Vol. 80 Thursday, 

No. 73 April 16, 2015 

Part IV 

Department of Education 

34 CFR Parts 461, 462, 463, et al. 

Programs and Activities Authorized by the Adult Education and Family 

Literacy Act (Title II of the Workforce Innovation and Opportunity Act), 

Workforce Innovation and Opportunity Act, Miscellaneous Program 

Changes, and; Proposed Rules 


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20968 Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 

DEPARTMENT OF EDUCATION 

34 CFR Parts 461, 462, 463, 472, 477, 

489, and 490 

RIN 1830–AA22 

[Docket ID ED–2015–OCTAE–0003] 

Programs and Activities Authorized by 

the Adult Education and Family 

Literacy Act (Title II of the Workforce 

Innovation and Opportunity Act) 

AGENCY: Office of Career, Technical, and 

Adult Education, Department of 

Education. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Secretary proposes to 

establish regulations to implement 

changes to the Adult Education and 

Family Literacy Act (AEFLA) resulting 

from the enactment of the Workforce 

Innovation and Opportunity Act of 2014 

(WIOA or the Act). The proposed 

regulations clarify new provisions in the 

law. The Secretary also proposes to 

update the regulations that establish 

procedures for determining the 

suitability of tests used for measuring 

State performance on accountability 

measures under AEFLA. Finally, we 

propose to remove specific parts of title 

34 of the Code of Federal Regulations 

(CFR) that are no longer in effect. 

DATES: We must receive your comments 

on or before June 15, 2015. 

ADDRESSES: Submit your comments 

through the Federal eRulemaking Portal 

or via postal mail, commercial delivery, 

or hand delivery. We will not accept 

comments submitted by fax or by email 

or those submitted after the comment 

period. To ensure that we do not receive 

duplicate copies, please submit your 

comments only once. In addition, please 

include the Docket ID at the top of your 

comments. 

• Federal eRulemaking Portal: Go to 

www.regulations.gov to submit your 

comments electronically. Information 

on using Regulations.gov, including 

instructions for accessing agency 

documents, submitting comments, and 

viewing the docket, is available on the 

site under ‘‘Are you new to the site?’’ 

• Postal Mail, Commercial Delivery, 

or Hand Delivery: If you mail or deliver 

your comments about these proposed 

regulations, address them to Lekesha 

Campbell, U.S. Department of 

Education, 400 Maryland Avenue SW., 

Room 11–008, Potomac Center Plaza 

(PCP), Washington, DC 20202–7240. 

Privacy Note: The U.S. Department of 

Education’s (Department) policy is to 

make all comments received from 

members of the public available for 

public viewing in their entirety on the 

Federal eRulemaking Portal at 

www.regulations.gov. Therefore, 

commenters should be careful to 

include in their comments only 

information that they wish to make 

publicly available. 

FOR FURTHER INFORMATION CONTACT: 

Lekesha Campbell, U.S. Department of 

Education, 400 Maryland Avenue SW., 

Room 11–008, PCP, Washington, DC 

20202–7240. 

If you use a telecommunications 

device for the deaf (TDD) or a text 

telephone (TTY), call the Federal Relay 

Service (FRS), toll free, at 1–800–877– 

8339. 

SUPPLEMENTARY INFORMATION: 

Executive Summary: 

Purpose of This Regulatory Action: 

On July 22, 2014, President Obama 

signed into law WIOA (P.L. 113–128), 

which replaces the Workforce 

Investment Act of 1998 (WIA). As under 

WIA, AEFLA is title II of WIOA (title II). 

The new law supports innovative 

strategies to keep pace with changing 

economic conditions and seeks to 

improve coordination across the 

primary Federal programs that support 

employment services, workforce 

development, adult education, and 

vocational rehabilitation activities. The 

proposed regulations further the 

Department’s implementation of new 

provisions in the law under AEFLA. 

Through the proposed regulations, we 

seek to explain the activities authorized 

under AEFLA and assist programs in 

their implementation efforts at the State 

and local levels. 

In developing this notice of proposed 

rulemaking (NPRM), we have limited 

our proposed regulations to only those 

that we believe are absolutely necessary 

to clarify and reiterate key statutory 

provisions of WIOA. In the proposed 

regulations, we incorporate the relevant 

requirements from the law along with 

the applicable regulations, to provide 

context and for reader convenience. 

Summary of the Major Provisions of 

This Regulatory Action: The Secretary 

proposes to: 

1. Remove specific parts of title 34 

that are no longer in effect. 

2. Update and revise existing AEFLA 

regulations regarding the suitability of 

tests for use in the National Reporting 

System for Adult Education (NRS) to 

reflect new provisions of WIOA. The 

proposed regulations also include 

procedures that States and local eligible 

providers would be required to follow 

when using suitable tests for NRS 

reporting. The changes conform to the 

statutory language in WIOA and clarify 

existing requirements. 

3. Define the purpose of AEFLA and 

the programs authorized by the Act, as 

well as clarify the related Education 

Department General Administration 

Regulations (EDGAR) and definitions 

that apply to the program. 

4. Describe the process and 

requirements for States to award grants 

or contracts to local providers and the 

activities that may be charged to local 

administrative costs. These regulations 

would implement new requirements 

established by WIOA, including the 

requirement that local workforce 

development boards (Local Boards) 

review applications for funds prepared 

by applicants for AEFLA funding, the 

requirement that entities have 

‘‘demonstrated effectiveness’’ to be 

eligible providers, and the requirement 

that local administrative funds be used 

to promote the alignment of a provider’s 

activities with the local workforce 

development plan established under 

title I of WIOA (title I). 

5. Define what constitutes an adult 

education and literacy activity or 

program and clarify how funds can be 

used for activities that are newly 

authorized by WIOA. 

6. Describe how AEFLA funds may be 

used to support programs for corrections 

education and the education of other 

institutionalized individuals, including 

new activities authorized by WIOA. 

7. Clarify the use of funds for new and 

expanded activities under the Integrated 

English Literacy and Civics Education 

program. 

Costs and Benefits: The benefits and 

costs of these proposed regulations are 

discussed in more detail in the 

Regulatory Impact Analysis section of 

this preamble. One benefit of the 

proposed regulations is that they would 

make necessary updates and conforming 

changes to part 462 to align the 

regulations with WIOA. The proposed 

changes to part 462 also would benefit 

test publishers by creating more 

opportunities for them to submit 

assessments to the Secretary for review. 

This would likely increase the 

availability of new assessments for use 

in the NRS, a benefit for State eligible 

agencies and eligible local providers. 

The costs of the amendments to part 

462, on the other hand, would be 

negligible. 

One benefit of the proposed 

regulations in part 463 is the promotion 

of more efficient and consistent 

implementation of AEFLA in States and 

outlying areas by clarifying a number of 

statutory provisions. The proposed 

regulations clarify, for example, how an 

English language acquisition program 

can meet the statutory requirement that 

the program ‘‘leads to attainment of a 


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Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 20969 

secondary school diploma or its 

recognized equivalent and transition to 

postsecondary education and training or 

leads to employment,’’ setting out a 

consistent standard that would be used 

by all eligible State agencies. Absent 

these proposed regulations, each State 

eligible agency would have to determine 

on its own how a program can meet the 

statutory requirement. The proposed 

regulations in part 463 would not, 

however, impose additional costs to 

State eligible agencies, local eligible 

providers of adult education, or to the 

Federal government. 

Invitation to Comment: We invite you 

to submit comments regarding these 

proposed regulations. To ensure that 

your comments have maximum effect in 

developing the final regulations, we 

urge you to identify clearly the specific 

section or sections of the proposed 

regulations that each of your comments 

addresses and to arrange your comments 

in the same order as the proposed 

regulations. 

We invite you to assist us in 

complying with the specific 

requirements of Executive Orders 12866 

and 13563 and their overall requirement 

of reducing regulatory burden that 

might result from these proposed 

regulations. Please let us know of any 

further ways we could reduce potential 

costs or increase potential benefits 

while preserving the effective and 

efficient administration of the 

Department’s programs and activities. 

During and after the comment period, 

you may inspect all public comments 

about these proposed regulations by 

accessing Regulations.gov. You may also 

inspect the comments in person in room 

11–008, PCP, 400 Maryland Avenue 

SW., Washington, DC, between 8:30 

a.m. and 4:00 p.m., Washington, DC 

time, Monday through Friday of each 

week except Federal holidays. To make 

arrangements to view the comments in 

person, please contact the person listed 

under FOR FURTHER INFORMATION

CONTACT. 

Assistance to Individuals With 

Disabilities in Reviewing the 

Rulemaking Record: On request we will 

provide an appropriate accommodation 

or auxiliary aid to an individual with a 

disability who needs assistance to 

review the comments or other 

documents in the public rulemaking 

record for these proposed regulations. If 

you want to schedule an appointment 

for this type of accommodation or 

auxiliary aid, please contact the person 

listed under FOR FURTHER INFORMATION

CONTACT. 

Background 

The Department proposes to remove 

34 CFR part 461 because these 

regulations are no longer applicable to 

the Federal adult education program. 

These regulations were promulgated 

under the National Literacy Act (Pub. L. 

102–73) in 1992, which has since been 

superseded. We also propose to remove 

regulations for six discretionary grant 

programs that are no longer authorized 

by statute: The National Workplace 

Literacy Program (part 472), the State 

Program Analysis Assistance and Policy 

Studies Program (part 477), the 

Functional Literacy for State and Local 

Prisoners Program (part 489), and the 

Life Skills for State and Local Prisoners 

Program (part 490). 

