SEC. 8013.
WAIVERS OF STATUTORY AND REGULATORY REQUIREMENTS
Section Summary
ESSA
SEC. 8013. WAIVERS OF STATUTORY AND REGULATORY REQUIREMENTS.
Section 8401, <<NOTE: 20 USC 7861.>> as redesignated by section 8001
of this Act, is amended--
(1) by striking subsection (a) and inserting the following:
``(a) In General.--
``(1) Request for waiver by state or indian tribe.--A State
educational agency or Indian tribe that receives funds under a
program authorized under this Act may submit a request to the
Secretary to waive any statutory or regulatory requirement of
this Act.
``(2) Local educational agency and school requests submitted
through the state.--
``(A) Request for waiver by local educational
agency.--A local educational agency that receives funds
under a program authorized under this Act and desires a
waiver of any statutory or regulatory requirement of
this Act shall submit a request containing the
information described in subsection (b)(1) to the
appropriate State educational agency. The State
educational agency may then submit the request to the
Secretary if the State educational agency determines the
waiver appropriate.
``(B) Request for waiver by school.--An elementary
school or secondary school that desires a waiver of any
statutory or regulatory requirement of this Act shall
submit a request containing the information described in
subsection (b)(1) to the local educational agency
serving the school. The local educational agency may
then submit the request to the State educational agency
in accordance with subparagraph (A) if the local
educational agency determines the waiver appropriate.
``(3) Receipt of waiver.--Except as provided in subsection
(b)(4) or (c), the Secretary may waive any statutory or
regulatory requirement of this Act for which a waiver request is
submitted to the Secretary pursuant to this subsection.'';
(2) in subsection (b)--
(A) in paragraph (1)--
(i) in the matter preceding subparagraph (A)--
(I) by striking ``, local
educational agency,'' and inserting ``,
acting on its own behalf or on behalf of
a local educational agency in accordance
with subsection (a)(2),''; and
(II) by inserting ``, which shall
include a plan'' after ``to the
Secretary'';
(ii) by redesignating subparagraph (E) as
subparagraph (F);
(iii) by striking subparagraphs (B), (C), and
(D) and inserting the following:
``(B) describes which Federal statutory or
regulatory requirements are to be waived;
``(C) describes how the waiving of such requirements
will advance student academic achievement;
``(D) describes the methods the State educational
agency, local educational agency, school, or Indian
tribe will use to monitor and regularly evaluate the
effectiveness of the implementation of the plan;
[[Page 129 STAT. 2104]]
``(E) includes only information directly related to
the waiver request; and''; and
(iv) in subparagraph (F), as redesignated by
clause (ii), by inserting ``and, if the waiver
relates to provisions of subsections (b) or (h) of
section 1111, describes how the State educational
agency, local educational agency, school, or
Indian tribe will maintain or improve transparency
in reporting to parents and the public on student
achievement and school performance, including the
achievement of the subgroups of students
identified in section 1111(b)(2)(B)(xi)'' after
``waivers are requested'';
(B) in paragraph (2)(B)(i)(II), by striking ``(on
behalf of, and based on the requests of, local
educational agencies)'' and inserting ``(on behalf of
those agencies or on behalf of, and based on the
requests of, local educational agencies in the State)'';
(C) in paragraph (3)--
(i) in subparagraph (A)--
(I) in the matter preceding clause
(i), by inserting ``or on behalf of
local educational agencies in the State
under subsection (a)(2),'' after
``acting on its own behalf,''; and
(II) by striking clauses (i) through
(iii) and inserting the following:
``(i) provide the public and any interested
local educational agency in the State with notice
and a reasonable opportunity to comment and
provide input on the request, to the extent that
the request impacts the local educational agency;
``(ii) submit the comments and input to the
Secretary, with a description of how the State
addressed the comments and input; and
``(iii) provide notice and a reasonable time
to comment to the public and local educational
agencies in the manner in which the applying
agency customarily provides similar notice and
opportunity to comment to the public.''; and
(ii) in subparagraph (B), by striking clauses
(i) and (ii) and inserting the following:
``(i) the request shall be reviewed and
approved by the State educational agency in
accordance with subsection (a)(2) before being
submitted to the Secretary and be accompanied by
the comments, if any, of the State educational
agency and the public; and
``(ii) notice and a reasonable opportunity to
comment regarding the waiver request shall be
provided to the State educational agency and the
public by the agency requesting the waiver in the
manner in which that agency customarily provides
similar notice and opportunity to comment to the
public.''.
