5
Internal Referral Process and provided with an orientation interview prior to group placement.
The orientation interview has a variety of purposes it allows staff to:
 Make appropriate placement decisions.
 Explain the group process and review with the student the group goals, purpose, rules,
expectations and requirements.
 Determine if the student can make a commitment to participate in group.
 Assist the student in identifying his/her own goals/needs for group.
 Determine appropriate group material.
Consideration must also be given to compatibility of group members, including ethnic minorities
and diverse populations. Finally, it is important that group members and the facilitator have a
reasonable chance of successfully working together.
223
In addition, during the pre-screening/orientation interview that SAS will want to explore the
following with the student (Anderson, 1993, p. 213):
1. What brings the student to the group? Is the group the student's idea or someone
else’s?
2. Is the student motivated to make changes in the direction of improvement?
3. Will this student be "alone" in the group? Is the student compatible with others already
selected or already in the group?
4. Does the student understand the purpose for and expectations of the group?
5. Is this the student's first group experience?
6. Does the student possess the personal strengths and social and verbal skills necessary
to be in this group at this time?
Goal Orientation: Defining the targeted objectives for students is another critical planning step in
the group process. The specific goals, objectives, and outcomes of support groups depend
upon the focus and topic addressed. The goals of most student support groups are77:
 To provide accurate information in a safe, confidential setting where students can ask
questions and get clarification.
 To clarify and define how others’ behavior affects the child.
 To provide children with a framework to understand what they experience at home
 To validate their emotions and emotional experiences.
 To address problems by utilizing appropriate problem solving skills, clarifying options,
identifying support resources, and connecting to support systems outside group.
 To provide and support healthy relationships.
 To assess and respond to child protection issues.
 To separate the person from the problem behavior.
 To refer to additional services, such as a formal assessment, family counseling, tutoring,
and so forth.
Outcomes of Participation in student support groups may include, but are not limited to:
 Improved attendance.
 Improved academic achievement.
 Decreased denial, confusion, and isolation.
 Improved social skills and sense of belonging.
 Increased self-esteem.
 Increased coping skills.
 Ability to discriminate between safe and unsafe people.
 Hope.
Anderson (1993) notes that for any group, outcomes should generally address three areas: 1)
improvement in personal and interpersonal functioning; 2) improvement in academic
performance (grades, attendance, classroom conduct); and 3) improvements in specific ATODrelated indicators (perception of risk, reduction/abstinence, coping skills, etc). When establishing
group goals, program staff should consider the overall aim of the support group – “to improve
rather than cure” – and establish goals that can be realistically achieved given the limited
timeframe, number of participants, or other extenuating factors.
77
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.29). Substance Abuse and Mental Health Services Administration. Rockville, MD.
224
Group Rules: Establish rules with student input at the first session (It is recommended that
students agree in writing to group goals and rules). Existing school rules must be followed. At a
minimum, rules should include maintaining confidentiality, dealing with absences, class
release/return, not coming to group under the influence (no ATOD use for students participating
in Recovery Group), and discussion with the facilitator and/or the group prior to a student ending
group Participation. Most importantly, student statements or nonverbal cues that could be seen
as supporting ATOD use, or enabling, need to be confronted immediately and consistently.
Structure: Effective SAPISP groups are those in which the student makes a formal commitment
to attend all sessions, and requires a certain level of engagement and Participation. As
previously stated, effective groups are not loosely defined "rap," or "drop-in, drop-out"
sessions. Even in groups considered to be more “maintenance” oriented such as Recovery,
students should make a commitment to attend an agreed upon number of consecutive
sessions. Facilitators need to establish a set group structure and follow content as outlined for
the established SAPISP groups (see page 228). Students should be supervised at all times prior
to, during, and after the group session.
Time Limited: All groups need to have an established number of sessions (average 8-10)
provided over a time limited period. Group/personal goals are evaluated as being
achieved/effective by the individual student, the group as a whole, and the facilitator prior to any
consideration of additional sessions. Students who want, or are in need of, continuing services
can negotiate new goals for the second group offering. For example, a youth who completes
Intervention group and is identified as having a difficult time abstaining and is resistance to
treatment but open to support maybe referred to an ongoing support group. The new group
establishes a set of goals different from the original group such as staying sober, coping with
peer pressure, seeking community support, etc.
Frequency/Intensity: Typically, student support groups meet weekly; however, depending on the
group focus, targeted audience, and identified student outcomes group scheduling may be flexible.
For instance, some groups such as COSAP may meet twice weekly to assist students who are
coping with stressful family situations or Recovery, daily for ongoing support. Another example is
adapting meeting times to coincide with the school’s schedule such as meeting twice a week for 25
minutes in order to adapt to shorter class periods. Optimally, groups should be on an established
predictable schedule over the course of several weeks and staggered so that the student does
not miss the same class period over the 10–12 weeks of group sessions. After 12 sessions it is
recommended students who want to continue services that “new” group goals are discussed
and established before continuing with a support group. Follow-up one-on-one on occasion is
recommended to check in on the students periodically.
Size: Ideally, group range in size from six to eight members, although larger or smaller groups
are possible – a group is two or more participants. Larger groups may require one or more
facilitators with goals and expectations adjusted to accommodate group size. Larger groups
are less likely to have personal interaction and tend to be more didactic and discussion
focused whereas smaller groups allow for a higher level of personal engagement by
participants and can focus more on process.
Closed versus Open Groups: Most often groups are closed rather than open enrollment,
which means that students start and end the group together. The advantage of closed groups
is the continuity and relationship building that takes place among group members. Closed
groups allow students to spend dedicated time together without interruption to the group
process which is often caused by entry of new group members or others leaving in open group
225
settings. One major disadvantage of closed groups is that students referred to a group must
wait until a new group begins. (Anderson, 1993)
Educational in Nature: Student support groups are educational, focus on providing participants
with life skills/coping skills, with structured goals and objectives achieved through curriculumbased content, and are time limited. Students needing open ended, unstructured treatment or
therapy groups should be referred to the appropriate agencies for those services.
Labeling Groups and Anonymity: For purposes of the manual, student support groups have
been named according to their focus i.e. at-risk, Intervention, Children from Substance Abusing
Parents/Affected Others, and Recovery Support. However, to protect confidentiality, actual
groups should have a neutral name, for example, Orange, Yellow or Green group, or Group 1, 2
or 3. Forms, such as parent permission slips, progress reports on discipline students, and hall
passes should also use neutral group names. (Sample forms are located at the end of this
section).
Credit Options: Explore options to enable students to receive credit for group Participation.
Sometimes student support group Participation can be integrated within a regular health or
communication class without jeopardizing confidentiality concerns.
EDUCATIONAL SUPPORT GROUPS VS. THERAPY GROUPS
Educational support groups are different from therapy groups in a variety of ways. School-based
substance prevention-intervention educational groups are content specific, curriculum-based,
and focus on life/coping skills. Conversely, therapeutic groups aim to solve personal problems,
and are resolution focused. In support groups, the SAS provides a Supportive group
environment and validates, educates and empowers the students served. Whereas a therapist
may be Supportive, s/he also diagnoses, establishes a treatment plan and confronts, and
probes the client. School-based educational groups are time limited, whereas therapy
groups/sessions are determined by patient’s progress or insurance coverage (Lemerand, 1993).
Claudia Black78 has articulated the comparison of educational support groups to therapy groups
in the following chart:
Educational Groups
Focus on life skills/coping skills
Education
Support/Safety Net
Educational goals and objectives are achieved
through curriculum-based content/activities
Building protective factors
Conducted by trained facilitators
Caring Knowledgeable about child
development and specific issues Have “health”
Therapy Groups
Solve personal problems
Resolution
May be Supportive but also include
confrontation and probing
Individualized treatment plan, use of
therapeutic activities; however, process is
always more important than content
Probing; addressing impact of risk factors;
may focus later on building protective factors
Conducted by trained therapist
78
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.36). Substance Abuse and Mental Health Services Administration. Rockville, MD.
226
to give
LOVEE driven: (Listen, Observe, Validate,
Educate, Empower)
Time limited (6–12 weeks)
Psychological theory and diagnosis driven
Length of treatment driven by treatment
process and patient’s progress, or insurance
coverage
CRITICAL EDUCATIONAL SUPPORT GROUP COMPONENTS
To be effective educational support groups need to address certain skills found to be critical to
preventing substance use, including empathy, social/problem solving, anger management or
impulse control, communication, stress management and coping, media resistance,
Assertiveness, and character development. Support groups are most effective when they
(CSAP, 2002):





Reach students during nonschool as well as school hours.
Use age and culturally appropriate, interactive teaching materials.
Combine social and thinking skills instruction with resistance skills training.
Include an adequate “dosage” of at least 8 to 12 sessions per year.
Include peer education components that are led by students.
GROUP FORMATION
There are many theories on developmental systems. Weber (n.d.),explores developmental
issues in a way that allows for continual change within the group process and argues that all
groups go through several stages of development to reach competence – Forming, Storming,
Norming, Performing. Weber’s view, consistent with student assistance programs, maintains
that activities elicit behavior. Weber notes that since the group is continually experiencing
activities, the potential for new behaviors is always present. The group may leap forward to an
advanced stage, or it may go back to an earlier stage. He states:
Groups may proceed through the [four] stages quickly or slowly; they may fixate at a given stage;
or they may move quickly through some and slowly through others. If they do indeed complete
all [four] stages, however, and have sufficient time left in their life together, they will again recycle through the stages. This additional development will lead to deeper insight,
accomplishment, and closer relationships. (p.1).
Groups will generally grow to a stage that can be somewhat relied upon, though it will revert
depending on how it responds to significant challenges. Those challenges can be called "pinch
points” or "crunch points," the pinch growing to a crunch if the group fails to deal with the
challenges. Weber’s group process theory builds upon the stages developed by Tuckman
(1965), Schutz (1971) and Bion (1961), those stages are: Forming, Storming, Norming,
Performing, and Transforming.
Forming: When groups form – or are in their infancy or childhood stage – members are
scrambling for leadership and trying to establish a leader. There is confusion, anxiety, and
willingness to please, along with solid glimpses into what the group will be like. This is an
important time for the group to achieve something for they may be more willing to please each
other and the leader at this stage than they will be during the Storming stage. Those solid
immediate first achievements will be important building blocks to later group processes.
Storming: Others call this the control stage or “adolescence.” Weber (n.d) describes it as
"possibly the most difficult stage to tolerate in either persons or groups." (p.3). Alliances between
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members have formed sufficiently to generate negative behavior and power struggles begin to
take place. Real testing of the leader begins as members overtly challenge or covertly
undermine those in leadership positions. It is truly an all-out get-to-know-you time. Group
members are asking through their behavior: Is this group safe? Am I going to like what I am
doing? Can these leaders handle us? Members are essentially reacting to the situation, with
very little initiative or independence exhibited. It is important to continue to deal with the uses of
achievement and negotiation, giving group members the solid experiences that will help them
move on to the next stage.
Norming and Performing: During its adulthood, the group operates as a unit, taking pride in
what it is doing, and using its own strengths. The group is also moving away from its
dependency on the leaders, taking initiative, and experiencing pride in group
accomplishments. They are more able to confront each other in terms of goals and behavior
and group norms are established. Group members begin to develop affection for each other
and self-disclosure increases as the group moves toward intimacy. The group is ready to
address its goals and to work together collaboratively. Through these stages the group has
established its own identity and the group feels balanced, harmonious and healthy.
Transforming (also known as "termination"): Transforming is what a group must do when
it has accomplished its goal, or has run out of time. This is the change/transition phase.
According to Weber (n.d.), there are two choices, 1) to Redefine,start again with a new agenda,
purpose, and time period, or 2) to Disengage/Terminate. "The group must decide on its future,
or it will proceed down a frustrating, unfulfilling path"(p.4). In this stage, members will feel a
range of emotions (anger, feel, despair, acceptance), and there may be issues of loss and
grief associated with the group terminating. However, Weber (p.4) notes,
Not uncommonly, groups will attempt to define ways of retaining contact after separation in
an effort to escape the pain of disengagement. But failure to disengage, to recognize that the
life of the group, as its members have experience it, has come to an end, will only lead to a
hollow, unfinished feelings in the future as a person must face the inevitability of leaving this
life, members must realize that groups too must die. But if nourished, the spirit or experience
can live on.
These developmental stages can help program staff to decide on intensity and specific tasks of
groups activities. Tasks that require a high degree of initiative and responsibility should be
reserved for the Norming/Performing stage. Tasks that must be watched closely through
narrow parameters should be slotted into Forming and Storming .It is important to remember
that groups will recycle through the process, in other words, “two steps forward, one step
back." A group will move to a level, but may encounter difficulties, which force them to a
previous level. If the difficulties are addressed, the group will grow in a normal "zig-zag" kind of
fashion. If difficulties are not addressed, the group is at risk of falling apart.
STAGES OF CHANGE79
Prochaska and DiClemente’s (1982) Stages of Change theory has been conceptualized for a
variety of problem behaviors and is utilized as a foundational approach in Washington States’
SAPISP model. The five stages of change are pre contemplation, contemplation, preparation,
action, and maintenance (figure 8.1).

79
Pre contemplation is the stage at which there is no intent to change behavior in the
foreseeable future. Many individuals in this stage are unaware or under aware of their
problems.
Retrieved from http://www.uri.edu/research/cprc/TTM/StagesOfChange.htm.
228