The Department proposes to update 

and revise existing regulations in 34 

CFR part 462 concerning the Secretary’s 

authority to approve tests suitable for 

use in measuring State performance on 

accountability measures. We also 

propose to establish regulations in part 

463 of title 34 of the CFR that would 

clarify new program activities and 

requirements under WIOA, as well as 

the WIA-authorized program activities 

and requirements that are continued 

under WIOA. We intend to issue 

guidance and technical assistance on 

select title II provisions, as appropriate. 

The Departments of Education and 

Labor have also collaborated on the 

development of proposed regulations 

related to title I that affect title II 

programs and activities. These proposed 

regulations, addressing the Unified or 

Combined State Plan, the performance 

accountability system, and the one-stop 

delivery system, are published 

elsewhere in this issue of the Federal 

Register. 

Public Participation 

On August 12, 2014, the Office of 

Career, Technical, and Adult Education 

and the Office of Special Education and 

Rehabilitative Services, which 

administers the Rehabilitation Act of 

1973 that was amended by title IV of 

WIOA, posted a notice on the 

Department’s Web site that solicited 

comments and recommendations from 

the public on the implementation of 

WIOA. We received 277 comments. The 

Department also held sessions with 

stakeholders and providers of adult 

education activities and programs to 

assist in the development of related 

guidance and technical assistance. 

Summary of Proposed Changes 

These proposed regulations would— 

• Remove specific parts of title 34 

that are no longer in effect; 

• Revise existing AEFLA regulations 

that have been in place since 2008 

related to the Secretary’s authority to 

review and determine the suitability of 

tests available for use in the NRS; 

• Define the purposes of programs 

authorized by AEFLA; 

• Describe the process and 

requirements for awarding of grants and 

contracts to local providers and the 

activities that may be charged for local 

administrative costs; 

• Define and clarify the new and 

existing adult education and literacy 

activities or programs that may be 

funded under WIOA; 

• Describe how AEFLA funds may be 

used to support programs for corrections 

education and the education of other 

institutionalized individuals; and 

• Clarify how eligible agencies may 

use funds for activities and 

requirements under the Integrated 

English Literacy and Civics Education 

program. 

Significant Proposed Regulations 

We discuss substantive issues under 

the sections of the proposed regulations 

to which they pertain. Generally, we do 

not address proposed regulatory 

changes that are technical or otherwise 

minor in effect. 

34 CFR Part 462 

The proposed regulations in 34 CFR 

part 462 relate to the Secretary’s 

authority to approve tests suitable for 

use in the NRS. These regulations are 

authorized under section 212 of AEFLA, 

which makes adult education and 

literacy programs and activities subject 

to the performance accountability 

requirements of section 116 of WIOA. 

Through the proposed regulations, we 

would further formalize the process for 

the review and approval of tests for use 

in the NRS. By creating a uniform 

review and approval process, the 

regulations would facilitate the 

submission process for test publishers 

and strengthen the integrity of the NRS 

as a critical tool for measuring State 

performance on accountability measures 

related to adult education and literacy 

activities under AEFLA, as required 

under section 116 of WIOA. This 

proposed process would also provide a 

means by which the Secretary would 

assess the continued validity of tests 

that are currently approved for use in 

the NRS. 

I. General 

Section 462.1 What is the authority for 

this part? 

In § 462.1, and in other sections in 

part 462 where we cite WIA as the 


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20970 Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 

statutory authority, we propose to revise 

the authority citation to refer to WIOA, 

unless otherwise specified. 

Section 462.2 What regulations apply? 

We propose revising the list of 

applicable regulations in § 462.2 to 

reflect the current Federal regulations. 

Specifically, we propose deleting 

references to EDGAR parts 74, 80, and 

85 because these parts have been 

removed from the CFR. The Department, 

along with other Federal agencies, has 

recently adopted and amended as its 

own regulations the Office of 

Management and Budget’s (OMB) 

Uniform Administrative Requirements, 

Cost Principles, and Audit 

Requirements for Federal Awards 

(Uniform Guidance). To that end, we 

propose adding references to 2 CFR part 

180 and 2 CFR part 200. 

Section 462.3 What definitions apply? 

We propose revising several 

definitions in § 462.3 to align the terms 

in § 462.3 with the language in WIOA. 

For example, to conform with section 

203 of AEFLA, we propose replacing the 

term ‘‘English as a second language 

(ESL)’’ with the term ‘‘English language 

acquisition (ELA).’’ We also propose to 

remove the reference to the physical 

location of a copy of the NRS 

Implementation Guidelines as we seek 

to reduce costs to the government and 

provide easier and immediate public 

access online. 

Section 462.4 What are the transition 

rules for using tests to measure 

educational gain for the National 

Reporting System for Adult Education 

(NRS)? 

We propose to revise § 462.4 to reflect 

the availability of tests that were 

reviewed and approved after the 

existing regulation was published on 

January 14, 2008. This proposed change 

would reflect the current process the 

Department follows, in which providers 

are notified of a date by which they may 

no longer use the test determined 

suitable for use. 

II. What process does the Secretary use 

to review the suitability of tests for use 

in the NRS? 

Section 462.10 How does the Secretary 

review tests? 

Proposed § 462.10 would establish the 

new dates by which tests must be 

submitted for review each year. 

Currently, tests must be submitted by 

October 1 of each year. The two 

additional submission dates of April 1, 

2017 and April 1, 2018 in the proposed 

regulations would provide more 

opportunities for the Secretary to review 

and approve assessments and likely 

increase the availability of new 

assessments to providers. 

Section 462.11 What must an 

application contain? 

As proposed, § 462.11(a)(4) would 

increase the number of application 

copies that a publisher must submit 

from three to four. We have increased 

the number of panel experts who review 

each application from two to three. 

Increasing the number of reviewers has 

provided the Secretary with an 

additional expert opinion in the event 

that two reviewers disagree. The 

proposed changes in the number of 

required application copies would 

facilitate this review procedure. One 

copy of the application would be 

retained by the Department, and three 

copies would be submitted to the 

reviewers. 

Proposed § 462.11(j)(4) sets forth 

examples of situations that would 

require a test publisher to provide 

analysis and explanations of the 

significant revisions made to tests 

approved prior to the effective date of 

the proposed regulations. These 

examples illustrate the kinds of 

revisions that could affect the 

psychometric properties of a test and, 

therefore, would require additional 

review. The list of examples is 

illustrative and not intended to be 

exhaustive. As we propose to remove 

§ 462.44 and revise and publish the 

descriptors for the NRS educational 

functioning levels in a document titled 

Implementation Guidelines: Measures 

and Methods for the National Reporting 

System for Adult Education (OMB 

Control Number: 1830–0027), we 

propose replacing the current references 

to § 462.44 with references to the 

Guidelines. 

Section 462.12 What procedures does 

the Secretary use to review the 

suitability of tests? 

To conform to WIOA, we have 

replaced the term ‘‘English as a second 

language (ESL)’’ with ‘‘English language 

acquisition (ELA)’’ in proposed 

§ 462.12. 

Additionally, under proposed 

§ 462.12(c)(2) the Secretary would 

publish a list of the test forms, along 

with the names of tests, that have been 

approved as suitable for use in the NRS. 

This revision would make the regulation 

consistent with current practice. As a 

test can have several forms and new 

forms may be developed at any time, 

since 2010, the Secretary has identified 

specific test forms in addition to test 

names. Only those test forms reviewed 

and approved by the Secretary are 

suitable for use in the NRS. 

Proposed § 462.12(d)(2) would allow a 

test publisher to resubmit, during the 

next annual review cycle, an application 

that was previously not approved as 

suitable for use in the NRS. This would 

replace the current rule that allows a 

test publisher to request reconsideration 

within 30 days following notification 

from the Secretary that a test was not 

approved as suitable. We believe the 

current reconsideration process has not 

yielded the substantive benefits that 

might otherwise justify the costs and 

delays that accompany a 

reconsideration process. Permitting 

resubmission at the next review cycle 

would give test publishers time to 

address any deficiencies in their 

application and would lessen the 

burden on the Department by utilizing 

the existing annual review process, 

while still affording publishers a 

reasonably timely opportunity for 

reconsideration. 

Proposed § 462.12(e)(ii) provides 

additional examples of the 

circumstances under which a test’s 

approval as suitable for use may be 

revoked. These circumstances could 

affect the psychometric properties of the 

test, and would therefore require 

additional review and possible 

revocation. The proposed list of 

examples is illustrative and not 

intended to be exhaustive. 

In addition, we have revised this 

section to reflect that the name of the 

Office of Vocational and Adult 

Education was officially changed to the 

Office of Career, Technical, and Adult 

Education. 

Section 462.13 What criteria and 

requirements does the Secretary use for 

determining the suitability of tests? 

Consistent with the statutory changes, 

as in proposed § 462.12 we have 

replaced the term ESL with ELA. We 

have also updated the reference to the 

Standards for Educational and 

Psychological Testing to reflect the most 

current edition of these standards. 

Section 462.14 How often and under 

what circumstances must a test be 

reviewed by the Secretary? 

Proposed § 462.14(b) provides 

additional examples of circumstances 

under which a publisher must resubmit 

a test for review by the Secretary. These 

examples illustrate circumstances that 

could affect the psychometric properties 

of the test. This list of examples is 

illustrative and not intended to be 

exhaustive. 


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III. What requirements must States and 

local eligible providers follow when 

measuring educational gain? 

Section 462.40 Must a State have an 

assessment policy? 