(D) by adding at the end the following:
``(4) Waiver determination, demonstration, and revision.--
``(A) In general.--The Secretary shall issue a
written determination regarding the initial approval or
disapproval of a waiver request not more than 120 days
after the
[[Page 129 STAT. 2105]]
date on which such request is submitted. Initial
disapproval of such request shall be based on the
determination of the Secretary that--
``(i) the waiver request does not meet the
requirements of this section;
``(ii) the waiver is not permitted under
subsection (c);
``(iii) the description required under
paragraph (1)(C) in the plan provides insufficient
information to demonstrate that the waiving of
such requirements will advance student academic
achievement consistent with the purposes of this
Act; or
``(iv) the waiver request does not provide for
adequate evaluation to ensure review and
continuous improvement of the plan.
``(B) Waiver determination and revision.--Upon the
initial determination of disapproval under subparagraph
(A), the Secretary shall--
``(i) immediately--
``(I) notify the State educational
agency, local educational agency
(through the State educational agency),
school (through the local educational
agency), or Indian tribe, as applicable,
of such determination; and
``(II) provide detailed reasons for
such determination in writing to the
applicable entity under subclause (I) to
the public, such as posting in a clear
and easily accessible format to the
Department's website;
``(ii) offer the State educational agency,
local educational agency (through the State
educational agency), school (through the local
educational agency), or Indian tribe an
opportunity to revise and resubmit the waiver
request by a date that is not more than 60 days
after the date of such determination; and
``(iii) if the Secretary determines that the
resubmission under clause (ii) does not meet the
requirements of this section, at the request of
the State educational agency, local educational
agency, school, or Indian tribe, conduct a hearing
not more than 30 days after the date of such
resubmission.
``(C) Waiver disapproval.--The Secretary may
ultimately disapprove a waiver request if--
``(i) the State educational agency, local
educational agency, school, or Indian tribe has
been notified and offered an opportunity to revise
and resubmit the waiver request, as described
under clauses (i) and (ii) of subparagraph (B);
and
``(ii) the State educational agency, local
educational agency (through the State educational
agency), school (through the local educational
agency), or Indian tribe--
``(I) does not revise and resubmit
the waiver request; or
``(II) revises and resubmits the
waiver request, and the Secretary
determines that such waiver request does
not meet the requirements of this
[[Page 129 STAT. 2106]]
section after a hearing conducted under
subparagraph (B)(iii), if such a hearing
is requested.
