[Federal Register Volume 63, Number 104 (Monday, June 1, 1998)]
[Notices]
[Pages 29902-29906]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-14372]


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Part XIV





Department of Education





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Safe and Drug-Free Schools Program; Notice

  Federal Register / Vol. 63, No. 104 / Monday, June 1, 1998 / 
Notices  

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DEPARTMENT OF EDUCATION


Safe and Drug-Free Schools Program

AGENCY: Department of Education.

ACTION: Notice of Final Principles of Effectiveness.

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SUMMARY: The Secretary announces final Principles of Effectiveness for 
recipients' use of funds under the Safe and Drug-Free Schools (SDFC) 
Program. The Secretary takes this action to promote the most effective 
use of limited resources. The Principles of Effectiveness will govern 
recipients' use of funds under the State and Local Grants Program of 
the Safe and Drug-Free Schools and Communities Act (SDFSCA) for fiscal 
year 1998 and future years.

EFFECTIVE DATE: These Principles of Effectiveness take effect on July 
1, 1998.

FOR FURTHER INFORMATION CONTACT: William Modzeleski, U.S. Department of 
Education, Office of Elementary and Secondary Education, Safe and Drug-
Free Schools Program, 600 Independence Avenue, SW, room 604, The 
Portals, Washington, DC 20202-6123. Telephone: (202) 260-3954. The E-
mail address is [email protected]. Individuals who use a 
telecommunications device for the deaf (TDD) may call the Federal 
Information Relay Service (FIRS) at 1-800 877-8339 between 8 a.m. and 8 
p.m. Eastern time, Monday through Friday.
    Individuals with disabilities may obtain this document in alternate 
formats (e.g. Braille, large print, audio tape, or computer diskette) 
on request from the contact person listed in the preceding paragraph.

Electronic Access to This Document

    Anyone may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or 
portable document format (pdf) on the World Wide Web at either of the 
following sites:

http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html

To use the pdf you must have the Adobe Acrobat Reader Program with 
Search, which is available free at either of the previous sites. If you 
have questions about using the pdf, call the U.S. Government Printing 
Office toll free at 1-888-293-6498.
    Anyone may also view these documents in text copy only on an 
electronic bulletin board of the Department. Telephone (202) 219-1511 
or, toll free, 1-800-222-4922. The documents are located under Option 
G-Files/Announcements, Bulletins and Press Releases.

    Note: The official version of a document is the document 
published in the Federal Register.

SUPPLEMENTARY INFORMATION: The SDFSCA, as reauthorized in 1994 by the 
Improving America's Schools Act (Public Law 103-382), offers States, 
school districts, schools, and other recipients wide latitude in using 
SDFSCA State and Local Grants Program funds to implement the kinds of 
drug and violence prevention programs that they believe best serve 
their needs. While the Administration favors local discretion over 
Federal prescription in the use of SDFSCA State and local grant funds, 
the Administration also has a responsibility to promote the most 
effective use possible of these limited resources. In many instances 
these funds are the only financial assistance available to help local 
schools address their youth drug and violence problems. With the 
increasing availability of information about promising and successful 
drug and violence prevention programs, State and local decisions about 
which prevention programs to implement should be guided by research on 
best practices. Furthermore, schools and community organizations that 
initiate programs designed to prevent youth drug use or violence 
without conducting a high-quality needs assessment or establishing 
clear and objective measurable expectations about program outcomes have 
difficulty determining whether their programs are successful.
    Therefore, as one of a series of activities designed to improve the 
quality of drug and violence prevention programming implemented with 
SDFSCA funds, the Secretary is adopting these final SDFS Principles of 
Effectiveness. The Principles will require grant recipients to use 
SDFSCA State and Local Grants Program funds to support research-based 
drug and violence prevention programs for youth. These SDFS Principles 
of Effectiveness, in conjunction with existing statutory and regulatory 
provisions, will ensure that State and local educational agencies, 
Governors' offices, and community-based organizations plan and 
implement effective drug and violence prevention programs.
    On July 16, 1997, the Secretary published the draft SDFS Principles 
of Effectiveness in a Notice of Request for Public Comment in the 
Federal Register (62 FR 38072). In response to comments received, the 
Secretary made minor modifications, as noted in the following section--
Analysis of Comments and Changes--of this notice of final Principles.

