Appendix O - Child Nutrition Program Waiver Request Guidance and reporting template

Food and
Nutrition
Service
Park Office
Center
3101 Park
Center Drive
Alexandria
VA 22302

DATE:

May 24, 2018

MEMO CODE:

SP 15-2018, CACFP 12-2018, SFSP 05-2018

SUBJECT:

Child Nutrition Program Waiver Request Guidance and ProtocolRevised

TO:

Regional Directors
Special Nutrition Programs
All Regions
State Directors
Child Nutrition Programs
All States

This memorandum revises the current USDA Food and Nutrition Service (FNS) process
for State agencies and eligible service providers1 seeking a waiver of statutory or
regulatory Program requirements for the Child Nutrition Programs (CNPs), including the
Child and Adult Care Food Program (CACFP), the Summer Food Service Program
(SFSP), the National School Lunch Program (NSLP), the Fresh Fruit and Vegetable
Program (FFVP), the Special Milk Program (SMP), and the School Breakfast Program
(SBP). This memorandum supersedes SP 27-2017, CACFP 12-2017, SFSP 08-2017, Child
Nutrition Program Waiver Request Guidance and Protocol, dated April 26, 2017.
Background
This memorandum provides an overview of statutory waiver authority, the waiver request
and review process, and data reporting requirements. The intent is to enhance integrity in
all CNPs by ensuring that FNS, State agencies, and eligible providers adhere to the
statutory requirements in Section 12(l) of the Richard B. Russell National School Lunch
Act (NSLA), 42 U.S.C. 1760(l) when requesting a waiver. This memorandum also
includes a revised version of the Child Nutrition Program State Waiver Request Template
[Attachment A]. State agencies and eligible service providers are encouraged to use this
template when submitting waiver requests for the CACFP, SFSP, NSLP, FFVP, SMP, and
SBP. Using the template ensures all information required by FNS, as outlined in this
memorandum, is included in the waiver request. However, if State agencies and eligible
service providers choose not to use the template, they must ensure that all requirements
included in Section 12(l) of the NSLA are met, including submission of all required data
and information.

1

Eligible service providers include: a local school food service authority, a service institution or private
nonprofit organization; or a family or group day care home sponsoring organization.

USDA is an Equal Opportunity Provider, Employer and Lender

Regional Directors
State Directors
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Waiver Authority: Section 12(l) of the NSLA, 42 U.S.C. 1760(l)
The NSLA provides USDA authority to waive certain provisions of the CNPs,2 as follows:
(l)(1)(A) Except as provided in paragraph (4), the Secretary may waive any requirements under
this Act or the Child Nutrition Act of 1966 (42 U.S.C. 1771 et seq.), or any regulation issued
under either such Act, for a State or eligible service provider that requests a waiver if—
(i) the Secretary determines that the waiver of the requirement would facilitate the ability
of the State or eligible service provider to carry out the purpose of the program;
(ii) the State or eligible service provider has provided notice and information to the
public regarding the proposed waiver; and
(iii) the State or eligible service provider demonstrates to the satisfaction of the Secretary
that the waiver will not increase the overall cost of the program to the Federal
Government, and, if the waiver does increase the overall cost to the Federal
Government, the cost will be paid from non-Federal funds.
(B) The notice and information referred to in subparagraph (A)(ii) shall be provided in the
same manner in which the State or eligible service provider customarily provides similar notices
and information to the public.
(2)(A) To request a waiver under paragraph (1), a State or eligible service provider (through
the appropriate administering State agency) shall submit an application to the Secretary that—
(i) identifies the statutory or regulatory requirements that are requested to be waived;
(ii) in the case of a State requesting a waiver, describes actions, if any, that the State has
undertaken to remove State statutory or regulatory barriers;
(iii) describes the goal of the waiver to improve services under the program and the
expected outcomes if the waiver is granted; and
(iv) includes a description of the impediments to the efficient operation and
administration of the program.
(B) An application described in subparagraph (A) shall be developed by the State or
eligible service provider and shall be submitted to the Secretary by the State.
2

Under the Robert Stafford Disaster Relief and Emergency Act (42 U.S.C. 5141), the Secretary may use
separate waiver authority in response to federally declared disasters and emergencies. Refer to
memorandum SP 46-2014, CACFP 12-2014, SFSP 18-2014, Disaster Response, May 19, 2014,
(http://www.fns.usda.gov/disaster-response-0) for more information.

