**Safe and Drug-Free Schools and Communities Act**

**State Grants**

**Guidance for State and Local Implementation of Programs**

# DRAFT

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height="1.6166666666666667in"}

**Title IV, Part A, Subpart 1**

**Elementary and Secondary Education Act of 1965**

**as amended by the**

**No Child Left Behind Act of 2001**

**Public Law 107- 110**

**U.S. Department of Education**

**Office of Safe and Drug-Free Schools**

**January 2004**

**Table of Contents**

+------------------------------------------------------------+---------+
| ####### Introduction                                       | ####### |
|                                                            |  Page 4 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **I. Principles of Effectiveness**                         | **Page  |
|                                                            | 7**     |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 8  |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **II. How to Apply for Funds**                             | **Page  |
|                                                            | 15**    |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| State Applications                                         | Page 15 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 17 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Local Educational Agency Applications                      | Page 18 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 20 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Governors Subrecipient Applications                        | Page 20 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 21 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **III. Distribution of Funds**                             | #       |
|                                                            | ######  |
|                                                            | Page 22 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Allocations from ED to the States                          | Page 22 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 24 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **IV. Program Implementation**                             | #       |
|                                                            | ######  |
|                                                            | Page 24 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| State Educational Agency Programs                          | Page 24 |
+------------------------------------------------------------+---------+
| Local Educational Agency Programs                          | Page 25 |
+------------------------------------------------------------+---------+
| Supplement not Supplant Requirement                        | Page 27 |
+------------------------------------------------------------+---------+
| Cap on LEA activities                                      | Page 28 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 29 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Governors Program                                          | Page 32 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 33 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **V. Technical Assistance and Reporting**                  | #       |
|                                                            | ######  |
|                                                            | Page 33 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| State Reports                                              | Page 34 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Uniform Management Information and Reporting System        | Page 34 |
+------------------------------------------------------------+---------+
| Questions and Answers                                      | Page 35 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **Appendices**                                             |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **A. Flexibility and Accountability**                      | #       |
|                                                            | ######  |
|                                                            | Page 37 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| State Flex                                                 | Page 37 |
+------------------------------------------------------------+---------+
| Local Flexibility Demonstration                            | Page 37 |
+------------------------------------------------------------+---------+
| Transferability                                            | Page 38 |
+------------------------------------------------------------+---------+
| Rural Education Initiatives                                | Page 39 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **B. General Provisions**                                  | #       |
|                                                            | ######  |
|                                                            | Page 40 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Maintenance of Effort                                      | Page 40 |
+------------------------------------------------------------+---------+
| Private School Participation                               | Page 40 |
+------------------------------------------------------------+---------+
| Consolidated Administrative Funds                          | Page 41 |
+------------------------------------------------------------+---------+
| Waivers                                                    | Page 42 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **C. Other Provisions**                                    | #       |
|                                                            | ######  |
|                                                            | Page 43 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| Unsafe School Choice Option                                | Page 43 |
+------------------------------------------------------------+---------+
| Gun-Free Schools Act                                       | Page 43 |
+------------------------------------------------------------+---------+
| Pro-Children Act                                           | Page 43 |
+------------------------------------------------------------+---------+
| Protection of Pupil Rights Amendment                       | Page 44 |
+------------------------------------------------------------+---------+
| Federal Education Rights and Privacy Act                   | Page 44 |
+------------------------------------------------------------+---------+
| Transfer of School Disciplinary Records                    | Page 45 |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+
| **D. Resources**                                           | #       |
|                                                            | ######  |
|                                                            | Page 46 |
+------------------------------------------------------------+---------+

**Safe and Drug-Free Schools and Communities Act**

**State Grants**

**Guidance for**

**State and Local Programs**

**Introduction**

On January 8, 2002 President Bush signed into law the No Child Left
Behind Act (NCLB) of 2001, Public Law 107-110, which reauthorized the
Elementary and Secondary Education Act of 1965 (ESEA). The NCLB
emphasizes the Administration's "four pillars" for education reform --
accountability, use of science-based programs, parental and community
involvement, and local decision making -- and is designed so that
Federal support for elementary and secondary education ensures that
every student achieves academic success.

The Safe and Drug-Free Schools and Communities Act (SDFSCA) (Title IV,
Part A of the ESEA) is a critical part of President Bush's national
effort to ensure academic success for all students. Effective July 1,
2002, the SDFSCA State Grants (Subpart 1) program authorizes a variety
of activities designed to prevent school violence and youth drug use,
and to help schools and communities create safe, disciplined, and
drug-free environments that support student academic achievement. Some
significant changes in the SDFSCA include:

-   A requirement that State and local prevention programs and
    activities meet the Principles of Effectiveness. Under the
    reauthorized SDFSCA, the Principles of Effectiveness include a
    requirement that funds be used to support only programs grounded in
    scientifically based research. In addition, States and local
    recipients must have meaningful and ongoing consultation with, and
    input from, parents in the development of applications and
    administration of programs or activities. In 1998, the Principles of
    Effectiveness were developed by the U.S. Department of Education to
    provide a framework for State and Local Grant funds recipients to
    improve the quality of drug and violence prevention programming
    implemented with SDFSCA funds.

-   A requirement that each State establish a uniform management
    information and reporting system to support decision-making in each
    State.

-   A requirement that limits the amount of funds for local
    administrative costs to 2 percent of the amount of SDFSCA formula
    grant funds that the local educational agency (LEA) receives from
    the State educational agency (SEA).

-   The cap on funds for security-related expenses (see (a) through (e)
    below) remains at 20 percent; however, an additional 20 percent may
    be used to hire and train school security personnel (see item (e)
    below). Funds may be used for the following activities only to the
    extent that funding for activities is not received from other
    Federal agencies: (a) acquiring and installing metal detectors,
    electronic locks, surveillance cameras, or other related equipment
    and technologies; (b) reporting criminal offenses committed on
    school property; (c) developing and implementing comprehensive
    school security plans or obtaining technical assistance concerning
    such plans; (d) supporting safe zones of passage activities that
    ensure that students travel safely to and from school, including
    bicycle and pedestrian safety programs; (e) hiring and mandatory
    training of school security personnel who interact with students in
    support of youth drug and violence prevention activities implemented
    in schools.

-   SEA allocations to LEAs are now based 60 percent on LEA relative
    shares of ESEA Title I basic and concentration grant funding, and 40
    percent on school enrollment. There is no longer a requirement, or
    the authority, for SEAs to target a portion of their SDFSCA formula
    grant funding to LEAs based on "greatest need" factors.

-   LEAs that receive SDFSCA funds are now required to have a plan for
    keeping their schools safe and drug-free that includes appropriate
    and effective discipline policies, security procedures, prevention
    activities, a student code of conduct, and a crisis management plan
    for responding to violent or traumatic incidents on school grounds.

**Purpose of the SDFSCA**

The purpose of the SDFSCA is to support programs that: (1) prevent
violence in and around schools; (2) prevent the illegal use of alcohol,
tobacco, and drugs; (3) involve parents and communities; and, (4) are
coordinated with related Federal, State, school, and community efforts
and resources to foster a safe and drug-free learning environment that
promotes student academic achievement. Federal assistance is provided to
States for:

-   Grants to LEAs (and consortia of LEAs) to establish, operate, and
    improve local programs of school drug and violence prevention and
    early intervention;

-   Grants to, or contracts with, community-based organizations and
    public and private entities for programs of drug and violence
    prevention and early intervention, including community-wide drug and
    violence prevention planning and organizing activities; and

-   Development, training, technical assistance, and coordination
    activities.

####### Purpose of this Guidance

The SDFSCA State Grants legislation (Title IV, Part A, Subpart 1 of the
ESEA), "General Provisions" (located in Title IX of the ESEA), and
"flexibility provisions" (located in Title VI of the ESEA) provide the
statutory basis for the U. S. Department of Education's (ED)
administration of the Safe and Drug-Free Schools and Communities State
Grants Program. This guidance highlights some important aspects of these
statutory provisions and of the applicable Education Department General
Administrative Regulations (EDGAR) that govern the program. It also
interprets certain key provisions that may be of use in administering
the SDFSCA State Grants Program.

States and local entities may rely on this guidance in administering
their SDFSCA State Grants Program. This guidance does not impose any
requirements beyond those imposed by the statute and the applicable
portions of EDGAR. ED officials, including the Inspector General, will
consider State and local recipients that follow approaches contained in
this guidance to be in compliance with the applicable Federal statutes
and regulations.

Some features to watch for as you use this guidance package include:

-   In addition to the provisions in Titles IV, VI, and IX of the ESEA,
    ED's administration of the SDFSCA's State Grants Program is guided
    by applicable sections of EDGAR (Parts 76, 77, 79, 80, 81, 82, 85,
    97, 98, and 99). An understanding of the applicable provisions in
    EDGAR is an important component of the administration of the SDFSCA
    State Grants Program. This guidance does not discuss all EDGAR
    provisions that apply to the administration of the SDFSCA State
    Grants Program, but will highlight provisions from EDGAR that are
    relevant to major sections of the guidance.

-   This guidance package was developed after consultation with State
    and local program officials around the country. In addition to
    highlighting important provisions and providing interpretations
    concerning some key provisions, it also contains questions and
    answers that respond directly to questions raised by State and local
    officials since the enactment of the reauthorized ESEA. These
    questions and answers appear at the conclusion of each major section
    of the guidance.

### I. Principles of Effectiveness

The SDFSCA is a central part of the Federal Government's effort to
encourage safe and drug-free learning environments that support student
academic achievement. Funded programs provide support for school- and
community-based programs to help our Nation's communities prevent
alcohol and other drug use, as well as youth violence. Along with the
inherent flexibility for implementing programs, State and local entities
are accountable for achieving measurable results.

Coordination and collaboration are critical themes that are interwoven
throughout the SDFSCA; the legislation calls for Governors and SEAs to
work with individuals and organizations that represent all facets of our
schools and communities to develop and implement plans that will
effectively foster a safe learning environment and prevent illegal use
of drugs and alcohol.

LEAs must consult, on an ongoing basis, State and local governments,
school representatives, parents, teachers, students, community-based
organizations and others in the development of applications as well as
the design and development of programs and activities implemented under
the SDFSCA.

