NM State Department of Education
SAFE AND DRUG-FREE SCHOOLS
Guidance Manual Contents
Program Administration 2-8
Allocation of Funds
Private Non Profit School Participation
Maintenance of Effort
Authorized Activities 9-11
Concerning violence prevention
Concerning drug and violence prevention
Unallowable or Restricted Activities 12-13
Entertainment, Food, Items of Clothing, Prizes, Matching Funds,
treatment and Rehabilitation, Drug Testing Surveys
Program Implementation 14-20
Principles of Effectiveness
The State Monitoring Process 21
SAFE AND DRUG-FREE SCHOOLS AND
State Department of Education
PROGRAM PURPOSE AND ADMINISTRATION
The purpose of Title IV: Safe and Drug-Free Schools and Communities of the Improving America's
Schools Act is to support programs to meet the seventh National Education Goal by preventing
violence in and around schools and by strengthening programs that prevent the illegal use of alcohol,
tobacco, and drugs. These programs must involve parents, and be coordinated with related Federal,
State, and community efforts and resources.
To accomplish this purpose, Federal financial assistance is provided to states for grants to local
educational agencies and consortia of such agencies to establish, operate, and improve local
programs of school drug and violence prevention, early intervention, rehabilitation referral, and
education in elementary and secondary schools.
The responsibility for the administration of the Safe and Drug-Free Schools and Communities
Program, and the review of local programs rests with the New Mexico State Department of
Education. The responsibility for the design and implementation of programs to meet educational
needs and priorities belongs to local school districts or consortia of districts.
The New Mexico Safe and Drug-Free Schools and Communities Office coordinates
the implementation of the program with the Governor's Portion of the
program, with other state programs of violence and substance abuse
prevention at the Department of Health, State Department of Education, with
anti-DWI programs in New Mexico, with comprehensive school health
coordinating groups, with providers of mental health services, and with
school district drug and violence prevention coordinators and staff.
ALLOCATION OF FUNDS
Annually Congress appropriates funds for the Safe and Drug-Free Schools and Communities
Program. The U.S. Department of Education determines the state allocations, based on school age
population and Title I data, and informs the states of amounts available for school programs. At
least ninety-one percent of New Mexico's allocation for the education portion of the program flows
through the State Department of Education to fund local school districts.
Amounts available to local educational agencies are determined partially by formula and partially
on data that indicates special need for additional funds.
Administration and Technical Assistance
The State Department of Education to administer the statewide program and to provide technical
assistance, and to provide financial assistance to meet special needs may retain the remaining funds
(9% - nine percent).
Every public school district and state-supported school directly serving elementary and/or secondary
students in New Mexico may apply for Safe and Drug-Free Schools and Communities funds.
Children enrolled in private, non-profit schools are also entitled to receive benefits through the
participating public school district. Students eligible for benefits are those enrolled in private,
non-profit schools registered with the State Department of Education.
Consortia of school districts are also eligible to apply for funding under the Safe and Drug-Free
Schools and Communities Act. Consortia must be formed by mutual consent between or among
local educational agencies, one of which may serve as the designated administrative and fiscal
contact. The New Mexico Regional Education Cooperatives may also serve as administrative
contacts and fiscal agents in the program.
CHARTER SCHOOL PARTICIPATION
Charter Schools are eligible for Title IV funding (Section 10306 of the elementary and Secondary
Education Act of 1965 as amended by the Charter School Expansion Act of 1998 Public Law No.
105-278). New Mexico Charter Schools for the purposes of Title IV funding are treated as public
schools within an LEA. Therefore, the LEA must treat its charter schools like other public schools
with the LEA when determining eligibility and making within-district allocations. Charter schools
are encouraged to contact and be a participant in the Title IV application process of their LEA.
Charter schools that are opening for the first time or significantly expanding their enrollment have
four major responsibilities in regards to Title IV funding:
1. In order to receive funds a new or expanding charter school must notify the State or LEA, in
writing, at least 120 days in advance, of the date the charter school is scheduled to open or
2. A charter school must establish its eligibility to receive funds under the particular program
and comply with all program requirements.
3. Upon request, a charter school that has not yet opened or expanded must provide the
responsible State agency or LEA with any data or information available to the charter school
that the Sate or LEA may reasonably need to estimate the amount of funds the charter school
will be eligible to receive when it actually opens or expands.
4. Once a charter school actually opens or expands, it must provide
actual enrollment and eligibility date to the State or LEA.