In § 462.40, we propose replacing the 

term ESL with ELA. 

Proposed § 462.40(c)(3) adds one 

additional element to the information a 

State must include in its assessment 

policy. Under the current regulations, 

students must receive an initial 

assessment, or a pre-test, of academic 

skills using assessments that the 

Secretary has determined to be suitable 

for use in the NRS. The results of the 

pre-test must be used to place students 

into an educational functioning level. A 

State must further require that each 

student who meets a threshold of 

instruction defined in its assessment 

policy will receive a matched post-test. 

We propose to require a State to specify 

in its State assessment policy a target for 

the percentage of all pre-tested students 

who both meet that threshold of 

instruction and take a matched post-test. 

The post-test score is used to determine 

whether the student has made academic 

progress. If a local provider does not 

post-test a student, the provider must 

report that the student has not made an 

educational gain. The purpose of 

requiring States to establish this 

standard is to promote the 

implementation of policies and 

practices by local providers that 

maximize the percentage of students 

who have a matched post-test 

completed in order to document 

academic progress, and to encourage 

continuous improvement over time. 

States are currently required to specify 

this standard by the information 

collection, Implementation Guidelines: 

Measures and Methods for the National 

Reporting System for Adult Education 

(OMB Control Number: 1830–0027). We 

are proposing to make this a regulatory 

requirement. 

Section 462.41 How must tests be 

administered in order to accurately 

measure educational gain for the 

purpose of the performance indicator in 

section 116(b)(2)(A)(i)(V) of the Act 

concerning the achievement of 

measurable skill gains? 

We are proposing to revise the title of 

this section to conform to the proposed 

joint rule to implement the measurable 

skill gain indicator by documenting 

achievement of academic, technical, 

occupational, or other forms of progress. 

Test administration will be used to 

document educational or academic 

progress under this indicator for 

purposes of AEFLA. 

Section 462.43 How is educational 

gain measured for the purpose of the 

performance indicator in section 

116(b)(2)(A)(i)(V) of the Act concerning 

the achievement of measurable skill 

gains? 

Proposed § 462.43(a) sets forth the 

statutory language in section 203(1)(A) 

of title II regarding how educational 

gain is measured. We propose adding 

§ 462.43(c) to reflect the fact that several 

States offer adult high school programs, 

sanctioned by State law or regulation, 

that lead to a secondary school diploma 

or its equivalent. Proposed § 462.43(c) 

would allow these States to measure 

and report educational gain through the 

awarding of credits or Carnegie units. 

The Carnegie unit is a credit system that 

bases the awarding of academic credit 

on how much time students spend in 

direct contact with a classroom teacher. 

As with § 462.41, we are proposing to 

revise the title of this section to conform 

to the proposed joint rule to implement 

the measurable skill gain indicator by 

documenting achievement of academic, 

technical, occupational, or other forms 

of progress. 

Section 462.44 Which educational 

functioning levels must States and local 

eligible providers use to measure and 

report educational gain in the NRS? 

We propose to remove and reserve 

§ 462.44. This section currently 

describes the descriptors for the 

educational functioning levels that 

States and local providers must use to 

measure and report educational gain in 

the NRS. Concurrent with the 

development of regulations and 

supplementary guidance on the 

performance indicators, we are revising 

and updating the descriptors for the 

NRS educational functioning levels. The 

revised descriptors were published for 

public comment in OMB information 

collection 1830–0027 on January 13, 

2015. After reviewing the public 

comments, we anticipate publishing the 

final descriptors as part of that 

information collection. Test publishers 

will then have an opportunity to revise 

or develop new assessments that are 

consistent with the revised descriptors 

and submit them for review to the 

Secretary. We anticipate that this 

process of test revision and 

development may take several years. 

The revised descriptors will not be 

implemented until the Secretary has 

determined that there is at least one 

assessment that is both aligned with the 

revised descriptors and that is suitable 

for use in the NRS. Until that time, we 

will continue to use the existing 

descriptors. Therefore, we propose to 

remove the descriptors from the 

regulations; and, in order to facilitate 

regular revisions and updates necessary 

to keep the descriptors current, we 

propose to include them in an 

information collection. Information 

collections are approved by OMB for no 

more than three years, giving the 

Department and the public periodic 

opportunities to review the descriptors 

and recommend revisions that may be 

appropriate. 

34 CFR Part 463 

I. Adult Education—General Provisions 

WIOA reauthorizes, retains, and 

enhances various AEFLA provisions 

that were previously authorized by 

WIA. Subpart A of proposed part 463 

would clarify the purpose, authorized 

programs, definitions, and regulations 

that apply to adult education programs 

under WIOA. 

Section 463.1 What is the purpose of 

the Adult Education and Family 

Literacy Act? 

WIOA retains and expands the 

purposes of AEFLA. Under WIA, 

AEFLA aimed to help adults improve 

their educational and employment 

outcomes, become self-sufficient, and 

support the educational development of 

their children, but under WIOA, 

AEFLA’s purposes have been expanded 

to include assisting adults to transition 

to postsecondary education and 

training, including through career 

pathway programs. Further, WIOA 

formalizes the role of adult education in 

assisting English language learners to 

acquire the skills needed to succeed in 

the 21st-century economy. The 

proposed regulations would clarify the 

expanded role of adult education 

programs at the Federal, State, and local 

levels. 

Section 463.2 What regulations apply 

to the Adult Education and Family 

Literacy Act programs? 

Proposed § 463.2 lists the regulations 

that apply to adult education programs 

to ensure that recipients of grant funds 

are aware of where to find the relevant 

requirements for effectively 

administering a grant or contract 

awarded with AEFLA funds. 

Section 463.3 What definitions apply 

to the Adult Education and Family 

Literacy Act programs? 

Proposed § 463.3 identifies 31 terms 

used in WIOA that pertain to the adult 

education program. In some instances, 

the terms, which are defined in titles I 

and II, apply across all core programs 

authorized under WIOA. In other 

instances, the terms are specific to title 


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20972 Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 

II. Proposed § 463.3 is intended to assist 

users by centralizing relevant 

definitions into one section. Proposed 

§ 463.3 also identifies terms found in 

EDGAR that apply to State grant 

programs and that are relevant to 

AEFLA. Seven additional terms used in 

WIOA are not explicitly defined. We 

have listed and defined these terms 

under ‘‘other definitions’’ to clarify their 

meaning for purposes of the AEFLA 

program. For example, the proposed 

definition of ‘‘concurrent enrollment’’ or 

‘‘co-enrollment’’ would clarify its 

meaning specific to enrollment in two 

or more of the four core programs in 

WIOA to provide consistency with how 

it is used throughout the statute. This 

definition, developed for the purposes 

of WIOA, differs from general use of the 

term which implies enrollment in two 

or more educational programs. ‘‘Digital 

literacy,’’ for the purposes of title II, 

would have the same meaning as that 

term is given in section 202 of the 

Museum and Library Services Act. This 

definition is also consistent with how 

digital literacy is defined in section 

101(d) of the Act. Finally, the proposed 

definition of ‘‘re-entry initiatives and 

post-release services’’ is consistent with 

the definition that is commonly used in 

the correctional education field. 

Section 463.20 What is the process 

that an eligible agency must follow in 

awarding grants or contracts to eligible 

providers? 

Proposed § 463.20 describes the 

process that an eligible agency must 

follow when awarding grants or 

contracts to local providers. WIOA 

retains the WIA requirement that an 

eligible agency award multiyear grants 

or contracts on a competitive basis to 

eligible providers for the purpose of 

developing, implementing, and 

improving adult education within the 

State or outlying area. Proposed § 463.20 

restates this statutory requirement. 

WIOA also retains the requirement 

under WIA that an eligible agency 

ensure that all eligible providers have 

direct and equitable access to apply for 

and compete for grants and contracts 

under AEFLA. Title II of WIOA further 

requires an eligible agency to use the 

same grant or contract announcement 

and application processes for all eligible 

providers in the State or outlying area. 

Proposed § 463.20 reiterates this 

statutory requirement. 

Under WIA, when awarding grants 

under AEFLA, State eligible agencies 

were required to consider 12 factors. 

WIOA revises these 12 factors, and adds 

one additional factor relating to the 

alignment between proposed activities 

and services and the strategy and goals 

of the local plan under section 108, and 

the activities and services of the onestop partners. Eligible agencies must 

also consider under WIOA the 

coordination of the local education 

program with available education, 

training, and other support services in 

the community. Proposed § 463.20 

restates these statutory requirements. 

Section 463.21 What processes must 

be in place to determine the extent to 

which a local application for grants or 

contracts to provide adult education 

and literacy services is aligned with a 

local plan developed under section 108 

of WIOA? 

WIOA promotes coordination 

between the Local Board and adult 

education providers by requiring in 

section 107(d)(11) that the Local Board 

review a provider’s application for 

AEFLA funds before the application is 

submitted to the eligible agency. The 

purpose of the Local Board review is to 

determine whether the application is 

consistent with the local workforce 

plan, and to make recommendations to 

the eligible agency to promote 

alignment with the local workforce 

plan. 

Proposed § 463.21 requires an eligible 

agency to establish procedures for Local 

Board review in its grant or contract 

application process. This section would 

also establish the type of documentation 

that must accompany the application. 