The Principles of Effectiveness provide the framework to assist States
and local entities in designing, implementing, and evaluating
high-quality programs and achieving measurable results. Programs or
activities must:

-   be based on an assessment of objective data regarding the incidence
    of violence and illegal drug use in the elementary schools and
    secondary schools and communities to be served. This assessment must
    include an objective analysis of the current conditions and
    consequences regarding violence and illegal drug use that is based
    on ongoing local assessment or evaluation activities. Analysis of
    the conditions and consequences must include delinquency and serious
    discipline problems among students who attend such schools
    (including private school students who participate in the drug and
    violence prevention program).

-   be based on an established set of performance measures aimed at
    ensuring that the elementary schools and secondary schools and
    communities to be served have a safe, orderly, and drug-free
    learning environment.

-   be based on scientifically based research demonstrating that the
    program to be used will reduce violence and illegal drug use.

-   be based on an analysis of the data reasonably available at the
    time, of the prevalence of risk factors, including high or
    increasing rates of reported cases of child abuse and domestic
    violence; protective factors, buffers, assets; or other variables
    identified through scientifically based research that occur in
    schools and communities.

-   include meaningful and ongoing consultation with and input from
    parents in the development of the application and administration of
    the program or activity.

####### Questions about the Principles of Effectiveness

Q1. Who must implement the Principles of Effectiveness?

A1. All entities that receive SDFSCA State Grants Program funds, either
through grants or contracts, must comply with the Principles of
Effectiveness.

Q2. What are the responsibilities of the State and local entities that
receive SDFSCA State Grants Program funds in implementing the Principles
of Effectiveness?

A2. States and local entities play a significant role in implementing
the Principles of Effectiveness. States are responsible for
disseminating information and providing technical assistance and
guidance to LEAs and other entities receiving SDFS funds. State and
local entities will need to examine needs assessment information, review
goals and objectives, and determine if the programs proposed meet
standards established by the Principles of Effectiveness. These entities
may use a variety of processes and procedures to make these
determinations, including applications or progress reports.

Q3. We believe that our LEA is experiencing some unique challenges with
regard to drug use and violence, and have ideas for new approaches that
have not yet been fully tested. May we implement a program that does not
meet the standard established for "scientifically based research"?

A3. Consistent with Section 4115(a)(3) of the SDFSCA, LEAs may apply to
their SEA for a waiver of the requirement to implement programs that are
scientifically based programs. However, LEAs applying for waivers must
demonstrate that funded programs or activities are innovative and have a
substantial likelihood of success. SEAs must establish a process to
consider such requests and must have documented how the requested waiver
meets the standard established in the statute.

[Needs Assessments]{.underline}

Q4. What is meant by "objective data" in conducting a needs assessment?

A4. "Objective data" generally means information not influenced by
emotion, surmise, or personal opinion. This definition is consistent
with ED's intent to have recipients use concrete information to assess
problems and programs. I It is important for recipients to base
decisions about programs, and the allocation of SDFSCA resources, on
objective data that can form the basis for achieving consensus on
activities and assessing real, measurable progress toward a safe and
drug-free learning environment.

> Examples of objective data include information from records that
> detail the number of referrals to law enforcement for bringing a
> firearm to school, or results from student surveys about the
> proportion of students engaged in binge drinking. In contrast,
> subjective data might include information collected in a focus group
> about teacher perceptions of safety, or student evaluations of a
> program that assess how much they enjoyed the lessons presented.

Q5. Will a needs assessment that contains only "process" data meet the
Principles of Effectiveness requirement?

A5. Because States and local entities are to develop measurable goals
and objectives for prevention programs linked to changes in student
attitudes and behaviors, needs assessment information that focuses only
on process and implementation issues (such as the number of teachers

> trained or the number of hours of instruction provided) will not
> provide sufficient support for the goal-setting or evaluation
> processes embodied in the Principles of Effectiveness.

Q6. How often must data be collected for the needs assessment?

A6. States and local entities must collect data on an ongoing basis,
through assessments or evaluation activities. States and local entities
are in the best position to identify rapidly changing situations in
their communities and to know whether existing data should still be
included in a strong needs assessment process.

Q7. Must an LEA needs assessment include both drug use and violence?

A7. All assessment efforts must include data about both problems. The
decision to focus programs exclusively on a particular problem area
should be based on the results of the needs assessment process, and
should not precede collection and analysis of information on the nature
and extent of the problem in a particular school or neighborhood. LEAs
(or other entities receiving State Grants Program funds) should use the
results of their needs assessment to help them select programs or
activities for implementation.

Q8. Do the Protection of Pupil Rights Amendment (PPRA) requirements
apply to surveys used to collect information about drug use and violent
behavior?

A8. PPRA applies to surveys, analyses, or evaluations that: (1) reveal
information in eight different categories -- political affiliations or
beliefs of the student or their parents; mental or psychological
problems of the student or the students family; sex behavior or
attitudes; illegal, anti-social, self-incriminating, or demeaning
behavior; critical appraise of individuals with whom the respondents
have close family relationships; legally recognized privileged
relationships such as those of lawyers, physicians and ministers;
religious practices, affiliations, or beliefs of the student or
student's parents; or income -- (2) are not voluntary ("required") by
LEAs; and (3) are conducted by an LEA that receives funds under any
applicable ED program. ED's Family Policy Compliance Office can provide
detailed technical assistance about implementation of the PPRA; contact
information for that office is provided in the Appendix D of this
guidance.

Q9. Must the data used in the assessment reflect information about drug
use and violence problems in schools and neighborhoods, or are
State-level or national data sufficient?

A9. To the extent possible, data used in the assessment should be
focused on the drug use and violence problems in your school or
neighborhood. While State-level or national data, taken from surveys,
such as Monitoring the Future or the Youth Risk Behavior Surveillance
System (YRBSS), may provide interesting benchmarks for comparison,
analyses of existing data at those levels indicate that there are
regional and other differences that are likely to affect significantly
the development of local needs assessment information, measurable goals
and objectives, and program selection decisions.

Q10. Must the applicant gather all the data used in the assessment
process?

A10. States and local entities are encouraged to identify data collected
by other programs or agencies that may be incorporated into their needs
assessment process. We strongly encourage collaborative efforts with
other agencies that result in multiple uses of data.

Q11. What do recipients do with data after they are collected?

A11. Activities following data collection are the most important part of
a needs assessment process. Data collected (or gathered from other
sources) should be made an integral part of the planning process. For
example, an analysis of various pieces of data collected might help
identify:

-   what drugs are used in the area;

-   whether drugs are used by many students or if their use is
    concentrated in a more limited segment of the population;

-   whether particular drugs are used more prevalently by some student
    age groups;

-   what other prevention resources are available or activities are
    being implemented in the school or community

> Similar analysis can be conducted of data about violence. The answers
> to these and similar questions should help States and local entities
> understand and prioritize their needs, identify a specific problem for
> attention, develop measurable goals related to that problem, and
> select effective programs for implementation. For more information on
> data collection, storage and uses, please refer to the section on the
> Uniform Management Information and Reporting System later in this
> guidance.

[Performance Measures]{.underline}

Q12. What is a performance measure and how many must a recipient have?

A12. A performance measure is one that permits a quantitative assessment
of progress. An example of a performance measure that might be adopted
by an LEA is: "To reduce the number of fights between students in the
upcoming school year by one-half compared to the previous year." It will
be easy to assess progress toward achieving this goal because it
includes a quantifiable outcome \[provided that baseline (or beginning)
data exist and that a process is in place for counting fights during the
school year.\]

> Contrast this with a performance measure on a similar topic that is
> not as easily measured: "To provide a safe learning environment during
> the upcoming school year." While the goal is a laudable one, it is
> difficult to measure success in achieving progress unless quantifiable
> outcomes are specified and a data collection process is in place.
>
> Local performance measures should be directly related to the results
> of the local needs assessment, and linked to performance measures
> established by the State. An analysis of data collected as part of the
> needs assessment should help focus attention on the most problematic
> issues and guide the development of performance measures that relate
> to improvement in those areas.
>
> The number of performance measures should be based on individual needs
> and reflect adequately the outcomes to be achieved. A few, well-chosen
> performance measures are probably sufficient for most programs.

Q13. Must performance measures focus on "behavioral" or "attitudinal"
program outcomes?

A13. The Principles of Effectiveness require that programs implemented
with SDFSCA funds be designed to prevent or reduce violence and illegal
drug use. Performance measures, thus, must include goals that relate to
reduced violence or drug use. Recipients may also adopt goals related to
changing attitudes that are predictors of or precursors to youth drug
use or violent behavior or goals related to the quality of program
implementation.

[Scientifically Based Research]{.underline}

Q14. What is the definition of "scientifically based research"?

A14. Title IX, Part A, Section 9101(37) defines scientifically based
research as:

> \-- research that involves the application of rigorous, systematic,
> and objective procedures to obtain reliable and valid knowledge
> relevant to education activities and programs; and
>
> \-- includes research that --

-   employs systematic, empirical methods that draw on observation or
    experiment;

-   involves rigorous data analyses that are adequate to test the stated
    hypotheses and justify the general conclusions drawn;

-   relies on measurement or observational method that provide reliable
    and valid data across evaluators and observers, and across studies
    by the same or different investigators;

-   is evaluated using experimental or quasi-experimental designs in
    which individuals, entities, programs, or activities are assigned to
    different conditions and with appropriate controls to evaluate the
    effects of the condition of interest, with a preference for
    random-assignment experiments, or other designs to the extent that
    those designs contain within-condition or across-condition controls;

-   ensures that experimental studies are presented in sufficient detail
    and clarity to allow for replication or, at a minimum, offer the
    opportunity to build systematically on their findings; and

-   has been accepted by a peer-reviewed journal or approved by a panel
    of independent experts through a comparably rigorous, objective, and
    scientific review.

Q15. How can I find scientifically based research programs?

A15. Several of the agencies listed in Appendix D (Resources) in this
guidance have identified exemplary prevention programs. Information
about identified programs is available on their web sites.

Q16. Has ED published an "official" or exhaustive list of drug and
violence prevention programs that can be supported with SDFSCA funds?

A16 No, ED has not issued, nor does it have any plans to issue, such a
list.

> Recipients of SDFSCA funds must use funds to implement programs that
> meet the Principles of Effectiveness. Programs that meet these
> standards have demonstrated effectiveness in preventing youth drug
> use, violence, or disruptive behavior.

