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Thursday, February 23, 2012

Educational Accountability and Secretarial Waiver Authority Under Section 9401 of the Elementary and Secondary Education Act


Rebecca R. Skinner
Specialist in Education Policy

Jody Feder
Legislative Attorney


Section 9401 of the Elementary and Secondary Education Act (ESEA) provides the Secretary of Education with broad waiver authority with respect to programs authorized under the act. The Secretary has used the authority provided under Section 9401 to grant numerous waivers over time, including waivers of accountability and general administrative provisions. On September 23, 2011, President Obama and the Secretary announced the availability of an ESEA flexibility package for states and described the principles that states must meet to obtain the included waivers. The waivers would apply to school years 2011-2012, 2012-2013, and 2013-2014. States would have the option to apply for a one-year waiver extension for the 2014-2015 school year.

The following waivers are included in the ESEA flexibility package: 
1.      Flexibility regarding the 2013-2014 timeline for determining adequate yearly progress 
2.      Flexibility in implementation of school improvement requirements 
3.      Flexibility in implementation of local educational agencies (LEAs) improvement requirement 
4.      Flexibility for rural LEAs 
5.      Flexibility for schoolwide programs 
6.      Flexibility to support school improvement 
7.      Flexibility for Reward Schools 
8.      Flexibility regarding highly qualified teacher (HQT) improvement plans 
9.      Flexibility to transfer certain funds 
10.  Flexibility in the use of School Improvement Grant funds to support priority schools 

The waivers would exempt states from various academic accountability requirements, teacher qualification-related requirements, and funding flexibility requirements that were enacted through the No Child Left Behind Act of 2001 (NCLB; P.L. 107-110). State educational agencies (SEAs) could also apply for an optional waiver related to the 21st Century Community Learning Centers program. However, in order to receive the waivers, SEAs must agree to meet four principles established by ED for “improving student academic achievement and increasing the quality of instruction.” The four principles, as stated by ED, are as follows: (1) college- and career-ready expectations for all students; (2) state-developed differentiated recognition, accountability, and support; (3) supporting effective instruction and leadership; and (4) reducing duplication and unnecessary burden.

Taken collectively, the waivers and principles included in the ESEA flexibility package amount to a fundamental redesign by the Administration of the accountability and teacher-related requirements included in current law. Given that most states have applied for, or signaled an intent to apply for, the waivers, the ESEA flexibility package may be in effect in many states by the end of the current school year. If Congress continues to work on ESEA reauthorization during the 112th Congress, it is possible that provisions included in any final bill may be similar to or override the waivers and principles established by the Administration.



Date of Report: January 10, 2012
Number of Pages: 49
Order Number: R42328
Price: $29.95

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