In September 2011,  Education introduced the Flexibility initiative and invited states to request  a waiver for flexibility from certain NCLBA requirements in effect at the  time. Generally, Education approved states to implement their  requests for a certain number of years. Education Assessed States’ Ability to Implement Flexibility Waivers and Identified Challenges but Has Not Yet Evaluated Its Own Oversight Processes

		Education Identified Challenges to States’ Ability to Implement Flexibility Waivers

By establishing a process to review, approve, and monitor states’  Flexibility waivers, Education identified challenges to states’ ability to fully  implement their waivers, as shown in table 2. Twelve States Faced Multiple Challenges in Implementing Their Flexibility Waivers, Especially Related to Local Oversight

Of the 43 states with Flexibility waivers, we identified 12 states that faced  multiple significant challenges throughout the initiative, affecting their  ability to fully implement their waivers: Alabama, Arizona, Florida,  Louisiana, Massachusetts, Nevada, New Hampshire, Ohio, Oklahoma,  Pennsylvania, South Dakota, and Texas. As shown in table 3, these 12  states had at least two of the following designations:
Education included conditions when approving the state’s initial
Education found during monitoring that the state was not  implementing an element of its Flexibility waiver consistent with its  approved request meeting Education’s expectations for establishing  systems and processes—particularly for monitoring schools and  school districts—that supported waiver implementation; or
Education included conditions when renewing the state’s Flexibility  waiver. For  example, Education identified risks related to Pennsylvania’s capacity to  monitor interventions in “focus schools” prior to approving the state’s  Flexibility waiver and subsequently found during Part B monitoring (nearly  2 years later) that the state lacked a plan to conduct such monitoring. According to our analysis of Education’s  documentation, it took over 4 months, on average, to provide states with  final Part B monitoring reports; for 10 states, it was over 6 months. According to standards for internal control in the federal  government, agencies should consider lessons learned when planning  agency activity, as doing so can help an agency communicate acquired  knowledge more effectively and ensure that beneficial information is  factored into planning, work processes, and activities. As Education  begins its efforts to implement the ESSA, it has the opportunity to learn  from its experiences with the Flexibility initiative. Without identifying  lessons from oversight of the waiver process, Education may miss  opportunities to better support ESSA implementation. Recommendation for Executive Action

To better manage any challenges states may face implementing the  ESSA, we recommend that the Secretary of Education direct the Office of  State Support to evaluate its oversight process in light of the challenges  states encountered in implementing the Flexibility initiative to identify  lessons learned and, as appropriate, incorporate any lessons into plans  for overseeing the ESSA, particularly around issues such as the design  and implementation of states’ monitoring systems. Appendix I: Key Benefits and Challenges of Flexibility Waivers, According to Officials in Selected States

In prior work, we interviewed selected states regarding the benefits and  challenges of requesting and implementing waivers granted through the  Department of Education’s (Education) Flexibility initiative under the  Elementary and Secondary Education Act of 1965 (ESEA), as amended  by the No Child Left Behind Act of 2001 (NCLBA).
Why GAO Did This Study

Beginning in 2011, Education used its statutory authority to invite states to apply for waivers from certain provisions in the ESEA through its Flexibility initiative. To receive Flexibility waivers, states had to agree to meet other requirements related to college- and career-ready expectations, school accountability and support, and effective instruction. Education approved Flexibility waivers for 43 states. In December 2015, Congress reauthorized the ESEA which modified Education's waiver authority. GAO was asked to review Education's Flexibility initiative.
GAO examined the extent to which Education assessed states' ability to fully implement their Flexibility waivers and the process it used to oversee the waivers. GAO reviewed relevant federal laws, guidance, and key documents related to the Flexibility initiative, such as monitoring reports; and interviewed Education officials. GAO reviewed Education's documents and identified states facing multiple challenges in implementing their waivers. GAO also interviewed officials in five states, selected to reflect a range of challenges states faced in implementing the waivers.

What GAO Found

Since introducing its Flexibility initiative in 2011—inviting states to request a waiver from certain provisions of the Elementary and Secondary Education Act of 1965 (ESEA) in effect at the time—the Department of Education (Education) has monitored states' efforts and identified challenges to states' ability to fully implement their waivers. According to GAO's analysis of Education letters and monitoring reports, 12 of the 43 states with Flexibility waivers faced multiple challenges that affected their ability to fully implement their waivers. Education used a risk assessment process to document these challenges throughout the waiver approval, monitoring, and renewal phases (see table). For example, Education identified risks with one state's capacity to oversee and monitor schools needing improvement prior to approving the state's waiver in 2013 and noted similar issues, as a result of monitoring, in 2015. Overseeing local districts and schools was particularly challenging for states, according to GAO's analysis of Education documents. Meanwhile, Education has not yet evaluated its process to review, approve, and monitor the Flexibility waivers given to states or incorporated any relevant lessons learned into its plans for implementing the December 2015 reauthorization of the ESEA. According to federal internal control standards, agencies should consider lessons learned when planning agency activities. As Education begins to implement the new law, it has an opportunity to learn from its experiences with the Flexibility initiative and incorporate any applicable lessons learned. Absent such an evaluation, Education may miss opportunities to better oversee state implementation of the new law.

What GAO Recommends

GAO recommends that Education evaluate its Flexibility initiative oversight process to identify lessons learned and incorporate any applicable lessons into its plans for overseeing state implementation of the new law. Education generally agreed and outlined steps to address the recommendation.