``(D) External conditions.--The Secretary shall not
disapprove a waiver request under this section based on
conditions outside the scope of the waiver request.'';
(3) in subsection (c)--
(A) in paragraph (1), by inserting ``, Indian
tribes'' after ``local educational agencies'';
(B) in paragraph (8), by striking ``subpart 1 of
part B of title V'' and inserting ``part C of title
IV''; and
(C) by striking paragraph (9) and inserting the
following:
``(9) the prohibitions--
``(A) in subpart 2 of part F;
``(B) regarding use of funds for religious worship
or instruction in section 8505; and
``(C) regarding activities in section 8526; or'';
(4) in subsection (d)--
(A) in the subsection heading, by adding ``;
Limitations'' after ``Waiver'';
(B) in paragraph (2), in the matter preceding
subparagraph (A), by striking ``Secretary determines''
and inserting ``State demonstrates''; and
(C) by adding at the end the following:
``(3) Specific limitations.--The Secretary shall not require
a State educational agency, local educational agency, school, or
Indian tribe, as a condition of approval of a waiver request,
to--
``(A) include in, or delete from, such request,
specific academic standards, such as the Common Core
State Standards developed under the Common Core State
Standards Initiative or any other standards common to a
significant number of States;
``(B) use specific academic assessment instruments
or items, including assessments aligned to the standards
described in subparagraph (A); or
``(C) include in, or delete from, such waiver
request any specific elements of--
``(i) State academic standards;
``(ii) academic assessments;
``(iii) State accountability systems; or
``(iv) teacher and school leader evaluation
systems.'';
(5) by striking subsection (e) and inserting the following:
``(e) Reports.--A State educational agency, local educational
agency, school, or Indian tribe receiving a waiver under this section
shall describe, as part of, and pursuant to, the required annual
reporting under section 1111(h)--
``(1) the progress of schools covered under the provisions
of such waiver toward improving student academic achievement;
and
``(2) how the use of the waiver has contributed to such
progress.''; and
(6) in subsection (f), by striking ``if the Secretary
determines'' and all that follows through the period at the end
and inserting the following: ``if, after notice and an
opportunity for a hearing, the Secretary--
[[Page 129 STAT. 2107]]
``(A) presents a rationale and supporting
information that clearly demonstrates that the waiver is
not contributing to the progress of schools described in
subsection (e)(1); or
``(B) determines that the waiver is no longer
necessary to achieve its original purposes.''
NCLB Text
``SEC. 9401. <<NOTE: 20 USC 7861.>> WAIVERS OF STATUTORY AND REGULATORY
REQUIREMENTS.
``(a) In General.--Except as provided in subsection (c), the
Secretary may waive any statutory or regulatory requirement of this Act
for a State educational agency, local educational agency, Indian tribe,
or school through a local educational agency, that--
``(1) receives funds under a program authorized by this Act;
and
``(2) requests a waiver under subsection (b).
``(b) Request for Waiver.--
``(1) In general.--A State educational agency, local
educational agency, or Indian tribe that desires a waiver shall
submit a waiver request to the Secretary that--
``(A) identifies the Federal programs affected by
the requested waiver;
``(B) describes which Federal statutory or
regulatory requirements are to be waived and how the
waiving of those requirements will--
``(i) increase the quality of instruction for
students; and
``(ii) improve the academic achievement of
students;
``(C) describes, for each school year, specific,
measurable educational goals, in accordance with section
1111(b), for the State educational agency and for each
local educational agency, Indian tribe, or school that
would be affected by the waiver and the methods to be
used to measure annually such progress for meeting such
goals and outcomes;
``(D) explains how the waiver will assist the State
educational agency and each affected local educational
agency, Indian tribe, or school in reaching those goals;
and
``(E) describes how schools will continue to provide
assistance to the same populations served by programs
for which waivers are requested.
``(2) Additional information.--Such requests--
``(A) may provide for waivers of requirements
applicable to State educational agencies, local
educational agencies, Indian tribes, and schools; and
``(B) shall be developed and submitted--
[[Page 115 STAT. 1973]]
``(i)(I) by local educational agencies (on
behalf of those agencies and schools) to State
educational agencies; and
``(II) by State educational agencies (on
behalf of, and based on the requests of, local
educational agencies) to the Secretary; or
``(ii) by Indian tribes (on behalf of schools
operated by the tribes) to the Secretary.
``(3) General requirements.--
``(A) State educational agencies.--In the case of a
waiver request submitted by a State educational agency
acting on its own behalf, the State educational agency
shall--
``(i) provide all interested local educational
agencies in the State with notice and a reasonable
opportunity to comment on the request;
``(ii) submit the comments to the Secretary;
and
``(iii) provide notice and information to the
public regarding the waiver request in the manner
in which the applying agency customarily provides
similar notices and information to the public.