In order to receive a grant in any fiscal year a local educational agency or consortium must submit
an application and expenditure plan to the State Department of Education after the agency
announces a DRAFT of the amounts allocated to school districts in the program. The announcement
is usually made by April of each year.
The original plan and application shall be for a period not to exceed five fiscal years and may be
amended annually as necessary to reflect changes without filing a totally new application. A budget
and expenditure plan must be submitted annually. The original plan and application must contain:
1) An objective analysis of the current use (and consequences of such use) of alcohol,
tobacco and controlled, illegal, addictive or harmful substances as well as the violence, safety,
and discipline problems among students who attend the schools of the applicant (including
private school students who participate in the applicant's drug and violence prevention
program) that is based on on-going local assessment or evaluation activities;
2) A detailed explanation of the local education agency's comprehensive plan for drug and
violence prevention, which shall include a description of:
a) how the plan will be coordinated with other programs under the Improving America's
Act, the Goals 2000; Educate America Act, and other Acts as appropriate;
b) The local educational education agency's measurable goals for drug and violence
prevention, and a description of how such agency will assess and publicly report progress
toward attaining these goals;
c) How the local educational agency will use its distribution (Budget Document and
Budget Narrative Pages);
d) How the local educational agency will coordinate its programs and projects with
community-wide efforts to achieve the identified measurable goals for drug and violence
e) How the local educational agency will coordinate its programs and projects with other
Federal, State and Local programs for drug abuse prevention, including health programs;
3) Such other information and assurances as the State administering agency may reasonably
The local educational agency must develop its application in consultation with a local or substate
regional advisory council that includes, to the extent possible, representatives of local government,
business, parents, students, teachers, pupil services personnel, appropriate State agencies, private
schools, medical professionals, law enforcement officials, community-based organizations, and other
groups with interest and expertise in drug and violence prevention.
Local education agencies may also apply for Title IV funds through participation in a Consolidated
Local Application for Federal Funds. If the district chooses this option, Title IV planning and
application for funds will be presented to the Department of Education through a single form which
includes multiple Federal education programs. Planning requirements for the Consolidated
Application are focused on the district's Educational Plan for Student Success and are not specific to
any individual program. Nevertheless, a district should maintain components specific to Safe and
Drug-Free Schools on file with the SEA.
PRIVATE NON-PROFIT SCHOOL PARTICIPATION
Children enrolled in private non-profit schools registered with the State Department of Education are
entitled to receive Safe and Drug-Free Schools and Communities benefits through the participating
public school district in which the private schools are located. The public school district must
provide an opportunity for private school children to receive secular, neutral, and non-ideological
services, materials and equipment consistent with the programs and activities authorized under Title
XIV - General Provisions - of the Improving America's Schools Act of 1994.
Each public school district with eligible private non-profit schools in its boundaries shall annually
collaborate with private, non-profit school officials of their eligibility to participate in the program.
The benefits that children, their teachers, or other educational personnel of a private, non-profit
school are entitled to receive, shall be equitable to the benefits reserved for public school students,
teachers and personnel.
All public school districts shall consult with appropriate private school representatives regarding the
development and implementation of proposed programs prior to the submission of the public school
district's application. Through consultation, authorities from private schools shall be given the
opportunity to become knowledgeable about the benefits and options available and the allocation of
resources available for each private school. Such consultation shall include a discussion of service
delivery mechanisms that the local educational agency or consortium could use to provide equitable
services to private school children, teachers, administrators, and other staff.
Following the required consultation, private school officials may elect to participate in the program,
or may waive participation. If private school authorities choose to participate in the programs,
private school authorities are responsible for assessing the educational needs of the students to be
served, and how and what authorized benefits will be provided. The benefits may be the same as, or
different from those being considered by the public school district. Services to private, non-profit
schools may be provided directly by employees of the local educational agency or through contracts
with public and private agencies, individuals, associations, organizations and institutions.
The non-public school program objectives, activities, evaluation designs, and proposed expenditures
are to be outlined on a separate BUDGET NARRATIVE in the application of the local educational
agency. Funds used to provide services for private school populations shall not be commingled with
If a private school waives participation, the public school district should maintain documentation on
file that supports the decision not to participate and must redistribute the funds among the remaining
participating private, non-profit schools and/or the public school district.
Review And Processing Applications
The Safe and Drug-Free Schools and Communities staff at the state education agency will review all
applications and related documents. If an application is not prepared in accordance with specific
guidelines, it may be returned to the local educational agency or consortium for appropriate
corrections and re-submission. The State Department of Education must also use a peer review
process to assess applications.