## Risk Factors

Q17. Programs and activities must be based on data on risk factors,
protective factors, buffers and assets. What is meant by those terms?

A17. The terms protective factor, asset, or buffer mean any one of a
number of the community, school, family, or peer-individual domains that
are known, through prospective, longitudinal research efforts, or which
are grounded in a well-established theoretical model of prevention, and
have been shown to prevent alcohol, tobacco, or illegal drug use, as
well as violent behavior, by youth in the community, and which promote
positive youth development. For example, one protective factor in the
community domain is the establishment of community norms that support
students who abstain from drug use.

The term risk factor means any one of a number of characteristics of the
community, school, family, or peer-individual domains that are known,
through prospective, longitudinal research efforts, to be predictive of
alcohol, tobacco, and illegal drug use, as well as violent behavior, by
youth in the school and community. An example of a risk factor in the
family domain is inconsistent family management and disciplinary
practices.

[Consultation with Parents]{.underline}

Q18. Do parents have a role to play in implementing programs and
activities supported with State Grants Program funds?

A18. The statute requires that parents be consulted in the development
of, and have an opportunity to provide input concerning, the application
for program funds and the administration of any program or activity
implemented with State Grants Program funds. Although the statute
doesn't specify how often consultation must take place, it does
prescribe a meaningful and ongoing consultation and input process.

[Periodic Evaluation]{.underline}

Q19. The Principles of Effectiveness in Section 4115 requires programs
and activities supported with State Grants Program funds to undergo a
periodic evaluation. What kinds of evaluation activities are required?

A19. Evaluation is the systematic collection and analysis of data needed
to make decisions. Periodically, recipients will need to examine the
programs they implement to determine if they meet established
performance measures. The nature and extent of such evaluation
activities will vary, and evaluation methods should be selected that are
appropriate and feasible to measure success of a particular
intervention.

Q20. How often should a "periodic evaluation" be conducted?

A20. States and local entities, in the context of any requirement that
may be established by the Governor's Office or SEA, must determine how
often they need to re-examine their progress toward reducing violence
and illegal drug use in schools to be served, based on established
performance measures.

Q21. How must the results be used?

A21. Evaluation results must be used to refine, improve, and strengthen
the program, and to refine the performance measures. In addition, the
results must be made available to the public upon request with public
notice that results can be obtained.

Q22. If a review of the effectiveness of an LEA program results in a
need to modify its goals and objectives, is it possible to make other
changes in materials on file with the SEA or Governor's office?

A22. Consistent with Section 76.770 of EDGAR, the Governor's office or
SEA will have procedures for amending applications and will provide
guidance to recipients in their State about when modifications may be
required and how they should be submitted.

Q23. When must a program that cannot demonstrate reduced drug use or
violent behavior be terminated?

A23. Decisions regarding the termination of locally executed programs
are made at the State level. In determining the effectiveness of a
program, States should consider (in addition to the Principles of
Effectiveness and other SDFSCA State Grants Program requirements) the
needs of the area, the goals of the program, and the evaluation results.
As soon as a program has been determined to be ineffective, funding
should not be renewed in future funding cycles.

### II. How to Apply for Funds 

## **Single State Applications for Governors and SEAs**

## Application Options

The State may:

-   for fiscal year 2002, submit a single, SDFSCA program-specific
    [interim application]{.underline}, the purpose of which is to
    provide opportunity for the State to develop and review its
    application and comprehensive plan. States that elect this option
    must complete a comprehensive application in order to receive SDFSCA
    funding in fiscal year 2003 and future years.

-   submit a single, SDFSCA program-specific [comprehensive
    application]{.underline} that responds to the application
    requirements in Section 4113 of the SDFSCA.

-   submit a single State application for the Governor and SEA in the
    form of a [consolidated application]{.underline}. In the interest of
    simplification and enhanced coordination, Section 9302 of the ESEA
    allows eligible recipients, after consultation with the Governor, to
    submit a consolidated application. In this option, States are not
    required to submit separate applications under any of the ESEA
    programs to which the consolidated State application applies.

[Contents of State Applications]{.underline}

If the State elects to submit an SDFSCA program-specific application,
the SEA and the Governor's office must jointly submit a single
application for the Governor and SEA that addresses the components
listed in Section 4113 of the SDFSCA. Successful applications will
demonstrate consultation and coordination with the appropriate state
officials and others listed in Section 4113(a)(3) and (4) of that
section.

Information about the contents of the consolidated application is
available from the Safe and Drug-Free Schools and Communities Program
(see Appendix D -- Resources for information about how to contact the
Safe and Drug-Free Schools and Communities Program. You may also consult
[www.ed.gov/offices/OESE/SDFS](http://www.ed.gov/offices/OESE/SDFS) for
more information). It is important to note that, if a State chooses to
submit a consolidated application, all the requirements listed in
Section 4113 of the SDFSCA must be met even though the consolidated
application may not ask for submission of that information in writing.

## 

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## Review and Approval Process 

The single State application will undergo a review and will be
considered approved unless the Secretary makes a written determination,
within 120 days of having received the application that the application
is not in compliance with the SDFSCA.

If the Secretary disapproves a State plan, the Secretary must notify the
State of the specific areas of noncompliance and request additional
information needed to bring the State application into compliance. In
addition, the SDFSCA gives a State 45 days within which to provide a
response to the Secretary for approval. If a State fails to respond
within that period, the application will be considered disapproved.

####### 

####### Questions about the State application

Q24. May a State submit an individual application for the SEA and a
separate application for the Governor?

A24. No. Section 4113(a)(1) of the SDFSCA requires a State to submit an
application that contains a comprehensive plan for the use of funds by
the SEA and the Governor. Therefore, a single State application for the
receipt of SDFSCA State Grants Program funds is necessary.

Q25. Who must sign the single State application?

A25. The Chief State School Officer (CSSO) and the Governor both must
sign the single State application.

Q26. The SEA and the Governor must submit a single application. Does
that mean ED will distribute all funds under one grant?

A26. Generally, no. The SEA and the Governor's Program will receive
their funding separately. However, if the Governor elects not to reserve
any of the funds available, the total amount available to the State
would be awarded under a single grant to the SEA.

Q27. The consolidated application does not request all the items listed
in Section 4113 of the SDFSCA, as required for a program-specific
application. Must a State that chooses to submit a consolidated
application comply with all the requirements found in Section 4113 of
the SDFSCA?

A27. Yes. Although the consolidated application instructions require
that only certain information be submitted to ED, States must comply
with all the elements listed in Section 4113 of the SDFSCA. States are
encouraged to document compliance for monitoring and audit purposes.

Q28. Section 4113(a)(9) of the SDFSCA requires that a State's
application contain the results of a needs assessment that is based on
ongoing State evaluation activities. How recent must the data be and
what data elements must be included?

A28. States are encouraged to include in their applications the most
recent available data from their ongoing evaluation activities. Although
the SDFSCA does not limit the types of information that must be
included, data on the following are required:

-   The incidence and prevalence of illegal drug use and violence among
    youth in schools and communities, including the age of onset, the
    perception of health risks, and the perception of social disapproval
    among such youth;

-   The prevalence of "risk factors", including high or increasing rates
    of reported cases of child abuse or domestic violence;

-   The prevalence of "protective factors, buffers, or assets"; and

-   Other variables in the school and community identified through
    scientifically based research.

> States may also wish to explore the possibility of obtaining relevant
> data from other State agencies including State agencies that
> administer alcohol and other drug prevention and rehabilitation
> programs and State criminal justice agencies.

Q29. Must performance measures address both drug use and violence?

A29. The performance measures must be related to the goals of the
program. Unless the grantee has chosen, based on needs assessment
information (see Question 7), to focus the program exclusively on either
drug use or violence, performance measures should be included that
address both areas. Periodic needs assessments of both illegal drug use
and violence will help States and localities determine whether programs
need to expand or shift their focus.

####### 

####### LEA Application for Funds 

## Application Options

LEAs have the following application options:

## 

## An LEA receiving funds under more than one covered program may submit a consolidated application to the SEA. The SEA will make those consolidated local plans and applications available to the Governor. In cases where the SEA has an approved consolidated State application under Section 9302 of the ESEA, the SEA may require those LEAs receiving funds from more than one program included in the consolidated State plan to submit a consolidated application for covered programs.

-   Except in the situation described above, an LEA may submit an
    [SDFSCA-specific application]{.underline} under Section 4114 of the
    SDFSCA. Each SEA will determine the period of time covered by LEA
    applications and will require amendments to an LEA's application to
    reflect changes in the LEA's SDFSCA program \[See Section 4114 of
    the SDFSCA\].

## Consultation on Applications

## 

## LEAs are no longer required to establish or consult with an existing advisory council. However, in order to receive funds, LEAs must develop their applications through consultation with State and local representatives, school representatives (including private schools), teachers, school staff, parents, students, community-based organizations, and others with expertise in violence- and drug-prevention efforts, such as medical, mental health, and law enforcement professionals. This consultation must be ongoing as LEAs seek advice on how best to coordinate their activities and related strategies. LEAs may elect to employ an advisory council in this role.

## LEAs are required to consult with appropriate representatives and organizations at the initial stages of the design and development of programs and activities, including on efforts to meet the Principles of Effectiveness. \[See Section 4114(c)(2) of the SDFSCA.\]

## Contents of LEA Applications

Title IX authorizes the SEA, in collaboration with the State's LEAs, to
determine the contents of a consolidated LEA application. The
consolidated LEA application developed by the State need not include all
of the LEA application requirements contained in the SDFSCA \[Section
4114(d)\]. However, it is important to remember that even if an LEA is
not required by the SEA to supply all information in the application,
LEAs must still gather data to meet the requirements listed in Section
4114 (d) of the SDFSCA.

If States do not implement a consolidated LEA application process, LEAs
must develop an application that responds to the requirements contained
in Section 4114(d) of the SDFSCA.

## Review process

## 

SEAs must carry out a peer or other review process to ensure the quality
of LEA applications. The SEA must consider the quality of the
application and the degree to which the proposed activities meet the
Principles of Effectiveness under Section 4115 of the SDFSCA. LEA
applications will be considered approved unless the SEA makes a written
determination within 120 days of receiving the application that the
application is not in compliance with the statute.

