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[Questions and Answers ]There are five requirements that, although statutorily expressed in slightly different ways, are common to the three general waiver authorities:
Identify the statutory or regulatory requirements for which a waiver is requested.
Describe why the waiver is needed to improve student performance and what goals would be achieved under the waiver.
Describe how progress that would result from implementing the waiver would be measured.
Describe how interested parties were notified of the waiver request.
Describe how similar State requirements would be waived.
Along with the following discussion of each requirement, examples of information that would be responsive and help form a full and persuasive waiver request are provided.(9)
A. Identify the statutory or regulatory requirements for which a waiver is requested
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EXAMPLE A State has adopted new academic standards in social studies that will be implemented during the next school year. In its waiver application, the SEA states that a one-year waiver of section 2206(b) of the ESEA would support its efforts to implement the new standards. This section requires States to ensure that a major portion of Eisenhower Professional Development funds allocated for local activities be spent on mathematics and science professional development. The State has participated in the National Science Foundation State Systemic Initiative for several years to build its mathematics and science capacity. The SEA indicates that a waiver of section 2206(b) would enable its school districts to devote substantial professional development resources to implement the social studies standards during the coming school year. |
Applicants shouldspecify the particular Federal requirements, either statutory or regulatory,(10)that they would like waived and how the requirements form a barrier to teaching and learning to high standards. Applicants should alsospecify the length of time for which the waiver is requested. In some cases, waivers have been requested for State or district initiatives that do not require waivers. Focusing on the specific provisions can help clarify whether an applicant needs a waiver to achieve its education improvement objectives.
The most effective applications for waivers demonstrate why a waiver is needed and what the waiver, if granted, would accomplish.Descriptive information about the applicant's educational system and the circumstances for which the waiver is requestedoften provides a strong start for a request. For example, useful background information may include a description of the State, school district, or schools that the waiver would affect; relevant information on school reform efforts; poverty rankings; the numbers of low-income and Title I eligible students and the number of Title I eligible students served, if applicable to the request; any outstanding features of the student populations; and how these and other factors shaped the waiver request.
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EXAMPLE A large, urban district identified four very high-poverty, inner-city elementary schools for comprehensive reform based on particularly low student achievement on the State assessment as well as other factors in the schools. As part of its efforts to raise student achievement at these schools, the district planned to establish schoolwide programs, reorganize staff, lengthen the school year, focus heavily on reading and math, provide extensive professional development, and strengthen links to the community. Although all four of the schools are above 90% poverty, they are not the district's four highest poverty schools. The district requests a waiver of section 1113(c)(1) of the ESEA in order to target extra Title I dollars to these four schools. In its application, the district explains how, as a part of its long-term school improvement strategy, the four schools were identified for reform. The district also provides information regarding the poverty levels, numbers of poor students, and Title I allocations (both with and without the waiver) for all schools affected by the request (not just the four receiving additional funds). In addition, because the district's schools vary considerably in terms of racial and ethnic composition, the district provides demographic data for the affected schools. |
EXAMPLE A district seeks a waiver of certain Title I provisions under the special waiver provisions in section 1113(a)(7) of the ESEA for districts with State- or court- ordered desegregation plans. In its application, the district describes, among other matters, the background on its court-ordered desegregation plan, the racial composition of the affected schools, and per pupil allocations both with and without the waiver. The district also provides the educational justification supporting the waiver, including measurable improvement goals, and the methods that will be used to measure progress towards these goals. |
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EXAMPLE A State that has developed a performance-based student assessment and accountability system to match its challenging content and student performance standards requests a waiver of ESEA sections 1116(c)(1)(C) and 1116(d)(3)(A)(ii) in order to align the ESEA Title I accountability requirements with those in the State system. The State accountability system is based on biennial periods of review in which two years' data are averaged while accountability under Title I is based on annual reviews for two consecutive years. The waiver supports the purposes of Title I by promoting high academic expectations for all children and focusing on accountability and improvement. |
Next, the applicant should describe the specific educational improvement goals it seeks to achieve and how the waiver it requests would remove barriers to achieving those goals. While improvements need not be solely attributable to waivers, applicants should make clear how the waiver would contribute to improvements in teaching and learning by citing expectations such as improved student achievement on State assessments, better prepared teachers, a lower dropout rate, more students engaged in work-based learning, or reduced substance abuse among students. To the extent possible, these goals should be based on research, be specific and measurable, be evaluated against available baseline data, and be directly related to the proposed waiver.