Applications and Notification of Awards are handled on a "first in, first out" basis. Approximately
two weeks should be allowed for review of an application after it has been received at the Safe and
Drug-Free Schools and Communities Office. The district should, therefore, determine the most
appropriate date for the annual submission of the required application and budget forms if actual
receipt of funds is necessary to initiate planned activities. Funds may not be obligated prior to the
effective date on the Notification of Award letter.
Record Keeping and Audit Requirements
All federal programs are audited for fiscal compliance on a regular basis. Fiscal audits must be in
accordance with generally accepted auditing standards of the U.S. General Accounting Office's
publications. Program audits follow guidelines established by the state-administering agency of the
Safe and Drug-Free Schools and Communities Program.
All local educational agencies and consortia shall maintain records for three years after the
completion of the activity for which the funds were used. The retention period for the records starts
on the day the final financial status report was submitted to the U.S. Department of Education by the
New Mexico Department of Education. However, if records are being used prior to the three-year
period due to any litigation, claim, audit, or other actions, the records shall be retained until all
issues have been resolved. Examples of records that should be maintained for on-site program audits
a) Advisory Council membership list, indicating profession of affiliation next to each member's
b) Agenda / minutes of meetings of the Advisory Council.
c) Student Handbooks and Board Policy Manual indicating policies on guns, weapons, violence
and drug/alcohol use by students and employees.
d) Documents that show progress toward reaching the districts approved Measurable Goals in
violence and drug prevention. These may include survey results on the incidence and prevalence
of substance abuse and violence. These data may be obtained from the New Mexico Student
Survey (NMSS, 1997) and the Youth Risk Behavior Survey (YRBS, 1999). Also include data
from school discipline or referral records where appropriate, and descriptions of procedures and
analyses of any other means of evaluating the effectiveness of the program. If you selected other
instruments to measure changes in attitudes or other risk and protective factors related to
substance abuse, violence, delinquency, drop out, school failure, teen pregnancy, etc., please
keep these confidential records secure and on file, accessible to the LEA.
e) Job descriptions of anyone whose salary is paid for with the grant funds. This includes those
who receive stipends for regularly performed tasks in the prevention program.
f) Documentation of collaboration with others in the community who also work on violence and
g) Other appropriate documents that demonstrate implementation of the school-based violence and
drug prevention and education program.
a) List of all expenditures, purchase documents, and travel vouchers made against the Safe and
Drug-Free Schools and Communities grant with name of vendor, date and amount for
current and past year.
Private School Documents (if any )
a) Copies of letters and evidence of other collaborative efforts with area private schools
informing them of their eligibility to participate in Safe and Drug-Free Schools and
b) Documentation indicating that a private school does or does not wish to participate in the
The Agency Support Division of the State Department of Education will supply fiscal management
procedures to the grantees. Unless otherwise identified, forms and procedures of the Agency
Support Division of the State Department of Education may be assumed to be the operative fiscal
processes and documents for the program.
Annually, approximately twenty-nine monitoring visits will be made to local educational agencies.
Monitoring of Title IV program will be a part of the regular Department of Education accreditation
process. The focus of Title IV monitoring is to determine program and fiscal compliance with
previously approved plans and budgets at the local level.
Local school districts to be monitored each year are the same as those on the SDE accreditation
cycle, and the on-site monitoring will be carried at the time of the visit by the Department of
Education team. Much of the monitoring work will be accomplished through a desk review, with the
on-site portion being confined primarily to program issues. In addition, a Federal programs staff
member from the Department of Education who is not from the Title IV Office may conduct the on-
site review. A written report, which summarizes the staff’s findings and recommendations, will be
sent to the local agency with the district's Accreditation Report.
YEAR END PROGRESS REPORT
A year-end progress report for the program is required of local educational agencies and consortia
participating in the program. The evaluation must be submitted to the Safe and Drug-Free Schools
Office on or before the date established annually by the State Department of Education.
MAINTENANCE OF EFFORT
Under the 1994 reauthorization of the Safe and Drug-Free Schools and Communities Act, the
Program no longer has a "supplement, not supplant" provision. Instead the new Title IV falls under
the "maintenance of effort" requirement.
Maintenance of effort provisions are designed to ensure continuing fiscal support from State and
local funding for education. An LEA may receive funding for the Safe and Drug-Free Schools
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 fiscal year.
If an LEA fails to meet this requirement, its SEA must reduce its allocation of funds for the Safe and
Drug-Free Schools Program, and any other programs with maintenance of effort requirements. 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 Secretary of the US Department of Education may waive the maintenance of effort
requirement if he determines that such a waiver would be equitable because of exceptional of
uncontrollable circumstances, such as natural disaster or precipitous decline in financial
resources of an LEA.