Analysis of Comments and Changes

    In response to the Secretary's invitation to comment on the 
proposed SDFS Principles of Effectiveness, the Department received 
letters from 19 commenters. These included State and local educational 
agencies, other State agencies, non-profit organizations, and 
individuals. An analysis of the comments follows. Comments are grouped 
according to each of the four SDFS Principles of Effectiveness; a 
section on general comments is also included. Minor editorial changes--
and comments recommending changes the Secretary is not legally 
authorized to make under the applicable statutory authority--are not 
addressed.
    Principle 1--A grant recipient shall base its program on a thorough 
assessment of objective data about the drug and violence problems in 
the schools and communities served.
    Comments: Several commenters expressed concerns about difficulties 
associated with collecting assessment data. One difficulty mentioned 
included the provisions of the Protection of Pupil Rights Amendment 
(PPRA), which require parental permission before administering a 
student survey regarding the use of alcohol, tobacco, or other drugs. 
Another difficulty cited was the problem of developing scientific and 
rigorous sampling methods.
    Discussion: PPRA establishes requirements that must be met when 
students participate in surveys, analyses, or evaluations that (1) 
reveal information about several subjects, including illegal, anti-
social, self-incriminating, and demeaning behavior; and (2) are 
conducted using U.S. Department of Education funds. Although meeting 
the PPRA requirements may add an additional step to the collection of 
survey data, grantees are encouraged to consider using student surveys 
as part of their needs assessment efforts.
    Changes: None.
    Comment: One commenter suggested that the definition of ``objective 
data'' include information other than ``archival data'' because it 
would cost some small LEAs more than the SDFSCA allocation they receive 
to conduct a thorough assessment.
    Discussion: Grantees are encouraged to develop the broadest 
possible needs assessment that will provide a comprehensive picture of 
drug and violence problems among local youth. Grantees may want to 
complement objective data with subjective measures, such as perceptions 
of teachers,

