A r c h i v e d  I n f o r m a t i o n

Application Requirements

Is there a specific waiver application form?

There is no specific form that waiver applicants must complete. Instead, waiver applicants should submit requests in the manner that best meets their needs and circumstances while addressing the specific requirements of the appropriate waiver authorities.

What kind of supporting documentation must be submitted with a waiver request?

The individual waiver authorities contain criteria for granting waivers and application requirements that should guide applicants in preparing their waiver submissions. The type of supporting documentation that must be submitted to meet these requirements and satisfy the criteria varies depending on the nature of the waiver sought. The Department will work with waiver applicants in addressing any concerns that they may have about a request. For further information on this topic, see the application requirements section of the comparison charts on page 7 and the section discussing "Preparing Waiver Requests" on pages 8 - 13.

Because the most common type of waiver request received by the Department pertains to requirements of Title I of the ESEA, Appendix B of this guidance includes program specific checklists to help applicants for waivers of Title I schoolwide and targeting and allocation requirements prepare their submissions.

Is there a deadline for submitting waiver requests?

Yes. Requests for waivers that would be implemented in the beginning of each school year (September) must be submitted no later than April1 of that same year. Waivers to be submitted January of each school year must be submitted by October 1.

Waivers to Be Implemented For...	Waivers Must Be Submitted By...
beginning of 1999-2000 school year	April 1, 1999
January, 2000	October 1, 1999

However, waiver applicants are encouraged to submit their waiver requests as early as possible and not wait until these deadlines to seek waivers. Exceptions to the deadlines will be considered only if applicants demonstrate that requested waivers would not disrupt ongoing school-level activities. Deadlines for subsequent semesters or years will be published in the Federal Registerat a later date.

For the purposes of these deadlines, the submission date of a waiver request is the date that it is received by the Department in substantially approvable form. A waiver request is considered to be in substantially approvable form when it adequately addresses the statutory criteria, as described in this guidance.

Is a waiver applicant required to obtain State approval before its waiver request is submitted to the department?

Goals 2000:Yes. Under Goals 2000, a district or school must submit a request for a waiver to its SEA. The SEA then forwards to the Secretary for consideration only those requests that it approves.

ESEA:No. Although an ESEA waiver request by a district (on its own behalf or on behalf of one or more schools) must be submitted to the SEA for review, it is not necessary for the district or school to obtain SEA approval of the request. After providing the SEA with an opportunity to comment, the district may submit the request to the Secretary for consideration. An SEA may also submit waiver requests to the Secretary on behalf of districts or schools.

School-to-Work:Under School-to-Work, a local partnership must submit its request for a waiver to the State. The State forwards to the Secretary for consideration only those requests that it approves. If the State fails to act on the waiver request within 30 days, however, the partnership may submit its request directly to the Secretary. In this situation, State approval is not required.

What does the State or SEA review process entail?

The State or SEA should review waiver requests of districts and local partnerships to determine whether the concerns raised are appropriately addressed by waiving Federal requirements, and whether the requests are consistent with the State's Goals 2000 State Plan, State School-to-Work Plan, or other comprehensive education improvement plans. In some instances, an applicant may wish to revise a waiver request in light of SEA or State comments.

The Secretary suggests that an SEA act upon requests for waivers under Goals 2000 or the ESEA within 60 days of receiving the request. Under Goals 2000, once an SEA has approved a district's or school's waiver request, the SEA forwards the request to the Secretary. In contrast, under the ESEA, State approval is not a precondition for granting a waiver to a district. If an SEA has not provided comments on a district's waiver request for an ESEA waiver within 60 days of the request, the district may submit the request to the Secretary (either on its own behalf or on behalf of a school). Comments provided by the SEA after the request has been submitted but before a decision is made will be considered by the Secretary. States should act upon waiver requests made under the School-to-Work waiver authority within 30 days. The School-to-Work statute permits a local partnership to submit its waiver request directly to the Secretary if the State does not act by the end of this period.

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