II 

112TH CONGRESS 

1ST SESSION S. 1568 

To amend section 9401 of the Elementary and Secondary Education Act 

of 1965 with regard to waivers of statutory and regulatory requirements. 

IN THE SENATE OF THE UNITED STATES 

SEPTEMBER 15, 2011 

Mr. ALEXANDER (for himself, Mr. BURR, Mr. RUBIO, Mr. GRASSLEY, Mr. 

ROBERTS, Mr. WICKER, and Mr. CORNYN) introduced the following bill; 

which was read twice and referred to the Committee on Health, Education, Labor, and Pensions 

A BILL 

To amend section 9401 of the Elementary and Secondary 

Education Act of 1965 with regard to waivers of statutory and regulatory requirements. 

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled, 

3 SECTION 1. SHORT TITLE. 

4 This Act may be cited as the ‘‘State Innovation Pilot 

5 Act of 2011’’. 

6 SEC. 2. PURPOSES. 

7 The purposes of this Act are— 

8 (1) to support State, local, and tribal leadership 

9 and innovation in preparing all students to meet 


tjames on DSK6SPTVN1PROD with BILLS
2 

•S 1568 IS

1 State-developed college and career ready academic 

2 content standards and student academic achieve3 ment standards, by establishing a process to permit 

4 State, local, and tribal educational leaders to imple5 ment alternative and innovative strategies to im6 prove student academic achievement and otherwise 

7 meet the purposes of the Elementary and Secondary 

8 Education Act of 1965 (20 U.S.C. 6301 et seq.); 

9 and 

10 (2) to direct the Secretary of Education to 

11 defer to State, local, and tribal judgments regarding 

12 how best to accomplish the purposes of the Elemen13 tary and Secondary Education Act of 1965. 

14 SEC. 3. WAIVERS OF STATUTORY AND REGULATORY RE15 QUIREMENTS. 

16 Section 9401 of the Elementary and Secondary Edu17 cation Act of 1965 (20 U.S.C. 7861) is amended— 

18 (1) by striking subsection (a) and inserting the 

19 following: 

20 ‘‘(a) IN GENERAL.— 

21 ‘‘(1) REQUEST FOR WAIVER.—A State edu22 cational agency, local educational agency, or Indian 

23 tribe that receives funds under a program authorized 

24 under this Act may submit a request to the SecVerDate Mar 15 2010 23:33 Sep 20, 2011 Jkt 099200 PO 00000 Frm 00002 Fmt 6652 Sfmt 6201 E:\BILLS\S1568.IS S1568

tjames on DSK6SPTVN1PROD with BILLS
3 

•S 1568 IS

1 retary to waive any statutory or regulatory require2 ment of this Act. 

3 ‘‘(2) RECEIPT OF WAIVER.—Except as provided 

4 in subsection (c), the Secretary shall waive any stat5 utory or regulatory requirement of this Act for a 

6 State educational agency, local educational agency, 

7 Indian tribe, or school (through a local educational 

8 agency), that submits a waiver request pursuant to 

9 this subsection.’’; 

10 (2) in subsection (b)— 

11 (A) in paragraph (1)— 

12 (i) in the matter preceding subpara13 graph (A), by inserting ‘‘, which shall in14 clude a plan’’ after ‘‘waiver request to the 

15 Secretary’’; 

16 (ii) in subparagraph (B), by striking 

17 ‘‘and how the waiving of those require18 ments will’’ and all that follows through 

19 the end, and inserting a semicolon; 

20 (iii) by redesignating subparagraph 

21 (E) as subparagraph (F); and 

22 (iv) by striking subparagraphs (C) 

23 and (D), and inserting the following: 

24 ‘‘(C) reasonably demonstrates that the 

25 waiver will improve instruction for students, adVerDate Mar 15 2010 23:33 Sep 20, 2011 Jkt 099200 PO 00000 Frm 00003 Fmt 6652 Sfmt 6201 E:\BILLS\S1568.IS S1568

tjames on DSK6SPTVN1PROD with BILLS
4 

•S 1568 IS

1 vance student academic achievement, and con2 tribute to student mastery of knowledge and 

3 skills, consistent with the State’s college and 

4 career ready academic content standards and 

5 student academic achievement standards; 

6 ‘‘(D) describes the methods the State edu7 cational agency, local educational agency, or In8 dian tribe will use to— 

9 ‘‘(i) monitor the effectiveness of the 

10 implementation of the plan; and 

11 ‘‘(ii) assure regular evaluation and 

12 continuous improvement of the plan; 

13 ‘‘(E) as applicable to the waiver request— 

14 ‘‘(i) describes the State educational 

15 agency, local educational agency, or Indian 

16 tribe’s process for making valid and mean17 ingful accountability determinations, based 

18 on student academic achievement, to re19 view the success of schools and local edu20 cational agencies or Indian tribes in imple21 menting the State’s college and career 