Contemplation is the stage in which individuals are aware that a problem exists
and are seriously thinking about overcoming it but have not made a commitment
to take action.
Preparation is the stage that combines intention and behavioral criteria.
Individuals in this stage are intending to take action in the next month and have
unsuccessfully taken action in the past year.
Action is the stage in which individuals modify their behavior, experiences, or
environment in order to overcome their problems. Action involves the most overt
behavioral changes and requires considerable commitment of time and energy.
Maintenance is the stage in which individuals work to prevent relapse and
consolidate the gains attained during Action. For addictive behaviors this stage
extends from six months to an indeterminate period past the initial action.
Figure 8.1: Stages of Change Model80
Stage of Change
80
Characteristics
Techniques
Pre-contemplation
Not currently considering
change: "Ignorance is bliss"
Validate lack of readiness
Clarify: decision is theirs
Encourage re-evaluation of current
behavior
Encourage self-exploration, not action
Explain and personalize the risk
Contemplation
Ambivalent about change:
"Sitting on the fence"
Not considering change within
the next month
Validate lack of readiness
Clarify: decision is theirs
Encourage evaluation of pros and cons of
behavior change
Identify and promote new, positive
outcome expectations
Preparation
Some experience with change
and are trying to change:
"Testing the waters"
Planning to act within 1 month
Identify and assist in problem solving re:
obstacles
Help student identify social support
Verify that student has underlying skills for
behavior change
Encourage small initial steps
Action
Practicing new behavior for
3-6 months
Focus on restructuring cues and social
support
Bolster self-efficacy for dealing with
obstacles
Maintenance
Continued commitment to
sustaining new behavior
Post-6 months to 5 years
Plan for follow-up support
Reinforce internal rewards
Discuss coping with relapse
Relapse
Resumption of old behaviors:
"Fall from grace"
Evaluate trigger for relapse
Reassess motivation and barriers
Plan stronger coping strategies
Retrieved from http://www.cellinteractive.com/ucla/physcian_ed/stages_change.html
229
STANDARD SUPPORT GROUPS81
The following pages provide detailed information about the four statewide SAPISP educational
support groups including group goals and objectives, targeted student population and topical
areas of discussion. After the support groups standards is a set of sample forms for the SAS to
use in the implementation of groups.
1. Group signup sheet – students complete the form following a classroom presentation
to indicate interest in group Participation.
2. Group Attendance log – a record of student’s weekly attendance and topics covered
during group.
81
NOTE: The information in this section was compiled in conjunction with the assistance and hard work
of Martin Fleming, author and Intervention Specialist; Kim Beeson, Prevention Center Director, PSESD,
Sandy Mathewson, Prevention Center Director, ESD 112, Randy Town, Coordinator of Alcohol and
Drug Programs, ESD 105;and Kristin Schutte, Director, Services Center, OESD 114.
230
AT RISK/SOCIAL SKILLS GROUP
WASHINGTON STATE PRIMARY GROUP #1
At Risk/Social Skills Group:Prevention-oriented support groups typically focus on students
who have been identified as being at risk for substance use due to risk factors or lack of
protective factors and other social, emotional behavioral problems, but have not yet started.
Examples include students who lack commitment to school, exhibit low impulse control,
angry/rage issues, are alienated from peers or experience peer conflicts, suffer from low selfesteem. Experience shows that it is important to reach these students before they begin to use
mood-altering chemicals rather than after. With this goal in mind, prevention-oriented groups
can take many forms: social skills group, self-esteem group, making friends group, etc. While it
is difficult to create an inclusive list of group goals for prevention groups, here are some of the
more fundamental goals common to these groups:
1) Social/Communication skills
Often times what places students at risk is their lack of meaningful connection with peers.
This deficit typically stems from a lack of social skills resulting in being avoided or even
shunned by other students. In order to correct this, we must teach these at-risk students
skills that include:
 Refusal and managing peer pressure.
 Coping, problem solving and managing conflict.
 Making friends/friendship skills.
 Self-awareness and identification of emotions.
 Listening and paraphrasing.
 Knowing when and how to asking for help.
2)
Information related to risks of ATOD use
Since these students are at-risk for substance use due to SEBH issues and risk or lack of
needs to be backed by age-appropriate information concerning health risks related to use
by covering topics such as:
 Health implications associated with using ATOD.
 Risk factors/vulnerability.
 Legality issues.
 The progression and dynamics of physical and psychological addiction.
As applicable
 Heredity and its role in development of the disease.
 Gaining accurate information on disease-related behaviors including black-outs,
co-dependency, and enabling.
3) Affective skills
Since alcohol and other drugs are often turned to because of emotional discomfort,
another valuable goal for this group relates to providing students skills they can use to
identify and manage their emotions. This skill set includes:
 Identifying emotions.
 Creating a vocabulary for a variety of feelings.
 Learning effective methods for coping with anger.
231
4) Developing a Success Plan
 Steps for academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing healthy recreation/activities.
5) Meaningful connections and experiences
Where young people are concerned, perhaps one of the most effective strategies for
preventing alcohol and other drug use is to connect them with meaningful and healthy
alternatives. Troubled students search for someone they can talk to; bored students are
looking for something to do with their free time. A prevention-oriented group can greatly
help in this area by:
 Identifying and acquiring mentors.
 Promoting constructive and positive activities.
 Action plans for meeting personal goals.
INTERVENTION GROUP
WASHINGTON STATE PRIMARY GROUP #2
Intervention Group: An essential mission of Student Assistance Programs is to prevent the
escalation of potentially serious problems. The Early Intervention Groups are a type of student
assistance support group for teens in trouble because of their tobacco, alcohol, marijuana, or
other drug use, or aggressive/violent [and other SEBH problem] behavior. The SAT often works
with school administrators to offer this group experience as a positive alternative to out-ofschool suspension. While some students self-refer to this group, students are typically identified
and referred to early intervention groups due to a school policy violation. Occasionally,
however, a knowledgeable parent or friend will express a concern and ask the student
assistance counselor to help (CSAP, 2007, p. 39).
The goal of early intervention groups is to help these young people gain insight into what is
going on in their lives at the time and to understand the impact alcohol, tobacco, and other
drugs and other negative behaviors have on their mental and physical well-being. Teens
consider the consequences of their actions and make a decision about changes they need or
want to make. Through the time spent with these students, facilitators can make informal
assessments of the level of alcohol and drug use among participants and may refer students to
special services outside of school, including addiction assessment, counseling, and other
support groups, such as the family issues group. With the information and support participants
gain in group, they can equip themselves to make decisions about what changes they need to
make in their lives and how to access help in school or in the community (CSAP, 2007, p. 39).
Students in this category, range from those just beginning to experiment with mind-altering
substances to students whose extensive chemical use warrant an in-patient intervention
setting. The support group may attempt to span this entire continuum, or narrow its focus to
those who are experimenting and at high risk. It is important to try and group those with
more severity of use together and separate from those with less serious issues. If this is
not an option, the SAS should guide the discussions and have little or no self-disclosure
of ATOD use or other SEBH issues from the students. Also, if students are only referred
232
for tobacco offense and have no other drug use history the groups should be conducted
separately.
Typical names for this support group include Insight or Choices group. A second phase
intervention group is known as a Challenge group. This group is for students who need further
intervention “care-formation” motivation and support to address their substance abusing
behavior. The fundamental goal is similar to the insight/challenge however, may include
motivation to go to a community treatment or mental health agency.
The following five fundamental goals should be addressed in this group:
1) Information
While most group members will consider themselves well-versed in drug pharmacology,
much of it is misinformation – e.g., marijuana is only an “herb”, not a real drug. One of the
major goals for this group should be to set the record straight about mind-altering chemicals
and how they affect a user’s life. Examples of this goal include:
 Physical and psychological addition process.
 Drug classifications.
 Drugs ad effects on the physical body.
 Long-term implications for drug abuse.
 Implications of use on the brain.
2) Self-Assessment
After being given information about drugs and the dynamics of addiction, the curriculum
should create opportunities for self-reflection. These students need to take a hard look at
their drug-related behavior and the impact that it is imparting on their lives. Examples of this
goal include:
 Self-assessment tied to a continuum of use, abuse and dependence.
 Personal understanding of drug-using behavior and its consequences.
 Relationship between academic performance and drug use.
As applicable
 Self-assessment/reflection on anger/aggressive or depression (or other SEBH
problems) and impact on self and others.
3) Interpersonal skills
It has been said that drugs are a people substitute. This being the case, group members
needs to develop skills in the arena of understanding and expressing feelings. By
developing quality relationship with others, they will begin to get their needs – needs that
were previously approached through drug use – met in much more positive manner.
 Self-awareness and identification of emotions.
 Understanding of personal defenses.
 Coping strategies and calming down techniques.
 Communication (refusal, Assertiveness, and collaborative) and listening skills.
4) Motivate group members to stop using drugs change negative behaviors
This goal is sometimes so basic it gets overlooked. A strong “no-use” and “quit now”
message and as applicable other SEBH positive behavior reinforcement should be woven
throughout the group curriculum. In addition to educational strategies, group policies and
rules can be created to help satisfy this goal. Examples include:
233



Abstinence, positive behavioral management contracts/commitments.
Rewards for “clean” time and/or positive behaviors, choices and actions.
Consequences for ATOD use incident or other unhealthy behaviors.
As applicable
 Urinalysis.
5) Develop meaningful connections and experiences
Many group members turn to alcohol and other drugs because they are bored and have
only limited avenues for constructive activities. Others with SEBH issues including
substance abuse don’t have any meaningful connections with adults who can serve as role
models and mentors. This goal area focuses on helping students learn how to successfully
meet this need. Goal examples include:
 Identifying and linking students to constructive and positive activities.
 Action plans for meeting personal goals.
 Identifying and acquiring mentors.
 Linkages to other community resources such as Work source, Job Corp, Red Cross,
or Volunteer programs.
6) Developing a Success Plan
 Steps for academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing healthy recreation/activities.
CHILDREN FROM SUBSTANCE ABUSING PARENTS OR
AFFECTED OTHERS GROUP
WASHINGTON STATE PRIMARY GROUP #3
COSAP/Affected Others Group: These groups specifically target students who are impacted
by someone else’s substance abuse/use. Students are usually from a chemically
dependent/substance abusing home environment – parents, relative or siblings (COSAP’s). But
can also be impacted by a friends use as well – affected others. It is recommended the groups
are kept separate because the issues of family are very different than concerns for a friend. A
COSAP group may include students impacted by parental or sibling mental health issues.
Groups offer students a safe, Supportive environment in which participants learn to cope and to
understand that they are not alone through interaction with others like them.
Typical names for this type of group include children of substance abusing parents, concerned
persons, affected others or family issues. It is suggested that the group name "children of from
substance abusing parents" be avoided due to the stigmatization that occurs as well as the
implied diagnosis of the parent. The title "Concerned Persons" or Affected Others has become
something of a national standard for this support group. The following four fundamental goals
should be addressed:
1) Information about family chemical dependency and if applicable mental health
Young people experiencing family members with drinking or other drug problems or other
mental health issues need appropriate information to make sense of often-bizarre
234
experiences. Instead of relying on misinformation given to excuse drinking behavior, or, in
the absence of information, trying to make sense of it themselves, we can provide the facts.
Regardless of what else the group accomplishes, this is the first step - arm them with
knowledge. Examples of this goal include knowledge of:
 Disease concept – including the 4 C’s did not cause, cure, control but can cope.
 Blackouts.
 Rules and roles within the family.
 Codependence & enabling.
Group lessons/activities need to teach these students82:
 An Understand that they are not alone. Others share their experiences and
understand their feelings.

Validate their perceptions and interpretations of their experiences. Families in
crisis send mixed messages to children, and they need help sorting out the confusion.
In an educational support group, they learn that they are reacting to adults who may
downplay or ignore the severity of their own problems, deny that certain events ever
took place, and behave inconsistently.

Gain perspective on how their parents’ alcohol or drug use, or other behavior,
affects them. For instance, children from alcoholic families often fall into predictable,
unhealthy patterns of behavior. Some become overly responsible to compensate for the
irresponsibility of a parent, while others act out to get attention from an otherwise
inattentive parent.

Shed blame. Children learn that they are not at fault for the alcoholism, drug addiction,
divorce, marital problems, neglect, and physical or sexual abuse in their families.

Separate the parent from the problem behavior. For instance, alcoholics or drug
addicted parents may be very caring, concerned people when they are not drinking or
using; or a depressed, neglectful father may be capable of nurturing when his
depression passes. Participants learn that a parent’s drunkenness or other behaviors do
not mean that their parent does not love them. Most importantly, they learn that they are
valuable and that they are not responsible for fixing what is wrong at home.

Find hope. Participants learn that alcoholism is a disease from which their parents can
recover. Children from families experiencing a divorce will learn that the initial turmoil
will eventually reach a more stable and tolerable resolution.

Understand the risks related to drugs and alcohol use. Participants, especially
children of alcoholics, learn that they are at high risk for becoming dependent on alcohol
or other drugs and unhealthy relationships.
2) Coping and Social Skills
82
Taken from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student
Assistance Handbook (p.41). Substance Abuse and Mental Health Services Administration. Rockville,
MD.
235
Another important goal area focuses on helping young people develop the skills to interact
constructively with the world around them. Preliminary goals include a skill set often coined
"survival skills," such as how to refine to ride home with an intoxicated parent. Examples
include:
 Learning how to take care of themselves – doing positive things, playing and engaging
in activities vs. worrying or taking responsibility for others.
 Physical safety when with a chemically-impaired/mentally ill adult/sibling.
 Communication (self-assertion refusal, conflict resolution) skills.
 Problem solving skills .
 Relationship-building (i.e. what is friendship, trust and safety).
 Identifying other positive peer and adults supports.
In addition, assisting the students to cope with their daily lives. “Because of the stress in the
family, even minor tasks such as getting to school on time may be very difficult for some
participants. They learn that they will not be pitied or allowed to perform below their potential.
Rather, they learn ways to get support to accomplish routine or simple tasks, and move
forward, helping them to build a sense of self-efficacy” (CSAP, 2007 p. 41)
3) Identify and express emotions
Young people with chemically dependent parents (and mental illness) have many
experiences that give a rise to painful feelings, fortunately, a support group can become a
safe place to identify, express and work through a variety of painful and confusing
emotions. This goals area includes:
 Expressing emotions especially anger. “Many participants may be very angry with their
parents. This anger tends to be expressed in destructive and inappropriate ways.
Participants use the safety of the group environment to express their anger
appropriately (CSAP, 2007, p. 41).
 Developing a feelings vocabulary.
 Learning that they are not the only ones with this struggle.
 Experiencing unconditional acceptance.
4) Strengthen resources
Students' support group experience has specific time limits, but their lives and struggles will
continue. With this in mind, another important goal of this support group is to focus on
connecting them with other resources that are both practical and on-going. This includes
resources such as:
 Supportive school staff and peers
 community-based counselors/therapists
 Alateen and other community or church groups
 Mentors
5) School Success Planning:
 Steps for academic success if struggling
 Skills – being an adolescent (play, peer/friendships, and involvement in
community)..
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
236
RECOVERY SUPPORT GROUP
PRIMARY GROUP # 4
Aftercare/Recovery Support Group: Research indicates that students returning to the school
environment following treatment services are much more likely to remain abstinent if provided
with school based recovery support groups. Support groups are important during this critical
juncture between relapse and recovery when recovering adolescents are in most need of
support to sustain their abstinence. Such groups provide students with strategies to cope with
peer pressures, to avoid slippery/risky places, and get support for staying clean and sober.
Reinforcing ATOD no use and positive behavioral patterns provides a continuation of lessons
learned during outpatient treatment/intensive outpatient treatment or intervention groups.
Recovery support groups range from a brief 15-minute check in or monitoring, daily or weekly,
to longer weekly sessions (45-50 minutes). Usual intended outcomes for these groups include
addressing student needs and potential for relapse. Assist the student in creating Supportive
networks – both within and outside of the school environment – to maintain long-term lifestyle
changes addressing ATOD use.
Students who have stopped using chemicals either on their own or by completing some type of
intervention program will need assistance. And they need assistance at school because school
is often a place with many opportunities to obtain drugs or interact with other students who
might dissuade them from their abstinence goals. It is important to note that this school-based
support group is not intended to take the place of a community-based aftercare program. With
this in mind, it is suggested that the support group not be named “Aftercare” group, but rather a
Recovery group, or similar title. The four fundamental goals areas for Recovery support group
are:
1) Alcohol and other drug abstinence
First and foremost is sobriety for these newly-recovering students. The support group can
assist these students in maintaining their sobriety by:
 Promoting abstinence.
 Create a drug-free check in.
 Group membership/friendship with abstinence.
 Identifying triggers/relapse cues.
2) Life Skills
Many newly-recovering young people do not have skills that others take for granted, while
other students were developing specific life skills, group members developmental growth
was interrupted as these youth focused on their drug use. Life skills goals can include:
 Following through on tasks.
 Self-asseRTIon.
 Study habits.
 Job interviewing.
3) Develop a support system with other students who don’t use drugs
The hallmark of being a teenager is inclusion with peers. It is crucial that we help these
group members find new and healthy peers. We can address this goal area by covering the
following topics in the curriculum:
 Identifying quality peers.
 Building new relationships (nonusing friends).
237