An SEA must notify an LEA of the specific areas of noncompliance and
request additional information needed to bring the application into
compliance. The SEA may not finally disapprove an LEA application until
after giving the LEA notice and opportunity for a hearing. The SDFSCA
gives an LEA a period of 45 days to provide a response to the SEA for
approval. If an LEA fails to respond within that period, the application
will be considered approved.

**Questions about the LEA Application**

Q30. Do SEAs have to use a peer review process for LEA applications?

A30. SEAs must use a peer review process or other method of assuring the
quality of LEA applications. The review must consider the quality of
applications and the extent to which the applications meet the
Principles of Effectiveness. \[See Section 4114(e) of the SDFSCA.\]

####### Governor's Subgrantee Applications

## Eligible Applicants

The Governor may award competitive grants and contracts to LEAs,
community-based organizations (including community anti-drug
coalitions), other public entities and private organizations, and
consortia of these agencies. In making awards, the Governor must give
priority to programs and activities that prevent illegal drug use and
violence for:

-   children and youth who are not normally served by SEAs or LEAs; or

-   populations that need special services or additional resources (such
    as youth in juvenile detention facilities, runaway or homeless
    children and youth, pregnant and parenting teenagers, and school
    dropouts).

Additionally, the Governor must give special consideration to grantees
that pursue a comprehensive approach to drug and violence prevention
that includes providing and incorporating mental health services related
to drug and violence prevention in their program. \[See Section 4112(a)
of the SDFSCA.\]

## 

## How to Apply

Applicants apply for funds directly to the Governor's office or the
designated agency responsible for administering funds under the
Governor's program. The procedures for awarding and administering
subgrants will be based on the State's own procedures and laws.
Similarly, when procuring property and services under the SDFSCA, the
Governor must follow the same State policies and procedures used for
procurements from non-Federal funds.

## 

## 

## Contents of Applications

The Governor is given discretion as to the contents of applications
submitted for consideration. However, the Governor must award grants
based on the quality of the program or activities proposed and how the
program or activity meets the Principles of Effectiveness as described
in Section 4115(a) of the SDFSCA.

Applications submitted to the Governor for consideration must undergo a
peer review process.

**Questions about the Governor's subgrantee application**

Q31. The statute requires that Governors give priority to programs and
activities that prevent illegal drug use and violence for children who
are not normally served by SEAs or LEAs or populations that need special
services or additional resources, such as youth in juvenile detention
facilities, runaway or homeless children and youth, pregnant and
parenting teenagers, and school dropouts. Does this mean that Governors
must use all their funding for these populations?

A31. No. The statute does not require Governors to use a specific amount
of their funding for services to the identified groups. Governors must
give precedence to providing services to these groups and make sure that
needed services are provided to these populations before competing
alternatives are addressed.

Q32. May the Governor choose a population other than those explicitly
mentioned in the SDFSCA to receive special services or additional
resources as provided in Section 4112(a)(2)(B) of the SDFSCA?

A32. The Governor may choose to provide special services or additional
resources to populations other than those mentioned in the SDFSCA;
however, a justification for the selection of a population should be
developed and maintained.

Q33. Will ED impose additional requirements concerning the peer review
requirement contained in Section 4112(a)(4) of the SDFSCA?

A33. ED will not propose any additional requirements. Governors have the
flexibility to develop and implement their own procedures for peer
review of grants and contracts awarded under the SDFSCA Governor's
Program. Governors may choose to use an existing peer review mechanism,
or develop a process that is appropriate for State needs and conditions.

Q34. May faith-based organizations receive funds under the Governors
Program?

A34. Yes, as long as educational services or other benefits including
materials and equipment provided are secular, neutral, and
non-ideological.

##### [III. Distribution of Funds]{.underline}

**Allocations from ED to States**

ED uses the formula provided in Section 4111 of SDFSCA to determine how
funds are distributed to States. The formula is based on a State's
relative share of the country's school-aged population, and its share of
the Title I concentration grant funds. More specifically, after
reservations for the territories, the Bureau of Indian Affairs, and the
Native Hawaiians Program, ED distributes the remaining funds:

-   one-half according to the ratio between the school-aged population
    of the State and that of all the States; and

-   one-half according to the ratio between the amount each State
    received under section 1124A of the ESEA for the preceding year and
    the sum of such amounts received by all States. (Section 1124A of
    the ESEA governs the distribution of Title I, Concentration Grant
    allocations.)

The new statute continues the "small-State minimum" (no less than
one-half of one percent of the total allocated to all the States) that
has been part of the program for many years, and adds a "hold harmless"
provision at the Fiscal Year 2001 level. The statute provides for every
State to receive at least the greater of these two amounts.

####### Distribution of Funds to Governors

Under Section 4112(a) of the SDFSCA, the Governor may reserve no more
than 20 percent of the total amount allocated to a State for awards to
subgrantees. The Governor may not use more than 3 percent of the amount
available to the Governor for the administrative costs incurred in
carrying out related duties.

**Distribution of Funds to SEAs**

The SEA will receive at least 80 percent of a State's allotment under
the program. An SEA may reserve not more than 5 percent of its total
allocation for State-level activities as authorized under Section
4112(c) of the SDFSCA. An SEA may also reserve not more than 3 percent
of its total allocation for administrative costs, including the
implementation of the Uniform Management Information and Reporting
System as provided under Section 4112(b)(2)(A) of the SDFSCA. (However,
in fiscal year 2002, the SEA may reserve up to an additional 1 percent
of its total allocation for administrative costs, provided that the
additional reservation is used to support the Uniform Management
Information and Reporting System.)

## **SEA Distribution of Funds to LEAs**

SEAs must distribute at least 93 percent of the funds they receive to
LEAs. Of the funds available for distribution to LEAs, SEAs must
distribute 60 percent based on the relative amount LEAs received under
Part A of Title I for the preceding fiscal year, and 40 percent based on
relative enrollments in private and public elementary and secondary
schools within the boundaries of the LEAs.

####### 

####### 

####### 

####### 

####### 

####### 

####### Redistribution of Funds to LEAs

If an LEA does not apply to its SEA for funds, or if the SEA disapproves
an LEA's application for funds, the SEA must reallocate the LEA's funds
to one or more of its other LEAs.

If an LEA is unable to obligate a portion of its allocation within one
year after it has been awarded by the SEA, the funds must be returned to
the SEA. (See "Carryover of Funds by LEA" below for an exception.) In
this case, the SEA reallocates the funds to LEAs that have submitted
plans for using the funds on a timely basis. \[See Section 4114(a)(3) of
the SDFSCA\]

#### 

#### **Carryover of Funds by LEAs**

#### 

#### An LEA may keep up to 25 percent of its allocation for the following fiscal year. An LEA may retain an amount greater than 25 percent of its fiscal year allocation for use in the following year if it can demonstrate, to the satisfaction of the SEA, that it has "good cause" for such a carryover. \[See Section 4114(a)(3) of the SDFSCA\]

####### Question about the SEA/LEA Program

Q35. May SDFSCA funds be awarded to individual schools rather than LEAs?

A35. No. Section 4112(b)(1) of the SDFSCA explicitly requires the SEA to
award funds to its LEAs. Therefore, unless a "school" meets the
definition of an LEA and is considered an LEA by the SEA, SDFSCA funds
cannot be awarded to an individual school.

####### Question about the Governor's Program

Q36. Can the Governor choose not to implement programs under the SDFSCA?

A36. Yes. According to Section 4112(a) of the SDFSCA, the Governor has
the option of reserving an amount up to 20 percent of the amount awarded
to the State to implement drug and violence prevention programs.
However, should the Governor choose not to reserve any funds, the total
amount available to the State would be awarded to the SEA.

### IV. Program Implementation

####### SEA Programs

The ESEA, as reauthorized by NCLB, encourages greater accountability by
emphasizing cross-agency efforts, both in development of applications
and in the implementation of programs, including through the Uniform
Management Information and Reporting System.

SEAs are authorized to use SDFSCA funds to plan, develop, and implement
capacity-building, technical assistance and training, evaluation,
program improvement services, and coordination activities for LEAs,
community-based organizations and other public and private entities.
Funded programs must be consistent with the Principles of Effectiveness,
which were expanded to emphasize the importance of risk factors in
analyzing data and parental involvement in the development of
applications and the implementation of programs and activities under the
SDFSCA. \[See Section 4115(a) of the SDFSCA.\]

In addition to meeting the Principles of Effectiveness, SEA programs
must:

-   Complement and support local uses of funds implemented by LEAs under
    Section 4115(a) of the SDFSCA; and

-   Be in accordance with the purposes of the SDFSCA.

Section 4112(c)(2)(D) of the SDFSCA authorizes SEA activities to
include, among other activities:

-   Identification, development, evaluation, and dissemination of drug
    and violence prevention strategies, programs, activities, and other
    information;

-   Training, technical assistance, and demonstration projects to
    address violence that is associated with prejudice and intolerance;
    and

-   Financial assistance to enhance drug and violence prevention
    resources available in areas of the State that serve large numbers
    of low-income children, are sparsely populated, or have other
    special needs.

**Message and Materials**

Drug and violence prevention programs supported under the State Grants
Program must convey a clear and consistent message that the illegal use
of drugs and acts of violence are wrong and harmful.

**LEA Programs**

LEAs may carry out a broad range of drug and violence prevention
programs with SDFSCA funds. Funded programs and activities must be
coordinated with other school and community-based services and programs
and must:

-   Foster a safe and drug-free learning environment that supports
    academic achievement;

-   Be consistent with the Principles of Effectiveness;

-   Be designed to---

    -   Prevent or reduce violence; the use, possession and distribution
        of illegal drugs; and delinquency; and

    -   Create a well-disciplined environment conducive to learning,
        which includes consultation between teachers, principals, and
        other school personnel to identify early warning signs of drug
        use and violence and to provide behavioral interventions as part
        of classroom management efforts; and

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-   Include activities to---

    -   Promote the involvement of parents in the activity or program;

    -   Promote coordination with community groups and coalitions, and
        with government agencies; and

    -   Distribute information about the LEA's needs, goals, and
        programs under the SDFSCA

The list of activities in Section 4115(b)(2) of the SDFSCA that may be
implemented by LEAs includes: age-appropriate and developmentally based
activities; activities that engage families, community sectors, and a
variety of prevention providers in setting clear expectations against
violence and illegal drug use; drug and violence prevention activities;
and the evaluation of any activities authorized under SDFSCA. A full
list of authorized activities can be found in Section 4115(b)(2) of the
SDFSCA. LEAs may use no more than 2 percent of their allocation to carry
out the administrative responsibilities associated with the
implementation of these programs \[See Section 4114(a)(2) of the
SDFSCA\].