For example, an applicant would be 

required to document that the 

application was submitted to the Local 

Board and was reviewed within the 

specified timeframe and that the Local 

Board made recommendations to 

promote alignment. The proposed 

regulations also require the eligible 

agency to consider the results of the 

Local Board review in determining the 

extent to which the application 

addresses the requirements of the local 

plan developed in accordance with 

section 108 of WIOA. The purpose of 

the proposed regulation is to establish 

uniform procedures within the State 

and outlying area for a Local Board to 

review an application and to ensure that 

the eligible agency considers the review 

in its award of grants and contracts for 

adult education and literacy activities. 

Section 463.22 What must be included 

in the eligible provider’s application for 

a grant or contract? 

Proposed § 463.22 identifies what an 

eligible provider must include in its 

application for a grant or contract under 

AEFLA. WIOA retains two of the local 

application requirements from WIA, and 

adds five new requirements. As under 

WIA, an eligible provider must provide 

the information and assurances required 

by the eligible agency. Under the new 

application requirements, the eligible 

provider must also describe how it will: 

Provide services in alignment with local 

workforce plans, including promotion of 

concurrent enrollment with title I 

services; fulfill one-stop partner 

responsibilities; meet performance 

levels based on the newly established 

primary indicators of performance and 

collect data to report on performance 

indicators; and provide services to meet 

the needs of eligible individuals. 

Applicants must also provide other 

information that addresses the 13 

considerations outlined in § 463.20. 

Section 463.23 Who is eligible to apply 

for a grant or contract to provide adult 

education and literacy activities? 

Proposed § 463.23 lists the 

organizations that are eligible to apply 

for a grant or contract to provide adult 

education and literacy activities under 

WIOA. WIOA lists 10 organization types 

that may be eligible providers, two of 

which are a consortium or coalition of 

organization types and a partnership 

between an employer and eligible 

entities. WIOA further permits other 

organization types, even if not 

specifically listed, to apply as eligible 

providers if they meet the demonstrated 

effectiveness requirement. 

Finally, WIOA further requires an 

‘‘eligible provider’’ to have 

‘‘demonstrated effectiveness’’ in 

providing adult education and literacy 

services, a requirement that applied 

only to community-based organizations 

and volunteer literacy organizations 

under WIA. 

Section 463.24 How can an eligible 

provider establish that it has 

demonstrated effectiveness? 

To ensure that programs are of high 

quality, proposed § 463.24 would 

further clarify how an organization 

previously funded under AEFLA, as 

well as an organization not previously 

funded under AEFLA, could 

demonstrate effectiveness by providing 

performance data in its application. 

This clarification would help States 

conduct fair and equitable grant 

competitions for all eligible providers. 

We are particularly interested in 

receiving public comment on the 

proposed means of demonstrating 

effectiveness. 

Section 463.25 What are the 

requirements related to local 

administrative costs? 

Proposed § 463.25 restates the 

statutory language in section 233(b) of 

WIOA that allows eligible providers to 


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request to negotiate with the eligible 

agency the level of funds for noninstructional purposes in the event the 

statutory cap of 5 percent for local 

administration is too restrictive. 

Section 463.26 What activities are 

considered local administrative costs? 

Proposed § 463.26 describes the 

activities eligible providers may charge 

to local administrative costs under 

WIOA. Under WIA, local administrative 

costs are identified as funds used for 

planning, administration, personnel 

development, and interagency 

coordination. WIOA retains planning, 

administration, and personnel 

development as local administrative 

costs, and replaces interagency 

coordination with specific activities to 

promote alignment with local plans, 

including concurrent enrollment with 

title I services and the one-stop partner 

requirements outlined in section 

121(b)(1)(A) of WIOA. Proposed 

§ 463.26 would clarify that local 

administrative costs may include costs 

associated with fulfilling required onestop responsibilities, including 

contributions to the infrastructure costs 

of the one-stop delivery system. 

II. What are adult education and 

literacy activities? 

The proposed regulations would 

further define and clarify the new and 

revised required activities authorized 

under WIOA to ensure that eligible 

providers understand how funds may be 

spent for adult education and literacy 

activities. 

Section 463.30 What are adult 

education and literacy programs, 

activities, and services? 

WIOA retains, revises, and 

supplements the adult education and 

literacy activities under WIA. 

Specifically, WIOA retains adult 

education, literacy, workplace adult 

education and literacy, and family 

literacy as adult education and literacy 

activities. WIOA changes the name of 

the English literacy program under WIA 

to the ‘‘English language acquisition 

program.’’ Section 203(2) of WIOA 

further adds three new activities to the 

definition of ‘‘adult education and 

literacy activities’’: Integrated English 

literacy and civics education, workforce 

preparation activities, and integrated 

education and training. Proposed 

§ 463.30 lists these eight activities and 

generally restates the statutory language. 

Section 463.31 What is an English 

language acquisition program? 

Under section 203(6) of WIOA, an 

English language acquisition program, 

called an ‘‘English literacy program’’ in 

WIA, is designed to help English 

language learners achieve competence 

in reading, writing, speaking, and 

comprehension of the English language. 

Under WIOA, the program of instruction 

must also lead to attainment of a 

secondary school diploma or its 

recognized equivalent and transition to 

postsecondary education or training or 

lead to employment. Proposed § 463.31 

would restate the statutory requirements 

for an English language acquisition 

program under WIOA. 

Section 463.32 How does a program 

that is intended to be an English 

language acquisition program meet the 

requirement that the program leads to 

attainment of a secondary school 

diploma or its recognized equivalent 

and transition to postsecondary 

education and training or leads to 

employment? 

Proposed § 463.32 would establish 

how an English language acquisition 

program must meet the new 

requirement that it lead to high school 

completion and transition to 

postsecondary opportunities or lead to 

employment. Section 463.32 would 

establish that a program satisfies the 

requirement by using rigorous and 

challenging adult education standards 

that meet the requirements in the 

Unified State Plan, providing supportive 

services that assist an individual to 

attain a secondary school diploma or its 

recognized equivalent and transition to 

postsecondary education or training, or 

designing the program to be a part of a 

career pathway. These programs or 

services have been identified as having 

a positive impact on the successful 

transition of adults to postsecondary 

education and training and 

employment. We invite public input on 

these proposals and specifically request 

suggestions regarding other methods 

that may be used to meet this 

requirement. 

Section 463.33 What are integrated 

English literacy and civics education 

services? 

WIOA includes among the authorized 

adult education and literacy activities a 

set of services that were previously 

authorized through annual 

appropriations language (i.e., not WIA). 

These services are integrated English 

literacy and civics education services, 

which WIOA defines as educational 

services that include both literacy and 

English language instruction integrated 

with civics education. Under WIOA, 

these services may be provided to adults 

who are English language learners, 

including those who are professionals 

with degrees or credentials in their 

native countries, and may include 

workforce training. Proposed § 463.33 

restates the statutory language of WIOA 

pertaining to integrated English literacy 

and civics education services. 

Section 463.34 What are workforce 

preparation activities? 

Proposed § 463.34 restates statutory 

language in WIOA that establishes 

workforce preparation activities as 

activities, programs, or services that are 

designed to help an individual acquire 

a combination of basic academic, 

critical thinking, digital literacy, and 

self-management skills. While adult 

education and literacy instruction has 

traditionally supported the development 

of basic academic and critical thinking 

skills, workforce preparation will also 

support the development of selfmanagement skills and digital literacy. 

The statute further states that workforce 

preparation includes developing 

competencies in using resources and 

information, working with others, 

understanding systems, and obtaining 

skills necessary to successfully 

transition to and complete 

postsecondary education, training, and 

employment. These competencies are 

commonly incorporated into definitions 

of employability skills. Proposed 

§ 463.34 adds employability skills to the 

list of competencies described in the 

statute to further clarify the meaning of 

‘‘workforce preparation.’’ 

Section 463.35 What is integrated 

education and training? 

Proposed § 463.35 restates the 

statutory definition of integrated 

education and training activity. 

Section 463.36 What are the required 

components of an integrated education 

and training program funded under title 

II? 

Proposed § 463.36 describes the three 

components that would be required in 

an integrated education and training 

program. These components are adult 

education and literacy activities, 

workforce preparation activities, and 

workforce training. Two of the 

components, adult education and 

literacy activities and workforce 

preparation activities, are discussed in 

§ 463.30 and § 463.34. In proposed 

§ 463.36, we would further clarify the 

workforce training component by 

referencing section 134(c)(3)(D) of 

WIOA, which identifies the activities 

that constitute training within the 

employment and training services 

authorized by title IB. 


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Section 463.37 How does a program 

providing integrated education and 

training under title II meet the 

requirement that the three required 

components be ‘‘integrated’’? 

Proposed § 463.37 would establish 

how the three components of integrated 

education and training must be 

integrated. The proposed regulation 

would require that an integrated 

education and training program balance 

the proportion of instruction across the 

three components, deliver the 

components simultaneously, and use 

occupationally relevant instructional 

materials. Proposed § 463.37 would also 

require a program to have a single set of 

learning objectives that identifies 

specific adult education content, 

workforce preparation activities, and 

workforce training competencies. These 

proposed requirements are intended to 

facilitate the design of high-quality 

integrated education and training 

programs that focus on improving the 

academic skills of low-skilled adults 

while advancing their occupational 

competencies. We seek public input on 

the proposed requirements and other 

suggested requirements that may 

support the provision of integrated 

education and training services to 

eligible adults at all skill levels. 

Section 463.38 How does a program 

providing integrated education and 

training under title II meet the 

requirement that an integrated 

education and training program be ‘‘for 

the purpose of educational and career 

advancement’’? 