Asking for help.
Acquiring mentors.
4) Coping and communication skills. Often student who are addicted to alcohol or other
drugs used to feel comfortable/cope in social settings or to cope with emotions/feelings.
This being the case, group members needs to develop skills in the arena of understanding
and expressing feelings. By developing quality relationship with others, they will begin to get
their needs – needs that were previously approached through drug use – met in much more
positive manner
 Feeling identification, expressing emotions appropriately.
 Dealing with life issues without chemicals.
 Working together as a member of a group to solve problems.
 Developing listening skills.
 Encouraging others.
5) Recovery/Success plan
 Steps for attendance & academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing drug-free recreation and social activities.
5) Strengthen links with community resources
A group member’s recovery program cannot be limited to what the school provides. Rather,
these students need to develop connections within the community that will help ensure their
continued sobriety during the summer months, as well as after graduation. Goal examples
include:
 Involvement in 12-step programs, such as Alcoholic Anonymous.
 Aftercare programs.
 Community-based counselors and therapists.
 Employment opportunities.
 Recreational programs.
238
FORMS
239
GROUP SIGN UP SHEET
Name_________________________________
Grade_______
I am interested in participating in the following groups (please check all that apply):
□ At-Risk/Social Skills: Support for students who have been identified as being at “highrisk” for substance use but have not yet started
□ Intervention: Support for students who are experimenting or using alcohol and/or other
drugs and want to learn about the harmful effects of substance use
□ Challenge: Support for students maintaining abstinence or to motivate a student to
attend Intervention if needed.
□ Concerned/Affected Others: Support for students who are concerned about someone
else’s use of alcohol and/or other drugs
□ Recovery Group: Support for students who have quit using alcohol and other drugs
□ I am not interested in participating in a group at this time
240
GROUP SESSION SUMMARY/LESSON PLAN
SAPISP Services are Linked to Enhancing Academic Success
The work of the Student Assistance Specialist is closely linked to creating a readiness for
students to learn and achieve academic success. Through educational support groups,
SAPISP activities not only reduce barriers to learning, but also compliment the academic grade
level expectations (GLE) addressed by classroom teachers.
At a minimum, all educational support group sessions address the following objectives:
 Provide ATOD education designed to increase perception of harm.
 Decrease ATOD use, and
 Increase student achievement.
Complete the following information for each educational support group session.
Name of Group: ______________________________
Date: ________________________
Session Topic:
________________________________________________________________
Brief Description:
______________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
For this lesson, check the EALRs content areas that you addressed (check all that apply):
 Reading
 Writing
 Communication
 Math
 Science
 Social studies
 Art
For this lesson, check the following topics you assigned or discussed (check all that apply):
 Attendance
 Homework
 Grades
 Time management
 Classroom management/teacher conflicts
 Other school related topics
241
242
SAMPLE
Topic
Topic
Topic
Topic
Student Name
Topic
Group Topic &
Attendance
Topic
GROUP ATTENDANCE LOG
Date
Date
Date
Date
Date
Date
243
SECTION 8
EDUCATIONAL STUDENT
SUPPORT GROUPS
(Selective and Indicated)
244
EDUCATIONAL STUDENT SUPPORT GROUPS
INTRODUCTION
Research shows that daily or weekly contact with a student greatly
increases protective factors and reduces risks (Bond and Hauf,
2004; Dusenbury and Hansen, 2004). One of the most effective
approaches for weekly contact is the provision of school-based
educational support groups. Student Assistance Specialist (SAS)
trained in the dynamics of group process facilitate support groups.
These support groups are educational, curriculum-based, studentcentered, and solution-focused discussion groups. Educational
support groups are not unstructured rap sessions nor therapeutic
in nature. In the SAPISP, educational support groups are
beneficial for several reasons:83










Component 8:
Educational Student
Support Groups
To provide information,
support and problem
solving skills to students
who are experiencing
academic, social,
emotional, and behavioral
problems including
substance abuse
problems.
Time and cost efficiency. Since several children participate in support groups at once and
focus on common concerns, the group format may be more time efficient than one-on-one
counseling. Further, not all schools can afford school counselors, social workers, and/or
psychologists. In any case, these professionals are burdened with ever-increasing
caseloads. Support groups facilitated by trained professionals can ease the counseling
burden and broaden the range of services, especially in small, rural communities.
Breaking the isolation of participants when they meet, talk to, and work with other students
and a caring adult to solve similar problems.
Appropriate emphasis on information. COAs and children from other disrupted family
environments have a lot to learn about how their family problems affect them. Support
groups provide a safe, positive environment in which information can be learned.
Safety and protection. Group members offer each other ideas and experiences on how to
stay safe at home and on the streets.
Healthy relationships. The relationships developed in support groups can serve as
guidelines for developing healthy relationships outside of group.
Respect. Participants learn and model how to give and receive respect from their facilitators
and peers. This may be a new and affirming experience for them.
A positive peer and community environment. Although support groups generally take
place during one period, one day a week, participants may gather outside of group for
recreation or volunteer activities.
Validation of their own experiences. Group feedback helps participants do a “reality
check” and gain perspective on how others’ behavior affects them. By seeing how their
peers are affected by family situations, participants are better able to understand their own.
Absolution of blame. Support groups provide an opportunity for students to hear often, and
from many different sources, that they are not the cause of their parent’s addiction or other
family problems.
Inclusion84
Regardless of whether their concern is with their own alcohol/drug issues experience or
with another's, most children and adolescents have been forced to deal with these
83
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.29-30). Substance Abuse and Mental Health Services Administration. Rockville, MD.
84
Reprinted by permission from “When Chemicals Come to School.” p. 174-175.Copyright 1993 by Gary L. Anderson.
S68 W20707 Stonecrest Rd., Muskego, WI 53150
245
problems in isolation. Most feel that they are the only ones who feel the way they do, that
no one else has similar problems, and that others would judge them harshly if they knew.
The strength of the "no talk rides” and society 's general unwillingness to be open about
family alcoholism leads most affected children to think they are the only ones facing such
problems. Few young people who are abusing alcohol or other drugs discuss their pain
with each other. The student in treatment also often feels isolated and "different,"
convinced that no one else could possibly share his problems. One of the things which the
brief, problem-focused group accomplishes better than anything else is allowing students
to discover that they are not alone. Students discover that they are not alone in feeling
guilty for causing their parent's drinking, in feeling confused and scared about their own
drug experiences, or about their struggle to stay straight. The feeling of isolation
diminishes immediately upon entering the group room for the first time, and disappears
entirely as the group develops.
IMPLEMENTING SUPPORT GROUPS IN THE SCHOOL SETTING
Support groups are seen as an effective and practical way to provide support to young people
who are struggling with their own SEBH issues including substance abuse, lack competent,
caring adults in their lives due to chemical dependency, marital strife, abuse, neglect,
abandonment and various other problems. School-based educational support groups provide
healthy relationships with the adult group leader and the children/youth in the groups. “People of
all ages but especially young people need support when attempting to understand and change
their behavior. Most get support from their immediate or extended family. However, millions of
children lack Competent, caring adults in their lives due to alcoholism, parental marital conflicts,
abuse, abandonment, and other problems” (Center for Substance Abuse Prevention, 2007, p.
27).
Support Groups Are Efficient85
A primary reason for implementing ATOD-related support groups has to do with the fact that
drug abuse and related problems are extremely resistant to change. Whether they are
recovering from chemical dependency, are struggling with their own drug abuse, or are
dealing with the stress of living with a chemically dependent family member, the promotion of
healthier and more constructive behaviors in students requires considerable education,
illustration, and support. Changing resistant behavior requires an environment that is safer
and more Supportive of change than that provided by a student's routine associations with
other students, family members, and even staff members.
One of reasons why constructive change is difficult is that the behavior required is both new
and risky. Thus, from a more pragmatic standpoint, whether the issue is confronting a family
member with a drinking problem, expressing a feeling, or resisting peer pressure, the group
provides an opportunity for students to experiment with and practice new behavior in
group before trying it out in the "real world." Enlisting the ideas and suggestions of group
members also provides the student with many realistic alternative behaviors that he would
typically have been unable to come up with by himself.
According to the Center for Substance Abuse Prevention (2007) “Support groups are neither
“rap” nor therapeutic groups, but are age-appropriate, curriculum-based, solution-focused
student discussion groups. The goal of such groups is to provide education and support
85
Reprinted by permission from “When Chemicals Come to School.” p. 174-175.Copyright 1993 by Gary
L. Anderson. S68 W20707 Stonecrest Rd., Muskego, WI 53150
246
behavior change.” “Research shows that daily or weekly contact with a caring, concerned adult
greatly increases protective factors and reduces risk factors in youth.” (p.28)
Support Groups Are Developmentally Appropriate
Most drug-related behavior occurs within and is supported by a fairly strong and cohesive
peer group that does not readily sanction individual independence, even if the adolescent is
developmentally equipped to resist peer group pressures. For the children of alcoholics, the
family represents a "group" setting which is even more intense and less accepting of changes
that can involve the open recognition of an ATOD problem, violation of the "no talk rules," or
the reduction of enabling behavior by the affected child or adolescent. The support group,
made up of other children or adolescents facing similar problems and tasks, thus provides a
developmentally appropriate context within which to discover, examine, and experiment with
change and still do so in an environment that is both emotionally "safe" and made up of one's
peers.
Similarly, students struggling with their own chemical abuse are not responding to "peer
pressure" to use drugs so much as they are responding to an intense need to belong and to
avoid behavior that would precipitate rejection by their peers. Groups focusing on drug abuse
provide a controlled and directed peer setting within which individual students can examine
"peer pressure" and ways of rejecting drugs that are based on affirming positive aspects of
themselves and that do not involve rejecting other adolescents as people. Groups provide
opportunities to explore such issues and practice behaviors to a degree that one-to-one
counseling relationships do not provide as readily.
Finally, groups are even more developmentally appropriate for the recovering student who is
faced with internal pressures to return to chemical abuse, and an external family, school, and
peer environment that at best often does not understand the magnitude of the task of staying
straight. At worst, the environment actively promotes the return to chemicals. For these
students more than others, the support group provides an environment of peers who are
struggling with the same issues.
Support Group Composition
It is important to be sensitive to group make up or composition. Grouping students will like
issues and risk factors are important (i.e. not combining those harmfully involved with
substances with those who are experimenting or those at potential risks ATOD use and other
SEBH issues. It is critical that placement is based upon identified student risks and needs and
that groups are appropriately mixed (Einspruch and Deck, 1999). Anderson (1993) notes that
close attention must be paid when making group placement decisions. He states:
Among those students affected by their own chemical abuse, a distinction must also be made
between those who are diagnosed as chemically dependent [and serious emotional
disturbances and who have been or are involved in a treatment program and those students
who are not chemically dependent or who have not yet been diagnosed as such. This division
is necessary on both theoretical and practical grounds. First, drug abuse differs conceptually
as well as clinically from drug addiction or dependency. Secondly, the “recovery " issues for
students in each group will consequently differ significantly. Abstinence, for example, is the
prevailing treatment goal for dependent youth, whereas it is not a lifetime necessity for
nondependent youth.
The distinction between "recovering" and other drug-involved youth also makes sense for the
247
school from a procedural point of view. There will be many students who may in fact be
chemically dependent but who have not yet been so diagnosed through referral to
assessment agencies... [A] use-focused group is often the device by which the school can
gather enough meaningful information about a student's drug involvement to justify as well as
bring about a successful referral. Moreover, it would be highly inappropriate to mix students
who have elected a use-focused group in lieu of suspension with students who have returned
to the school from a treatment program (p. 180).
SAP Support Group Limitations
Anderson (1993) notes that establishing the intended target group (i.e., recovering students,
affected others, etc.) as well as identifying goals and objectives for achievement in the support
group setting is an essential step in the planning process. Generally, the intent of educational
support groups should be “to improve rather than cure” (p. 210), and it is important to distinguish
“support groups” from “therapy.” SAPISP support groups have two general goals: 1) “to
promote, enhance, or maintain students’ abilities to cope healthfully and constructively with
ATOD-related problems in themselves and/or others, and 2) to enable students to make use of
those resources available in the environment, where the ‘environment’ is the group, the school
the family, or the community” (p. 210).
Two critical strategies to address personal change within a group setting is to allow students to
define their own ATOD use as a problem and then to provide them with the knowledge, skills,
competencies, and support needed to modify their substance use with reduction of use and
abstinence as the main goal (Einspruch & Deck, 1999). Suggested topics for social, emotional
behavioral health, including substance abuse groups may include information about the
continuum of substance use experience, personal communication skills, the consequences of
substance use or other social, emotional, behavioral problems, alternatives/solutions to problem
behaviors, peer pressure, and decision making.
Einspruch and Deck (1999) conducted research on the effectiveness of SAPISP support
groups intended to provide early intervention to substance using adolescences. Based upon
their findings, they make the following recommendations as a means of increasing the
likelihood of obtaining positive outcomes for students participating in peer support groups (p. E13):
4. Groups should be based on specific activities designed to enhance skills rather than
simply be a time for students to interact with each other in an unstructured environment
that promotes the sharing of deviant norms.
5. The adult group facilitator needs to directly address substance use behaviors and should
deliver a clear message that substance abuse is unacceptable, while still nurturing the
trust and respect of the participating students.
6. Careful consideration should be given to the membership composition of early
intervention peer support programs (e.g., whether new and more experienced substance
users should be in the same group or whether new users and highly deviant users
should be placed in the same group).
See additional resources for more information on the role of the Support Group Facilitator and
Leaders guidelines from Center for Substance Abuse Prevention (2007), Help is Down the Hall
a Handbook on Student Assistance (chapter 4).
WASHINGTON STATE’S SAPISP SUPPORT GROUPS OFFERINGS
248
Washington State’s SAPISP model has four standard student support groups: 1) At Risk/Social
Skills; 2) Intervention; 3) Children from Substance Abusing Parents (COSAP); and, 4) Recovery
Support. Additional groups may include tobacco education/cessation, ATOD education, anger
management, friendship group, gang/violence intervention, or bully/victims.
The following pages provide information on logistics, effective practices in group set up,
information on the stages of group development, goals, and objectives for the four standard
educational support groups and suggested resource list of curriculum/materials for group
activities. Group facilitation skills, practice and theory as well as other support group contents
other than the four standard groups are not covered in the Washington State SAPISP manual.
GROUP LOGISTICS86
The information below describes the logistical details to address before beginning a group in
order to meet the needs of each particular school setting. These seemingly “minor” details can
have enormous positive or negative impact on the character and success of a group.
Space: The meeting place should provide auditory and visual privacy with enough room for
students to move around comfortably. A blackboard, bulletin board, or other writing/drawing
surfaces are available. Desks and chairs are not necessary; if there is a rug and pillows,
students can sit comfortably on the floor. Student behavior problems will be minimized if the
space does not include enticing materials or equipment that is off-limits to the students (e.g.
audio-video equipment, sports equipment, etc.). It is important to have this space reserved for
the group on a regular and on-going basis.
Group space should protect personal privacy. It is important to hold group sessions in areas
in which information cannot be overheard – students should feel comfortable sharing intimate
feelings. It is equally important that SAS’s not confuse privacy with confidentiality. According
to Anderson (1993), “Group confidentiality protects what is said and done in group, not the
fact that a student is in a support group” (p.212). Holding groups in secretive or out-of-theway places may only serve to reinforce students’ secrecy and shame associated with
substance related problems. As long as issues of privacy are adequately addressed, locating
support groups in common areas sends a message of acceptability to participating students.
Accessibility: Group membership and meeting space should be accessible to any student in the
targeted student population. When forming groups, consider the special needs of students to
prevent discrimination.
Time Scheduling: School personnel and the SAS establish the specific timing of groups well in
advance of the initial group session. Groups need to meet regularly to alleviative students’
anxiety or uncertainness about the meeting time and place. Predictability is assured with a
regular meeting time, however this may be difficult for the teacher and student if a student
consistently misses a particular subject; a suggested solution is to plan a rotating group
schedule (1st period one week, 2nd period the next, etc.). Group leaders need to know about
special events, which may interfere with group times to make alternative plans in advance.
Anderson (1993) recommends that group sessions be held during the regular school day to
alleviate issues associated with transportation, extracurricular activities, or parental consent. In
86
Adapted in part from: Kids Like Us Everywhere KCDASAS Prevention Program, Seattle, WA
249
addition, doing so sends a message to both students and staff that SAPISP services are a
significant component of the school system.
Getting Students To and From Group: Procedures need to be defined as to how: 1) students are
to be excused from class; 2) students get to the group location; 3) attendance is recorded; 4)
students return to class; and, 5) teachers and students deal with problem times (e.g., when
testing is going on in the classroom or where the class has field trips planned).
Rules: Leaders should follow existing building rules and disciplinary procedures. SAS’s should
be aware of specific expectations and disciplinary procedures of each of the teachers from
whom the students come and coordinate group expectations as much as possible with the
classroom and building rules. Remember, the school staff member acting as co-leader has
existing authority and should be comfortable exercising this authority when necessary.
Confidentiality. Prior to the start of groups, students are informed of the SAS’s
responsibilities regarding confidentiality including being a designated reporter of child
abuse/neglect and sexual abuse under state statutes and staff’s requirement to comply
with state laws and to follow school procedures for reporting such cases. SAS are
expected to safeguard student confidentiality and disclosure of information within the
group setting. Exceptions to this general policy need to be reviewed with the student and
the group. (For additional information, see Confidentiality, page 123).
Parental Information and Consent. For students under the age of 13, parent permission is
required prior to group Participation. In this case, a letter is sent to the parent/guardian,
seeking written permission for their child to participate in a support group. For students
over the age of 13, consent may be passive or active and is determined by school policies
and the program supervisor. Note of Caution: Some schools and SAPISP require active
and/or passive parent consent regardless of the student’s age.
GROUP PREPARATION AND SET UP
The overall goal of SAPISP is to improve not “cure” the identified problem behaviors or needs of
referred students. Student support groups are one element of a comprehensive approach to
helping students, with these viewed as one of many components linking students to other
sources of support – school and community-based.
Pre-Group Screening: It is recommended that all students are screened as outlined in Section 5
Internal Referral Process and provided with an orientation interview prior to group placement.
The orientation interview has a variety of purposes it allows staff to:
 Make appropriate placement decisions.
 Explain the group process and review with the student the group goals, purpose, rules,
expectations and requirements.
 Determine if the student can make a commitment to participate in group.
 Assist the student in identifying his/her own goals/needs for group.
 Determine appropriate group material.
Consideration must also be given to compatibility of group members, including ethnic minorities
and diverse populations. Finally, it is important that group members and the facilitator have a
reasonable chance of successfully working together.
250
In addition, during the pre-screening/orientation interview that SAS will want to explore the
following with the student (Anderson, 1993, p. 213):
7. What brings the student to the group? Is the group the student's idea or someone
else’s?
8. Is the student motivated to make changes in the direction of improvement?
9. Will this student be "alone" in the group? Is the student compatible with others already
selected or already in the group?
10. Does the student understand the purpose for and expectations of the group?
11. Is this the student's first group experience?
12. Does the student possess the personal strengths and social and verbal skills necessary
to be in this group at this time?
Goal Orientation: Defining the targeted objectives for students is another critical planning step in
the group process. The specific goals, objectives, and outcomes of support groups depend
upon the focus and topic addressed. The goals of most student support groups are87:
 To provide accurate information in a safe, confidential setting where students can ask
questions and get clarification.
 To clarify and define how others’ behavior affects the child.
 To provide children with a framework to understand what they experience at home
 To validate their emotions and emotional experiences.
 To address problems by utilizing appropriate problem solving skills, clarifying options,
identifying support resources, and connecting to support systems outside group.
 To provide and support healthy relationships.
 To assess and respond to child protection issues.
 To separate the person from the problem behavior.
 To refer to additional services, such as a formal assessment, family counseling, tutoring,
and so forth.
Outcomes of Participation in student support groups may include, but are not limited to:
 Improved attendance.
 Improved academic achievement.
 Decreased denial, confusion, and isolation.
 Improved social skills and sense of belonging.
 Increased self-esteem.
 Increased coping skills.
 Ability to discriminate between safe and unsafe people.
 Hope.
Anderson (1993) notes that for any group, outcomes should generally address three areas: 1)
improvement in personal and interpersonal functioning; 2) improvement in academic
performance (grades, attendance, classroom conduct); and 3) improvements in specific ATODrelated indicators (perception of risk, reduction/abstinence, coping skills, etc). When establishing
group goals, program staff should consider the overall aim of the support group – “to improve
rather than cure” – and establish goals that can be realistically achieved given the limited
timeframe, number of participants, or other extenuating factors.
87
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.29). Substance Abuse and Mental Health Services Administration. Rockville, MD.
251
Group Rules: Establish rules with student input at the first session (It is recommended that
students agree in writing to group goals and rules). Existing school rules must be followed. At a
minimum, rules should include maintaining confidentiality, dealing with absences, class
release/return, not coming to group under the influence (no ATOD use for students participating
in Recovery Group), and discussion with the facilitator and/or the group prior to a student ending
group Participation. Most importantly, student statements or nonverbal cues that could be seen
as supporting ATOD use, or enabling, need to be confronted immediately and consistently.
Structure: Effective SAPISP groups are those in which the student makes a formal commitment
to attend all sessions, and requires a certain level of engagement and Participation. As
previously stated, effective groups are not loosely defined "rap," or "drop-in, drop-out"
sessions. Even in groups considered to be more “maintenance” oriented such as Recovery,
students should make a commitment to attend an agreed upon number of consecutive
sessions. Facilitators need to establish a set group structure and follow content as outlined for
the established SAPISP groups (see page 228). Students should be supervised at all times prior
to, during, and after the group session.
Time Limited: All groups need to have an established number of sessions (average 8-10)
provided over a time limited period. Group/personal goals are evaluated as being
achieved/effective by the individual student, the group as a whole, and the facilitator prior to any
consideration of additional sessions. Students who want, or are in need of, continuing services
can negotiate new goals for the second group offering. For example, a youth who completes
Intervention group and is identified as having a difficult time abstaining and is resistance to
treatment but open to support maybe referred to an ongoing support group. The new group
establishes a set of goals different from the original group such as staying sober, coping with
peer pressure, seeking community support, etc.
Frequency/Intensity: Typically, student support groups meet weekly; however, depending on the
group focus, targeted audience, and identified student outcomes group scheduling may be flexible.
For instance, some groups such as COSAP may meet twice weekly to assist students who are
coping with stressful family situations or Recovery, daily for ongoing support. Another example is
adapting meeting times to coincide with the school’s schedule such as meeting twice a week for 25
minutes in order to adapt to shorter class periods. Optimally, groups should be on an established
predictable schedule over the course of several weeks and staggered so that the student does
not miss the same class period over the 10–12 weeks of group sessions. After 12 sessions it is
recommended students who want to continue services that “new” group goals are discussed
and established before continuing with a support group. Follow-up one-on-one on occasion is
recommended to check in on the students periodically.
Size: Ideally, group range in size from six to eight members, although larger or smaller groups
are possible – a group is two or more participants. Larger groups may require one or more
facilitators with goals and expectations adjusted to accommodate group size. Larger groups
are less likely to have personal interaction and tend to be more didactic and discussion
focused whereas smaller groups allow for a higher level of personal engagement by
participants and can focus more on process.
Closed versus Open Groups: Most often groups are closed rather than open enrollment,
which means that students start and end the group together. The advantage of closed groups
is the continuity and relationship building that takes place among group members. Closed
groups allow students to spend dedicated time together without interruption to the group
process which is often caused by entry of new group members or others leaving in open group
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settings. One major disadvantage of closed groups is that students referred to a group must
wait until a new group begins. (Anderson, 1993)
Educational in Nature: Student support groups are educational, focus on providing participants
with life skills/coping skills, with structured goals and objectives achieved through curriculumbased content, and are time limited. Students needing open ended, unstructured treatment or
therapy groups should be referred to the appropriate agencies for those services.
Labeling Groups and Anonymity: For purposes of the manual, student support groups have
been named according to their focus i.e. at-risk, Intervention, Children from Substance Abusing
Parents/Affected Others, and Recovery Support. However, to protect confidentiality, actual
groups should have a neutral name, for example, Orange, Yellow or Green group, or Group 1, 2
or 3. Forms, such as parent permission slips, progress reports on discipline students, and hall
passes should also use neutral group names. (Sample forms are located at the end of this
section).
Credit Options: Explore options to enable students to receive credit for group Participation.
Sometimes student support group Participation can be integrated within a regular health or
communication class without jeopardizing confidentiality concerns.
EDUCATIONAL SUPPORT GROUPS VS. THERAPY GROUPS
Educational support groups are different from therapy groups in a variety of ways. School-based
substance prevention-intervention educational groups are content specific, curriculum-based,
and focus on life/coping skills. Conversely, therapeutic groups aim to solve personal problems,
and are resolution focused. In support groups, the SAS provides a Supportive group
environment and validates, educates and empowers the students served. Whereas a therapist
may be Supportive, s/he also diagnoses, establishes a treatment plan and confronts, and
probes the client. School-based educational groups are time limited, whereas therapy
groups/sessions are determined by patient’s progress or insurance coverage (Lemerand, 1993).
Claudia Black88 has articulated the comparison of educational support groups to therapy groups
in the following chart:
Educational Groups
Focus on life skills/coping skills
Education
Support/Safety Net
Educational goals and objectives are achieved
through curriculum-based content/activities
Building protective factors
Conducted by trained facilitators
Caring Knowledgeable about child
development and specific issues Have “health”
Therapy Groups
Solve personal problems
Resolution
May be Supportive but also include
confrontation and probing
Individualized treatment plan, use of
therapeutic activities; however, process is
always more important than content
Probing; addressing impact of risk factors;
may focus later on building protective factors
Conducted by trained therapist
88
Excerpt from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student Assistance
Handbook (p.36). Substance Abuse and Mental Health Services Administration. Rockville, MD.
253
to give
LOVEE driven: (Listen, Observe, Validate,
Educate, Empower)
Time limited (6–12 weeks)
Psychological theory and diagnosis driven
Length of treatment driven by treatment
process and patient’s progress, or insurance
coverage
CRITICAL EDUCATIONAL SUPPORT GROUP COMPONENTS
To be effective educational support groups need to address certain skills found to be critical to
preventing substance use, including empathy, social/problem solving, anger management or
impulse control, communication, stress management and coping, media resistance,
Assertiveness, and character development. Support groups are most effective when they
(CSAP, 2002):