22 ready academic content standards and stu23 dent academic achievement standards; 

24 ‘‘(ii) describes the State educational 

25 agency, local educational agency, or Indian 


tjames on DSK6SPTVN1PROD with BILLS
5 

•S 1568 IS

1 tribe’s process for accurately and meaning2 fully identifying, supporting, and inter3 vening in underperforming schools, con4 sistent with applicable State or local policy; 

5 and 

6 ‘‘(iii) includes information on how the 

7 State educational agency, local educational 

8 agency, or Indian tribe will maintain and 

9 improve transparency in reporting to par10 ents and the public on student achievement 

11 and school performance, including the 

12 achievement of students according to the 

13 student subgroups described in subclauses 

14 (I) through (IV) of section 

15 1111(b)(2)(B)(viii); and’’; 

16 (B) in paragraph (2)(B)(i)(II), by striking 

17 ‘‘(on behalf of, and based on the requests of, 

18 local educational agencies)’’ and inserting ‘‘(on 

19 their own behalf, or on behalf of, and based on 

20 the requests of, local educational agencies in the 

21 State)’’; 

22 (C) in paragraph (3)(A), in the matter 

23 preceding clause (i), by inserting ‘‘or on behalf 

24 of local educational agencies in the State,’’ after 

25 ‘‘acting on its own behalf,’’; and 


tjames on DSK6SPTVN1PROD with BILLS
6 

•S 1568 IS

1 (D) by adding at the end the following: 

2 ‘‘(4) PEER REVIEW.— 

3 ‘‘(A) PEER REVIEW TEAM.— 

4 ‘‘(i) IN GENERAL.—The Secretary 

5 shall establish multi-disciplinary peer re6 view teams and appoint members to such 

7 teams, including persons who have experi8 ence with a State educational agency (or 

9 local educational agency or Indian tribe, as 

10 appropriate) and broader education reform 

11 experience, to review waiver requests under 

12 this section if— 

13 ‘‘(I) the Secretary requests such 

14 input in order to approve a waiver re15 quest; or 

16 ‘‘(II) the Secretary intends to 

17 disapprove a request. 

18 ‘‘(ii) TEAM IN PLACE FOR ALL WAIV19 ER REQUESTS.—The Secretary may, at the 

20 Secretary’s discretion, have a peer review 

21 team review all waiver requests submitted 

22 under this section. 

23 ‘‘(B) APPLICABILITY.—The Secretary may 

24 approve a waiver request under this section 

25 without conducting a peer review of the request, 


tjames on DSK6SPTVN1PROD with BILLS
7 

•S 1568 IS

1 but shall use the peer review process under this 

2 paragraph before disapproving such a request. 

3 ‘‘(C) PURPOSE OF PEER REVIEW.—The 

4 peer review process shall be designed to— 

5 ‘‘(i) promote effective implementation 

6 of State-developed college and career ready 

7 academic content standards and student 

8 academic achievement standards, through 

9 State and local innovation; and 

10 ‘‘(ii) provide transparent feedback to 

11 State educational agencies, local edu12 cational agencies, or Indian tribes, de13 signed to strengthen the applicant’s plan 

14 described under paragraph (1)(C). 

15 ‘‘(D) STANDARD AND NATURE OF RE16 VIEW.—Peer reviewers shall conduct a good 

17 faith review of waiver requests submitted to 

18 them under this section. Peer reviewers shall re19 view such waiver requests— 

20 ‘‘(i) in their totality; 

21 ‘‘(ii) in deference to State and local 

22 judgment; and 

23 ‘‘(iii) with the goal of promoting 

24 State- and local-led innovation. 


tjames on DSK6SPTVN1PROD with BILLS
8 

•S 1568 IS

1 ‘‘(5) WAIVER DETERMINATION, DEMONSTRA2 TION, AND REVISION.— 

3 ‘‘(A) IN GENERAL.—The Secretary shall 

4 approve a waiver request not more than 90 

5 days after the date on which such request is 

6 submitted, unless the Secretary determines and 

7 demonstrates that— 

8 ‘‘(i) the waiver request does not meet 

9 the requirements of this section; 

10 ‘‘(ii) the waiver is not permitted under 

11 subsection (c); 

12 ‘‘(iii) the plan that is required under 

13 paragraph (1)(C), and reviewed with def14 erence to State and local judgment, pro15 vides no reasonable basis to determine that 

16 a waiver will enhance student academic 

17 achievement; or 

18 ‘‘(iv) the waiver request does not pro19 vide for adequate evaluation to ensure re20 view and continuous improvement of the 

21 plan, consistent with paragraph (1)(D). 