Under proposed § 463.38, to meet the 

WIOA requirement that the integrated 

education and training program be for 

the purpose of educational and career 

advancement, the educational 

component of a program would be 

required to align with the State’s 

content standards for adult education in 

the State’s Unified or Combined State 

Plan or the program would be required 

to be part of a career pathway as that 

term is defined in section 3 of WIOA (29 

U.S.C. 3102(7)). The use of rigorous and 

challenging academic standards and 

career pathways that contextualize 

learning are recognized strategies to 

promote readiness for postsecondary 

education and work. 

III. What are programs for corrections 

education and the education of other 

institutionalized individuals? 

Section 463.60 What are programs for 

corrections education and the education 

of other institutionalized individuals? 

In proposed § 463.60, we describe 

programs for corrections education and 

the education of other institutionalized 

individuals. WIOA expands the 

educational programs and activities for 

which funds may be used and changes 

the WIA terminology. WIOA adds to the 

list of academic programs five new 

academic programs and uses the new 

definition of ‘‘adult education and 

literacy activities’’ described in 

§ 463.30. ‘‘Integrated education and 

training’’ and ‘‘concurrent enrollment’’ 

are defined in § 463.3 and § 463.35, and 

‘‘career pathways’’ is defined in WIOA 

section 3. Definitions for ‘‘peer tutoring’’ 

and ‘‘re-entry initiatives and other postrelease services’’ are in proposed 

§ 463.3. 

Section 463.61 How does the eligible 

agency award funds to eligible providers 

under programs for corrections 

education and the education of other 

institutionalized individuals? 

WIOA emphasizes the importance of 

educational and career advancement for 

incarcerated individuals by increasing 

from 10 percent to 20 percent the cap 

on funds that States may use for 

programs for corrections education and 

the education of other institutionalized 

individuals. Proposed § 463.61 reiterates 

this new statutory provision and 

clarifies that any awards made by the 

eligible agency for programs for 

corrections education and education 

programs for other institutionalized 

individuals must be made in accordance 

with applicable regulations in subpart 

C. 

Section 463.62 What is the priority for 

programs that receive funding through 

programs for corrections education and 

the education of other institutionalized 

individuals? 

Proposed § 463.62 restates the 

statutory provision in WIOA that gives 

priority to serving individuals who are 

likely to leave the corrections programs 

within five years of participation in the 

program. 

Section 463.63 How may funds under 

programs for corrections education and 

the education of other institutionalized 

individuals be used to support 

transition to re-entry initiatives and 

other post-release services with the goal 

of reducing recidivism? 

Proposed § 463.63 establishes how 

these funds may support transition to 

re-entry initiatives and other postrelease services under section 225(b)(8) 

of WIOA. This section would clarify 

that re-entry initiatives and other postrelease services must support the 

educational needs of the individual. We 

propose to make this clarification 

because section 225(b) of the Act 

specifies that funds may only be used 

‘‘for the costs of educational programs.’’ 

IV. What is the Integrated English 

Literacy and Civics Education 

program? 

In addition to the new integrated 

English Literacy and Civics Education 

services discussed in § 463.34, WIOA 

creates a new integrated English 

Literacy and Civics Education program 

that codifies and replaces the English 

Literacy and Civics Education program 

previously authorized through annual 

appropriations. The inclusion of the 

program in WIOA makes it an 

authorized program and eliminates the 

need for it to be authorized and 

separately funded annually through the 

appropriations process. The new 

program retains the focus on English 

language proficiency and civics 

education instruction, but there are new 

requirements to support stronger ties to 

employment and the workforce system. 

Section 463.70 What is the Integrated 

English Literacy and Civics Education 

program? 

Proposed § 463.70 describes the 

statutory requirements related to 

participants for whom funds are 

intended and the sets of services that are 

required in the program. This section 

would also clarify that the educational 

services must meet the requirements 

established in § 463.33 pertaining to 

integrated English literacy and civics 

education services. 

Section 463.71 How does the Secretary 

make an award under the integrated 

English Literacy and Civics Education 

program? 

Section 463.71 restates the statutory 

requirements for how the Secretary 

makes awards under the Integrated 

English Literacy and Civics Education 

program. It includes the statutory 

formula for how funds will be allocated 

to eligible agencies. 

Section 463.72 How does the eligible 

agency award funds to eligible providers 

for the Integrated English Literacy and 

Civics Education program? 

Proposed § 463.72 describes the 

statutory requirements to be used by 

eligible agencies in awarding funds, 

including a requirement that States 

must follow the provisions governing 

the award of funds established in 

subpart C. 


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Section 463.73 What are the 

requirements for eligible providers that 

receive funding through the integrated 

English Literacy and Civics Education 

program? 

Proposed § 463.73 reiterates statutory 

language regarding Integrated English 

Literacy and Civics Education program 

services and design, including 

requirements for the program to 

facilitate job placement, economic selfsufficiency, and integration with the 

workforce development system. 

Section 463.74 How does an eligible 

provider that receives funds through the 

Integrated English Literacy and Civics 

Education program meet the 

requirement to provide services in 

combination with integrated education 

and training? 

Proposed § 463.74 specifies two 

options an eligible provider may use to 

provide programs combined with 

integrated education and training in 

order to meet the requirement for the 

Integrated English Literacy and Civics 

Education program. The two options 

correspond with the requirements for 

integrated English Literacy and Civics 

Education services under section 231 of 

the Act and Integrated English Literacy 

and Civics Education programs under 

section 243 of the Act. 

Section 463.75 Who is eligible to 

receive education services through the 

Integrated English Literacy and Civics 

Education program? 

Proposed § 463.75 describes the 

statutory requirements for eligibility to 

receive services under the program. 

Executive Orders 12866 and 13563 

Regulatory Impact Analysis 

Under Executive Order 12866, the 

Secretary must determine whether this 

regulatory action is ‘‘significant’’ and, 

therefore, subject to the requirements of 

the Executive order and subject to 

review by OMB. Section 3(f) of 

Executive Order 12866 defines a 

‘‘significant regulatory action’’ as an 

action likely to result in a rule that 

may— 

(1) Have an annual effect on the 

economy of $100 million or more, or 

adversely affect a sector of the economy, 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, local, or tribal governments or 

communities in a material way (also 

referred to as an ‘‘economically 

significant’’ rule); 

(2) Create serious inconsistency or 

otherwise interfere with an action taken 

or planned by another agency; 

(3) Materially alter the budgetary 

impacts of entitlement grants, user fees, 

or loan programs or the rights and 

obligations of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

stated in the Executive order. 

This proposed regulatory action is a 

significant regulatory action subject to 

review by OMB under section 3(f) of 

Executive Order 12866. 

We have also reviewed these 

regulations under Executive Order 

13563, which supplements and 

explicitly reaffirms the principles, 

structures, and definitions governing 

regulatory review established in 

Executive Order 12866. To the extent 

permitted by law, Executive Order 

13563 requires that an agency— 

(1) Propose or adopt regulations only 

upon a reasoned determination that 

their benefits justify their costs 

(recognizing that some benefits and 

costs are difficult to quantify); 

(2) Tailor its regulations to impose the 

least burden on society, consistent with 

obtaining regulatory objectives and 

taking into account—among other things 

and to the extent practicable—the costs 

of cumulative regulations; 

(3) In choosing among alternative 

regulatory approaches, select those 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety, 

and other advantages; distributive 

impacts; and equity); 

(4) To the extent feasible, specify 

performance objectives, rather than the 

behavior or manner of compliance a 

regulated entity must adopt; and 

(5) Identify and assess available 

alternatives to direct regulation, 

including economic incentives—such as 

user fees or marketable permits—to 

encourage the desired behavior, or 

provide information that enables the 

public to make choices. 

Executive Order 13563 also requires 

an agency ‘‘to use the best available 

techniques to quantify anticipated 

present and future benefits and costs as 

accurately as possible.’’ The Office of 

Information and Regulatory Affairs of 

OMB has emphasized that these 

techniques may include ‘‘identifying 

changing future compliance costs that 

might result from technological 

innovation or anticipated behavioral 

changes.’’ 

We are issuing these proposed 

regulations only on a reasoned 

determination that their benefits would 

justify their costs. In choosing among 

alternative regulatory approaches, we 

selected those approaches that 

maximize net benefits. Based on the 

analysis that follows, the Department 

believes that these proposed regulations 

are consistent with the principles in 

Executive Order 13563. 

We also have determined that this 

regulatory action would not unduly 

interfere with State, local, and tribal 

governments in the exercise of their 

governmental functions. 

In accordance with both Executive 

orders, the Department has assessed the 

potential costs and benefits, both 

quantitative and qualitative, of this 

regulatory action. The potential costs 

associated with this regulatory action 

are those resulting from statutory 

requirements and those we have 

determined as necessary for 

administering the Department’s 

programs and activities. 

Potential Costs and Benefits 

Under Executive Order 12866, we 

have assessed the potential costs and 

benefits of this regulatory action and 

have determined that these proposed 

regulations would not impose 

additional costs to State eligible 

agencies under title II, local eligible 

providers of adult education, or the 

Federal government. We make this 

determination based upon analysis of 

the particular requirements proposed in 

parts 462 and 463. 

The proposed regulations in part 462 

primarily represent conforming changes 

and updates to current regulations in 

order to transition smoothly from WIA 

to WIOA. For example, we propose 

updating the language in the regulations 

in part 462 for consistency with 

language in the new law in which the 

term English as a second language (ESL) 

has been replaced with the term English 

language acquisition (ELA). A second 

example of proposed changes in part 

462 is one in which States would be 

provided more flexibility in reporting 

outcomes for adult learners. Proposed 

§ 462.43(c) would recognize the fact that 

several States offer adult high school 

programs, sanctioned by State law or 

regulation, that lead to a secondary 

school diploma or its equivalent. This 

new rule would allow these States to 

measure and report educational gain 

through the awarding of credits or 

Carnegie units, but would not require 

States to implement changes at an 

additional cost. Thus, from a cost 

perspective, the proposed regulations in 

part 462 would not impose new 

substantive requirements on State 

eligible agencies or local eligible 

providers of adult education. 