Reach students during nonschool as well as school hours.
Use age and culturally appropriate, interactive teaching materials.
Combine social and thinking skills instruction with resistance skills training.
Include an adequate “dosage” of at least 8 to 12 sessions per year.
Include peer education components that are led by students.
GROUP FORMATION
There are many theories on developmental systems. Weber (n.d.),explores developmental
issues in a way that allows for continual change within the group process and argues that all
groups go through several stages of development to reach competence – Forming, Storming,
Norming, Performing. Weber’s view, consistent with student assistance programs, maintains
that activities elicit behavior. Weber notes that since the group is continually experiencing
activities, the potential for new behaviors is always present. The group may leap forward to an
advanced stage, or it may go back to an earlier stage. He states:
Groups may proceed through the [four] stages quickly or slowly; they may fixate at a given stage;
or they may move quickly through some and slowly through others. If they do indeed complete
all [four] stages, however, and have sufficient time left in their life together, they will again recycle through the stages. This additional development will lead to deeper insight,
accomplishment, and closer relationships. (p.1).
Groups will generally grow to a stage that can be somewhat relied upon, though it will revert
depending on how it responds to significant challenges. Those challenges can be called "pinch
points” or "crunch points," the pinch growing to a crunch if the group fails to deal with the
challenges. Weber’s group process theory builds upon the stages developed by Tuckman
(1965), Schutz (1971) and Bion (1961), those stages are: Forming, Storming, Norming,
Performing, and Transforming.
Forming: When groups form – or are in their infancy or childhood stage – members are
scrambling for leadership and trying to establish a leader. There is confusion, anxiety, and
willingness to please, along with solid glimpses into what the group will be like. This is an
important time for the group to achieve something for they may be more willing to please each
other and the leader at this stage than they will be during the Storming stage. Those solid
immediate first achievements will be important building blocks to later group processes.
Storming: Others call this the control stage or “adolescence.” Weber (n.d) describes it as
"possibly the most difficult stage to tolerate in either persons or groups." (p.3). Alliances between
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members have formed sufficiently to generate negative behavior and power struggles begin to
take place. Real testing of the leader begins as members overtly challenge or covertly
undermine those in leadership positions. It is truly an all-out get-to-know-you time. Group
members are asking through their behavior: Is this group safe? Am I going to like what I am
doing? Can these leaders handle us? Members are essentially reacting to the situation, with
very little initiative or independence exhibited. It is important to continue to deal with the uses of
achievement and negotiation, giving group members the solid experiences that will help them
move on to the next stage.
Norming and Performing: During its adulthood, the group operates as a unit, taking pride in
what it is doing, and using its own strengths. The group is also moving away from its
dependency on the leaders, taking initiative, and experiencing pride in group
accomplishments. They are more able to confront each other in terms of goals and behavior
and group norms are established. Group members begin to develop affection for each other
and self-disclosure increases as the group moves toward intimacy. The group is ready to
address its goals and to work together collaboratively. Through these stages the group has
established its own identity and the group feels balanced, harmonious and healthy.
Transforming (also known as "termination"): Transforming is what a group must do when
it has accomplished its goal, or has run out of time. This is the change/transition phase.
According to Weber (n.d.), there are two choices, 1) to Redefine, start again with a new agenda,
purpose, and time period, or 2) to Disengage/Terminate. "The group must decide on its future,
or it will proceed down a frustrating, unfulfilling path"(p.4). In this stage, members will feel a
range of emotions (anger, feel, despair, acceptance), and there may be issues of loss and
grief associated with the group terminating. However, Weber (p.4) notes,
Not uncommonly, groups will attempt to define ways of retaining contact after separation in
an effort to escape the pain of disengagement. But failure to disengage, to recognize that the
life of the group, as its members have experience it, has come to an end, will only lead to a
hollow, unfinished feelings in the future as a person must face the inevitability of leaving this
life, members must realize that groups too must die. But if nourished, the spirit or experience
can live on.
These developmental stages can help program staff to decide on intensity and specific tasks of
groups activities. Tasks that require a high degree of initiative and responsibility should be
reserved for the Norming/Performing stage. Tasks that must be watched closely through
narrow parameters should be slotted into Forming and Storming .It is important to remember
that groups will recycle through the process, in other words, “two steps forward, one step
back." A group will move to a level, but may encounter difficulties, which force them to a
previous level. If the difficulties are addressed, the group will grow in a normal "zig-zag" kind of
fashion. If difficulties are not addressed, the group is at risk of falling apart.
STAGES OF CHANGE89
Prochaska and DiClemente’s (1982) Stages of Change theory has been conceptualized for a
variety of problem behaviors and is utilized as a foundational approach in Washington States’
SAPISP model. The five stages of change are pre contemplation, contemplation, preparation,
action, and maintenance (figure 8.1).