22 ‘‘(B) WAIVER DETERMINATION AND REVI23 SION.—If the Secretary determines and dem24 onstrates that the waiver request does not meet 


tjames on DSK6SPTVN1PROD with BILLS
9 

•S 1568 IS

1 the requirements of this section, the Secretary 

2 shall— 

3 ‘‘(i) immediately— 

4 ‘‘(I) notify the State educational 

5 agency, local educational agency, or 

6 Indian tribe of such determination; 

7 and 

8 ‘‘(II) at the request of the State 

9 educational agency, local educational 

10 agency, or Indian tribe, provide de11 tailed reasons for such determination 

12 in writing; 

13 ‘‘(ii) offer the State educational agen14 cy, local educational agency, or Indian 

15 tribe an opportunity to revise and resubmit 

16 the waiver request not more than 60 days 

17 after the date of such determination; and 

18 ‘‘(iii) if the Secretary determines that 

19 the resubmission does not meet the re20 quirements of this section, at the request 

21 of the State educational agency, local edu22 cational agency, or Indian tribe, conduct a 

23 public hearing not more than 30 days after 

24 the date of such resubmission. 


tjames on DSK6SPTVN1PROD with BILLS
10 

•S 1568 IS

1 ‘‘(C) WAIVER DISAPPROVAL.—The Sec2 retary may disapprove a waiver request if— 

3 ‘‘(i) the State educational agency, 

4 local educational agency, or Indian tribe 

5 has been notified and offered an oppor6 tunity to revise and resubmit the waiver 

7 request, as described under clauses (i) and 

8 (ii) of subparagraph (B); and 

9 ‘‘(ii) the State educational agency, 

10 local educational agency, or Indian tribe— 

11 ‘‘(I) does not revise and resubmit 

12 the waiver request; or 

13 ‘‘(II) revises and resubmits the 

14 waiver request, and the Secretary de15 termines that such waiver request 

16 does not meet the requirements of this 

17 section after a hearing conducted 

18 under subparagraph (B)(iii). 

19 ‘‘(D) EXTERNAL CONDITIONS.—The Sec20 retary shall not disapprove a waiver request 

21 under this section based on conditions outside 

22 the scope of the waiver request.’’; 

23 (3) in subsection (d)— 


tjames on DSK6SPTVN1PROD with BILLS
11 

•S 1568 IS

1 (A) in the heading, by adding ‘‘; LIMITA2 TIONS’’ after ‘‘DURATION AND EXTENSION OF

3 WAIVER’’; and 

4 (B) by adding at the end the following: 

5 ‘‘(3) SPECIFIC LIMITATIONS.—The Secretary 

6 shall not require a State educational agency, local 

7 educational agency, or Indian tribe, as a condition of 

8 approval of a waiver request, to— 

9 ‘‘(A) include in, or delete from, such re10 quest, specific academic content standards or 

11 academic achievement standards; 

12 ‘‘(B) use specific academic assessment in13 struments or items; or 

14 ‘‘(C) include in, or delete from, such waiv15 er request any criterion that specifies, defines, 

16 or prescribes the standards or measures that a 

17 State or local educational agency uses to estab18 lish, implement, or improve— 

19 ‘‘(i) State academic content standards 

20 or academic achievement standards; 

21 ‘‘(ii) assessments; 

22 ‘‘(iii) State accountability systems; 

23 ‘‘(iv) systems that measure student 

24 growth; 


tjames on DSK6SPTVN1PROD with BILLS
12 

•S 1568 IS

1 ‘‘(v) measures of other academic indi2 cators; or 

3 ‘‘(vi) teacher and principal evaluation 

4 systems.’’; 

5 (4) in subsection (e)— 

6 (A) in paragraph (1)— 

7 (i) by striking the heading and insert8 ing ‘‘WAIVER REPORTS’’; 

9 (ii) in the matter preceding subpara10 graph (A)— 

11 (I) by striking ‘‘local educational 

12 agency that receives’’ and inserting 

13 ‘‘State educational agency, local edu14 cational agency, or Indian tribe that 

15 receives’’; and 

16 (II) by striking ‘‘submit a report 

17 to the State educational agency that’’ 

18 and inserting ‘‘submit a report to the 

19 Secretary that’’; 

20 (B) by striking paragraphs (2) and (3); 

21 (C) by redesignating paragraph (4) as 

22 paragraph (2); and 

23 (D) in paragraph (2), (as redesignated by 

24 subparagraph (C)), by striking ‘‘Beginning in 

25 fiscal year 2002 and for each subsequent year, 


tjames on DSK6SPTVN1PROD with BILLS
13 

•S 1568 IS

1 the Secretary shall submit to the Committee’’ 

2 and inserting ‘‘The Secretary shall annually 

3 submit to the Committee’’; and 

4 (5) in subsection (f), by inserting ‘‘and the re5 cipient of the waiver has failed to make revisions 

6 needed to carry out the purpose of the waiver,’’ after 

7 ‘‘has been inadequate to justify a continuation of the 

8 waiver’’. 

Æ 


tjames on DSK6SPTVN1PROD with BILLS