``(B) Local educational agencies.--In the case of a
waiver request submitted by a local educational agency
that receives funds under this Act--
``(i) the request shall be reviewed by the
State educational agency and be accompanied by the
comments, if any, of the State educational agency;
and
``(ii) notice and information regarding the
waiver request shall be provided to the public by
the agency requesting the waiver in the manner in
which that agency customarily provides similar
notices and information to the public.
``(c) Restrictions.--The Secretary shall not waive under this
section any statutory or regulatory requirements relating to--
``(1) the allocation or distribution of funds to States,
local educational agencies, or other recipients of funds under
this Act;
``(2) maintenance of effort;
``(3) comparability of services;
``(4) use of Federal funds to supplement, not supplant, non-
Federal funds;
``(5) equitable participation of private school students and
teachers;
``(6) parental participation and involvement;
``(7) applicable civil rights requirements;
``(8) the requirement for a charter school under subpart 1
of part B of title V;
``(9) the prohibitions regarding--
``(A) State aid in section 9522;
``(B) use of funds for religious worship or
instruction in section 9505; and
``(C) activities in section 9526; or
``(10) 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
[[Page 115 STAT. 1974]]
the school attendance area or who attend the school is not more
than 10 percentage points below the lowest percentage of those
children for any school attendance area or school of the local
educational agency that meets the requirements of subsections
(a) and (b) of section 1113.
``(d) Duration and Extension of Waiver.--
``(1) In general.--Except as provided in paragraph (2), a
waiver approved by the Secretary under this section may be for a
period not to exceed 4 years.
``(2) Extension.--The Secretary may extend the period
described in paragraph (1) if the Secretary determines that--
``(A) the waiver has been effective in enabling the
State or affected recipient to carry out the activities
for which the waiver was requested and the waiver has
contributed to improved student achievement; and
`(B) the extension is in the public interest.
``(e) Reports.--
``(1) Local waiver.--A local educational agency that
receives a waiver under this section shall, at the end of the
second year for which a waiver is received under this section
and each subsequent year, submit a report to the State
educational agency that--
``(A) describes the uses of the waiver by the agency
or by schools;
``(B) describes how schools continued to provide
assistance to the same populations served by the
programs for which waivers were granted; and
``(C) evaluates the progress of the agency and of
schools in improving the quality of instruction or the
academic achievement of students.
``(2) State waiver.--A State educational agency that
receives reports required under paragraph (1) shall annually
submit a report to the Secretary that is based on those reports
and contains such information as the Secretary may require.
``(3) Indian tribe waiver.--An Indian tribe that receives a
waiver under this section shall annually submit a report to the
Secretary that--
``(A) describes the uses of the waiver by schools
operated by the tribe; and
``(B) evaluates the progress of those schools in
improving the quality of instruction or the academic
achievement of students.
``(4) Report to congress.--Beginning in fiscal year 2002 and
for each subsequent year, the Secretary shall submit to the
Committee on Education and the Workforce of the House of
Representatives and the Committee on Health, Education, Labor,
and Pensions of the Senate a report--
``(A) summarizing the uses of waivers by State
educational agencies, local educational agencies, Indian
tribes, and schools; and
``(B) describing whether the waivers--
``(i) increased the quality of instruction to
students; or
``(ii) improved the academic achievement of
students.
``(f) Termination of Waivers.--The Secretary shall terminate a
waiver under this section if the Secretary determines, after notice
[[Page 115 STAT. 1975]]
and an opportunity for a hearing, that the performance of the State or
other recipient affected by the waiver has been inadequate to justify a
continuation of the waiver or if the waiver is no longer necessary to
achieve its original purposes.
``(g) <<NOTE: Federal Register, publication.>> Publication.--A
notice of the Secretary's decision to grant each waiver under subsection
(a) shall be published in the Federal Register and the Secretary shall
provide for the dissemination of the notice to State educational
agencies, interested parties, including educators, parents, students,
advocacy and civil rights organizations, and the public.