Local educational agencies shall use funds received under Title IV: Safe and Drug-Free Schools and
Communities to provide a drug and violence prevention program designed for students and
employees. Activities should be selected and planned using Federally mandated Principles of
Effectiveness. These principles may be summarized as follows:
Each Safe and Drug Free Schools Program shall coordinate its activities with other available
Each Safe and Drug Free Schools Program shall base its programs on a thorough assessment of
the data about drug use and violence problems in the schools and communities served.
Each Safe and Drug Free Schools Program shall establish a set of measurable goals and
objectives relative to reducing or preventing drug use, violence and disruptive behavior among
Each Safe and Drug Free Schools Program shall design and implement its programs for youth
based upon research or evaluation evidence that demonstrates the success of the program at
preventing or reducing drug use, violence, and disruptive behavior.
Each Safe and Drug Free Schools Program shall evaluate its programs periodically to assess
progress towards its stated goals and objectives; use those results to refine, improve and
strengthen its programs; discontinue programs that are not demonstrating positive outcomes;
refine and strengthen goals and objectives as appropriate; and, report progress toward those
goals and objectives to the public.
Approved activities, implemented in accordance with these principles, may involve
concerning drug prevention that include:
1) Comprehensive, age and developmentally appropriate drug prevention and education programs
for all students from the pre-school level through grade twelve that address the legal, social,
personal and health consequences of the use of illegal drugs, promote a sense of individual
responsibility, and provide information about effective techniques for resisting peer pressure to
use illegal drugs;
2) Programs of drug prevention, comprehensive health education, early intervention, pupil services,
mentoring, or rehabilitation referral, which emphasize students’ sense of individual responsibility
and which may include:
Programs that promote the fostering of skills (problem-solving, critical thinking,
communication, etc.) together with information about the harms of substance abuse;
The dissemination of information about drug prevention (research has shown that these
dissemination activities and similar, neutral drug education programs do not, by themselves,
reduce substance abuse behaviors or positively impact attitudes in the long term, but do
produce positive outcome when combined with programs such as those described above);
The professional development of school personnel, parents, students, law enforcement
officials, judicial officials, health service providers and community leaders in prevention,
education and intervention, pupil services or rehabilitation referral; (in order to create an
effective range of school based prevention services that can measurably reduce substance
abuse, a training program is essential for school staff or others who plan, supervise and
implement school-based programming);
The implementation of strategies to integrate the delivery of services from a variety of
providers, to combat illegal alcohol, tobacco and drug use, such as
a) Family counseling;
b) Early intervention activities that prevent family dysfunction, enhance school
performance and boost bonding or attachment to school and family;
c) Activities such as community service and service-learning projects, that are designed
to increase students' sense of community (bonding or attachment to Community); and
d) Programs that provide appropriate alternatives to suspension;
Research has shown that the following kinds of activities do not work to reduce substance
abuse and violence:
a) Knowledge and information alone
b) Exclusive focus on self-esteem
c) Neutral information about drugs
d) Drug-free recreation without structure
e) Single events (rallies, assemblies, speakers, etc.);
concerning violence prevention that include:
3. Violence prevention and education programs for all students from pre-school through grade
twelve, that address the legal, health, personal, and social consequences of violent and disruptive
behavior, including sexual harassment and abuse, and victimization associated with prejudice and
intolerance, and that include activities designed to help students develop a sense of individual
responsibility and respect for the rights of others, and to resolve conflicts without violence;
4. Violence prevention programs for school-aged youth which may emphasize students’ sense of
individual responsibility may include :
a) Dissemination of information about school safety and discipline;
b) Professional development of school personnel, parents, students, law enforcement
officials, judicial officials, and community leaders in designing and implementing
strategies to prevent school violence;
c) The implementation of strategies, such as conflict resolution and peer mediation, student
outreach efforts against violence, anti-crime youth councils (which work with school and
community-based organizations to discuss and develop crime prevention strategies), and
the use of mentoring programs to combat school violence and other forms of disruptive
behavior, such as sexual harassment and abuse;
d) The development and implementation of character education programs as a component of
a comprehensive drug or violence prevention program, that are tailored by communities,
parents and schools; and
e) Comprehensive, community-wide strategies to prevent or reduce illegal gang activities;
5) Supporting "safe zones of passage" for students between home and school through such measures
as Drug- and Weapon-Free School Zones, enhanced law enforcement, and neighborhood patrols;
(See limitations on this activity after item # 10.)