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students, or administrators about the youth drug and violence problem. 
However, grantees should not limit needs assessment to such subjective 
measures, because they need such hard data as rates of student drug use 
or numbers of violent incidents to guide program selection and measure 
fully the effectiveness of their programs.
    Changes: None.
    Comment: One commenter suggested that LEAs be encouraged to present 
the results of their needs assessments in terms of prevention needs.
    Discussion: Currently, many needs assessments prepared by grantees 
focus on short-term interventions rather than long-term preventive 
strategies. For example, grantee needs assessments may focus on 
increased disciplinary sanctions to prevent current conflicts among 
middle school students, rather than on introducing conflict resolution 
strategies to the students in an earlier grade. Although the latter is 
perhaps more desirable, the former approach is acceptable.
    Changes: None.
    Principle 2--A grant recipient shall, with the assistance of a 
local or regional advisory council, which includes community 
representatives, establish a set of measurable goals and objectives, 
and design its activities to meet those goals and objectives.
    Comment: One commenter suggested that LEAs adopt multi-year 
objectives with annual milestones to support a prevention perspective 
in planning strategies.
    Discussion: The establishment of multi-year objectives is 
desirable, and States certainly may encourage their LEAs to adopt them. 
As their implementation proceeds, local grantees may become 
increasingly comfortable with designing multi-year objectives for their 
prevention programming. However, it is important for grantees to have 
the flexibility to adopt objectives on an annual, as well as multi-
year, basis.
    Changes: None.
    Comments: Several commenters suggested that ``program outcomes'' be 
defined. One commenter suggested including in the definition 
improvements in youth knowledge, attitudes, skills, and behaviors 
related to drug use or violence prevention; another recommended 
including attitudes and behaviors that research has shown to be 
precursors to or predictors of drug use.
    Discussion: The SDFS Principles of Effectiveness require that 
program outcomes include information about changed behaviors or 
attitudes about violence or drug use. Although information about 
knowledge and skills is an important part of assessing implementation 
quality, that information is not sufficient to measure program 
outcomes.
    Changes: Based on these comments, the Secretary has modified 
explanatory language accompanying this principle to clarify the meaning 
of the term ``program outcomes''.
    Comment: One commenter urged the Secretary to recognize that it 
will take as much as two or three years for many LEAs to adopt outcome-
related measurable goals and objectives even with the support of an 
appropriate measurement instrument.
    Discussion: While it may take several years for LEAs to perfect the 
identification of outcome-related measurable goals and objectives, the 
Department expects that by July 1, 1998, when the SDFS Principles of 
Effectiveness take effect, LEAs will be able to develop satisfactory 
goals and objectives that will help improve accountability for their 
drug and violence prevention programs. In addition, the Department 
intends to provide technical assistance and guidance to help grantees 
develop their goals and objectives.
    Changes: None.
    Principle 3--A grant recipient shall design and implement its 
activities based on research or evaluation that provides evidence that 
the strategies used prevent or reduce drug use, violence, or disruptive 
behavior.
    Comments: Several commenters noted a lack of available research-
based programs in drug and violence prevention that meet local needs. 
One of those commenters stated that the high standard imposed by the 
SDFS Principles of Effectiveness would create a ``cartel'' or monopoly 
since very few programs can meet the standard established.
    Discussion: While a significant body of research about effective 
programs that prevent youth drug use and violence exists, even more 
needs to be done to identify a broader group of programs and practices 
that respond to varied needs.
    Changes: Based on these concerns, the Secretary has modified the 
explanatory language accompanying this Principle. These modifications 
broaden the scope of the term ``research-based'' approach to include 
programs that show promise of being effective in preventing or reducing 
drug use or violence.
    Comments: Several commenters expressed a concern that the SDFS 
Principles of Effectiveness do not address intervention services, staff 
development, parent training, and other activities supported with 
SDFSCA funds by many LEAs.
    Discussion: Grantees that choose to implement the kinds of 
interventions mentioned by the commenters must take care to observe the 
requirements embodied in the principles. It may be difficult to find 
research-based programs in the areas mentioned by the commenters that 
link directly to changes in rates of youth drug use or violence.
    Changes: A change has been made to this principle to clarify that 
the ``research-based'' requirement is limited to programs for youth.
    Comment: One commenter requested that the Secretary provide 
guidance about how LEAs may structure a program that is both 
comprehensive and research based.
    Discussion: The comment identifies two separate requirements. 
First, by statute, an LEA must use all SDFSCA funds to support a 
comprehensive drug and violence prevention program. The program may 
also receive funding from other State and local sources. Second, under 
the SDFS Principles of Effectiveness, all specific programs for youth 
funded by the SDFSCA must be research based. The Secretary believes 
that these two requirements are consistent and compatible, and the 
Department will provide guidance on how local programs may be 
structured to meet both requirements.
    Changes: None.
    Comment: One commenter noted that effective approaches to 
preventing youth drug use and violence may not always be able to show 
results for a wide variety of reasons, including missed lessons, 
inconsistent application, and insufficient time given to the program.
    Discussion: Research-based programs that have demonstrated success 
in reducing drug use and violence are dependent upon strong, consistent 
implementation with sufficient time provided. The implementation 
problems cited in the comment would undermine any program, research-
based or otherwise, and limit its ability to produce results.
    Changes: None.
    Comment: One commenter expressed concern that implementation of the 
SDFS Principles of Effectiveness may force rural LEAs to replace ``old 
favorite'' programs that they feel have been working for them with 
prevention programs that have been proven to work in other socio-
economic areas--such as high-population urban LEAs--but may not be 
appropriate to their needs.
    Discussion: The Department plans to provide technical assistance to 
help