Additionally, the benefits of clarifying 

the conforming changes from WIA to 

WIOA and providing States additional 


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20976 Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 

flexibility justify the promulgation of 

the proposed regulations in part 462. 

The proposed regulations in part 462 

would also update and revise existing 

AEFLA regulations established under 

WIA that determine the suitability of 

tests for use in the NRS to reflect new 

WIOA provisions. We expect that the 

proposed regulations would result in a 

more uniform test review and approval 

process. For example, proposed § 462.10 

would establish new dates by which 

tests must be submitted for review each 

year. The revised submission dates 

would provide more opportunities for 

publishers to submit assessments to the 

Secretary for review and would likely 

increase the availability of new 

assessments to providers. As proposed, 

§ 462.11(a)(4) would increase the 

number of application copies that a 

publisher must submit to the Secretary 

from three to four. The additional cost 

to test publishers of providing another 

copy of an application is negligible. 

Accordingly, we conclude that the 

proposed regulations in part 462 would 

provide test publishers with greater 

flexibility in the overall submission 

process and, as such, anticipate that the 

benefits of this additional flexibility 

outweigh any potential minimal costs 

for test publishers. Moreover, we believe 

that the benefits of this proposed change 

outweigh the potential costs as it would 

strengthen the integrity of the NRS as a 

critical tool for measuring State 

performance on accountability measures 

while reducing costs to the Federal 

Government. 

The proposed regulations in part 463 

would largely clarify administrative and 

programmatic changes made by WIOA 

to the provisions regarding general adult 

education (e.g., applicable definitions, 

relevant programs, applicable 

regulations), how States make awards to 

local eligible providers, new adult 

education and literacy activities, new 

requirements for programs for 

corrections education and the education 

of other institutionalized individuals, 

and a new English literacy and civics 

education program. While WIOA enacts 

substantive programmatic changes in 

these areas, WIOA also provides States 

and outlying areas funding and 

flexibility to address these challenges. 

The proposed regulations in subpart C 

of part 463 would describe the process 

and requirements for States and 

outlying areas to award grants or 

contracts to eligible local providers as 

well as the activities allowed for local 

administrative costs. New application 

requirements would include those 

aimed at alignment with local workforce 

plans and promotion of concurrent 

enrollment with title I services, 

fulfillment of one-stop partner 

responsibilities, performance against the 

newly established primary indicators of 

performance, improving services to 

meet the needs of eligible individuals, 

and other information that addresses the 

13 considerations outlined in proposed 

§ 463.20. The changes and new 

requirements in subpart C pose no costs 

to eligible State agencies, eligible local 

providers, or the Federal Government 

that are additional to the costs imposed 

by statutory requirements. 

Proposed § 463.21 would require an 

eligible agency to establish procedures 

for Local Board review in its grant or 

contract application process. The 

regulation would further establish the 

type of documentation that must 

accompany the application. For 

example, an applicant would be 

required to document that the 

application was submitted to the board 

and was reviewed within the specified 

timeframe and that the Local Board 

made recommendations to promote 

alignment. While this is a new 

requirement under WIOA, we conclude 

that it does not impose significant 

additional costs to eligible State 

agencies, eligible local providers, or the 

Federal Government as it minimally 

extends requirements already in place to 

compete for AEFLA funds. 

The proposed regulations in subparts 

D, F, and G would generally restate 

statutory definitions of adult education 

and literacy activities and clarify new 

allowable uses of funds. As such, we 

conclude that these proposed new 

regulations would add no additional 

costs and would provide the added 

benefit of clarifying the flexibility that 

eligible State agencies and local eligible 

providers have in using funds provided 

under the Act for adult education and 

literacy activities as set forth in WIOA. 

Thus, we have determined that the 

proposed regulations in part 463 would 

not impose additional costs to State 

eligible agencies under title II of WIOA, 

local eligible providers of adult 

education, or the Federal government. 

Elsewhere in this section under 

Paperwork Reduction Act of 1995, we 

identify and explain burdens 

specifically associated with information 

collection requirements. 

Clarity of the Regulations 

Executive Order 12866 and the 

Presidential memorandum ‘‘Plain 

Language in Government Writing’’ 

require each agency to write regulations 

that are easy to understand. 

The Secretary invites comments on 

how to make these proposed regulations 

easier to understand, including answers 

to questions such as the following: 

• Are the requirements in the 

proposed regulations clearly stated? 

• Do the proposed regulations contain 

technical terms or other wording that 

interferes with their clarity? 

• Does the format of the proposed 

regulations (grouping and order of 

sections, use of headings, paragraphing, 

etc.) aid or reduce their clarity? 

• Would the proposed regulations be 

easier to understand if we divided them 

into more (but shorter) sections? (A 

‘‘section’’ is preceded by the symbol 

‘‘§ ’’ and a numbered heading; for 

example, § 462.11 What must an 

application contain?) 

• Could the description of the 

proposed regulations in the 

SUPPLEMENTARY INFORMATION section of 

this preamble be more helpful in 

making the proposed regulations easier 

to understand? If so, how? 

• What else could we do to make the 

proposed regulations easier to 

understand? 

To send any comments that concern 

how the Department could make these 

proposed regulations easier to 

understand, see the instructions in the 

ADDRESSES section. 

Regulatory Flexibility Act Certification 

The Secretary certifies that these 

proposed regulations would not have a 

significant economic impact on a 

substantial number of small entities. 

The U.S. Small Business Administration 

Size Standards define institutions as 

‘‘small entities’’ if they are for-profit or 

nonprofit institutions with total annual 

revenue below $5,000,000 or if they are 

institutions controlled by governmental 

entities with populations below 50,000. 

The proposed regulations in part 462 

would affect test publishers that meet 

this definition. However, the part 462 

regulations would not have a significant 

economic impact on these entities. Both 

large and small entities that publish 

assessments would benefit from 

proposed § 462.10 because it increases 

the number of opportunities that they 

may submit assessments to the Secretary 

for review and approval, potentially 

enabling them to market and sell their 

assessments to eligible local providers 

earlier than they could under the 

current regulations. The only new cost 

that would be imposed on assessment 

publishers by the proposed part 462 

regulations is the nominal cost of 

providing one additional copy of an 

application to the Secretary 

(§ 462.11(a)(4)). 

The regulations in part 463 would 

affect eligible local providers of adult 

education that are small, including 

small institutions of higher education, 

small local educational agencies, small 


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Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 20977 

community-based organizations or faithbased organizations, small volunteer 

literacy organizations, and other small 

entities that WIOA makes eligible to 

compete for adult education and literacy 

funds. The proposed regulations would 

benefit these small entities, as well as 

larger entities that are eligible local 

providers, by clarifying key statutory 

requirements. For example, proposed 

§ 463.24 would explain how a provider 

can establish that it meets that the 

statutory requirement that a provider 

have ‘‘demonstrated effectiveness’’ in 

order to be eligible to compete for funds. 

Similarly, proposed § 463.38 would 

explain how an eligible provider that 

administers an integrated education and 

training program must meet the 

statutory requirement that the program 

be ‘‘for the purpose of educational and 

career advancement.’’ By reducing 

uncertainty and ambiguity about the 

adult education program’s requirements, 

these clarifications would benefit all 

eligible providers, both small and large. 

Paperwork Reduction Act of 1995 

As part of its continuing effort to 

reduce paperwork and respondent 

burden, the Department provides the 

general public and Federal agencies 

with an opportunity to comment on 

proposed and continuing collections of 

information in accordance with the 

Paperwork Reduction Act of 1995 (PRA) 

(44 U.S.C. 3506(c)(2)(A)). This helps 

ensure that: The public understands the 

Department’s collection instructions, 

respondents can provide the requested 

data in the desired format, reporting 

burden (time and financial resources) is 

minimized, collection instruments are 

clearly understood, and the Department 

can properly assess the impact of 

collection requirements on respondents. 

Part 462 contains information 

collection requirements. Under the PRA, 

the Department has submitted a copy of 

the sections of part 462 that contain 

information collection requirements to 

OMB for its review. 

A Federal agency may not conduct or 

sponsor a collection of information 

unless OMB approves the collection 

under the PRA and the corresponding 

information collection instrument 

displays a currently valid OMB control 

number. Notwithstanding any other 

provision of law, no person is required 

to comply with, or is subject to penalty 

for failure to comply with, a collection 

of information if the collection 

instrument does not display a currently 

valid OMB control number. 

In the final regulations we will 

display the control numbers assigned by 

OMB to any information collection 

requirements proposed in this NPRM 

and adopted in the final regulations. 

Determining the Suitability of Tests for 

Use in the NRS 

Section 462.10 describes when a test 

publisher may submit an application to 

the Secretary to have a standardized test 

evaluated to determine if it is suitable 

for measuring the educational gains of 

participants in adult education 

programs that are required to report 

under the NRS. Under our current 

regulations, tests may be submitted 

annually by October 1 of each year. We 

are proposing to amend § 462.10 to 

increase the opportunities for a test 

publisher to submit an application from 

once to twice a year during calendar 

years 2017 and 2018. The intent of this 

proposal is to accommodate the review 

of what we expect will be a new 

generation of tests. The collection of this 

information has been approved through 

April 30, 2017, by OMB under the PRA 

as OMB Control Number 1830–0567. 