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EXAMPLE A small rural school district seeks a waiver under the ESEA waiver authority on behalf of one of its middle schools. Although at 45 percent poverty, below the 50 percent poverty threshold set by the ESEA for implementing schoolwide programs, the school staff believe that the needs of all students in the school, including the lowest performing students, would be better met with a schoolwide approach. The middle school has undergone the necessary planning in order to become a schoolwide program and developed a plan that addresses each of the statutory components for schoolwide programs. The district seeks a waiver of section 1114(a)(1)(B) of the ESEA to qualify the school for schoolwide program status, enabling it to use its Title I funds, as well as other Federal education funds, to improve education for all of its students. As a result of its comprehensive reform program, the middle school expects the rate of student proficiency on the State's eighth-grade mathematics assessment to improve from 58 percent to 70 percent over the first two years of the waiver, reaching 75 percent in year three. The school also expects that the percentage of students reaching advanced levels on the assessment will increase from 5 percent to 20 percent over the full period of the waiver. In order for the improvements to occur, by the end of the first year of the waiver, the school will train all three of its math teachers to teach the State's challenging new math standards. |
Waiver applications shouldidentify what may be given up as a result of the waiver(for example, which students, teachers, or academic subjects would receive fewer resources or less emphasis if the waiver is granted), discuss whether the applicant has alternative strategies for addressing those needs, and provide a compelling rationale to justify the net result. For instance, devoting more resources to professional development in social studies or English/language arts may mean fewer teachers receiving preparation in math or science. Similarly, a waiver allowing a district to shift funds to an expensive, but successful, reading program may result in cuts in supplemental assistance for educationally disadvantaged students in upper grades or fewer resources for additional instruction in other academic subjects. Providing information about trade-offs gives a much clearer understanding of what the applicant wants to accomplish and demonstrates that the applicant has thoroughly reviewed the educational needs of its students. |
EXAMPLE A middle-sized school district, as part of its comprehensive school improvement strategy aligned with State standards, seeks a waiver of ESEA section 1113(a)(3)(A). The waiver will allow the district to concentrate its Title I funds on an effective early intervention program serving students in pre-K through third grade in eleven elementary schools, rather than fund a high-poverty middle school that it would otherwise be required to serve. In its application, the district describes its extensive plan for providing enhanced services to educationally disadvantaged students at the middle school. The district intends to devote substantial non-Title I resources to the school, including funds from Goals 2000, the Eisenhower Professional Development program, Title VI, and Safe and Drug-Free Schools, as well as State and local funds. |
Descriptions of the process the waiver applicant engaged in while deciding to seek a waiver also frequently contribute to a more persuasive waiver request. Information about school-based decision making efforts, school- or district-level needs assessments, input from parents, and letters from principals of affected schools may help illustrate why a waiver is needed to improve teaching and learning.
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In developing a comprehensive school improvement strategy for high school students, a middle-sized school district conducts a needs assessment of its two highest-poverty high schools. The district and the high schools survey staff, convene parent groups, and hold a town meeting to gather community input. The district and high schools determine that they need to provide substantially more work-based learning opportunities, establish expanded computer labs, and provide intensive mentoring. Under the School-to-Work waiver authority, the district seeks a waiver of 34 C.F.R. 80.32(c)(1-2) of the U.S. Department of Education's general administrative regulations (EDGAR), and 34 C.F.R. 403.197(b)(2) of the regulations implementing section 235(c)(3)(B) of the Perkins Act, both of which affect the purchase and use of computer equipment under Perkins. These regulations require that equipment purchased with Perkins funds be used by vocational education or, in limited circumstances, other programs supported by Federal funds. In its application, the district describes how, while still focusing primarily on students enrolled in vocational education, waiving these regulations would permit the high schools to fully implement their improvement strategy through allowing continuous use of the computer labs by all students, not just those enrolled in vocational education programs or other Federally funded programs. |
C. Describe how progress that results from implementing the waiver would be measured
An effective waiver request should outline how the applicant would measure progress in implementing the waiver and progress towards meeting stated goals and objectives. For example, if the expected result is a better attendance rate among high school students, how would the school or district measure this? If the expected result is more students beginning the third grade reading proficiently, how would student reading levels be evaluated, and what would the applicant do in order to ascertain whether improvements are sustained into higher grades? If the district has identified certain students or services that might be negatively impacted by a given waiver, how would the district measure progress made by those students or in those academic areas? If the rationale for the waiver rests in part upon past success, how was this success documented, and how would it be measured in the future?
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EXAMPLE A State seeks a waiver of 34 C.F.R. 403.190 and 403.116(c)(1) of the regulations implementing sections 232 and 240 of the Perkins Act, in order to allow all the high schools and postsecondary institutions in the State to form innovative consortia with each other for the purpose of providing services with Perkins program funds. Without the waiver, consortia including both high schools and community colleges could not apply for Perkins funds. The State anticipates that the comprehensive school-to-work strategies involving these consortia will, by the end of the waiver period, lead to a 10% increase in students continuing on to at least two years of postsecondary education after high school and a decrease of three percentage points in the unemployment rate among 18- to 20-year-olds in the State. In its application, the State education agency describes how it will assess progress towards these established goals and adjust its strategies, if necessary, in order to realize them. |
D. Describe how interested parties were notified of the waiver request
Compelling waiver requests highlight the genuine awareness and involvement of teachers, principals, parents, and the community in preparing the waiver request. To this end, all waiver applicants mustdescribe how interested parties, including stakeholders such as officials at private schools and other parties that may be negatively affected by a waiver, were notified of the waiver request. When applicants have an established process for notifying their communities of important actions, information about the waiver request should be disseminated through that process. Where no such process exists, applicants must provide interested parties with reasonable notice of the request. In either case, appropriate strategies may include letters to parents and school staff, town hall meetings, newspaper articles, and computer bulletin boards.
E. Describe how similar State requirements would be waived
When a waiver of Federal law is requested and comparable State requirements exist, the applicant must describe what those State requirements are and how they will be waived. Without such action, efforts to provide greater flexibility may be hindered.
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A school district seeks a three-year waiver of the ESEA section 2206(b) requirement in the Eisenhower program that it spend no more than a given percentage of its Title II funds on professional development in subjects other than math and science. Consistent with State and local comprehensive plans, the district's middle schools are adopting a new portfolio approach to assessment in English and plan to conduct a related summer training program for teachers. A State professional development program, similar to Eisenhower, provides funds for training teachers, but only in the sciences. In order to fund its training program, the district will combine both State and Eisenhower funds. Thus, in its application, the district must describe the State requirement and how it would be waived to allow for professional development in English. |
8.Seepage 16for a description of what entities are eligible to apply for waivers.
9.Seepages 17-18and23for additional information on submitting waiver requests and the waiver review process.
10.Seepages 14-15for a discussion of the Federal requirements that may and may not be waived.
[Comparison of the General Waiver Provisions ][Questions and Answers ]