An EDGAR Highlight: Necessary and Reasonable Costs

(Section 80.22 of EDGAR and OMB Circular A-87---Cost Principles)

Although Title IV of ESEA authorizes a broad range of activities, these
statutory provisions are not the only requirements governing expenditure
of funds. SEAs and LEAs must also consider the requirements at Section
80.22 of EDGAR (Allowable Costs), which specify that allowable costs
under a grant to a State, local, or Indian tribal government are
determined under OMB Circular A-87. This Circular provides general
guidelines on allowable costs, as well as specific determinations
regarding certain kinds of costs.

**Prohibited LEA Activities**

Section 4154 of the SDFSCA details the prohibited uses of funds.
According to this section, construction (except minor remodeling needed
to accomplish SDFSCA purposes) medical services, and drug treatment and
rehabilitation are prohibited activities. Pupil services, or referral to
treatment for students who are victims of, or witnesses to, crime or who
illegally use drugs, are allowed.

**Parental Consent**

LEAs must make a reasonable effort to inform parents or legal guardians
of students of the contents of programs or activities funded under the
State Grants Program (except in the case of classroom instruction). LEAs
must withdraw a student from any program or activity supported with
State Grants Program funds upon written notification from the parents or
legal guardians of students.

####### Supplement, Not Supplant

A State must ensure that SDFSCA funds awarded under State Grants Program
are used only to supplement the level of State, local, and other
non-Federal funds and not to replace funds that would have been
available to conduct activities if SDFSCA funds had not been available.
\[For more information, see Section 4113(a)(8) of the SDFSCA\]

### Question about Supplement, Not Supplant

Q37. What restrictions does the supplement, not supplant requirement
impose on the use of SDFSCA funds under the State Grants Program?

A37. By enacting the supplement, not supplant provision contained in
Section 4113(a)(8) of the SDFSCA, the Congress intended that SDFSCA
funds be used only to supplement the level of funds from non-Federal
sources that would, in the absence of the SDFSCA funds, be available for
the purposes listed in Sections 4112(a), 4112(c) and 4115 of the SDFSCA.
To be in compliance with this requirement, therefore, grantees or
subgrantees may not divert State and local funds from an activity merely
because SDFSCA funds are available. In other words, the use of SDFSCA
funds may not result in a decrease in State and local funds for a
particular activity, which, in the absence of SDFSCA funds, would have
been available to conduct the activity.

> Although the application of the supplement, not supplant provision
> must be analyzed in the context of the facts and circumstances of each
> particular case, it is possible to give general guidance by way of
> examples. Two examples of the application of the supplanting
> prohibition follow:

-   Assume that State law requires each LEA to provide at least five
    hours of classroom instruction each semester on conflict resolution
    to all ninth grade students. Because each LEA is required to provide
    the five hours of instruction from its own or the State's resources
    regardless of the existence of SDFSCA funds, the LEAs may not use
    SDFSCA funds to comply with the State mandate. SDFSCA funds are
    intended to supplement State and local expenditures for the purposes
    of the State Grants Program; they are not intended to replace State
    or local funds that would have been spent for the purposes of the
    State Grants Program in the absence of Federal funds. In this
    particular case, the Federal funds could be used to supplement the
    expenditure of State and local funds for instruction on conflict
    resolution to ninth grade students and to expand programs and
    services beyond the level that would be provided in the absence of
    Federal funds. But they could not be used to provide the five basic
    hours of instruction.

-   An LEA, on its own initiative, already provides with its own
    resources what it regards as an appropriate drug and violence
    prevention program for its seventh grade students. The program is
    successful, and the LEA would continue it with its own funds, but
    intends instead to continue that same seventh grade program with
    SDFSCA funding and spend its own funds for another activity not
    authorized by SDFSCA, such as providing drug treatment or
    rehabilitation services for school dropouts. Shifting the support of
    the seventh grade program from local funds to SDFSCA in these
    circumstances would violate the supplement, not supplant provision.
    By using SDFSCA funds to continue the seventh grade drug and
    violence prevention program, the LEA is merely replacing local funds
    that would have been expended anyway -- not supplementing or
    expanding the amount of program activities authorized by the SDFSCA.

####### Cap on Spending for Some Activities

Section 4115(b)(2)(E) of the SDFSCA imposes limits on funding certain
activities with SDFSCA funds. A cap is imposed on the following LEA
activities:

> \(a\) acquiring and installing metal detectors, electronic locks,
> surveillance cameras, or other related equipment and technologies
>
> \(b\) reporting criminal offenses committed on school property
>
> \(c\) developing and implementing comprehensive school security plans
> or obtaining technical assistance concerning those plans
>
> \(d\) supporting safe zones of passage activities, including bicycle
> and pedestrian safety programs, that ensure that students can travel
> safely to and from school
>
> \(e\) hiring and mandatory training of school security personnel who
> interact with students in support of youth drug and violence
> prevention activities implemented in schools

An LEA may use up to 40 percent of its allocation to support the
activities described in clauses (a) through (e), but not more than half
of that amount (or a maximum of 20 percent) may be used to support the
activities described in clauses (a) through (d). LEAs may use the entire
40 percent to support the hiring and training activities in clause (e).

Funds may be used for the activities in clauses (a) through (e) only to
the extent that an LEA does not receive funding for those activities
from other Federal agencies. These activities are also subject to the
requirements of the Principles of Effectiveness.

###### An Example

ABC School District receives a grant of \$10,000 under the program. The
district can use no more than \$4,000 in total for the "capped"
activities. Of that \$4,000, no more than \$2,000 can be used for the
activities described in clauses (a) through (d) above.

ABC could use the entire \$4,000 for hiring and training school security
personnel, or could choose spend \$1,000 on safe zones of passage, and
\$3,000 on hiring and training school security personnel, or could shift
its planned spending to include \$2,000 for school security plans and
\$2,000 for school security personnel.

### Questions about SEA/LEA Programs

Q38. What kinds of purchases for "school security" are covered?

A38. Section 4115(b)(2)(E)(ii) of the SDFSCA lists the types of security
hardware that may be purchased with SDFSCA funds. Funds may be used to
buy and install metal detectors, electronic locks, surveillance cameras,
and other related equipment and technologies.

Q39. May the whole security cap be used for equipment and technology?

A39. No, only half of the total security cap (i.e., a maximum of 20
percent of an LEA's allocation) may be spent on school security items
listed in Section 4115(b)(E)(ii-v) of the SDFSCA. See "Cap on Spending
on Some Activities", above.

Q40. May Title IV funds be used for drug testing students and employees?
For

> background checks of employees?

A40. Section 4115(b)(2)(E)(xiv) of the SDFSCA states that authorized LEA
activities include testing students for illegal drugs, consistent with
the Fourth Amendment to the Constitution. Allowable activities include
tests that are at the request, or have the consent, of parents or legal
guardians. Inspections of students' lockers for weapons or illegal drugs
may also be conducted.

> Section 4115(b)(2)(E)(xx) of the SDFSCA authorizes the use of funds to
> conduct national background checks of LEA employees to determine
> whether an employee or prospective employee has been convicted of a
> crime that bears on the employee's ability to be responsible for the
> safety of children, serve in the particular capacity for which he or
> she was hired, or be otherwise employed by the LEA.

Q41. The statute contains an extensive list of authorized activities for
LEAs, but some of those activities might not be supported by a research
base that meets the definition of "scientifically based" research. May
LEAs implement activities from the "authorized" list that do not meet
the requirements of the Principles of Effectiveness?

A41. The SDFSCA requires an LEA to use program funds in a manner
consistent with the Principles of Effectiveness. The Principles of
Effectiveness require that programs supported with SDFSCA funds be based
on scientifically based research that provides evidence that the program
will reduce violence and illegal drug use. An LEA may use funds only for
authorized activities that meet this standard, unless it receives a
waiver from its SEA.

Q42. May an LEA apply for a waiver of the requirement to implement
programs

> that are scientifically based?

A42. Consistent with Section 4115(a)(3) of the SDFSCA, LEAs may apply to
their SEA for a waiver of the requirement to implement programs that are
scientifically based. However, LEAs applying for waivers must
demonstrate that funded programs or activities are innovative and have a
substantial likelihood of success.

> The Department encourages SEAs, in considering requests for waivers,
> to apply criteria that will permit the implementation of services and
> activities highly likely to be successful. For example, SEAs may want
> to consider to what extent proposed programs address the elements of
> the definition of scientifically based research.

Q43. May SDFSCA funds be used to support the work of social workers,
counselors or mental health professionals?

A43. The SDFSCA authorizes the use of funds for a broad range of drug
and violence prevention programs and activities including counseling,
mentoring, referral services, and other student assistance practices and
programs provided by qualified school-based mental health services
providers. LEAs may also use funds for the training of teachers by
school-based mental health services providers in appropriate
identification and intervention techniques for students at risk of
violent behavior and illegal use of drugs.

Q44. Are academic activities (such as a tutoring program) that are
unrelated to drug and violence prevention allowable activities under
Section 4115(b)(2)(A)(vi), which authorizes the use of funds for
activities that "engage students in the learning process"?

A44. While effective drug and violence prevention programs create safe
and drug-free learning environments and foster academic achievement,
activities funded under SDFSCA must directly support a safe and
drug-free learning environment.

Q45. Are costs associated with evaluation of drug and violence
prevention programs considered program costs?

A45. Yes, the evaluation of drug and violence prevention programs can be
considered a program cost.

Q46. Section 4114(d)(2)(E) of the SDFSCA requires LEAs to describe how
they will target schools and students with the greatest need. May LEAs
make subgrants to schools with the greatest need?

A46. LEAs must target *services and activities* on high-need schools and
students; however, the SDFSCA does not authorize LEAs to subgrant funds.
While staff at individual schools may be heavily involved in determining
the kinds of activities that will be implemented in their schools, LEAs
must maintain administrative control over grant funds.