Under our current regulations, we 

estimated that we would receive five 

applications from test publishers on 

each of October 1, 2014, October 1, 

2015, and October 1, 2016. The burden 

associated with each response is 40 

hours (30 hours of work by professional 

employees and 10 hours by clerical 

employees), making 600 hours the total 

burden hours approved for OMB 

Control Number 1830–0567 over the 

three-year approval period. Our 

proposed regulations would give test 

publishers one additional opportunity 

during the approval period to submit 

applications (April 1, 2017). We 

estimate that this change will not 

modify the number of responses that we 

will receive annually from test 

publishers during the approval period. 

Rather, it will most likely spread out 

over two time periods the number of 

submissions we currently receive. 

Consequently, the total burden hours 

estimated under OMB Control Number 

1830–0567 remains at 600 hours. 

Section 462.11 describes the required 

content of applications submitted by 

test publishers to the Secretary. We are 

proposing to amend § 462.11 to increase 

the number of copies of an application 

that a test publisher must submit from 

three to four. This change will not 

increase the burden hours associated 

with each response and will have a 

negligible impact on the costs of 

responding. 

We also are proposing to amend 

§ 462.11, § 462.12, and § 462.14 to 

provide additional examples of the 

kinds of revisions to tests that we 

consider to be ‘‘substantial’’ and that 

thus require a new determination by the 

Secretary concerning the revised test’s 

suitability for use in the NRS. 

Specifically, we are proposing to 

include as examples of ‘‘substantial 

revisions’’ changes in a test’s mode of 

administration, administration 

procedures, forms, and the number of 

hours between pre- and post-testing. 

Under § 462.11 and § 462.14, a test 

publisher that has substantially revised 

a test approved for use in the NRS must 

submit to the Secretary the substantially 

revised test, an analysis that describes 

the reasons for the revision, a 

description of the revision’s 

implications for the comparability of 

scores on the current test to scores on 

the previous test, and the results of 

validity, reliability, and equating or 

standard-setting studies undertaken 

subsequent to the revision. Section 

462.12 authorizes the Secretary to 

revoke the approval of a test if the 

Secretary determines that the test has 

been substantially revised. We do not 

expect the proposed changes to have an 

impact on the burden hours associated 

with OMB Control Number 1830–0567 

because we expect that substantial 

revisions to standardized tests will be 

rare. 

Section 462.12 also describes the 

procedures the Secretary uses to review 

the suitability of tests submitted by test 

publishers. We are proposing to amend 

§ 462.12 to change the date when test 

publishers may resubmit applications 

for tests that the Secretary has 

determined are not suitable for use in 

the NRS. Under our current regulations, 

test publishers may resubmit an 

application within 30 days after the 

Secretary notifies the publisher that its 

test is not suitable for use in the NRS. 

We are proposing to eliminate this 

opportunity to request reconsideration 

and instead propose to give test 

publishers the opportunity to submit a 

new application on the next date the 

Secretary invites new applications from 

test publishers. Because the opportunity 

for reconsideration has been rarely used 

by test publishers, we do not expect that 

this change will have an impact on the 

burden hours associated with OMB 

Control Number 1830–0567. 

Requirements States and Local Eligible 

Providers Must Follow When Measuring 

Educational Gain 

Subpart D of part 462 describes the 

requirements States and local eligible 

providers must follow when measuring 

educational gain under the NRS. It 

contains information collection 

requirements that have been approved 

by OMB through August 31, 2017, as 

OMB Control Number 1830–0027. 

Section 462.40 currently describes the 


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20978 Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 

required contents of the written 

assessment policy each State must 

establish for its local eligible providers. 

We are proposing to amend § 462.40 to 

require the State to specify in its written 

assessment policy a standard for the 

percentage of students to be pre- and 

post-tested. Each State is currently 

required to include this information as 

part of the Data Quality Checklist that 

it submits to the Department by the 

OMB Control Number 1830–0027 

information collection. Because each 

State currently provides this 

information, this new regulatory 

requirement will not increase the 

burden associated with OMB Control 

Number 1830–0027. 

Collection of Information 

Regulatory section Information collection OMB Control Number and estimated burden [change 

in burden] 

§ 462.10 ..................................... The proposed amendment to this regulatory provision 

would give test publishers one additional opportunity to submit an application to have a standardized test evaluated to determine if it is suitable for 

use in the NRS.

OMB 1830–0567. There would be no change in burden hours or costs. 

§ 462.11 ..................................... One of the proposed amendments would increase the 

number of copies of an application that must be 

submitted by a test publisher from three to four. A 

second proposed amendment would provide additional examples of the kinds of revisions to tests 

that we consider to be ‘‘substantial’’ and that require a test publisher to provide information to the 

Secretary about the substantially revised test so 

that the Secretary can evaluate the substantially revised test’s suitability for use in the NRS.

OMB 1830–0567. There would be no change in burden hours or costs. 

§ 462.12 ..................................... The proposed amendment would eliminate the opportunity for a test publisher to request reconsideration 

of a test that the Secretary has determined is not 

suitable for use in the NRS. The test publisher 

would instead be permitted to submit a new application for consideration when the Secretary next invites applications.

OMB 1830–0567. There would be no change in burden hours or costs. 

§ 462.14 ..................................... The proposed amendment would provide additional 

examples of the kinds of revisions to tests that we 

consider to be ‘‘substantial’’ and that could prompt 

the Secretary to revoke a determination that a test 

is suitable for use in the NRS.

OMB 1830–0567. There would be no change in burden hours or costs. 

§ 462.40 ..................................... The proposed amendment to this regulatory provision 

would require a State to include in its written assessment policy a standard for the percentage of 

students who will have a matched post-test completed.

OMB 1830–0027. There would be no change in burden hours or costs. 

If you want to comment on the 

proposed information collection 

requirements, please send your 

comments to the Office of Information 

and Regulatory Affairs, OMB, Attention: 

Desk Officer for U.S. Department of 

Education. Send these comments by 

email to OIRA_DOCKET@omb.eop.gov 

or by fax to (202) 395–6974. You may 

also send a copy of these comments to 

the Department contact named in the 

ADDRESSES section of this preamble. 

We have prepared Information 

Collection Requests (ICR) for these 

collections. In preparing your comments 

you may want to review the ICR, which 

is available at www.reginfo.gov. Click on 

Information Collection Review. These 

proposed collections are 1830–0567 and 

1830–0027. 

We consider your comments on these 

proposed collections of information in— 

• Deciding whether the proposed 

collections are necessary for the proper 

performance of our functions, including 

whether the information will have 

practical use; 

• Evaluating the accuracy of our 

estimate of the burden of the proposed 

collections, including the validity of our 

methodology and assumptions; 

• Enhancing the quality, usefulness, 

and clarity of the information we 

collect; and 

• Minimizing the burden on those 

who must respond. This includes 

exploring the use of appropriate 

automated, electronic, mechanical, or 

other technological collection 

techniques. 

OMB is required to make a decision 

concerning the collection of information 

contained in these proposed regulations 

between 30 and 60 days after 

publication of this document in the 

Federal Register. Therefore, to ensure 

that OMB gives your comments full 

consideration, it is important that OMB 

receives your comments by May 18, 

2015. This does not affect the deadline 

for submitting comments to us on the 

proposed regulations. 

Intergovernmental Review 

This program is subject to Executive 

Order 12372 and the regulations in 34 

CFR part 79. One of the objectives of the 

Executive order is to foster an 

intergovernmental partnership and a 

strengthened federalism. The Executive 

order relies on processes developed by 

State and local governments for 

coordination and review of proposed 

Federal financial assistance. 

This document provides early 

notification of our specific plans and 

actions for this program. 

Assessment of Educational Impact 

In accordance with section 411 of the 

General Education Provisions Act, 20 

U.S.C. 1221e–4, the Secretary 

particularly requests comments on 

whether these proposed regulations 

would require transmission of 

information that any other agency or 

authority of the United States gathers or 

makes available. 


tkelley on DSK3SPTVN1PROD with PROPOSALS4
Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 20979 

Federalism 

Executive Order 13132 requires us to 

ensure meaningful and timely input by 

State and local elected officials in the 

development of regulatory policies that 

have federalism implications. 

‘‘Federalism implications’’ means 

substantial direct effects on the States, 

on the relationship between the 

National Government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. The proposed 

regulations in parts 462 and 463 may 

have federalism implications. We 

encourage State and local elected 

officials to review and provide 

comments on these proposed 

regulations. 

Accessible Format: Individuals with 

disabilities can obtain this document in 

an accessible format (e.g., braille, large 

print, audiotape, or compact disc) on 

request to the person listed under FOR

FURTHER INFORMATION CONTACT. 

Electronic Access to This Document: 

The official version of this document is 

the document published in the Federal 

Register. Free Internet access to the 

official edition of the Federal Register 

and the Code of Federal Regulations is 

available via the Federal Digital System 

at: www.gpo.gov/fdsys. At this site you 

can view this document, as well as all 

other documents of this Department 

published in the Federal Register, in 

text or Adobe Portable Document 

Format (PDF). To use PDF you must 

have Adobe Acrobat Reader, which is 

available free at the site. 

You may also access documents of the 

Department published in the Federal 

Register by using the article search 

feature at: www.federalregister.gov. 

Specifically, through the advanced 

search feature at this site, you can limit 

your search to documents published by 

the Department. 