89
Pre contemplation is the stage at which there is no intent to change behavior in the
foreseeable future. Many individuals in this stage are unaware or under aware of their
problems.
Retrieved from http://www.uri.edu/research/cprc/TTM/StagesOfChange.htm.
255




Contemplation is the stage in which individuals are aware that a problem exists
and are seriously thinking about overcoming it but have not made a commitment
to take action.
Preparation is the stage that combines intention and behavioral criteria.
Individuals in this stage are intending to take action in the next month and have
unsuccessfully taken action in the past year.
Action is the stage in which individuals modify their behavior, experiences, or
environment in order to overcome their problems. Action involves the most overt
behavioral changes and requires considerable commitment of time and energy.
Maintenance is the stage in which individuals work to prevent relapse and
consolidate the gains attained during Action. For addictive behaviors this stage
extends from six months to an indeterminate period past the initial action.
Figure 8.1: Stages of Change Model90
Stage of Change
90
Characteristics
Techniques
Pre-contemplation
Not currently considering
change: "Ignorance is bliss"
Validate lack of readiness
Clarify: decision is theirs
Encourage re-evaluation of current
behavior
Encourage self-exploration, not action
Explain and personalize the risk
Contemplation
Ambivalent about change:
"Sitting on the fence"
Not considering change within
the next month
Validate lack of readiness
Clarify: decision is theirs
Encourage evaluation of pros and cons of
behavior change
Identify and promote new, positive
outcome expectations
Preparation
Some experience with change
and are trying to change:
"Testing the waters"
Planning to act within 1 month
Identify and assist in problem solving re:
obstacles
Help student identify social support
Verify that student has underlying skills for
behavior change
Encourage small initial steps
Action
Practicing new behavior for
3-6 months
Focus on restructuring cues and social
support
Bolster self-efficacy for dealing with
obstacles
Maintenance
Continued commitment to
sustaining new behavior
Post-6 months to 5 years
Plan for follow-up support
Reinforce internal rewards
Discuss coping with relapse
Relapse
Resumption of old behaviors:
"Fall from grace"
Evaluate trigger for relapse
Reassess motivation and barriers
Plan stronger coping strategies
Retrieved from http://www.cellinteractive.com/ucla/physcian_ed/stages_change.html
256
STANDARD SUPPORT GROUPS91
The following pages provide detailed information about the four statewide SAPISP educational
support groups including group goals and objectives, targeted student population and topical
areas of discussion. After the support groups standards is a set of sample forms for the SAS to
use in the implementation of groups.
3. Group signup sheet – students complete the form following a classroom presentation
to indicate interest in group Participation.
4. Group Attendance log – a record of student’s weekly attendance and topics covered
during group.
91
NOTE: The information in this section was compiled in conjunction with the assistance and hard work
of Martin Fleming, author and Intervention Specialist; Kim Beeson, Prevention Center Director, PSESD,
Sandy Mathewson, Prevention Center Director, ESD 112, Randy Town, Coordinator of Alcohol and
Drug Programs, ESD 105;and Kristin Schutte, Director, Services Center, OESD 114.
257
AT RISK/SOCIAL SKILLS GROUP
WASHINGTON STATE PRIMARY GROUP #1
At Risk/Social Skills Group: Prevention-oriented support groups typically focus on students
who have been identified as being at risk for substance use due to risk factors or lack of
protective factors and other social, emotional behavioral problems, but have not yet started.
Examples include students who lack commitment to school, exhibit low impulse control,
angry/rage issues, are alienated from peers or experience peer conflicts, suffer from low selfesteem. Experience shows that it is important to reach these students before they begin to use
mood-altering chemicals rather than after. With this goal in mind, prevention-oriented groups
can take many forms: social skills group, self-esteem group, making friends group, etc. While it
is difficult to create an inclusive list of group goals for prevention groups, here are some of the
more fundamental goals common to these groups:
6) Social/Communication skills
Often times what places students at risk is their lack of meaningful connection with peers.
This deficit typically stems from a lack of social skills resulting in being avoided or even
shunned by other students. In order to correct this, we must teach these at-risk students
skills that include:
 Refusal and managing peer pressure.
 Coping, problem solving and managing conflict.
 Making friends/friendship skills.
 Self-awareness and identification of emotions.
 Listening and paraphrasing.
 Knowing when and how to asking for help.
7)
Information related to risks of ATOD use
Since these students are at-risk for substance use due to SEBH issues and risk or lack of
needs to be backed by age-appropriate information concerning health risks related to use
by covering topics such as:
 Health implications associated with using ATOD.
 Risk factors/vulnerability.
 Legality issues.
 The progression and dynamics of physical and psychological addiction.
As applicable
 Heredity and its role in development of the disease.
 Gaining accurate information on disease-related behaviors including black-outs,
co-dependency, and enabling.
8) Affective skills
Since alcohol and other drugs are often turned to because of emotional discomfort,
another valuable goal for this group relates to providing students skills they can use to
identify and manage their emotions. This skill set includes:
 Identifying emotions.
 Creating a vocabulary for a variety of feelings.
 Learning effective methods for coping with anger.
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9) Developing a Success Plan
 Steps for academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing healthy recreation/activities.
5) Meaningful connections and experiences
Where young people are concerned, perhaps one of the most effective strategies for
preventing alcohol and other drug use is to connect them with meaningful and healthy
alternatives. Troubled students search for someone they can talk to; bored students are
looking for something to do with their free time. A prevention-oriented group can greatly
help in this area by:
 Identifying and acquiring mentors.
 Promoting constructive and positive activities.
 Action plans for meeting personal goals.
INTERVENTION GROUP
WASHINGTON STATE PRIMARY GROUP #2
Intervention Group: An essential mission of Student Assistance Programs is to prevent the
escalation of potentially serious problems. The Early Intervention Groups are a type of student
assistance support group for teens in trouble because of their tobacco, alcohol, marijuana, or
other drug use, or aggressive/violent [and other SEBH problem] behavior. The SAT often works
with school administrators to offer this group experience as a positive alternative to out-ofschool suspension. While some students self-refer to this group, students are typically identified
and referred to early intervention groups due to a school policy violation. Occasionally,
however, a knowledgeable parent or friend will express a concern and ask the student
assistance counselor to help (CSAP, 2007, p. 39).
The goal of early intervention groups is to help these young people gain insight into what is
going on in their lives at the time and to understand the impact alcohol, tobacco, and other
drugs and other negative behaviors have on their mental and physical well-being. Teens
consider the consequences of their actions and make a decision about changes they need or
want to make. Through the time spent with these students, facilitators can make informal
assessments of the level of alcohol and drug use among participants and may refer students to
special services outside of school, including addiction assessment, counseling, and other
support groups, such as the family issues group. With the information and support participants
gain in group, they can equip themselves to make decisions about what changes they need to
make in their lives and how to access help in school or in the community (CSAP, 2007, p. 39).
Students in this category, range from those just beginning to experiment with mind-altering
substances to students whose extensive chemical use warrant an in-patient intervention
setting. The support group may attempt to span this entire continuum, or narrow its focus to
those who are experimenting and at high risk. It is important to try and group those with
more severity of use together and separate from those with less serious issues. If this is
not an option, the SAS should guide the discussions and have little or no self-disclosure
of ATOD use or other SEBH issues from the students. Also, if students are only referred
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for tobacco offense and have no other drug use history the groups should be conducted
separately.
Typical names for this support group include Insight or Choices group. A second phase
intervention group is known as a Challenge group. This group is for students who need further
intervention “care-formation” motivation and support to address their substance abusing
behavior. The fundamental goal is similar to the insight/challenge however, may include
motivation to go to a community treatment or mental health agency.
The following five fundamental goals should be addressed in this group:
6) Information
While most group members will consider themselves well-versed in drug pharmacology,
much of it is misinformation – e.g., marijuana is only an “herb”, not a real drug. One of the
major goals for this group should be to set the record straight about mind-altering chemicals
and how they affect a user’s life. Examples of this goal include:
 Physical and psychological addition process.
 Drug classifications.
 Drugs ad effects on the physical body.
 Long-term implications for drug abuse.
 Implications of use on the brain.
7) Self-Assessment
After being given information about drugs and the dynamics of addiction, the curriculum
should create opportunities for self-reflection. These students need to take a hard look at
their drug-related behavior and the impact that it is imparting on their lives. Examples of this
goal include:
 Self-assessment tied to a continuum of use, abuse and dependence.
 Personal understanding of drug-using behavior and its consequences.
 Relationship between academic performance and drug use.
As applicable
 Self-assessment/reflection on anger/aggressive or depression (or other SEBH
problems) and impact on self and others.
8) Interpersonal skills
It has been said that drugs are a people substitute. This being the case, group members
needs to develop skills in the arena of understanding and expressing feelings. By
developing quality relationship with others, they will begin to get their needs – needs that
were previously approached through drug use – met in much more positive manner.
 Self-awareness and identification of emotions.
 Understanding of personal defenses.
 Coping strategies and calming down techniques.
 Communication (refusal, Assertiveness, and collaborative) and listening skills.
4) Motivate group members to stop using drugs change negative behaviors
This goal is sometimes so basic it gets overlooked. A strong “no-use” and “quit now”
message and as applicable other SEBH positive behavior reinforcement should be woven
throughout the group curriculum. In addition to educational strategies, group policies and
rules can be created to help satisfy this goal. Examples include:
260



Abstinence, positive behavioral management contracts/commitments.
Rewards for “clean” time and/or positive behaviors, choices and actions.
Consequences for ATOD use incident or other unhealthy behaviors.
As applicable
 Urinalysis.
5) Develop meaningful connections and experiences
Many group members turn to alcohol and other drugs because they are bored and have
only limited avenues for constructive activities. Others with SEBH issues including
substance abuse don’t have any meaningful connections with adults who can serve as role
models and mentors. This goal area focuses on helping students learn how to successfully
meet this need. Goal examples include:
 Identifying and linking students to constructive and positive activities.
 Action plans for meeting personal goals.
 Identifying and acquiring mentors.
 Linkages to other community resources such as Work source, Job Corp, Red Cross,
or Volunteer programs.
7) Developing a Success Plan
 Steps for academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing healthy recreation/activities.
CHILDREN FROM SUBSTANCE ABUSING PARENTS OR
AFFECTED OTHERS GROUP
WASHINGTON STATE PRIMARY GROUP #3
COSAP/Affected Others Group: These groups specifically target students who are impacted
by someone else’s substance abuse/use. Students are usually from a chemically
dependent/substance abusing home environment – parents, relative or siblings (COSAP’s). But
can also be impacted by a friends use as well – affected others. It is recommended the groups
are kept separate because the issues of family are very different than concerns for a friend. A
COSAP group may include students impacted by parental or sibling mental health issues.
Groups offer students a safe, Supportive environment in which participants learn to cope and to
understand that they are not alone through interaction with others like them.
Typical names for this type of group include children of substance abusing parents, concerned
persons, affected others or family issues. It is suggested that the group name "children of from
substance abusing parents" be avoided due to the stigmatization that occurs as well as the
implied diagnosis of the parent. The title "Concerned Persons" or Affected Others has become
something of a national standard for this support group. The following four fundamental goals
should be addressed:
1) Information about family chemical dependency and if applicable mental health
Young people experiencing family members with drinking or other drug problems or other
mental health issues need appropriate information to make sense of often-bizarre
261
experiences. Instead of relying on misinformation given to excuse drinking behavior, or, in
the absence of information, trying to make sense of it themselves, we can provide the facts.
Regardless of what else the group accomplishes, this is the first step - arm them with
knowledge. Examples of this goal include knowledge of:
 Disease concept – including the 4 C’s did not cause, cure, control but can cope.
 Blackouts.
 Rules and roles within the family.
 Codependence & enabling.
Group lessons/activities need to teach these students92:
 An Understand that they are not alone. Others share their experiences and
understand their feelings.

Validate their perceptions and interpretations of their experiences. Families in
crisis send mixed messages to children, and they need help sorting out the confusion.
In an educational support group, they learn that they are reacting to adults who may
downplay or ignore the severity of their own problems, deny that certain events ever
took place, and behave inconsistently.

Gain perspective on how their parents’ alcohol or drug use, or other behavior,
affects them. For instance, children from alcoholic families often fall into predictable,
unhealthy patterns of behavior. Some become overly responsible to compensate for the
irresponsibility of a parent, while others act out to get attention from an otherwise
inattentive parent.

Shed blame. Children learn that they are not at fault for the alcoholism, drug addiction,
divorce, marital problems, neglect, and physical or sexual abuse in their families.

Separate the parent from the problem behavior. For instance, alcoholics or drug
addicted parents may be very caring, concerned people when they are not drinking or
using; or a depressed, neglectful father may be capable of nurturing when his
depression passes. Participants learn that a parent’s drunkenness or other behaviors do
not mean that their parent does not love them. Most importantly, they learn that they are
valuable and that they are not responsible for fixing what is wrong at home.

Find hope. Participants learn that alcoholism is a disease from which their parents can
recover. Children from families experiencing a divorce will learn that the initial turmoil
will eventually reach a more stable and tolerable resolution.

Understand the risks related to drugs and alcohol use. Participants, especially
children of alcoholics, learn that they are at high risk for becoming dependent on alcohol
or other drugs and unhealthy relationships.
2) Coping and Social Skills
92
Taken from: Center for Substance Abuse Prevention (2007). Help is Down the Hall, A Student
Assistance Handbook (p.41). Substance Abuse and Mental Health Services Administration. Rockville,
MD.
262
Another important goal area focuses on helping young people develop the skills to interact
constructively with the world around them. Preliminary goals include a skill set often coined
"survival skills," such as how to refine to ride home with an intoxicated parent. Examples
include:
 Learning how to take care of themselves – doing positive things, playing and engaging
in activities vs. worrying or taking responsibility for others.
 Physical safety when with a chemically-impaired/mentally ill adult/sibling.
 Communication (self-assertion refusal, conflict resolution) skills.
 Problem solving skills .
 Relationship-building (i.e. what is friendship, trust and safety).
 Identifying other positive peer and adults supports.
In addition, assisting the students to cope with their daily lives. “Because of the stress in the
family, even minor tasks such as getting to school on time may be very difficult for some
participants. They learn that they will not be pitied or allowed to perform below their potential.
Rather, they learn ways to get support to accomplish routine or simple tasks, and move
forward, helping them to build a sense of self-efficacy” (CSAP, 2007 p. 41)
3) Identify and express emotions
Young people with chemically dependent parents (and mental illness) have many
experiences that give a rise to painful feelings, fortunately, a support group can become a
safe place to identify, express and work through a variety of painful and confusing
emotions. This goals area includes:
 Expressing emotions especially anger. “Many participants may be very angry with their
parents. This anger tends to be expressed in destructive and inappropriate ways.
Participants use the safety of the group environment to express their anger
appropriately (CSAP, 2007, p. 41).
 Developing a feelings vocabulary.
 Learning that they are not the only ones with this struggle.
 Experiencing unconditional acceptance.
4) Strengthen resources
Students' support group experience has specific time limits, but their lives and struggles will
continue. With this in mind, another important goal of this support group is to focus on
connecting them with other resources that are both practical and on-going. This includes
resources such as:
 Supportive school staff and peers
 community-based counselors/therapists
 Alateen and other community or church groups
 Mentors
10) School Success Planning:
 Steps for academic success if struggling
 Skills – being an adolescent (play, peer/friendships, and involvement in
community)..
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
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RECOVERY SUPPORT GROUP
PRIMARY GROUP # 4
Aftercare/Recovery Support Group: Research indicates that students returning to the school
environment following treatment services are much more likely to remain abstinent if provided
with school based recovery support groups. Support groups are important during this critical
juncture between relapse and recovery when recovering adolescents are in most need of
support to sustain their abstinence. Such groups provide students with strategies to cope with
peer pressures, to avoid slippery/risky places, and get support for staying clean and sober.
Reinforcing ATOD no use and positive behavioral patterns provides a continuation of lessons
learned during outpatient treatment/intensive outpatient treatment or intervention groups.
Recovery support groups range from a brief 15-minute check in or monitoring, daily or weekly,
to longer weekly sessions (45-50 minutes). Usual intended outcomes for these groups include
addressing student needs and potential for relapse. Assist the student in creating Supportive
networks – both within and outside of the school environment – to maintain long-term lifestyle
changes addressing ATOD use.
Students who have stopped using chemicals either on their own or by completing some type of
intervention program will need assistance. And they need assistance at school because school
is often a place with many opportunities to obtain drugs or interact with other students who
might dissuade them from their abstinence goals. It is important to note that this school-based
support group is not intended to take the place of a community-based aftercare program. With
this in mind, it is suggested that the support group not be named “Aftercare” group, but rather a
Recovery group, or similar title. The four fundamental goals areas for Recovery support group
are:
3) Alcohol and other drug abstinence
First and foremost is sobriety for these newly-recovering students. The support group can
assist these students in maintaining their sobriety by:
 Promoting abstinence.
 Create a drug-free check in.
 Group membership/friendship with abstinence.
 Identifying triggers/relapse cues.
4) Life Skills
Many newly-recovering young people do not have skills that others take for granted, while
other students were developing specific life skills, group members developmental growth
was interrupted as these youth focused on their drug use. Life skills goals can include:
 Following through on tasks.
 Self-assertion.
 Study habits.
 Job interviewing.
3) Develop a support system with other students who don’t use drugs
The hallmark of being a teenager is inclusion with peers. It is crucial that we help these
group members find new and healthy peers. We can address this goal area by covering the
following topics in the curriculum:
 Identifying quality peers.
 Building new relationships (nonusing friends).
264