Q47. May LEAs use State Grants program funds to support programs or
activities designed to prevent victimization associated with prejudice
and intolerance?

A47. Yes. However, the implementation of any curricula, programs, or
activities designed to prevent victimization associated with prejudice
and intolerance must include safeguards to prevent harassment directed
against any particular religion, religious practice, or religious
organization.

Q48. Do the provisions of the Safe and Drug-Free Schools and Communities
Act (SDFSCA) (Title IV, Part A of the Elementary and Secondary Education
Act of 1965 as amended by the No Child Left Behind Act) prohibit the
presence of prescription medication (or paraphernalia used to administer
such medication) at school?

A48. No, a student's prescription drugs, and related equipment, are not
illegal drugs and are not prohibited by the SDFSCA. The SDFSCA defines
drug prevention as prevention, early intervention, rehabilitation
referral, or education related to the illegal use of drugs. Under the
SDFSCA, the term "drug" includes controlled substances, the illegal use
of alcohol and tobacco, and the harmful, abusive, or addictive use of
substances, including inhalants or anabolic steroids.

Many students suffer from short term or chronic illnesses that require
them to take prescription medication and, in some cases, these
medications must be taken during the school day. For example, students
that have been diagnosed with diabetes may have to receive insulin
during the school day, and as a result would need to have both the
medication and a syringe for administration of the medication available.
The provisions of the SDFSCA do not prohibit these activities.

> States or localities may develop policies regarding the custody or
> control of prescription drugs, the equipment necessary to administer
> the drugs as prescribed, and the equipment necessary to monitor the
> illness. We encourage State and local officials to consider the needs
> of all of their students in developing policies that address this
> issue.

####### Governor's Programs

Section 4112(a) of the SDFSCA describes authorized uses of SDFSCA funds
allocated to Governors. This section requires Governors to use their
funds for competitive grants and contracts to LEAs, community-based
organizations, or public entities and private organizations, and
consortia thereof. In awarding these funds, the Governor must give
priority to children and youth who are not normally served by SEAs or
LEAs, or populations that need special services or additional resources
(such as youth in juvenile detention facilities, runaway or homeless
children and youth, pregnant and parenting teenagers, and school
dropouts). Additionally, the Governor must give special consideration to
grantees that pursue a comprehensive approach that includes
incorporation of mental health services related to drug and violence
prevention.

Funds under this section must be used to implement drug and violence
prevention activities, which must include: activities that complement
and support LEA activities; dissemination of information about drug and
violence prevention; and development and implementation of
community-wide drug and violence prevention planning and organizing.

**Message and Materials**

Drug and violence prevention programs supported under the State Grants
Program must convey a clear and consistent message that the illegal use
of drugs and acts of violence are wrong and harmful.

**Question on Governor's Programs**

Q49. Are Governors limited to implementing only those activities
specifically authorized in Section 4112(a)(5) of the SDFSCA?

A49. No. Although the Governors must implement the authorized activities
contained in Section 4112(a) of the SDFSCA, other activities may be
implemented with Governor's funds if they are consistent with the
purposes of the SDFSCA and comply with the Principles of Effectiveness
in Section 4115.

## **Technical Assistance and Reporting**

## Technical Assistance and Monitoring

Each SEA and Governor must provide technical assistance to LEAs,
community-based organizations, other public entities and private
organizations on their implementation of SDFSCA, and must monitor the
activities of these entities. A State's SDFS program-specific plan must
include a description of how the SEA and the Governor will carry out
these monitoring and technical assistance responsibilities. \[See
Section 4113(a)(17) and (18) of the SDFSCA\]

## 

## 

## 

## 

## 

## 

## 

## 

## 

## 

## State Reports

Section 4116 of the SDFSCA requires that States submit periodic reports
to the

Secretary of Education. As part of the ESEA consolidated reporting
process, the first report is due by December 1, 2003; succeeding reports
will be due every two years*.* The State reports must be a cooperative
effort of the Governor and the Chief State School Officer and must
include information on the implementation and outcomes of State programs
assisted with Governor's program funds as well as SEA and LEA programs.
Reports must also include an assessment of the effectiveness of these
programs, as well as a report on the State's progress toward achieving
its performance measures for drug and violence and the State's efforts
to inform and include parents in its drug and violence prevention
efforts. The report must be based on ongoing evaluation activities and
include data on the incidence and prevalence, age of onset, perception
of health risk, and perception of social disapproval of drug use and
violence by youth in schools and communities. In addition to being
submitted to the Secretary, the report must also be made readily
available to the public. \[See Section 4116 of the SDFSCA\]

## Uniform Management Information and Reporting System 

## The Uniform Management Information and Reporting System is a new requirement under the SDFSCA. The Uniform Management Information and Reporting System will provide the public with data about youth drug use and school violence at the State and local levels. States must provide information on a school-by-school basis on: truancy rates; the frequency, seriousness, and incidence of violence and drug-related offenses resulting in suspensions and expulsions in elementary schools and secondary schools in the State; the types of curricula, programs, and services provided by the States and local entities with SDFSCA funds; and the incidence and prevalence, age of onset, perception of health risk, and perception of social disapproval of drug use and violence by youth in schools and communities.

## Compilation of Statistics

####### 

The offenses included in the State's Uniform Management Information and
Reporting System data base must be defined according to the State's
criminal code, but must not identify victims of crimes or persons
accused of crimes. The collected data must include incident reports by
school officials, anonymous student surveys, and anonymous teacher
surveys.

####### Questions about the Uniform Management Information and Reporting System

Q50. Who is responsible for establishing a State's Uniform Management
and Information Reporting System?

A50. The Governor and the SEA are jointly responsible for establishing
the Uniform Management and Information System. Note that the SDFSCA does
not specify where the State should locate the system. Each State will
make its own decisions about where Uniform Management and Information
Reporting System will be located.

Q51. When must States establish a Uniform Management Information and
Reporting System?

## 

## A51. While the statute does not prescribe a deadline for implementation of the Uniform Management and Information Reporting System, the Department will ask States to provide information that is part of Uniform Management Information and Reporting System in the performance reports due on December 1, 2003.

Q52. How is the Uniform Management Information and Reporting System to
be funded?

A52. The SEA may use a portion or all of its set-aside for
administrative costs to fund Uniform Management Information and
Reporting System. In fiscal year 2002, the SEA may reserve an additional
1 percent of its allocation for administrative costs (but not more than
a maximum of 4 percent), provided that those additional funds are used
to implement the Uniform Management and Information Reporting System.
\[See Section 4112(b)(2) of the SDFSCA\]

Q53. Do both the SEA and the Governor need to report data under the
system?

A53. Yes, both the SEA and Governor must report data under the Uniform
Management Information and Reporting System. States and local recipients
of SDFSCA funds must provide information on the types of curricula,
programs, and services provided and the incidence and prevalence, age of
onset, perception of health risk, and perception of social disapproval
of drug use and violence by youth in schools and communities.

Q54. How often is the Uniform Management Information and Reporting
System information required to be collected?

A54. The frequency of reporting to the public data housed in the Uniform
Management Information and Reporting System will be determined by the
State. The Uniform Management Information and Reporting System will
contain data from several different sources, which may collect data at
different times and with differing frequencies. In that sense, the
Uniform Management Information and Reporting System does not collect the
data, but rather houses it to make dissemination to the public easier.

Q55. How are the terms "incidence and prevalence" defined?

A55. Incidence is a rate that measures the frequency with which a health
problem, such as a new injury or illness, occurs in a population. In
calculating incidence, the numerator is the number of cases occurring in
the population during a given period of time, and the denominator is the
total population at risk during that same time.

Prevalence is the number or proportion of cases or events or conditions
in a given population. In calculating prevalence, the numerator is the
number of cases and the denominator is the total population at risk.

Q56. In collecting data required for the Uniform Management Information
and Reporting System, must an SEA or LEA survey all students, or is a
sample of students sufficient?

A56. SEAs or LEAs may choose to survey a sample of students when
collecting data for the Uniform Management Information and Reporting
System.

Q57. Are there other requirements concerning collection and release of
data from students about use and prevalence of drugs in schools?

A57. The Protection of Pupil Rights Amendments (PPRA) and the Federal
Educational Rights and Privacy Act (FERPA) contain requirements designed
to ensure appropriate parental involvement and privacy for surveys and
student records, respectively. Detailed information about these
provisions can be obtained from ED's Family Policy Compliance Office and
additional information about PPRA and FERPA can be found in the Appendix
D -- Resources of this guidance.

**Appendix A.**

####### [Flexibility and Accountability Provisions]{.underline}

####### 

Title VI of the ESEA contains flexibility and accountability provisions
that apply to the implementation of both the Governor's and SEA's
program under SDFSCA. . The provisions are described in greater detail
on the Department's website at
http://www.ed.gov/offices/OESE/esea/index.html.

**State-Flex (ESEA Section 6141 through 6144)**

An SEA with State-Flex authority may consolidate SDFSCA State Grant
funds that are available for State-level activities and State
administration with certain other State-level funds, and use those funds
for any ESEA purpose in order to make adequate yearly progress and
advance the educational priorities of the State and the LEAs with which
the State enters into performance agreements.

Similarly, an LEA that enters into a performance agreement with its SEA
in a State-Flex State may consolidate its SDFSCA State Grant funds with
certain other Federal funds, and use those funds for any ESEA purpose
consistent with the SEA's State-Flex plan in order to meet the State's
definition of adequate yearly progress, improve student academic
achievement, and narrow achievement gaps.

The SEAs, and the LEAs with which the SEA enters into performance
agreements, will provide for the equitable participation of students and
professional staff in private schools, consistent with Section 9501.
Sections 9502, 9503, and 9504 shall apply to all services and assistance
provided with funds in the same manner as such sections apply to
services and assistance provided in accordance with Section 9501. (See
Section 6141(c)(1)(K))

## **Local Flexibility Demonstration (ESEA Sections 6151 through 6156)**

An LEA that enters into a Local-Flex agreement with the Secretary may
consolidate its SDFSCA State Grant funds with certain other Federal
funds and, consistent with the purposes of the Local-Flex program, use
those funds for any ESEA purpose in order to meet the State's definition
of adequate yearly progress, improve student academic achievement, and
narrow achievement gaps. Participation in this demonstration is
competitive and limited. (See Sections 6151 -- 6156 of Title VI, Part A,
Subpart 3, Chapter B of the ESEA)

The local flexibility demonstration agreement must contain an assurance
that the LEA agrees that in consolidating and using funds under the
agreement, the LEA will provide for the equitable participation of
students and professional staff in private schools consistent with
Section 9501. Sections 9502, 9503, and 9504 shall apply to all services
and assistance provided with funds in the same manner as such sections
apply to services and assistance provided in accordance with Section
9501. (See Section 6151(c)(8)(A and B))

####### Transferability (ESEA Sections 6121 through 6123)

Transferability is a new ESEA flexibility authority that allows States
and LEAs to transfer a portion of the funds that they receive under
certain Federal programs to other programs that most effectively address
their unique needs. Both Governor's (with the agreement of the Governor)
and SEA SDFS funds may be transferred.