6) Acquiring and installing metal detectors and hiring security personnel; (See limitations on this
activity after item # 10.)
7) Professional development for teachers and other staff and implementation of curricula that
promote awareness and sensitivity to alternatives to violence through courses of study that
include related issues of intolerance and hatred in history (this is necessary to effectively plan and
implement these programs);
8) The promotion of before- and after-school recreational, instructional, cultural, and artistic
programs in supervised community settings (research suggests that long-term programming for
youth in these settings contributes to decreases in substance use and related behaviors);
concerning drug and violence prevention that include:
9) Long-term drug abuse resistance education programs, and other intensive programs designed to
teach students to recognize and resist pressures to use alcohol or other drugs, which may include
activities with classroom instruction by teachers, school preventionists or counselors, community
prevention professionals, uniformed law enforcement officers, or peers. These programs may
teach resistance techniques, related problem solving skills, resistance to peer pressure and gang
pressure, and provision for parental involvement; and
10) The evaluation of any authorized activities.
Limitations on items 5 and 6 above: Not more than 20 percent of the funds made
available to a local education agency in any year may be used to carry out these activities.
UNALLOWABLE OR RESTRICTED USE OF
SAFE AND DRUG-FREE SCHOOLS FUNDS
Below is a list of commonly found unallowable or restricted activities in the Safe and Drug-Free Schools
Program. The last amendment to this list was added in August 1997
1. Entertainment, social activities and amusements, including educational and cultural activities
not related to violence and drug prevention (unallowable)
Entertainment activities of this sort include drug-free dances, Drug-Free Prom and Project
Graduation. Funds may not be used for rental of facilities, food, decorations, entertainment, or
prizes for such events. However, funds may be used to publicize these kind of activities and to
encourage support for them.
Other activities such as field trips to places identified as entertainment or amusement facilities
are also not allowable even if the group that is taken is a "high risk" population. In fact, even
field trips taken for educational or cultural enrichment purposes are not allowable unless the
educational activity is related to a drug or violence prevention education program or prevention
training experience. However, field trips could be justifiable if they are part of an after school,
summer or other supplemental program. In no case, however, may Title IV funds be used to
cover the cost of school-day field trips which are typically covered by operational programs.
2. Food, transportation, rental of facilities (restricted)
Costs of food, transportation and rental of facilities are allowable only if they are related to
meetings, conferences, training programs, or meetings of the Advisory Council where the
primary purpose is to disseminate technical information related to violence and drug prevention.
Funds may not be used for a reward or social event. Transportation costs to the unallowable
activities cited in #1 above are also unallowable.
3. Items of clothing, such as T-shirts, jackets or caps (restricted)
These are really items of personal clothing, so great care must be exercised in expending funds
for these things. Standing alone, these items are unallowable even if they have drug-free or other
prevention messages on them. If, however, they are one part of a more comprehensive, single
program, they could be allowable if it could be shown that they are necessary to the program
activity and that the cost is reasonable. However, funds spent must be justified as being
reasonable and not be a large part of the single project. Documentation must be kept on file to
clearly justify the purchase as necessary and reasonable. As part of their presentations, a peer
educator group could purchase clothing/costumes since those kinds of items are not personal, but
stay with the group and are part of their prevention project.
4. Prizes, banquets, parties, awards, trophies, scholarships, or personal gifts of significant value
It is tempting to want to award kids for doing a good job in prevention work during the year.
Certificates and ribbons might be reasonable, but funds may not be used for large prizes, pizza
parties, banquets or any big awards such as trophies, scholarships or gifts.
NOTE: purchasing red ribbons for Red Ribbon Week is an allowable expenditure since they may be
necessary to carry out a prevention activity and they are not high cost items that are given to individuals.
They may be considered both necessary and reasonable in order to implement the activity.
5. Providing matching funds for other federal programs with Safe and Drug-Free Schools and
Communities funds (unallowable)
Some federal programs require that local grant recipients match some or their entire award with
local funds. For example, the Bureau of Justice Assistance funding of the DARE Program has
such a requirement. Local law enforcement agencies that receive BJA funds for DARE must
provide at least a twenty-five percent match through local, non-federal funding.