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State Directors
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(3) The Secretary shall act promptly on a waiver request contained in an application
submitted under paragraph (2) and shall either grant or deny the request. The Secretary shall state
in writing the reasons for granting or denying the request.
(4) The Secretary may not grant a waiver under this subsection that increases Federal costs or
that relates to—
(A) the nutritional content of meals served;
(B) Federal reimbursement rates;
(C) the provision of free and reduced price meals;
(D) limits on the price charged for a reduced price meal;
(E) maintenance of effort;
(F) equitable participation of children in private schools;
(G) distribution of funds to State and local school food service authorities and service
institutions participating in a program under this Act and the Child Nutrition Act of 1966 (42
U.S.C. 1771 et seq.);
(H) the disclosure of information relating to students receiving free or reduced price
meals and other recipients of benefits;
(I) prohibiting the operation of a profit producing program;
(J) the sale of competitive foods;
(K) the commodity distribution program under section 14;
(L) the special supplemental nutrition program authorized under section 17 of the Child
Nutrition Act of 1966 (42 U.S.C. 1786); or
(M) enforcement of any constitutional or statutory right of an individual, including any
right under—
(i) title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.);
(ii) section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794);
(iii) title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.);
(iv) the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.);
(v) the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.); and
(vi) the Individuals with Disabilities Education Act (20 U.S.C. 1400 et seq.).

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State Directors
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Waiver Request Protocol
Eligible service providers must submit their requests to waive CNP requirements to their
respective State agencies. State agencies must submit requests to waive CNP requirements to
their FNS Regional Office. FNS Regional Offices will review the waiver request for
completeness and verify that the applicant provided the required public notice of their request.
Notice and information provided to the public regarding the proposed waiver should be in the
same manner in which the State or eligible service provider usually provides similar notices and
information to the public. Acceptable methods include, but are not limited to:
 Posting notice on the State agency’s or eligible service provider’s website;
 Providing public notice through a printed announcement in the local/state newspaper.
Waiver Decisions
Once a complete waiver request is received, FNS Regional Offices will then submit a
recommendation to the National Office for review. FNS highly encourages State agencies and
eligible service providers to submit requests using the attached template, which includes the
elements required by the NSLA as well as other information that will assist FNS in processing
the request.
State agencies and eligible service providers should consult with their Regional Offices when
developing waiver requests to ensure a well-reasoned, thorough request is submitted from the
outset and clearly provides the reason and need for the waiver request. In order to ensure USDA
is able to conduct a detailed review of each request, State agencies should submit complete
waiver requests at least 60 calendar days prior to the anticipated implementation date. However,
FNS recognizes that some requests are made in response to unexpected situations addressing
unforeseen circumstances and will make every effort to expedite the response to those requests.
The Secretary carefully considers every waiver request but may only approve those requests that
facilitate the ability of the State agency or service provider to carry out the purpose of the CNPs
and do not increase the overall cost of the Federal Government program. Moreover, the Secretary
does not have the authority to waive the nutritional content of the meals served, Federal
reimbursement rates, or the enforcement of any statutory right of any individual. FNS will
provide all responses to waiver requests in writing.
FNS provides approval of waivers for a limited time period. After the initial waiver period has
expired, if the waiver is still needed, State agencies and eligible service providers may request
renewal of a waiver. A renewal waiver request will be processed in the same manner as an initial
waiver request. FNS will consider the data reports, discussed in further detail below, with each
request for renewal.

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State Directors
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Monitoring and Reporting
FNS is committed to ensuring that waivers granted improve Program operations while
maintaining Program integrity. The NSLA requires FNS to review the performance of State
agencies’ and eligible service providers’ CNP operations under waiver authority. FNS requires
that each request to waive CNP requirements include proposed data reporting that will enable
FNS to assess the effect of the waiver on CNP administration and monitor its impact. Reports
will include:






a summary of the use of waivers by the State and eligible service providers;
a description of whether the waivers resulted in improved services to
recipients/participants;
a description of the impact of the waivers on providing nutritional meals to participants;
a description of how the waivers reduced the quantity of paperwork necessary to
administer the Program; and
any additional information requested in the waiver approval.