Under this authority, a State may transfer up to 50 percent of the
non-administrative funds allotted to it to carry out State-level
activities under each of the following provisions to one or more of its
allotments under any of the other programs listed below:

-   Section 2113(a)(3) (Teacher and Principal Training and Recruitment)

-   Section 2412(a)(1) (Enhancing Education Through Technology)

-   Section 4112(a)(1) (Safe and Drug-Free Schools and Communities
    Governor's funds, with the agreement of the Governor)

-   Section 4112(c)(1) (Safe and Drug-Free Schools and Communities SEA
    funds)

-   Section 4202(c)(3) (21^st^ Century Community Learning Centers)

-   Section 5112(b) (Innovative Programs)

Subject to the 50 percent limitation, a State may also transfer funds
allotted to it under the provisions listed above to its allotment under
Part A of Title I to carry out State-level activities under Part A of
Title I. A State may not transfer funds allocated under Part A of Title
I to any other program.

Likewise, an LEA (except an LEA identified for improvement or subject to
corrective action under section 1116(c)(9)) may transfer up to 50
percent of the funds allocated to it by formula under certain other
programs to its SDFSCA allocation (or to other specified allocations) or
to its allocation under Part A of Title I. An LEA may also transfer up
to 50 percent of its SDFSCA allocation to certain other programs. An LEA
identified for improvement under Title I may transfer not more than 30
percent of the funds allocated to it under the programs listed above to
its allocation for school improvement under section 1003 or to any other
allocation provided that funds are used only for LEA improvement
activities consistent with Section 1116(c). An LEA identified corrective
action may not transfer funds under these provisions.

Each SEA or LEA that transfers funds under this section must conduct
consultation in accordance with Section 9501, if that action transfers
funds from a program that provides for the participation of students,
teachers, or other educational personnel, from private schools. (See
Section 6123(e)(2))

For more information on transferability, please visit the U.S.
Department of Education's ESEA website and discussion of flexibility
provisions:
[http://www.ed.gov/offices/OESE/esea/flex_summary.pdf](http://www.ed.gov/nclb/freedom/local/flexibility/summary.pdf)

## **Rural Education Initiatives**

An LEA eligible under the Rural Education Initiative (Title VI, Part B
Section 6202) may combine its SDFSCA funds with certain other Federal
funds and use its funding to carry out local programs. Accordingly, an
LEA may spend all or part of its SDFSCA funds for this purpose.

Similarly, an LEA that receives funds under the Rural and Low-Income
School Program may use those funds for activities authorized under the
SDFSCA. (See Section 6211 of Title VI, Part B, Subpart 1 of the ESEA)

**Appendix B.**

**[General Provisions]{.underline}**

Title IX of the ESEA contains definitions and general provisions that
apply to the implementation of both the Governor's and SEA's program
under the SDFSCA State Grants Program. The following is a brief
discussion of those provisions.

####### 

####### Maintenance of Effort

The "maintenance of effort" provisions are designed to ensure continuing
financial support from State and local funding for education. An LEA may
receive funding under a "covered program" for any fiscal year only if
the SEA finds that either the combined fiscal effort per student, or the
aggregate expenditures, of the LEA and the State with respect to the
provisions of free public education by the LEA was at least 90 percent
of the combined fiscal effort or aggregate expenditure for the second
preceding year.

If an LEA fails to meet this requirement, its SEA must reduce its
allocation of funds from the "covered" programs. This reduction must be
made in the exact proportion by which the LEA failed to meet the 90
percent requirement. In making the reduction, SEAs must use the measure
(either combined fiscal effort per student or aggregate expenditures)
that is most favorable to the LEA. The State may not consider funding
provided under the ESEA (other than Title VIII, Impact Aid) in
determining an LEA's eligibility for State aid or the amount of State
aid for education for children.

The Secretary may waive the maintenance-of-effort requirement if he
determines that such a waiver would be equitable because of exceptional
or uncontrollable circumstances, such as a natural disaster or a
precipitous decline in the financial resources of the LEA (See Section
9521 of Title IX, Part E, Subpart 2 of the ESEA.

####### Private School Participation

States and local recipients of SDFSCA are subject to the requirements in
Section 9501 regarding participation of private school children and
teachers. These requirements extend to discretionary grant programs
authorized under Title IV, Part A and to the Community Service Grant
Program (a formula program authorized by Section 4126 of the SDFSCA).
Generally, the provisions require that children enrolled in private
elementary and secondary schools (and their teachers) must be provided
equitable educational services or other benefits, compared to services
and benefits received by public school children and teachers.

LEAs must consult with appropriate private school officials during the
design, development, and implementation of programs on issues such as
how the children's and teachers' needs will be identified; what services
will be offered; how, where, and by whom the services will be provided;
how the services will be assessed and how the results of the assessment
will be used to improve those services; the size and scope of the
equitable services; the amount of funds available for those services;
how and when the LEA will make decisions about the delivery of services;
and a thorough consideration and analysis of the views of the private
school officials on the provision of contract services through potential
third-party providers. If the needs of private school students and
teachers are different from those of public school students and
teachers, the LEA, in consultation with private school representatives,
is required to develop a separate program. Decisions affecting the
opportunities of eligible private school students' and teachers'
participation in Title IV, Part A programs are made only after
consultation has taken place.

The services must be secular, neutral, and non-ideological, and must be
furnished following timely and meaningful consultation with private
school officials.

Funds provided for programs and services for private school students and
teachers must be equal on a per-pupil basis, taking into account the
number and educational needs of the children to be served, to the funds
provided for participating public school students and teachers. Hence,
on a per-pupil basis, expenditures for public and private school
students and teachers must be equal. Costs for administering programs
for public and private school students and teachers must come "off the
top" of the allocation before determining how much of the allocation
should be used for public and private school students and teachers. In
addition, funds used to provide services to private school students and
their teachers must remain under the control of the LEA or public
agency; title to materials, equipment, or property purchased to support
services or benefits to private school children must remain with a
public agency. (See Section 9501, Title IX, Part E, Subpart 1 of the
ESEA).

In order to facilitate consultation between public and private school
officials and the effective implementation of programs and services for
private school students and teachers, SEAs/LEAs are encouraged to create
*Non-Public School Working Groups* made up of representatives from the
full spectrum of private schools. Such groups exist in some States and
LEAs, meet on a regular basis, and smooth the progress of federal
education program implementation for private school students and
teachers.

####### Consolidated Administrative Funds 

If an SEA can demonstrate that the majority of its resources are derived
from non-Federal sources, it may consolidate funds made available to it
for State administration under the SDFSCA and other ESEA programs, as
well as other programs that the Secretary may designate. The
consolidated administrative funds may be used to administer the programs
included in the consolidation and for administrative activities designed
to enhance the effective and coordinated use of funds under those
programs.

Similarly, with approval of its SEA, an LEA may consolidate SDFSCA funds
available for administration, as well as other local administrative
funds, to administer the programs included in the consolidation and for
uses, at the district and school levels, designed to enhance the
effective and coordinated use of funds under those programs. \[See
Sections 9201-9203 of Title XI, Part B of the ESEA\].

####### 

####### Waivers

#######  

The Secretary may waive any of the statutory and regulatory requirements
for programs covered under the ESEA, except requirements pertaining to:

-   the allocation or distribution of funds to States, LEAs, or other
    recipients of funds under the ESEA;

-   maintenance of effort;

-   comparability of services;

-   use of Federal funds to supplement, not supplant non-Federal funds;

-   equitable participation of private school students and teachers;

-   parental participation and involvement;

-   applicable civil rights requirements;

-   the requirement for a charter school under Subpart 1 of Part B of
    Title V;

-   the prohibitions regarding State aid in Section 9522 of the ESEA and
    the use of funds for religious worship or instruction in Section
    9505 of the ESEA and activities in section 9526 of the ESEA and;

-   the selection of a school attendance area or school under
    subsections (a) and (b) of Section 1113, except that the Secretary
    may grant a waiver to allow a school attendance area or school to
    participate in activities under Part A of Title I if the percentage
    of children from low-income families in the school attendance area
    or who attend the school is not more than the 10 percentage points
    below the lowest percentage of the local educational agency that
    meets the requirements in subsections (a) and (b) of Section 1113 of
    Title I of the ESEA.

Waivers may initially be approved by the Secretary for no longer than 4
years. However, the Secretary may extend the period if the waiver has
been effective and has contributed to improving student achievement, or
if the extension of the waiver is in the public interest.

Information about these Title IX provisions may be obtained from Safe
and Drug-Free Schools Program staff (see Appendix D -- Resources).

**Appendix C.**

##### [Other Provisions]{.underline}

States and local entities that are participating in the SDFSCA State
Grants Program should also be familiar with the following other
provisions related to the implementation of drug and violence prevention
programs.

**Unsafe School Choice Option**

The Unsafe School Choice Option (USCO) (Section 9532 of Title IX, Part
E, Subpart 2 of the ESEA) requires that each State receiving funds under
the ESEA establish and implement a statewide policy requiring that
students attending a persistently dangerous public school, or students
who become victims of a violent criminal offense while in or on the
grounds of a public school that they attend, be allowed to attend a safe
public school. As a condition of receiving ESEA funds, each State must
certify in writing to the Secretary that the State is in compliance with
these requirements.