Asking for help.
Acquiring mentors.
9) Coping and communication skills. Often student who are addicted to alcohol or other
drugs used to feel comfortable/cope in social settings or to cope with emotions/feelings.
This being the case, group members needs to develop skills in the arena of understanding
and expressing feelings. By developing quality relationship with others, they will begin to get
their needs – needs that were previously approached through drug use – met in much more
positive manner
 Feeling identification, expressing emotions appropriately.
 Dealing with life issues without chemicals.
 Working together as a member of a group to solve problems.
 Developing listening skills.
 Encouraging others.
10) Recovery/Success plan
 Steps for attendance & academic success.
 Developing good study habits.
 Establishing and building trust with others.
 Anticipating and making plans to avoid “risky” situations with regard to drug use.
 Developing drug-free recreation and social activities.
5) Strengthen links with community resources
A group member’s recovery program cannot be limited to what the school provides. Rather,
these students need to develop connections within the community that will help ensure their
continued sobriety during the summer months, as well as after graduation. Goal examples
include:
 Involvement in 12-step programs, such as Alcoholic Anonymous.
 Aftercare programs.
 Community-based counselors and therapists.
 Employment opportunities.
 Recreational programs.
265
FORMS
266
GROUP SIGN UP SHEET
Name_________________________________
Grade_______
I am interested in participating in the following groups (please check all that apply):
□ At-Risk/Social Skills: Support for students who have been identified as being at “highrisk” for substance use but have not yet started
□ Intervention: Support for students who are experimenting or using alcohol and/or other
drugs and want to learn about the harmful effects of substance use
□ Challenge: Support for students maintaining abstinence or to motivate a student to
attend Intervention if needed.
□ Concerned/Affected Others: Support for students who are concerned about someone
else’s use of alcohol and/or other drugs
□ Recovery Group: Support for students who have quit using alcohol and other drugs
□ I am not interested in participating in a group at this time
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GROUP SESSION SUMMARY/LESSON PLAN
SAPISP Services are Linked to Enhancing Academic Success
The work of the Student Assistance Specialist is closely linked to creating a readiness for
students to learn and achieve academic success. Through educational support groups,
SAPISP activities not only reduce barriers to learning, but also compliment the academic grade
level expectations (GLE) addressed by classroom teachers.
At a minimum, all educational support group sessions address the following objectives:
 Provide ATOD education designed to increase perception of harm.
 Decrease ATOD use, and
 Increase student achievement.
Complete the following information for each educational support group session.
Name of Group: ______________________________
Date: ________________________
Session Topic:
________________________________________________________________
Brief Description:
______________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
For this lesson, check the EALRs content areas that you addressed (check all that apply):
 Reading
 Writing
 Communication
 Math
 Science
 Social studies
 Art
For this lesson, check the following topics you assigned or discussed (check all that apply):
 Attendance
 Homework
 Grades
 Time management
 Classroom management/teacher conflicts
 Other school related topics
268
SAMPLE
Topic
Topic
Topic
Topic
Student Name
Topic
Group Topic &
Attendance
Topic
GROUP ATTENDANCE LOG
Date
Date
Date
Date
Date
Date
269
SECTION 9
COOPERATION AND COLLABORATION
270
COOPERATION AND COLLABORATION
INTRODUCTION
In order to effectively address barriers to learning and
promote social, emotional and healthy development schools
need to be an integral and positive part of the community. If
schools are to reach their educational mission, they must
have the support of a variety of community resources such
as family members, neighborhood leaders, business groups,
religious institutions, public and private agencies, communitybased organizations, and local government. Likewise, these
community partners can do a better job by working closely
with schools. On a broader scale, communities and coalitions
need schools to play a key role in strengthening families and
neighborhoods.
Component 9:
Cooperation &
Referral with
Community
Agencies:
To build bridges
between schools,
parents and
community resources
through referral and
shared case
management.
When addressing the problems of adolescent SEBH
including substance abuse, it becomes clear that these issues affect the school, family, and
community. Therefore, it is important that the SAPISP not work in a vacuum if the intent is to
effectively address student SEBH issues. In order to reach positive outcomes, it is essential that
families and community agencies are involved, and actively engaged in program services.
Eliciting such engagement however, requires forethought and planning on several different
levels.
WHO SHOULD BE INVOLVED?
When developing collaborative partnerships, who should be involved? It is important that the
collaborative process is as inclusive as possible. Initially it may be helpful to take an inventory of
community agencies working with the district and schools as well as those that have contact
with students and families served by the program. The following is a broad list of key
collaborative partners:
 Local police and sheriff's departments.
 Youth-serving agencies (e.g., counseling centers, mental health clinics, etc.);
 Self-help groups, such as Alcoholics Anonymous, Al-Anon, Alateen, Narcotics
Anonymous, and Families Anonymous.
 Juvenile court judges; municipal magistrates; juvenile intake workers and other
participants in the juvenile justice system.
 Probation and parole officers.
 Members of the local or county department of welfare or social services, especially those
dealing with child protection services, family violence, sexual abuse, etc.
 Faith-based community members.
 Volunteer organizations (e.g. Big Brothers, Big Sisters, community youth groups).
 Members of the medical community.
 County Prevention Coordinators.
 Parents and Students.
271
Collaboration and cooperation with community agencies and resources is vital to providing a
successful continuum of care for students. Working together to streamline care for students
involved with multiple agencies decreases the likelihood of service overlap and interrupting the
school day. Additionally, collaboration between school-based and community-based services
allows for providers to address students with a common language, promote awareness activities
and incorporate environmental strategies to reinforce a no-use or nonfavorable attitude
messages across all levels of service.
Benefits of Collaborations, Coalitions and Partnerships:





Identify strengths in current programs and cooperate to meet community needs.
Expand available programs through grant writing/fund raising.
Reduce interagency conflicts and tension by squarely addressing issues of competition
and turn.
Improve communication.
Mobilize action to effect needed changes
Components of Successful Collaborations, Coalitions and Partnerships:

Stakeholders with vested interest.

Trust among and between partners.

Shared vision and common goals.

Open communication.

Clear mission, goals, action plan.

Teamwork strategies and motivated partners.

Sufficient means to implement and sustain efforts.
Strategies to Minimize Barriers:
 Keep commitment and activities simple.
 Make communication a priority.
 Spend time getting to know one another.
 Develop clear roles for members and leaders.
 Engage new members.
 Encourage all to be upfront about needs.
 Avoid turf issues and hidden agendas.
 Have fun.
COOPERATION AND COLLABORATION ACROSS THE STATE
Washington State’s SAPISP has a strong history of school-community partnerships in the
development of a systemic, comprehensive, multifaceted approach to SEBH including
substance abuse prevention. This successful collaboration is a result of several legislative
initiatives enacted to strengthen the state’s commitment to addressing adolescent substance
use.
272

In 1989, the state legislature passed the Omnibus Alcohol and Controlled Substances
Act (ESSHB 1793) to directly address concerns regarding youth substance use in
Washington State through the establishment of school-based prevention and
intervention services programs. Local Educational Service Districts, districts, and
schools statewide work with OSPI and DBHR to deliver comprehensive SAPISP
services in the local schools.

The Community Mobilization Against Substance Abuse and Violence was established
in 1989 by the Washington State legislature to address issues of substance abuse
and violence through the organized and collaborative efforts of entire communities.
Community Mobilization requires communities to organize and collaboratively
implement and deliver substance abuse and violence prevention programs based
upon identified community needs.
 In 1992, the Washington state legislature enacted the Family Policy Initiative, which
created the Family Policy Council to design and carry out principle-centered, systemic
reforms to improve outcomes for children, youth, and families (RCW 70.190). One of
the Council's main activities was working with the State's Community Public Health
and Safety Networks to prevent important social problems. The networks were
community-based, volunteer boards developed to give local communities more
autonomy, to provide resources to improve the lives of children and families in their
communities, and to provide recommendations for policy changes to improve state
and local child and family serving systems. The primary focus of the Networks was in
seven "problem behavior" areas identified by the state: 1) Child abuse and neglect, 2)
Youth violence, 3) Youth substance abuse, 4) Teen pregnancy, 5) Domestic violence,
6) School dropout, and 7) Teen suicide.
 The Governor's Council on Substance Abuse was established by executive order in
1994. The Council was created to respond to the significant human, social, and
economic costs substance abuse inflicts on individuals, families, and communities in
Washington State. Council membership includes private industry, local and tribal
government, treatment providers, community groups, educators, and law
enforcement. State government is represented on the Council by the directors of the
seven state agencies providing substance abuse programs and one legislator for each
Caucus of the House and Senate. Council staffing is provided by the Department of
Community, Trade, and Economic Development (CTED). Responsibilities include:
Working with state and local agencies and communities to develop common
substance abuse reduction goals; advising the Governor on substance abuse issues
by providing recommendations for policy, and identifying program and research
strategies (www.cted.wa.gov/).

In 2000, the Washington State DOH received funding from a settlement lawsuit against
tobacco companies and greatly expanded its 10-year-old tobacco prevention and control
program. Recognizing the importance of a coordinated, long-term effort to reduce
tobacco use, the department’s Tobacco Prevention and Control Program works with
local health agencies, tribes, schools, and community-based organizations to deliver a
comprehensive, integrated approach to preventing tobacco use among residents. The
department and its partners worked together to: Prevent youth from beginning to use
tobacco; help youth and adult quit using tobacco; reduce exposure to secondhand
smoke; and reduce tobacco use in high-risk groups (www.doh.wa.gov/).
273
EXAMPLES OF STATEWIDE COLLABORATION EFFORTS93
State Prevention Summit: In collaboration with other state agencies and prevention
organizations, DBHR supports an annual State Prevention Summit. The Summit is for
community-based volunteer prevention task forces, youth, and prevention professionals who are
interested in learning new prevention strategies for their communities. For more information visit
www.preventionsummit.org.
Healthy Youth Survey: DBHR administers a statewide Healthy Youth Survey in local school
districts in collaboration with the Office of the Superintendent of Public Instruction (OSPI), the
DSHS Division of Research and Data Analysis, the Department of Health, and the Department
of Commerce. Survey data is collected every two years and used for local and state prevention
program planning. For the latest survey results, visit www.askhys.net. For more information
about the survey, visit www.hys.wa.gov.
The Healthy Youth Survey provides important information about adolescents in Washington.
County prevention coordinators, community mobilization coalitions, community public health and
safety networks, and others use this information to guide policy and programs that serve youth.
The survey is administered every other year in the fall to participating students in schools
statewide. The information from the Healthy Youth Survey is used to identify trends in the
patterns of behavior over time.
State Parenting Initiative Network (SPIN): is dedicated to promoting effective parenting to
prevent substance abuse and violence among children and youth in our state. The network –
open to parents/caregivers and professionals from the public and private sectors – brings
together individuals who envision a society in which diverse families, caregivers and
communities help children and youth grow-up healthy, drug-free and safe.
SPIN's goals include providing opportunities for caregivers and professionals to learn more
about effective and culturally appropriate parenting strategies that will build protection into every
family. SPIN is focused on increasing the visibility and ease of access to parenting resources
and training opportunities, while enhancing communication efforts for all parents and
professionals.
In 2010 SPIN conducted a statewide survey on parenting needs and resources. To learn more
about SPIN and becoming a member, contact DSHS-DBHR.
Health Promotion: DBHR develops and distributes research-based educational materials that
raise awareness of the harmful consequences of substance abuse, and promote healthy
attitudes and behaviors. We provide information and education to the public and our
stakeholders about substance abuse trends in Washington, how to prevent and reduce
substance abuse, and how to access prevention and treatment resources.
DBHR administers Partnership for a Drug-Free Washington – a state alliance program of
the Partnership for a Drug-Free America, to deliver effective drug prevention advertising
messages to media outlets in Washington. Online social marketing resources: National Youth
Anti-Drug Media Campaign, Social Media Campaign Resources - CDC, SAMHSA Social Media
93
Retrieved (6/2012) from http://www.dshs.wa.gov/dbhr/dastateprevention.shtml
274
Resources, SAMHSA Communications and Education. For more information, contact Deb
Schnellman at DSHS-DBHR.
EXAMPLES OF LOCAL LEVEL COLLABORATION EFFORTS
Community Mobilization: Local ESDs and districts participate bi-annually in collaborative needs
assessment process. Other activities of collaborative efforts included Participation in community
substance abuse awareness prevention efforts, jointly funding local projects related to
prevention and intervention services, jointly supported training/education events, and assisting
with coordinating regional youth substance abuse treatment efforts.
Local Treatment Efforts: The SAPISP program maintains regular contact with local substance
abuse treatment providers in their residing counties. Examples of this include: direct SAS case
management in relation to treatment referrals; and, administrative networking with local
providers.
Prevention Redesign Coalition: Each county in Washington State has established a
partnership between the community prevention coordinator, Educational Services District
SAPISP Coordinator to participate in reviewing data to identify school and community risk
factors with the highest needed “community” service area to address risk factors. Once the
targeted school/community site is identified, a coalition is formed. The coalition consist of
representatives from school districts/schools, local law enforcement, mental health agencies,
county alcohol and drug prevention and treatment coordinators, parents and other community
organizations. The role of the coalition is to develop and implement a strategic prevention
plan to increased school community awareness of the relationship between youth alcohol
and other drug abuse and the various risk factors and problem areas that contribute to such
behaviors, including other SEBH issues. Substance Abuse and Mental Health Services
Administration describes the following as components of an effective coalition94
1. Clear Organizational Structure
 To be effective, coalitions require:
o A strong and stable organizational structure that clarifies roles and procedures,
and adequately addresses task and maintenance function.
o A formalized set of structures and practices, such as written roles and
procedures (e.g., bylaws).
o Management strategies, such as effective communication, conflict resolution,
perception of fairness, and shared decision-making.
 Organizational effectiveness is related to positive work climate, higher member
satisfaction, better communication among committee members, stronger linkages with
community organizations, and less conflict.
 Effective leadership, opportunities for leadership development, and staff support are
frequently identified as the most essential elements of an effective coalition.
 Effective leaders are open, task-oriented, and Supportive of the group.
2. Membership Capacity to do the Work
 Key coalition members must have a clear understanding of the coalition development
process and a basic knowledge of prevention planning and concepts.
94
Excerpt retrieved (5/2012) from http://captus.samhsa.gov/access-resources/components-effective-coalition
275



The community must have an appropriate level of readiness to ensure ownership and
commitment to act on substance abuse issues.
Adequate time and staff support are necessary for effective coalition development,
planning, and activities.
Coalitions require a common vision, high quality communication, strong relationships
both internally and externally, targeted outcomes, and human and financial resources to
be effective.
3. Sustainability
To be sustained over time, coalitions must:
 Develop and employ a process for leader succession and recruitment of new members.
 Provide recognition and renewal to coalition members to increase energy and reduce
burnout.
 Continuously integrate the coalition’s goals and strategies into the missions of their own
organizations.
 Develop diversified funding streams to ensure balance and commitment to coalition
activities and actions.
SUGGESTED PROGRAM OPERATIONS
The following information provides SAPISP project coordinators with suggested program
operations related to the SAS’s role in working and networking with community agencies, and
DBHR expectations for PRI community coalitions.
Student Assistance Specialist role within the community is to:
 Participate on the coalition and works with coalition on collaborative awareness events
as part of universal school-wide prevention activities (level of Participation is determined
by ESD Program Coordinator).
 Make contacts with community agencies and begin building relationships with key
personnel.
 Understand how to access substance abuse and mental health assessments from area
service providers;
 Develop a list of resources and specific contact persons to provide to parents as
needed.
 Develop a protocol for when and how to refer students/families to outside agencies
based on building/district external referral policy including confidentiality, and release of
information.
 Know when and how to involve Child Protective Services.
 Staff external referrals at the Core/Care/Resource Management Team meetings.
 Engage the parents of students with whom you are working following the confidentiality
laws spelled out in 42CFR Part 2 and the HIPPA laws.
 Use outside agencies to help conduct prevention activities in the classroom at a
Schoolwide level.
The Community Prevention Coalition/Coordinator95
95
Excerpt retrieved (4/2102) from www.theathenaforum.org . More information on The DBHR PRI Key Objectives and
Task Category Guides for Cohort 1 and 2 is available online at www.theathenaforum.org .
276