Sometimes school districts are asked to contribute toward the funding of the DARE Program. Safe and
Drug-Free Schools and Communities funds may be used to provide support for the DARE program, but
the financial support must not be used to fulfill the matching requirement on local law enforcement
agencies for BJA grants. This would be using federal funds to match federal funds, which is forbidden by
The best and safest procedure is to support the DARE Program by providing materials directly to the
students for the DARE classroom, and other such activities that do not directly involve any payments to
the local law enforcement agency or any law enforcement official from Safe and Drug-Free Schools and
6. Lobbying (unallowable)
Funds may not be used to lobby either the Congress or the State Legislature or any other branch
of state or federal government. Students or staff may not be transported or have lodging, food or
other expenses paid for trips to the state capital for the purpose of lobbying the legislature, no
matter how worthy the cause, even if is related to violence or drug prevention efforts.
7. Using Safe and Drug-Free Schools funds for drug surveys (restricted)
The Protection of Pupil Rights Act prohibits the use of US Department of Education funds,
including Safe and Drug-Free Schools funds, from being used to require any student to submit to
a survey, analysis or evaluation that reveals certain information about the student without first
getting the active permission of the parent to collect the data. This information includes drug use
and related illegal behavior. Districts should carefully study the Protection of Pupil Right Act
before using Title IV funds for surveys or consider funding a survey from another source. School
districts are encouraged to participate in statewide surveys that are offered at no cost to your
district. In particular, you are encouraged to participate in the Youth Risk Behavior Survey
(YRBS) that is jointly sponsored by the New Mexico Department of Health and the State
Department of Education.
8. Drug Testing (restricted)
Safe and Drug-Free Schools funds may be used for drug testing of students with the following
1. aThe district must provide evidence that an actual drug problem exists. Drug
) testing may not be based simply on a desire to test.
2. bThe program may be implemented only after other drug prevention measures have
) been tried and proved less than successful.
3. cThe testing program must be set up and administered in a way that is minimally
) intrusive on student privacy, is fair, and assures accuracy of results.
4. dThe testing program must serve a non-criminal purpose. The object must be
) related to providing a safe and orderly school environment. Law enforcement and
juvenile justice officials must not be involved in the school drug-testing program.
This list does not include all of the possible unallowable expenditures in The Safe and Drug -Free
Schools and Communities Program. It provides guidance based on some of the most commonly
found audit exceptions that have been identified during several years of on-site monitoring.
Program Implementation Components for Title IV
District or Regional 1. Establish or designate an existing group as the district or regional Advisory Council
Advisory Council for the Safe and Drug- Free Schools and communities Program. To the extent
REQUIRED: possible, members should come form the following sectors:
a) local government
e) pupil services personnel
f) appropriate state agencies
g) private schools
h) medical profession
i) law enforcement
j) community-based organizations
L) other groups with expertise in drug and violence prevention
1. The Advisory Council should meet at least two or three times each school year to
advise school officials on the violence and drug prevention programs in the district or
2. The Advisory Council assists the local education agency or consortium to develop
the annual application for funds, and on an on-going basis:
a) disseminates information about drug and violence prevention programs, projects
and activities conducted by the local educational agency or consortium;
b) advises the local educational agency or consortium regarding
how best to coordinate the school violence and drug prevention programs with
other related programs, projects and activities in the area;
the agencies that administer such programs, projects and activities.
c) reviews program evaluations and other relevant material and makes
recommendations to the local educational agency on how to improve programs of
drug and violence prevention.
3. Agenda and minutes of meetings must be maintained on file as evidence of the
work of the Advisory Council.
Measurable Goals 1. The local educational agency must adopt measurable goals for drug and violence
REQUIRED: prevention and assess and publicly report progress toward attaining those goals.
Ideally these goals will be aligned with:
a) National Education Goal # 7: “By the year 2010, every school In the United States
will be free of drugs, violence and the Unauthorized presence of firearms and
alcohol and will offer a Disciplined environment conducive to learning.”
b) The district’s Educational Plan for Student Success (EPSS) focus areas that are
related to student health, school safety, learning environment, dropout prevention and
other similar goals and objectives.
1. The following goals and performance indicators are samples that may be used as a
guide to assist local educational agencies in developing their own statements:
The Four Principles of Effectiveness
These Principles are: Principle 1:
(The four principles of 1. Each SDFSC Program shall base their programs on a thorough
effectiveness, as posted in the
Federal Register of June 1,
assessment of objective data about the drug and violence problems in the
1998) schools and community served.
Each grant recipient shall conduct a through assessment of the nature and
extent of youth drug use and violence problems. Grantees are encouraged to
build upon existing data collection efforts and examine available data from a
variety of sources, including law enforcement and public health officials.
2. Design their activities to meet their measurable goals and objectives for
drug and violence prevention.
Grantees shall develop goals and objectives that focus on program outcomes, as
well as program implementation. Grantees will develop measures that will
permit them to determine the extent to which program activities are effective in
reducing or preventing drug use, violence, or disruptive behavior.