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LEAs obtain information about effective, research-based programs 
appropriate for an LEA's demographics. The purpose of SDFS Principles 
of Effectiveness is to ensure that funds available to grantees under 
the SDFSCA are used in the most effective way. This allows LEAs to 
continue ``old favorite'' programs if they are effective or show 
promise of effectiveness.
    Changes: None.
    Comment: One commenter expressed concern about being required to 
implement a research-based program with fidelity, preferring to take 
the best components from many programs without duplicating any one 
program exactly.
    Discussion: Replication with fidelity is crucial to implementing a 
research-based program and producing the desired outcomes. If an LEA 
takes the best elements from many programs without replicating one 
program with fidelity, the resulting mix of activities is not a 
research-based program that has been proven to be effective. Grantees 
are cautioned not to assume that components of research-based programs 
can be extracted and implemented, alone or in combination, to produce 
effective results.
    Changes: None.
    Comment: One commenter suggested that the SDFS Principles of 
Effectiveness should ensure that the program to be implemented is 
applicable or transferable to the cultural or other characteristics of 
the target population.
    Discussion: A grantee is not prohibited from making minor 
modifications in a research-based program, but should ensure 
modifications to address cultural or other characteristics of the 
target population will not prevent the grantee from replicating the 
program in a manner consistent with the original design.
    Changes: None.
    Principle 4--A grant recipient shall evaluate its program 
periodically to assess its progress toward achieving its goals and 
objectives and use its evaluation results to refine, improve, and 
strengthen its program and to refine its goals and objectives as 
appropriate.
    Comment: One commenter suggested that every school system not be 
required to conduct an evaluation of its prevention programs, and 
rather that the Department concentrate on seeking separate funding for 
research that supports primary prevention through the re-enforcement of 
protective factors.
    Discussion: The SDFS Principles of Effectiveness do not require a 
recipient that replicates with fidelity a research-based program to 
pursue an outcomes-based evaluations of this prevention program.
    Changes: None.
    Comment: One commenter recommended inclusion of ``fidelity 
evaluation language'' in the principle concerning evaluation.
    Discussion: Grantees cannot hope to reproduce the results of an 
effective, research-based drug or violence prevention program unless 
that program is replicated with fidelity.
    Changes: Based on this comment, the Secretary has modified the 
explanatory language accompanying this principle to require assessment 
of fidelity of replication.
    Comments: Several commenters raised a concern about the 
difficulties--including the establishment of a control group--
associated with collecting data to evaluate an intervention designed to 
prevent youth drug use and violence.
    Discussion: Grantees need not evaluate for behavioral or 
attitudinal outcomes if they select and implement with fidelity a 
research-based prevention program that has already demonstrated through 
rigorous evaluation that it has reduced youth drug use or violence or 
changed attitudes that have been demonstrated to be precursors to or 
predictors of drug use or violence. If grantees wish to select a 
program that shows promise of effectiveness, those grantees must 
conduct an evaluation of outcomes in terms of youth behavior and 
attitudes. While a control group design would be excellent from a 
technical point of view, such a design can be complicated and 
expensive. There are other less rigorous but still valid options. The 
Department intends to offer technical assistance on evaluation.
    Changes: None.