Detailed guidance about these provisions is available from the SDFSP
regional program officer or on the Department's web site at
http://www.ed.gov/offices/OESE/SDFS/unsafeschoolchoice.doc

# 

# Gun-Free Schools Act

The Gun-Free Schools Act (GFSA) was re-enacted as Subpart 3 of Title IV
of the ESEA. The GFSA requires that each State receiving Federal funds
under ESEA have in effect a State law requiring LEAs to expel from
school for a period of not less than one year a student who is
determined to have brought a firearm to school or to have possessed a
firearm at a school. Each State's law also must allow the chief
administering officer of the LEA to modify the expulsion requirement on
a case-by-case basis, if that modification is in writing. The GFSA also
requires that any LEA receiving funds under the ESEA have a policy
requiring referral to the criminal justice or juvenile delinquency
system of any student who brings a firearm or weapon to a school served
by that LEA. In general, private schools, including private schools
whose students and teachers participate in federal education programs,
are not subject to the provisions of the GFSA.

Additional information concerning GFSA provisions is available from the
Safe and Drug-Free Schools Program (see Appendix D -- Resources)

# Pro-Children Act

The Pro-Children Act (PCA) of 2001 was re-enacted as Part C of Title IV
of the ESEA. The PCA requires that smoking not be permitted in any
indoor facility, or in some cases a portion of a facility, used
routinely or regularly for the provision of certain types of "children's
services" to persons under age 18, if the services are funded by
specified Federal programs either directly or through State or local
governments. Applicable Federal funds for these types of children's
services include grants, cooperative agreements, loans, loan guarantees,
contracts, and funds for construction, maintenance, and operations
awarded by the Departments of Health and Human Services, Education or
Agriculture. For Agriculture, the requirements apply only for the
Special Supplemental Nutrition Program for Women, Infants, and Children
(WIC)\]. In general, private schools, including private schools whose
students and teachers participate in federal education programs, are not
subject to the provisions of the PCA.

Additional information concerning PCA provisions is available from the
Safe and Drug-Free Schools Program (see Appendix D -- Resources).

**Protection of Pupil Rights Amendment (PPRA)**

The NCLB contains a major amendment to the Protection of Pupil Rights
Amendment (PPRA) that gives parents more rights with regard to the
surveying of minor students, the collection of information from students
for marketing purposes, and certain non-emergency medical examinations.
PPRA has been referred to as the "Hatch Amendment" and the "Grassley
Amendment". The recent changes to the law may be referred to as the
"Tiahrt Amendment." The statute is found in 20 U.S.C. 1232h and the
regulations (not yet updated) are found in 34 CFR Part 98. In general,
private schools, including private schools whose students and teachers
participate in federal education programs, are not subject to the
provisions of the PPRA.

Additional information concerning PPRA provisions is available from the
Family Policy Compliance Office (see Appendix D -- Resources).

## **Family Educational Rights and Privacy Act (FERPA)**

FERPA is a Federal law that applies to educational agencies and
institutions that receive Federal funds under any program administered
by the Secretary of Education. Generally, FERPA prohibits the funding of
an educational agency or institution that has a policy or practice of
disclosing a student's "education record" without the consent of the
parent or eligible student. The FERPA statute is found in 20 U.S.C.
1232g and the regulations (not yet amended to reflect the most recent
legislative changes and Supreme Court decisions) are found in 34 CFR
Part 99. In general, private schools, including private schools whose
students and teachers participate in federal education programs, are not
subject to the provisions of FERPA.

Additional information concerning FERPA provisions is available from the
Family Policy Compliance Office (see Appendix D -- Resources).

**Transfer of School Disciplinary Records**

FERPA permits schools to transfer education records on a student who is
transferring to another school. See Section 99.31(a)(2) and Section
99.34 of the FERPA regulations. A new provision [requires]{.underline}
States that receive funds under the ESEA, within two (2) years, to
provide an assurance to the Secretary that the State "has a procedure in
place to facilitate the transfer of disciplinary records, with respect
to a suspension or expulsion, by local educational agencies to any
private or public elementary school or secondary school for any student
who is enrolled or seeks, intends, or is instructed to enroll, on a
full- or part-time basis, in the school."

Additional information concerning these provisions is available from the
Family Policy Compliance Office (see Appendix D -- Resources).

**Appendix D.**

**[Resources]{.underline}**

**[Organizations]{.underline}**

####### *Office of Safe and Drug-Free Schools* 

U.S. Department of Education

400 Maryland Avenue, SW

FB-6

Washington, DC 20202-6123

Telephone: 202-260-3954

Fax: 202-260-7767

Web: www.ed.gov/offices/OESE/SDFS

The Safe and Drug-Free School Program staff provides additional
information about the administration of SDFSCA programs, as well as
implementation of the Gun-Free Schools Act, the Unsafe School Choice
Option, and Pro-Children Act provisions.

*Family Policy Compliance Office\
*U.S. Department of Education\
400 Maryland Avenue, S.W.\
Washington, DC 20202-4605

Web: http://www.ed.gov/offices/OM/fpco/index.html

The Family Policy Compliance Office provides information concerning the
Family Education Rights and Privacy Act (FERPA) and the Protection of
Pupil Rights Amendment (PPRA). Questions concerning administration of
student surveys and confidentiality of education records should be
addressed to this office.

*Office of Special Education and Rehabilitation Services (OSERS)*

Office of Special Education Programs (OSEP)

U.S. Department of Education

400 Maryland Ave., S.W.\
Washington, DC 20202

Telephone: (202) 205-5507

Web: <http://www.ed.gov/offices/OSERS/OSEP/index.html>

The Special Education Programs staff provide information about
requirements governing disciplining of students covered by the
Individuals with Disabilities Education Act (IDEA), and how the
requirements of the Gun-Free Schools Act can by applied to students
covered by IDEA.

###### Office for Civil Rights

U.S. Department of Education\
Customer Service Team\
Mary E. Switzer Building\
330 C Street, SW\
Washington, D.C. 20202

Telephone: 1-800-421-3481\
FAX: 202-205-9862

Email: <OCR@ed.gov>

Web: http://www.ed.gov/offices/OCR/

OCR enforces five Federal statutes that prohibit discrimination in
education programs and activities that receive Federal financial
assistance. These laws prohibit discrimination on the bases of race,
color, and national origin, on the basis of sex, on the basis of
disability, and on the basis of age. OCR also has been given
responsibility for enforcing Title II of the Americans with Disabilities
Act of 1990.

*National Resource Center for Safe Schools\
*101 SW Main, Suite 500, Portland, OR 97204\
Telephone: 1-800-268-2275 or (503) 275-0131\
Fax: (503) 275-0444

Web: www.safetyzone.org

The National Resource Center for Safe Schools provides training and
technical assistance on a variety of issues related to school safety.
The Center is supported jointly by the U.S. Department of Justice and
the U.S. Department of Education.

*National Institute on Alcohol Abuse and Alcoholism (NIAAA)*

National Institutes of Health

Department of Health and Human Services*\
*6000 Executive Boulevard - Willco Building\
Bethesda, Maryland 20892-7003

Web: http://www.niaaa.nih.gov/

NIAAA is one of 19 institutes that comprise the National Institutes of
Health. It supports and conducts research on the causes, consequences,
treatment, and prevention of alcoholism and alcohol-related problems.

*National Institute on Drug Abuse (NIDA)*

National Institutes of Health

Department of Health and Human Services

6001 Executive Boulevard

Bethesda, Maryland 20892-9561

Ph: (301) 443-1124

Web: http://www.nida.nih.gov

Another of the National Institutes of health's 19 institutes, NIDA
supports and conducts research across a broad range of disciplines that
improve drug abuse and addiction treatment, prevention, and policy.

*Office of National Drug Control Policy (ONDCP)*

Correspondence can be sent to:

Drug Policy Information Clearinghouse\
P.O. Box 6000\
Rockville, MD 20849--6000\
Ph: 1-800--666--3332\
Fax: 301--519--5212\
email: <ondcp@ncjrs.org>

Web: http://www.whitehousedrugpolicy.gov/

ONDCP establishes policies, priorities and objectives for the nation's
drug control programs. The Director of ONDCP produces the National Drug
Control Strategy, which is designed to help achieve ONDCP's goals of
reducing illicit drug use, manufacturing and trafficking, drug-related
crime and violence, and drug-related health consequences. The Strategy
directs the Nation's anti-drug efforts and establishes a program, a
budget, and guidelines for cooperation among Federal, state and local
entities.

*Division of Adolescent and School Health (DASH)*

Centers for Disease Control and Prevention

Department of Health and Human Services

Web: http://www.cdc.gov/nccdphp/dash

DASH seeks to prevent the most serious health risks among children,
adolescents, and young adults by identifying and monitoring high risk
behaviors; synthesizing and applying research; supporting its
constituents in implementing comprehensive adolescent and school health
programs; and providing technical assistance to State and local
educational agencies evaluate their school health policies, teacher
training and curricula.

*Center for Substance Abuse Prevention (CSAP)*

Substance Abuse and Mental Health Services Administration

Ph: (301) 443-0365

Web: http://www.prevention.samhsa.gov

CSAP is responsible for improving the quality and accessibility of
substance abuse prevention services. The Center provides national
leadership in programs, policies, and services to prevent the onset of
illegal drug use, underage alcohol and tobacco use, and to reduce the
negative consequences of using substances.

*Center for Mental Health Services (CMHS)*

Substance Abuse and Mental Health Services Administration

Department of Health and Human Services

P.O. Box 42490

Washington, DC 20015

Ph: (800) 789-7647

Web: http://www.mentalhealth.samhsa.gov/

CMHS is charged with leading the national system that delivers mental
health services. In that role, CMHS leads federal efforts to treat
mental illness by promoting mental health and preventing development or
worsening of mental illness. CMHS pursues its mission by helping States
improve the quality and range of their treatment, rehabilitation, and
support services for people with mental illnesses, their families and
communities.

*Office of Juvenile Justice and Delinquency Prevention (OJJDP)*

Office of Justice Programs

Department of Justice

810 7^th^ Street, NW

Washington, DC 20531

Ph: (202) 307-5911

Web: http://www.ojjdp.ncjrs.org

OJJDP provides national leadership, coordination, and resources to
prevent and respond to juvenile delinquency and victimization. OJJDP
supports States and local communities in their efforts to develop and
implement coordinated prevention and intervention, and to improve the
juvenile justice system so that it protects the public safety, holds
offenders accountable, and provides treatment and rehabilitative
services to juveniles and their families.