Serves as staff for the coalition to help plan, implement and report on task categories.
Serves as a liaison between PRI coalition and DBHR.
Participates in PRI learning community meetings, monthly DBHR check-in meetings and
required training.
Helps recruit and retain membership on the coalition and support from local key
stakeholders/leaders;
Provides staff support to the community coalition.
coordinate regular meetings to ensure implementation on the strategic plans.
Coordinates the regular review of coalition budget by the coalition.
Assists coalition members in navigating Strategic Prevention Framework and guide
coalition to develop a comprehensive action plan based on needs assessment and
strategic planning.
Works with individual coalition member organizations to help them align and integrate
their work with the goals and strategies of the coalition and SPF-focused work.
Reports to the community coalition on progress toward the goals and objectives of the
strategic plan and work plans.
Provides or coordinate services, activities and coalition trainings with the
guidance of the coalition members.
Works with the coalition and projects to develop and monitor outcomes.
Works with the coalition to coordinate community outreach efforts (presentations,
newsletter, volunteer recruitment; etc.
Functions as the liaison among the coalition members and with the community at large.
The Coalitions Members Role:
 Organize an annual Key Leader Orientation.
 Create/ update and submit the coalition’s Strategic Plan which includes:
o Establish a process and conduct a needs and resource assessment.
o Make decisions based on state-provided and local data.
o Select a community organizing framework.
o Select goals, population and strategies.
o Identify timelines, anticipated barriers to services, and a logic model.
 Recruit and retain membership.
 Confirm partnerships to get the work done.
 Lead and oversee the implementation of direct, environmental strategies, and
Washington State media campaigns.
 Report coalition outputs and outcomes to DBHR.
 Implement and support evaluation designed by DBHR. This includes:
o Support the Healthy Youth Survey (HYS).
o Participate in the resource assessment survey.
o Participate in the annual coalition assessment survey.
277
ADDITIONAL RESOURCES
278
INFUSING CULTRAL COMPETENCE INTO THE STRATEGIC
PREVENTION FRAMEWORK (SPF)96
This document presents strategies for infusing cultural competence into each step of SAMHSA's
Strategic Prevention Framework.
Step 1: Assessment of Needs and Capacity:
 Work with the community.
 Use a culturally-competent evaluator.
 Ensure a mechanism for collecting cultural competence-related information/data.
 Gain community approval for data collection methods and analysis.
 Ensure data is culturally-responsive and appropriate.
 Create process for identifying culturally-relevant risk and protective factors and other
underlying conditions.
 Formulate culturally-based assumptions of change .
o Identify change from a community perspective.
o Gain community approval of product.
Step 2: Capacity Mobilizing and Building:
 Examine community resources and readiness.
 Provide a safe and Supportive environment for all participants.
 Examine breadth and depth of cultural competence.
 Check cultural representation (e.g., language, gender, age).
 Develop policies (i.e., recruitment and retention, training, communication and community
input) to improve cultural competence.
 Ensure that tools and technology are culturally competent.
 Identify and mobilize mutually acceptable goals and objectives.
Step 3: Developing Strategic Plan:
 Make sure community is represented in the process.
 When selecting programs and strategies, consider their fit with:
o Community culture.
o Existing prevention efforts.
o Past history.
Step 4: Implementation:
 Involve community in the implementation of strategic plan.
 Create a feedback loop for communicating efforts and successes.
Step 5: Evaluation:
 Make sure the community is represented in the evaluation process.
 Ensure that data collection tools reflect community culture.
 Use a culturally-competent evaluator.
96
Excerpt retrieved (6/2012) from http://captus.samhsa.gov/access-resources/infusing-cultural-competence-spf
279
SCHOOL-COMMUNITY PARTNERSHIPS97
Increasingly, it is becoming evident that schools and communities should work closely with each
other to meet their mutual goals. With respect to addressing barriers to development and
learning and promoting healthy development, schools are finding they can do their job better
when they are an integral and positive part of the community. Indeed, for many schools to
succeed with their educational mission, they must have the support of community resources
such as family members, neighborhood leaders, business groups, religious institutions, public
and private agencies, libraries, parks and recreation, community-based organizations, civic
groups, local government. Reciprocally, many community agencies can do their job better by
working closely with schools. On a broader scale, many communities need schools to play a key
role in strengthening families and neighborhoods.
For schools and other public and private agencies to be seen as integral parts of the
community, steps must be taken to create and maintain various forms of collaboration. Greater
volunteerism on the part of parents and others from the community can break down barriers and
help increase home and community involvement in schools. Agencies can make services more
accessible by linking with schools and enhance effectiveness by integrating with school
programs. Clearly, appropriate and effective collaboration and teaming are key facets of
addressing barriers to development, learning, and family self-sufficiency.
While informal school-community linkages are relatively simple to acquire, establishing major
long-term connections is complicated. They require vision, cohesive policy, and basic systemic
reforms. The complications are readily seen in efforts to evolve a comprehensive, multifaceted,
and integrated continuum of school-community interventions. Such a comprehensive continuum
involves more than connecting with the community to enhance resources to support instruction,
provide mentoring, and improve facilities. It involves more than establishing school-linked,
integrated health/human services and recreation and enrichment activities. It requires
comprehensive strategies that are multifaceted. Such a continuum of interventions can only be
achieved through school-community connections that are formalized and institutionalized, with
major responsibilities shared. (For an example, see Appendix A.)
Strong school-community connections are especially critical in impoverished communities
where schools often are the largest piece of public real estate and also may be the single
largest employer. As such, they are indispensable to efforts designed to strengthen families and
neighborhoods. Comprehensive school-community partnerships allow all stakeholders to
broaden resources and strategies to enhance caring communities that support all youth and
their families and enable success at school and beyond.
Comprehensive school-community partnerships represent a promising direction for efforts to
generate essential interventions to address barriers to learning, enhance healthy development,
and strengthen families and neighborhoods. Building such partnerships calls for an enlightened
vision, creative leadership, and new and multifaceted roles for professionals who work in
schools and communities, as well as for all who are willing to assume leadership.
97
Adapted from Center for Mental Health in Schools, School-community partnerships: A guide. Available at
http://smhp.psych.ucla.edu
280
WHAT ARE SCHOOL-COMMUNITY PARTNERSHIPS?
Definitions
One recent resource defines a school-community partnership as: An intentional effort to create
and sustain relationships among a K-12 school or school district and a variety of both formal
and informal organizations and institutions in the community (Melaville & Blank, 1998).
For purposes of this discussion, the school side of the partnership can be expanded to include
pre-k and post-secondary institutions.
Defining the community facet is a bit more difficult. People often feel they belong to a variety of
overlapping communities, some of which reflect geographic boundaries and others that reflect
group associations. For purposes of this guide, the concept of community can be expanded to
encompass the entire range of resources (e.g., all stakeholders, agencies and organizations,
facilities, and other resources, youth, families, businesses, school sites, community based
organizations, civic groups, religious groups, health and human service agencies, parks,
libraries, and other possibilities for recreation and enrichment).
The term partnership also may be confusing in practice. Legally, it implies a formal, contractual
relationship to pursue a common purpose, with each partner's decision-making roles and
financial considerations clearly spelled out. For purposes of this discussion, the term
partnerships is used loosely to encompass various forms of temporary or permanent structured
connections among schools and community resources. Distinctions will be made among those
that connect for purposes of communication and cooperation, those that focus on coordinating
activity, those concerned with integrating overlapping activity, and those attempting to weave
their responsibilities and resources together by forming a unified entity. Distinctions will also be
made about the degree of formality and the breadth of the relationships.
As should be evident, these definitions are purposefully broad to encourage “break-the-mold"
thinking about possible school-community connections. Partnerships may be established to
enhance programs by increasing availability and access and filling gaps. The partnership may
involve use of school or neighborhood facilities and equipment; sharing other resources;
collaborative fund raising and grant applications; shared underwriting of some activity; volunteer
assistance; pro bono services, mentoring, and training from professionals and others with
special expertise; information sharing and dissemination; networking; recognition and public
relations; mutual support; shared responsibility for planning, implementation, and evaluation of
programs and services; building and maintaining infrastructure; expanding opportunities for
assistance; community service, internships, jobs, recreation, enrichment; enhancing safety;
shared celebrations; building a sense of community.
Optimally, school-community partnerships formally blend together resources of at least one
school and sometimes a group of schools or an entire school district with resources in a given
neighborhood or the larger community. The intent is to sustain such partnerships over time. The
range of entities in a community are not limited to agencies and organization; they encompass

School-community partnerships are often referred to as collaborations. There are an increasing number of meetings
among various groups of collaborators. Sid Gardner has cautioned that, rather than working out true partnerships,
there is a danger that people will just sit around engaging in “collabo-babble.” Years ago, former Surgeon General
Jocelyn Elders cited the cheek-in-tongue definition of collaboration as "an unnatural act between non-consenting
adults." She went on to say: "We all say we want to collaborate, but what we really mean is that we want to continue
doing things as we have always done them while others change to fit what we are doing."
281
people, businesses, community based organizations, postsecondary institutions, religious and
civic groups, programs at parks and libraries, and any other facilities that can be used for
recreation, learning, enrichment, and support.
While it is relatively simple to make informal school-community linkages, establishing major
long-term partnerships is complicated. They require vision, cohesive policy, and basic systemic
reforms. The complications are readily seen in efforts to develop a comprehensive, multifaceted,
and integrated continuum of school-community interventions. Such a continuum involves much
more than linking a few services, recreation, and enrichment activities to schools.
Major processes are required to develop and evolve formal and institutionalized sharing of a
wide spectrum of responsibilities and resources. School-community partnerships can weave
together a critical mass of resources and strategies to enhance caring communities that support
all youth and their families and enable success at school and beyond. Strong school-community
connections are critical in impoverished communities where schools often are the largest piece
of public real estate and also may be the single largest employer.
Comprehensive partnerships represent a promising direction for efforts to generate essential
interventions to address barriers to learning, enhance healthy development, and strengthen
families and neighborhoods. Building such partnerships requires an enlightened vision, creative
leadership, and new and multifaceted roles for professionals who work in schools and
communities, as well as for all who are willing to assume leadership.
Dimensions and Characteristics
Because school-community partnerships differ from each other, it is important to be able to
distinguish among them. An appreciation of key dimensions helps in the respect. Although there
are many characteristics that differentiate school-community collaborations, those outlined in
the table below will suffice to identify key similarities and differences.
282
Key Issues Relevant to School-Community Collaborative Arrangements
I. Initiation:
V. Scope of Potential Impact:
a. School-led.
b. Community-driven.
a. Narrow-band – a small proportion of youth and
families can access what they need.
b. Broad-band – all in need can access what they
need.
II. Nature of Collaboration:
a. Formal

Memorandum of understanding.

Contract.

Organizational/operational mechanism.
b. Informal

Verbal agreements.

Ad hoc arrangements.
III. Focus:
a. Improvement of program and service provision

For enhancing case management.

For enhancing use of resources.
b. Major systemic reform

To enhance coordination for organizational
restructuring for transforming system structure
and function.
IV. Scope of Collaboration:
a. Number of program and services involved (from just a
few – up to a comprehensive, multifaceted continuum).
b. Horizontal Collaboration.

Within a school/agency.

Among schools/agencies.
c. Vertical Collaboration

Within a catchment area (e.g., school and
community agency, family of school, two or more
agencies).