State agencies and eligible service providers are reminded to adhere to existing applicable
monitoring and reporting requirements, as well as those outlined in the waiver approval issued
by FNS, to ensure continued operation throughout the approved waiver period. Failure of a
Program operator to fulfill the monitoring and reporting requirements will impact consideration
of subsequent requests to waive the same Child Nutrition Program regulations. For example, if
FNS determines that the waiver leads to deficits in Program operation or to an increase in the
overall cost of the Program to the Federal Government and the increase has not been paid for
with non-Federal funds, FNS may terminate the waiver.
State agencies are reminded to distribute this memorandum to Program operators. Program
operators should direct any questions concerning this guidance to their State agency. State
agencies with questions should contact the appropriate FNS Regional Office.

Angela Kline
Director
Policy and Program Development Division
Child Nutrition Programs

Attachment

Attachment A

CHILD NUTRITION PROGRAM
STATE WAIVER REQUEST TEMPLATE
Child Nutrition Programs are expected to be administered according to all statutory and
regulatory requirements; waivers to the requirements are exceptions. However, Section
12(l) of the Richard B. Russell National School Lunch Act, 42 U.S.C. 1760(l), provides
authority for USDA to waive requirements for State agencies or eligible service providers
under certain circumstances. When requesting the waiver of statutory or regulatory
requirements for the Child Nutrition Programs (CNPs), including the Child and Adult
Care Food Program (CACFP), the Summer Food Service Program (SFSP), the National
School Lunch Program (NSLP), the Fresh Fruit and Vegetable Program (FFVP), the
Special Milk Program (SMP), and the School Breakfast Program (SBP), State agencies
and eligible service providers should use this template. State agencies and eligible service
providers should consult with their FNS Regional Offices when developing waiver
requests to ensure a well-reasoned, thorough request is submitted. State agencies and
eligible service providers are encouraged to submit complete waiver requests at least 60
calendar days prior to the anticipated implementation date. Requests submitted less than
60 calendar days prior to the anticipated implementation should be accompanied by an
explanation of extenuating circumstances.
For more information on requests for waiving Program requirements, refer to
SP 15-2018, CACFP 12-2018, SFSP 05-2018, Child Nutrition Program Waiver Request
Guidance and Protocol- Revised, May 24, 2018.
1. State agency submitting waiver request and responsible State agency staff contact
information:
2. Region:
3. Eligible service providers participating in waiver and affirmation that they are
in good standing:
4. Description of the challenge the State agency is seeking to solve, the goal of the
waiver to improve services under the Program, and the expected outcomes if the
waiver is granted. [Section 12(l)(2)(A)(iii) and 12(l)(2)(A)(iv) of the NSLA]:
5. Specific Program requirements to be waived (include statutory and regulatory
citations). [Section 12(l)(2)(A)(i) of the NSLA]:
6. Detailed description of alternative procedures and anticipated impact on
Program operations, including technology, State systems, and monitoring:

SP 15-2018, CACFP 12-2018, SFSP 05-2018
Page 1

Attachment A

7. Description of any steps the State has taken to address regulatory barriers at the
State level. [Section 12(l)(2)(A)(ii) of the NSLA]:
8. Anticipated challenges State or eligible service providers may face with the
waiver implementation:
9. Description of how the waiver will not increase the overall cost of the Program to
the Federal Government. If there are anticipated increases, confirm that the
costs will be paid from non-Federal funds. [Section 12(l)(1)(A)(iii) of the NSLA]:
10. Anticipated waiver implementation date and time period:
11. Proposed monitoring and review procedures:
12. Proposed reporting requirements (include type of data and due date(s) to FNS):
13. Link to or a copy of the public notice informing the public about the proposed
waiver [Section 12(l)(1)(A)(ii) of the NSLA]:
14. Signature and title of requesting official :
________________________________________________________
Title:
Requesting official’s email address for transmission of response:
TO BE COMPLETED BY FNS REGIONAL OFFICE:
FNS Regional Offices are requested to ensure the questions have been adequately addressed by
the State agency and formulate an opinion and justification for a response to the waiver request
based on their knowledge, experience and work with the State.
Date request was received at Regional Office:
 Check this box to confirm that the State agency has provided public notice in
accordance with Section 12(l)(1)(A)(ii) of the NSLA


Regional Office Analysis and Recommendations:

SP 15-2018, CACFP 12-2018, SFSP 05-2018
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