3. Design and implement their activities based on research or evaluation
that provides evidence that the strategies used prevent or reduce drug
use, violence, or disruptive behavior among youth.
In designing and improving heir programs, grant recipients shall, taking into
consideration their assessment of objective data and measurable goals and
objectives, select and implement programs that have demonstrated that they can
be effective in preventing or reducing drug use, violence, or disruptive
4. Evaluate their programs periodically to assess their progress toward
achieving their goals and objectives, and use their evaluation results to
refine, improve, and straighten their program, and or refine their goals
and objectives as appropriate.
While prevention may have a long implementation phase many have long term
goals, and may include some objectives that are broadly focused, grantees shall not
continue to implement strategies or programs that cannot demonstrate positive
outcomes in terms of reducing preventing drug use, violence or disruptive behavior
Primary Prevention: Violence a) The violence and drug prevention education program should be age appropriate,
and Drug Prevention developmentally-based, and designed for students from pre-school through grade
Programs for all students 12. It should address the legal, social, personal and health consequences of the use
of illegal drugs and violent and disruptive behavior, including sexual harassment
and abuse, and victimization associated with and intolerance. The program should
include activities designed to a sense of individual responsibility,
b) violent behavior and tobacco, alcohol, and other drug use are also important.
c) There are a number of approaches that have been rigorously designed and
evaluated that can be adapted by the LEA. Information on the specific programs
has been supplied by the SEA and available from many Web site addresses have
been supplied by the SEA/Title IV
d) Research shows that prevention education approaches based on life and social skills
development, including problem solving, communication skills and critical
thinking, if thoroughly and properly presented, can reduce tobacco, alcohol and
other drug use. These programs may be delivered by trained teachers, counselors,
school nurses or health educators, may deliver these programs.
e) Research shows that the most effective prevention programs are those that use
interactive learning processes. Peer lead, educational activities are also effective:
cooperative learning, role-playing, and group exercises lend to this interactive
f) The prevention education program may be enhanced by a variety of awareness
raising activities including Week Without Violence, Red Ribbon Week or other
special days or weeks for drug and violence prevention. These activities are
enhancements only. Standing alone, they do not constitute an effective drug and
violence prevention education program.
g) Research show that one-time events and other programs of brief duration based on
motivating children and youth to avoid drugs, or that simply provide information
about drugs, are ineffective.
h) Student Assistance Programs are targeted at students most at risk for drug
involvement or violence behavior. LEA’s are encouraged to look at and adapt as
appropriate as many as this research based strategies as possible. These programs
1. Individual and family counseling
2. Support groups
3. Peer Helpers, Peer Counselors program
4. Tutoring Programs
5. Adult Mentors
6. School health services or Teen Clinics
7. Aftercare program for students returning from treatment
8. Smoking cessation program
10. Community service and service learning projects
11. Alternative educational settings for high risk youth
12. Student or Teen Courts
13. After school or summer recreational and cultural activities
Training of Staff, Students, 2. The district should provide prevention training, where necessary, for teachers,
parents and community students, parents, law enforcement officials, judicial officials, health service
members on Prevention providers, community leaders, and other interested persons involved in the
Strategies implementation of programs.
Coordination with other 3. The district or consortium must coordinate its prevention efforts with other
prevention resources in the programs in the schools, community or area related to drug abuse and violence
community and with other prevention, education, intervention, referral, treatment and prevention, education,
federal and state education intervention, referral, treatment and rehabilitation including, but not limited to:
a) Community-based prevention organizations
b) State or local agencies
c) Community health organizations and providers
d) Juvenile probation services
e) Law enforcement agencies
f) Other federal education programs authorized by the Improving America’s Schools
Act and Goals 2000: Educate America Act
g) Other related state funded education programs
4. The district should assure that its drug prevention program is part of a larger
community-wide effort for drug and violence prevention.
5. Effectiveness is increased when the LEA works with other community Programs to
plan and implement research based programming thought the community. As
factors through the community determine each Child’s level of risk and protection.
POLICIES RELATED 1. Districts must implement policies to insure that all schools are free of violence and
TO SCHOOL SAFETY the unauthorized presence of weapons. At a minimum the policy must require:
Gun and Drug Policies
a) That a student who brings a gun to school will be expelled or long term suspended
for at least one full calendar year.
b) That violators will be referred to law enforcement or to juvenile justice authorities.
Additional guidance on the Gun-Free Schools Act may be obtained form the Safe
and Drug-Free Schools Office at the State Department of Education.