General Comments on SDFS Principles of Effectiveness

    Comments: Two commenters indicated that it would be unfair to 
expect one organization, especially a school district, to be 
responsible for outcomes of reducing and preventing drug use and 
violence.
    Discussion: A school district should not be held solely responsible 
for producing outcomes of reducing and preventing drug use and 
violence. However, the SDFS Principles of Effectiveness will help 
schools focus their efforts on programs that are likely to make the 
biggest contribution to community-wide efforts to reduce youth drug use 
and violence and to set goals for changed student behaviors. It is 
hoped that the school and community will work together in developing, 
implementing, and evaluating these prevention efforts and will take 
appropriate responsibility for efforts to ensure their success.
    Changes: None.
    Comments: A number of comments concerned the extra burden and costs 
imposed by the SDFS Principles of Effectiveness at both the SEA and LEA 
levels. These commenters mentioned such factors as, at the SEA level, 
the need for a more extensive review process for LEA applications and, 
at the LEA level, the possibility of an insufficient allocation of 
funds or availability of staff resources to cover the costs associated 
with implementing the SDFS Principles of Effectiveness. One commenter 
suggested that SDFS should fund an coordinator for each LEA; another 
expressed a concern that the SDFS Principles of Effectiveness will 
overshadow the Improving America's Schools Act's focus on increased 
flexibility.
    Discussion: No additional burden is imposed by the SDFS Principles 
of Effectiveness. A major theme of the Improving America's Schools Act 
was an increase in flexibility in exchange for enhanced program 
accountability in order to make the best possible use of scarce 
resources. The commenter has focused on increased flexibility without 
sufficient regard for the need for accountability. The SDFS Principles 
of Effectiveness are designed to assist grantees in meeting their 
obligations for accountability that are implicit in the statutory 
framework provided in the SDFSCA by encouraging recipients to implement 
programs that are most likely to be effective.
    Changes: None.
    Comments: One commenter questioned how the SDFS Principles of 
Effectiveness would help to integrate SDFS efforts with those of other 
Federal programs.
    Discussion: The SDFS Principles of Effectiveness apply to the 
SDFSCA SEA/LEA and Governor's Programs and the Program for Indian 
Youth, and impose no new requirements that would hinder efforts to 
integrate SDFSCA efforts with those of other Federal programs.
    Changes: None.
    Comment: One commenter recommended that grantees be encouraged to 
foster meaningful involvement by young people in the design, 
governance, and implementation of projects designed to prevent youth 
drug use and violence.
    Discussion: While the SDFS Principles of Effectiveness do not 
explicitly require the involvement of young people in the design, 
governance,

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and implementation of projects designed to prevent youth drug use and 
violence, the Secretary encourages recipients of SDFS funds to look for 
opportunities to involve youth in prevention programs in meaningful 
ways.
    Changes: None.
    Comment: One commenter suggested that the SDFS Principles of 
Effectiveness more strongly emphasize the need for close coordination 
between school-and community-based prevention programs.
    Discussion: Several of the SDFS Principles of Effectiveness address 
the issue of coordination and collaboration between schools and their 
communities, and the SDFSCA also includes provisions that require such 
coordination.
    Changes: None.
    Comment: One commenter suggested that the SDFS Principles of 
Effectiveness be reviewed to ensure that terms (such as program, 
program activities, strategies, and approaches) be defined in order to 
reduce confusion and make the language more precise.
    Discussion: The draft SDFS Principles of Effectiveness have been 
reviewed to ensure that terms are used consistently.
    Changes: Modifications have been made in the principles and 
explanatory language that make the Principles more precise.
    Comment: One commenter requested that the Department clarify that 
the SDFS Principles of Effectiveness are not standards, and that the 
Secretary change the title to Principles of Program Effectiveness.
    Discussion: The SDFS Principles of Effectiveness do not attempt to 
provide detailed standards for the content or structure of individual 
prevention programs, but rather, create a framework to support the 
selection and implementation of the best possible youth drug and 
violence prevention programs. While standards for content and structure 
of prevention programs are implied by the third principle (requiring 
that programs be research based), adding the word ``Program'' to the 
current title would not serve to clarify that the principles are not 
standards.
    Changes: None.