Among different levels of jurisdictions (e.g.,
community, city, county, state, federal).
VI. Ownership and Governance of Programs and
Services:
a. Owned and governed by the school.
b. Owned and governed by the community.
c. Shared ownership and governance.
d. Public-private venture – shared ownership and
governance.
VII. Location of Programs and Services:
a. Community-based, school-linked.
b. School-based.
VII. Degree of Cohesiveness among Multiple
Interventions Serving the Same Student/Family:
a. Unconnected.
b. Communicating.
c. Cooperating.
d. Coordinated.
e. Integrated.
Principles
Those who create school-community partnerships subscribe to certain principles.
In synthesizing “key principles for effective frontline practice," Kinney, Strand, Hagerup, and
Bruner (1994) caution that care must be taken not to let important principles simply become the
rhetoric of reform, buzzwords that are subject to critique as too fuzzy to have real meaning or
impact . . . a mantra . . . that risks being drowned in its own generality.
Below and are some basic tenets and guidelines that are useful referents in thinking about
school-community partnerships and the many interventions they encompass. With the above
caution in mind, it is helpful to review the ensuing lists. They are offered simply to provide a
sense of the philosophy guiding efforts to address barriers to development and learning,
promote healthy development, and strengthen families and neighborhoods.
283
As guidelines, Kinney et al (1994) stress:
• A focus on improving systems, as well as
helping individuals.
• A full continuum of interventions.
• Activity clustered into coherent areas.
• Comprehensiveness.
Interventions that are:
• Family-centered, holistic, and
developmentally appropriate.
• Consumer-oriented, user friendly, and that
ask consumers to contribute.
• Tailored to fit sites and individuals.
• Integrated/cohesive programs.
Interventions that:
• Are self-renewing.
• Systematic planning, implementation, and
evaluation.
• Embody social justice/equity.
• Operational flexibility and responsiveness.
• Cross disciplinary involvements.
• De-emphasis of categorical programs.
• Account for diversity.
• Show respect and appreciation for all
parties.
• School-community collaborations.
• Ensure partnerships in decision
making/shared governance.
• High standards-expectations-status.
• Build on strengths.
• Blending of theory and practice.
• Have clarity of desired outcomes.
• Incorporate accountability.
284
SECTION 10
PROGRAM EVALUATION
285
PROGRAM EVALUATION
WHY EVALUATE
Evaluation allows the program to measure success, to know whether or not the program is
making strides toward accomplishing targeted outcomes. Evaluation provides a systematic
approach to collecting and using program information to answer numerous questions to guide
program planning efforts. Evaluation is a way of providing more information about the program
than was previously available, a tool for making informed decisions, and to assist in problem
solving. Evaluation is not about proving a program’s worth; rather, evaluation is about improving
a program’s worth.
Moreover, if a program is well designed and implemented with fidelity, evaluation findings
provide program staff with statistical information to make statements that show that prevention
and intervention activities are making strides toward overcoming the targeted problem
behaviors, thus acquires support for continued program efforts.
WASHINGTON’S SAPISP PROGRAM
In 2004, in an effort to explicitly link statewide program goals, objectives and outcomes, the
state in collaboration with the Prevention Center Directors developed a set of uniform goals and
objectives to establish a standardized measure of program performance. These are:
SAPI Statewide Program Goals98:
1. Provide early social, emotional, and behavioral support including drug and alcohol
prevention and intervention services to students.
2. Provide high quality prevention and intervention programs to foster a safe and
Supportive a social, emotional, behavioral health including substance abuse
environment for all students.
3. Develop collaborative relationships with community partners/networks mental health and
treatment agencies to serve students and families comprehensively.
SAPI State Outcomes and Indicators:
Universal to delay onset and increase in understanding of perceived risk toward substance use.
This is measured by the Healthy Youth Survey and is not necessarily a direct correlation of the
SAS work. However, the SAS work can be a contributing variable to the universal outcome.
Selective and Indicated:
Outcome #1: To Delay onset or reduce levels of substance abuse
Indicator 1a. Delay onset. This measure has not yet been determined. Data was collected 20112012 school year to establish a baseline.
Indicator 1b. By the end of the school year, 50 percent of 12-18 year old youth participating in
the SAPISP will show a reduction in substance use for those that have a intervention goal of
substance reduction use as compared to program entry.
Outcome #2: To improve academic performance and retention in school
98
Updated 6/15/2012 – Office of Superintendent Public Instruction, Department of Student Support, Educational
Service District’s Prevention Directors K-20. Changes will be reflected in the 2012-13 Washington State Student
Assistance Prevention and Intervention Program Evaluation.
286
Indicator 2a. By the end of the school year, 25 percent of 12-18 year old youth participating in
the SAPISP will show in grades he/she is passing as compared to program entry.
Indicator 2b. By the end of the school year, 10 percent of 12-18 year old youth participating in
the SAPISP will show improvement in attendance as compared to program entry.
Outcome# 3 Healthy life choices
Indicator 3a. By the end of the school year, 10 percent of 12-18 year old youth participating in
the SAPISP will show an increase in understanding of perceived risk towards substance use as
compared to program entry.
Outcome # 4 Proposed – Promote positive social emotional and behavior health. This is under
review and will be discussed in 2012-13 school year to determine appropriate indicators for this
outcome.
STATEWIDE EVALUATION EFFORTS99
Since its inception, the Office of Superintendent of Public Instruction has sponsored ongoing
statewide evaluation of the SAPISP. RMC Research, contracted external evaluators, began
working with the state on the evaluation of SAPISP services in 1994. RMC Research under the
auspices of Dennis Deck, Ph.D., has conducted multi-site annual summaries of student level
services and outcomes data as well as biennial evaluation reports of progress toward targeted
outcomes. Thirteen large school districts and consortia collect outcomes data annually on
approximately 20,000 students that receive services provided by SAS statewide.
SUGGESTED PROGRAM OPERATIONS
The following provides program coordinators with information related to project evaluation, and
includes the SAS’s role in data collection activities.
Data Collection Activities100
In support of the State’s effort to measure progress toward established objectives, RMC
Research developed an automated web-based reporting system in collaboration with local
grantees to monitor service provision and student outcomes throughout the school year. The
purpose of data collection is to support the SAPISP program, with the intent to provide
consistent, accurate, reliable, and timely information to Program Coordinators, SAS, school and
district administrators, state agencies, and legislators. These groups may thereby make
informed decisions regarding local, regional, and statewide prevention-intervention services
(Deck, 2005, p.3).
SAS enter information about universal prevention activities offered to all students and describe
services provided to students referred to selective or indicated prevention activities. Students
referred to selective and indicated intervention services complete a program evaluation survey
prior to starting program services and again after Participation in the program. The pre/post
evaluation survey measures changes in attitudes and behaviors among students who
participate in selective or indicated prevention activities. Completed forms are sent to RMC
Research, scanned, and imported into the database.
Other evaluation activities include conducting case studies, longitudinal follow-up of grades and
attendance, site visits, and literature reviews to provide a qualitative perspective of the
99
Source: RMC Research website – www.rmccorp.com
Ibid.
100
287
implementation and impact of the program. Annual evaluation reports assess program strengths
and weaknesses to inform local planning efforts and to report on student outcomes to the state
legislature and state officials.
The following is information related to the data collection process as well as the specific
procedures for entering data into the system, available online at www.rmccorp.com/pisp
Under Washington State Student Assistance Prevention and Intervention Services Program
Data Collection Manual and Web Application User Guide for Program Directors and Intervention
Specialists 2011–12. Prepared for Student Assistance Prevention and Intervention Services
Program, Department of Student Support, Office of Superintendent of Public Instruction.
Prepared by Ryan D’Ambrosio and Trey Guy RMC Research Corporation
http://www.rmccorp.com/project/pieval.htm
DEPARTMENT OF BEHAVIORAL HEALTH AND RECOVERY, PREVENTION REDESIGN
EVALUAITON MEASUREMENTS.
The long and short-term outcomes under DBHR’s redesign include Also has an indicator
measurement for each PRI cohort site for the Student Assistance Prevention and Intervention
Program. The measurement is a 50 percent reduction in substance use for those students
served in the program with an intervention goal of substance abuse reduction. DBHR tracks this
indicator measurement on a quarterly basis.
DBHR PRI indicators include measuring reduction in consumption by any underage drinking
reduction in the 10th grade and any underage problem or heavy drinking in the 10th grade. For
more information on the DBHR redesign logic model and evaluation please go to
http://www.theathenaforum.org/pri_logic_model_various_formats
288
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296
Appendix B
297
298
299
.
300
Appendix C
YOUTH SUBSTANCE USE TRENDS
The following information provides a snapshot of national and statewide trends in adolescent
substance use from 2004 to 2010, as applicable. Substance use trends in Washington State
mirror national trends. The breakdown of substance use trends by ethnicity illustrate there is
variance among populations. These national and state trends may be seen at the local level,
however SAPs often see changes in substances of abuse before they appear on national and
state trend lines because of the delay in reporting and publishing findings. For example, verbal
reports of an increase in prescription drug use was first reported by SAPs across the state, and
more recently, the movement of those individuals from prescription drugs to heroin use.
PAST 30-DAY CIGARETTE USE
From 2004 to 2010 in Washington State, smoking rates have remained mostly unchanged
across grade groups. As is typical, as students age use rates increase with an average of 2
percent of 6th graders reporting current cigarette use in 2010 as compared to 20 percent of 12th
grade participants.
301
Nationally current use of cigarettes also indicates that rates of cigarette smoking appear to have
stalled across the three grade levels – this is in contrast to several years of declining use both
nationally and locally.
302
PAST 30-DAY ALCOHOL USE
Alcohol use shows a steady decline across three of the four grade groups among Washington
State youth. In fact, for high school seniors past 30-day use fell from 43 percent in 2004 to 40
percent in 2010. This positive trend of reduced use is even more notable among 10th grade
participants, with use rates declining from 33 percent in 2004 to 28 percent in 2010 – a
statistically significant reduction. Alcohol use among the state’s youngest participants has
remained steady across the survey periods.
Similarly, declines in current alcohol use rates are demonstrated among youth nationwide, with
past-month use falling from 44.4 percent in 2007 to 41.2 percent in 2010 among high school
seniors – a statistically significant reduction. Additionally, use fell for 10th grade youth, with 31.4
percent report recent use in 2007 as compared to 28.9 percent in 2010.
303
PAST 30-DAY MARIJUANA USE
Marijuana use has exceeded rates of cigarette smoking and unlike declines in alcohol use, rates
of recent marijuana use have steadily increased across the four survey periods among 10th and
12th graders. The largest increase in use is noted for 12th grade participants, with 19 percent
reporting current use in 2004 as compared to 26 percent in 2010. Rates of marijuana use for
middle school-aged participants have remained mostly stable.
Across the nation, here too, we see a trend of increased use, with this true across all grade
levels. From 2007 to 2010, 8th grade rates increased from 5.7 percent to 8.0 percent, while
among the nation’s 12th graders rates climbed from 18.8 percent to 21.4 percent. Nationally and
locally, increased marijuana use parallels the softening of attitudes toward the risks of using.
304
PAST 30-DAY PAIN KILLER USE
A main concern in the past few years has been the increased use of prescription painkillers. In
2008, one in ten or more Washington State high school-aged youth used prescription pain
relievers to “get high” in the past 30 days. However, the propoRTIon that reported such use
decreased at both grade levels to 8 percent in 2010 suggesting that efforts to raise parental and
provider awareness of this type of drug abuse are working.
PAST YEAR OXYCONTIN USE
Nationally, the percentage of youth that reported any past year Oxycontin use has remained
relatively stable among 12th graders, with 5.2 percent reporting use in 2007 and 5.3 percent
using in 2010. In contrast, use rates increased among 10th grade participants with 3.6 percent
using in 2008 as compared to 4.6 percent in 2010.
305
PAST YEAR VICODIN USE
Use of the prescription drug Vicodin also shows declining use rates among high school-aged
youth in the U.S., with fewer 10th and 12th graders reporting any past month youth in 2010 as
compared to 2009. Among 8th grade participants, use levels remained mostly stable.
SUBSTANCE ABUSE TRENDS BY RACE/ETHNICITY101
The following tables provide trend data on the rates of substance use by racial/ethnic
categories of 6th, 8th, 10th and 12th grade 2006, 2008, and 2010 Healthy Youth Survey
respondents.
Table 1: Past 30-Day Alcohol Use: 6th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
3.4%
6.9%
4.6%
2006
HYS
2.2%
4.5%
5.2%
2008
HYS
2.6%
4.2%
4.7%
2010
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
6.8%
3.4%
4.6%
6.2%
2.7%
3.7%
6.6%
2.8%
3.9%
White or
Multiple
Table 2: Past 30-Day Tobacco Use (Smoking): 6th Grade
Asian/Pacific American
Black or
Hispanic
101
Source: www.AskHYS.net QXQ analysis
306
Islander
HYS
2006
HYS
2008
HYS
2010
African
American
or
Latino/a
Caucasian
or Other
2.5%
Indian/
Alaska
Native
3.0%
1.8%
2.4%
1.5%
1.9%
1.1%
2.8%
2.5%
1.7%
1.2%
1.5%
1.1%
3.6%
1.2%
2.9%
1.3%
1.7%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
2.1%
1.1%
1.5%
2.4%
0.9%
1.0%
3.4%
1.1%
1.4%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
22.5%
14.5%
16.2%
22.3%
15.0%
17.7%
21.2%
13.1%
15.3%
White or
Caucasian
Multiple
or Other
5.6%
7.8%
6.6%
8.9%
6.5%
7.4%
Table 3: Past 30-Day Marijuana Use: 6th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
1.4%
3.7%
2.3%
2006
HYS
0.7%
2.2%
2.8%
2008
HYS
0.8%
2.2%
3.1%
2010
Table 4: Past 30-Day Alcohol Use: 8th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
10.8%
18.6%
17.7%
2006
HYS
12.9%
19.9%
16.3%
2008
HYS
9.5%
17.7%
15.4%
2010
Table 5: Past 30-Day Tobacco Use (Smoking): 8th Grade
American
Hispanic
Black or
Asian/Pacific
Indian/
or
African
Islander
Alaska
Latino/a
American
Native
HYS
4.0%
9.0%
9.7%
8.6%
2006
HYS
5.7%
14.7%
9.5%
7.5%
2008
HYS
3.8%
11.6%
7.6%
6.9%
2010
307
Table 6: Past 30-Day Marijuana Use: 8th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
3.4%
9.7%
14.8%
2006
HYS
6.2%
16.2%
14.6%
2008
HYS
5.5%
16.1%
11.9%
2010
Table 7: Past 30-Day Painkiller Use: 8th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
2.0%
4.3%
5.8%
2006
HYS
3.3%
8.7%
5.6%
2008
HYS
2.9%
4.9%
5.3%
2010
Table 8: Past 30-Day Alcohol Use: 10th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
23.9%
36.8%
34.1%
2006
HYS
23.0%
42.4%
31.2%
2008
HYS
18.5%
33.6%
33.9%
2010
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
10.1%
6.1%
8.1%
10.9%
7.1%
9.2%
14.0%
8.2%
10.1%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
3.3%
4.8%
3.4%
4.0%
5.3%
6.2%
3.4%
5.9%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
37.7%
32.6%
35.1%
36.4%
31.3%
32.0%
32.2%
26.6%
30.6%
White or
Caucasian
Multiple
or Other
14.8%
18.8%
20.8%
23.4%
12.3%
16.4%
3.5%
Table 9: Past 30-Day Tobacco Use (Smoking): 10th Grade
American
Hispanic
Black or
Asian/Pacific
Indian/
or
African
Islander
Alaska
Latino/a
American
Native
HYS
9.3%
23.1%
15.6%
12.7%
2006
HYS
14.7%
26.8%
21.1%
14.2%
2008
HYS
6.1%
20.7%
17.6%
12.5%
308
2010
Table 10: Past 30-Day Marijuana Use: 10th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
11.1%
28.4%
24.4%
2006
HYS
11.8%
25.1%
29.1%
2008
HYS
10.4%
26.4%
30.4%
2010
Table 11: Past 30-Day Painkiller Use: 10th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
6.1%
14.1%
10.7%
2006
HYS
5.8%
11.1%
17.9%
2008
HYS
3.8%
12.1%
13.5%
2010
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
22.3%
17.4%
20.6%
18.9%
18.3%
22.3%
23.0%
19.1%
23.5%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
9.7%
10.3%
10.9%
6.5%
9.3%
12.2%
10.4%
7.4%
11.0%
309
Table 12: Past 30-Day Alcohol Use: 12th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
32.1%
43.0%
36.7%
2006
HYS
31.3%
42.3%
36.5%
2008
HYS
30.6%
40.4%
43.5%
2010
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
40.4%
44.0%
41.2%
40.4%
41.9%
42.6%
39.3%
41.6%
38.8%
White or
Caucasian
Multiple
or Other
21.0%
21.5%
14.5%
15.6%
21.2%
19.7%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
17.8%
22.0%
23.6%
18.6%
23.3%
28.9%
22.5%
27.4%
26.0%
Hispanic
or
Latino/a
White or
Caucasian
Multiple
or Other
6.2%
13.0%
11.2%
7.9%
12.1%
13.8%
7.7%
8.1%
6.6%
Table 13: Past 30-Day Tobacco Use (Smoking): 12th Grade
American
Hispanic
Black or
Asian/Pacific
Indian/
or
African
Islander
Alaska
Latino/a
American
Native
HYS
13.2%
30.1%
19.9%
14.3%
2006
HYS
8.6%
27.2%
15.5%
12.5%
2008
HYS
13.4%
27.3%
21.4%
14.4%
2010
Table 14: Past 30-Day Marijuana Use: 12th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
15.3%
29.5%
27.1%
2006
HYS
17.6%
30.6%
29.5%
2008
HYS
18.7%
32.3%
39.4%
2010
Table 15: Past 30-Day Painkiller Use: 12th Grade
American
Black or
Asian/Pacific
Indian/
African
Islander
Alaska
American
Native
HYS
6.1%
16.3%
12.7%
2006
HYS
10.3%
21.3%
12.1%
2008
HYS
6.0%
13.5%
12.6%
2010
310
Things to remember when intervening with prescription drug use:
1. Prescription drugs are abused more than cocaine, heroin, ecstasy and
methamphetamine combine.
2. Although not as prevalent as some substances, prescription drug use is often seen as
less harmful than other substances.
3. The dangers of abusing prescription drugs is severe, including: increase blood pressure
or heart rate, damage to the brain, physical dependence, respiratory depression,
seizures, and risks associated with mixing multiple drugs or combining with alcohol.
4. Teens see prescription drug use as safer than using other drug use and see parents as
less likely to disapprove.
5. Prescription medicines can be found in homes and many parents are aware of the
dangers of misuse.
Teen Prescription Drugs of Choice for Abuse
Strong Pain
Relievers
How they work
Abused by teens
to
Drug names
Used to relieve
moderate-to-severe
pain, these
medications block
pain signals to the
brain
To get high,
increase feelings of
well-being by
affecting the brain
regions that mediate
pleasure
Vicodin, OxyContin,
Percocet, Lorcet,
Lortab, Actiq,
Darvon, codeine,
morphine,
methadone
Stimulants
Sedatives or
tranquilizers
Primarily used to
treat ADHD type
symptoms, these
speed up brain
activity causing
increased alertness,
attention, and
energy that comes
with elevated blood
pressure, increased
heart rate and
breathing
Feel alert, focused
and full of energy—
perhaps around final
exams or to manage
coursework, lose
weight
Adderall, Dexedrine
Used to slow down
or “depress” the
functions of the
brain and central
Feel calm, reduce
stress, sleep
Valium, Xanax,
Ativan,
Ritalin, Concerta
Klonopin, Restoril,
311
nervous system
Ambien, Lunesta,
Mebaral, Nembutal,
Soma
Ideas for Action:
Give a workshop to teens and parents
Enlist the school prevention or SADD club to take on as an initiative.
Share information with your local community coalition and encourage activities such as a
prescription take back program, distribution of lock boxes, and/or a town hall meeting to inform
the community of the problem.
Further resources:
U.S. Trend Data: www.usdrugtrends.com.
University of Washington Alcohol and Drug Abuse Institute: www.adai.washington.edu.
Narcotics Anonymous: www.narconon.org.
Source:
Washington State Department of Health, Healthy Youth Survey Reports available at
http://www.doh.wa.gov/healthyyouth/default.htm
U.S. Department of Health & Human Services. National Institute on Drug Abuse. NIDA Info
Facts (March 2011). “High School and Youth Trends.” Available at
http://www.drugabuse.gov/publications/drugfacts/high-school-youth-trends
Twombly EC, Holtz KD. (2008) “Teens and the Misuse of Prescription Drugs: Evidence-Based
Recommendations to Curb a Growing Societal Problem.” Journal of Primary Prevention,
29(6):503-516.
312
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