Data Collection and 1. Districts must collect annual data on incidents of violence, vandalism and drug
Analysis violations. This information will be reported on the state required Violence and
REQUIRED: Vandalism Report.
2. Districts must gather data every few years on the prevalence of drug use in schools
and communities by students in grades 7-12. This data is generally gathered
through a survey of students. Districts may participate in a statewide survey,
conduct their own survey, or participate in other group surveys. The Title IV
SDFSCP Office publishes a list of essential survey items to meet this data-gathering
3. Districts must conduct a through analysis of the data they have collected at least
once during the period of the five-year authorization of title IV. A report of the
findings of this analysis must be presented to the State Department of education.
The SDE may establish a statewide uniform date when this analysis is due.
4. It may be advantageous to the LEA to participate in Statewide survey such as the
YRBS to increase your ability to compete for additional funding and to supply data
for reporting purposes. NOTE: SDFSCP reporting requirements and indicators on
student data are met by the YRBS (Youth Risk Behavior Survey).
Program 1. The district must set forth a plan, which may cover up to five years, for violence
Administration and/or drug prevention programs to be implemented using Title IV grant funds.
The drug and violence prevention plan may be presented as an individual
REQURIED: application for funds or as part of a consolidated application with other federal
education programs. The plan must include:
a) An annual budget and budge narrative
b) Specific planning requirements or program amendments
c) Signed assurances and information of equal access to programs
d) Information on private school participation (if any)
2. Target populations must be served in the manner indicated in the annual
application for funds. Funds shall be expended only for allowable activities in the
3. Program populations must be served in the manner indicated in the annual
application for funds. Funds shall be expended only for allowable activities in the
4. All amendments to the budge and program must receive proper
state agency approval prior to expenditure of funds.
5. All encumbrances and expenditures must be supported by proper documentation
and be organized in a manner that facilities program monitoring.
6. Job description must be developed and implemented for all personnel paid from the
grant funds. Some system of time-accountability should be implemented for staff
paid partially from title IV and other sources.
7. The district must maintain its level of operational effort in violence and drug
prevention programs relative to the federal title IV grant and not replace or supplant
that effort using the federal funds.
8. Private, non-profit schools in the district must be properly notified of their
eligibility to participate I the program. Documentation is maintained on file to
support this notification. Participating private school officials must be equably
involved in planning, so to see their student needs.
9. Control over the use of public funds at the participating private school shall
be under the direction of the public agency.
Title IV: Safe and Drug Free Schools and Communities Commonly
The Monitoring Process
The State Department of Education (SDE) will monitor each local education agency’s Title IV program every three
years. This review will be conducted as part of the district’s regular triennial accreditation process.
Prior to the on-site visit of the SDE accreditation team the Safe and Drug Free Schools coordinator in the district will
receive an Internal Compliance review form (ICRF). (See the Form 1). The left-hand column of this form lists the
thirteen areas of program compliance and one area of voluntary supplementary information that will be monitored by
The second column, called DOCUMENTATION, will indicate the request for documents that the district must
supply prior to the on-site visit. Some of these items may already b on file at the State Safe and Drug-Free Schools
Office. If they are already on file, they will not have to be resubmitted. In fact, it is a good idea to keep as many of
these documents as possible permanently on file with the SDE.
The SDE Safe and Drug-Free Schools staff will complete the third column, called SDE ANALYSIS OF
DOCUMENTATION, after the documents have arrived from the district. This should be completed at least two
weeks prior to the on-site visit. In order to complete this analysis, SDE will examine the documents that have been
supplied, and may follow up on some items with phone calls. In some cases the Safe and Drug-free Schools staff may
come to the district or meet with local coordinators prior to or after the accreditation visit in order to complete the
analysis. If time permits, the completed analysis will be faxed to the district prior to the on-site visit.
The right hand column, called FOLLOWUP, is an indication to the SDE federal programs staff representative on the
accreditation team to gather further information on that time while on site. There will be a follow-up while on-site if
a “Y” is indicted in that column.
Each accreditation team will have a single federal programs representative for Titles I, II, IV and VI of Improving
America’s Schools Act. This person will be an SDE staff member from one of these programs. Therefore, the staff
member conducting the on-site monitoring of Title IV may not be from the title IV office. However, the title IV staff
will make all determinations about the content of the accreditation report on Safe and drug Free Schools, and will be
responsible for issuing any commendations or citations for non-compliance.
The Title IV monitoring report will be a part of the district’s-accreditation report. The SDE Accreditation Team
Leader will send this report to the district within sixty days of the on-site visit.