SDFS Principles of Effectiveness

    Having safe and drug-free schools is one of our Nation's highest 
priorities. To ensure that recipients of Title IV funds use those funds 
in ways that preserve State and local flexibility but are most likely 
to reduce drug use and violence among youth, a recipient shall 
coordinate its SDFSCA funded programs with other available prevention 
efforts to maximize the impact of all the drug and violence prevention 
programs and resources available to its State, school district, or 
community, and shall--
     Base its programs on a thorough assessment of objective 
data about the drug and violence problems in the schools and 
communities served. Each SDFSCA grant recipient shall conduct a 
thorough assessment of the nature and extent of youth drug use and 
violence problems. Grantees are encouraged to build on existing data 
collection efforts and examine available objective data from a variety 
of sources, including law enforcement and public health officials. 
Grantees are encouraged to assess the needs of all segments of the 
youth population. While information about the availability of relevant 
services in the community and schools is an important part of any needs 
assessment, and while grantees may wish to include data on adult drug 
use and violence problems, grantees shall, at a minimum, include in the 
needs assessment data on youth drug use and violence;
     With the assistance of a local or regional advisory 
council where required by the SDFSCA, establish a set of measurable 
goals and objectives and design its programs to meet those goals and 
objectives. Sections 4112 and 4115 of the SDFSCA require that grantees 
develop measurable goals and objectives for their programs. Grantees 
shall develop goals and objectives that focus on behavioral or 
attitudinal program outcomes, as well as on program implementation 
(sometimes called ``process data''). While measures of implementation 
(such as the hours of instruction provided or number of teachers 
trained) are important, they are not sufficient to measure program 
outcomes. Grantees shall develop goals and objectives that permit them 
to determine the extent to which programs are effective in reducing or 
preventing drug use, violence, or disruptive behavior among youth;
     Design and implement its programs for youth based on 
research or evaluation that provides evidence that the programs used 
prevent or reduce drug use, violence, or disruptive behavior among 
youth. In designing and improving its youth programs, a grant recipient 
shall taking into consideration its needs assessment and measurable 
goals and objectives, select and implement programs for youth that have 
demonstrated effectiveness or promise of effectiveness, in preventing 
or reducing drug use, violence, or disruptive behavior, or other 
behaviors or attitudes demonstrated to be precursors to or predictors 
of drug use or violence. While the Secretary recognizes the importance 
of flexibility in addressing State and local needs, the Secretary 
believes that the implementation of research-based programs will 
significantly enhance the effectiveness of programs supported with 
SDFSCA funds. In selecting effective programs most responsive to their 
needs, grantees are encouraged to review the breadth of available 
research and evaluation literature, and to replicate these programs in 
a manner consistent with their original design; and
     Evaluate its programs periodically to assess its progress 
toward achieving its goals and objectives, and use its evaluation 
results to refine, improve, and strengthen its program, and to refine 
its goals and objectives as appropriate. Grant recipients shall assess 
their programs and use the information about program outcomes and 
fidelity of replication to re-evaluate existing program efforts. The 
Secretary recognizes that prevention programs may have a long 
implementation phase, may have long-term goals, and may include some 
objectives that are broadly focused. However, grantees shall not 
continue to use SDFSCA funds to implement programs that cannot 
demonstrate positive outcomes in terms of reducing or preventing drug 
use, violence, or disruptive behavior among youth, or other behaviors 
or attitudes demonstrated to be precursors to or predictors of drug use 
or violence. Grantees shall use their assessment results to determine 
whether programs need to be strengthened or improved, and whether 
program goals and objectives are reasonable or have already been met 
and should be revised. Consistent with Sections 4112 and 4115 of the 
SDFSCA, grant recipients shall report to the public on progress toward 
attaining measurable goals and objectives for drug and violence 
prevention.

Intergovernmental Review

    This program is subject to the requirements of Executive Order 
12372 and the regulations in 34 CFR Part 79. The objective of the 
Executive Order is to foster an intergovernmental partnership and a 
strengthened federalism by relying on processes developed by State and 
local governments for coordination and review of proposed Federal 
financial assistance.
    In accordance with the order, this document is intended to provide 
early notification of the Department's specific plans and actions for 
this program.


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(Catalog of Federal Domestic Assistance Number 86.186, Safe and 
Drug-Free Schools and Communities Act State Grants Program)

    Program Authority: 20 U.S.C. 7111-7116.

    Dated: May 27, 1998.
Gerald N. Tirozzi,
Assistant Secretary for Elementary and Secondary Education.
[FR Doc. 98-14372 Filed 5-29-98; 8:45 am]
BILLING CODE 4000-01-P