[Federal Register: June 1, 1998 (Volume 63, Number 104)]
[Notices]
[Page 29901-29906]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01jn98-47]
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[[Page 29901]]
Part XIV
Department of Education
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Safe and Drug-Free Schools Program; Notice
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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 bill__modzeleski@ed.gov. 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.
[[Page 29906]]
(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