(Catalog of Federal Domestic Assistance 

Number: 84.002 

Adult Education—Basic Grants to States) 

List of Subjects 

34 CFR Part 461 

Administrative practice and 

procedure, Adult education, Grant 

programs-education. 

34 CFR Part 462 

Administrative practice and 

procedure, Adult education, Grant 

programs-education, Reporting and 

recordkeeping requirements. 

34 CFR Part 463 

Adult education, Grant programseducation. 

34 CFR Part 472 

Administrative practice and 

procedure, Adult education, Grant 

programs-education, Reporting and 

recordkeeping requirements. 

34 CFR Part 477 

Administrative practice and 

procedure, Adult education, Grant 

programs-education. 

34 CFR Part 489 

Administrative practice and 

procedure, Adult education, Grant 

programs-education, Reporting and 

recordkeeping requirements. 

34 CFR Part 490 

Adult education, Grant programs— 

education, Prisoners, Reporting and 

recordkeeping requirements. 

Dated: March 6, 2015. 

Arne Duncan, 

Secretary of Education. 

For the reasons discussed in this 

preamble, under the authority of 29 

U.S.C. 3271 et seq. and 3343(f), the 

Secretary proposes to amend title 34 of 

the Code of Federal Regulations as 

follows: 

PART 461 [REMOVED AND 

RESERVED] 

■ 1. Remove and reserve part 461. 

PART 462—MEASURING 

EDUCATIONAL GAIN IN THE 

NATIONAL REPORTING SYSTEM FOR 

ADULT EDUCATION 

■ 2. The authority citation for part 462 

is revised to read as follows: 

Authority: 29 U.S.C. 3292, et seq., unless 

otherwise noted. 

■ 3. The authority citation at the end of 

§ 462.1 is revised to read as follows: 

§ 462.1 What is the scope of this part? 

* * * * * 

(Authority: 29 U.S.C. 3292) 

■ 4. Section 462.2 is revised to read as 

follows: 

§ 462.2 What regulations apply? 

The following regulations apply to 

this part: 

(a) The Education Department General 

Administrative Regulations (EDGAR) as 

follows: 

(1) 34 CFR part 76 (StateAdministered Programs). 

(2) 34 CFR part 77 (Definitions that 

Apply to Department Regulations). 

(3) 34 CFR part 79 (Intergovernmental 

Review of Department of Education 

Programs and Activities). 

(4) 34 CFR part 81 (General Education 

Provisions Act—Enforcement). 

(5) 34 CFR part 82 (New Restrictions 

on Lobbying). 

(6) 34 CFR part 84 (Governmentwide 

Requirements for Drug-Free Workplace 

(Financial Assistance)). 

(7) 34 CFR part 86 (Drug and Alcohol 

Abuse Prevention). 

(8) 34 CFR part 97 (Protection of 

Human Subjects). 

(9) 34 CFR part 98 (Student Rights in 

Research, Experimental Programs, and 

Testing). 

(10) 34 CFR part 99 (Family 

Educational Rights and Privacy). 

(b) The regulations in this part 462. 

(c)(1) 2 CFR part 180 (OMB 

Guidelines to Agencies on 

Governmentwide Debarment and 

Suspension (Nonprocurement)), as 

adopted at 2 CFR part 3485; and 

(2) 2 CFR part 200 (Uniform 

Administrative Requirements, Cost 

Principles, and Audit Requirements for 

Federal Awards), as adopted at 2 CFR 

part 3474. 

(Authority: 29 U.S.C. 3292) 

■ 5. Section 462.3 is amended by: 

■ a. Revising the introductory text of 

paragraph (a). 

■ b. Revising the definition of ‘‘Adult 

basic education (ABE)’’ in paragraph (b). 

■ c. Revising paragraphs (1), (3)(i), and 

(3)(iii) of the definition of ‘‘Adult 

education population’’ in paragraph (b). 

■ d. Revising the definitions of ‘‘Adult 

secondary education (ASE)’’, ‘‘Content 

domains, content specifications, or NRS 

skill areas’’, and ‘‘Educational 

functioning levels’’ in paragraph (b). 

■ e. Removing the definition of 

‘‘English-as-a-second language (ESL)’’ 

from paragraph (b). 

■ f. Adding a definition of ‘‘English 

language acquisition (ELA)’’ to 

paragraph (b) in alphabetical order. 

■ g. Revising the definition of 

‘‘Guidelines’’ in paragraph (b). 

The additions and revisions read as 

follows: 

§ 462.3 What definitions apply? 

(a) Definitions in the Adult Education 

and Family Literacy Act (Act). The 

following terms used in these 

regulations are defined in section 203 of 

the Adult Education and Family 

Literacy Act, 29 U.S.C. 3272 (Act): 

* * * * * 

(b) * * * 

Adult basic education (ABE) means 

instruction designed for an adult whose 

educational functioning level is 

equivalent to a particular ABE literacy 

level listed in the NRS educational 

functioning level table in the 

Guidelines. 


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Adult education population means 

individuals— 

(1) Who have attained 16 years of age; 

* * * * * 

(3) * * * 

(i) Are basic skills deficient; 

(ii) * * * 

(iii) Are English language learners. 

Adult secondary education (ASE) 

means instruction designed for an adult 

whose educational functioning level is 

equivalent to a particular ASE literacy 

level listed in the NRS educational 

functioning level table in the 

Guidelines. 

Content domains, content 

specifications, or NRS skill areas mean, 

for the purpose of the NRS, reading, 

writing, and speaking the English 

language, mathematics, problem 

solving, English language acquisition, 

and other literacy skills as defined by 

the Secretary. 

Educational functioning levels mean 

the ABE, ASE, and ELA literacy levels, 

as provided in the Guidelines, that 

describe a set of skills and competencies 

that students demonstrate in the NRS 

skill areas. 

English language acquisition (ELA) 

means instruction designed for an adult 

whose educational functioning level is 

equivalent to a particular ELA literacy 

level listed in the NRS educational 

functioning level table in the 

Guidelines. 

Guidelines means the Implementation 

Guidelines: Measures and Methods for 

the National Reporting System for Adult 

Education (also known as NRS 

Implementation Guidelines) posted on 

the Internet at: www.nrsweb.org. 

* * * * * 

(Authority: 29 U.S.C. 3292, et seq., unless 

otherwise noted) 

■ 6. Section 462.4 is revised to read as 

follows: 

§ 462.4 What are the transition rules for 

using tests to measure educational gain for 

the National Reporting System for Adult 

Education (NRS)? 

A State or a local eligible provider 

may continue to measure educational 

gain for the NRS using tests that the 

Secretary has identified in the most 

recent notice published in the Federal 

Register until the Secretary announces 

through a notice published in the 

Federal Register a date by which such 

tests may no longer be used. 

(Authority: 29 U.S.C. 3292) 

■ 7. Section 462.10 is amended by 

revising paragraph (b) and the authority 

citation to read as follows: 

§ 462.10 How does the Secretary review 

tests? 

* * * * * 

(b) A test publisher that wishes to 

have the suitability of its test 

determined by the Secretary under this 

part must submit an application to the 

Secretary, in the manner the Secretary 

may prescribe, by October 1, 2016, April 

1, 2017, October 1, 2017, April 1, 2018, 

October 1, 2018, and by October 1 of 

each year thereafter. 

(Authority: 29 U.S.C. 3292) 

■ 8. Section 462.11 is amended by 

revising paragraphs (a)(4), (b)(1), (e) 

introductory text, (f) introductory text, 

and (j)(4) and the authority citation to 

read as follows: 

§ 462.11 What must an application 

contain? 

(a) * * * 

(4) Submit to the Secretary four copies 

of its application. 

(b) General information. (1) A 

statement, in the technical manual for 

the test, of the intended purpose of the 

test and how the test will allow 

examinees to demonstrate the skills that 

are associated with the NRS educational 

functioning levels in the Guidelines. 

* * * * * 

(e) Match of content to the NRS 

educational functioning levels (content 

validity). Documentation of the extent to 

which the items or tasks on the test 

cover the skills in the NRS educational 

functioning levels in the Guidelines, 

including—- 

* * * * * 

(f) Match of scores to NRS educational 

functioning levels. Documentation of the 

adequacy of the procedure used to 

translate the performance of an 

examinee on a particular test to an 

estimate of the examinee’s standing 

with respect to the NRS educational 

functioning levels in the Guidelines, 

including— 

* * * * * 

(j) * * * 

(4) If a test has been substantially 

revised—for example by changing its 

mode of administration, administration 

procedures, structure, number of items, 

content specifications, item types, 

forms, sub-tests, or number of hours 

between pre- and post-testing—from the 

most recent edition reviewed by the 

Secretary under this part, the test 

publisher must provide an analysis of 

the revisions, including the reasons for 

the revisions, the implications of the 

revisions for the comparability of scores 

on the current test to scores on the 

previous test, and results from validity, 

reliability, and equating or standardsetting studies undertaken subsequent 

to the revisions. 

(Authority: 29 U.S.C. 3292) 

■ 9. Section 462.12 is amended by 

revising paragraphs (a)(2)(i)(iv), (c)(2), 

(d)(2), (e)(1)(ii), (e)(2) introductory text, 

and (e)(5), and the authority citation to 

read as follows: 

§ 462.12 What procedures does the 

Secretary use to review the suitability of 

tests? 

(a) * * * 

(2) * * * 

(i) * * * 

(iv) Includes a test that samples one 

or more of the major content domains of 

the NRS educational functioning levels 

of ABE, ELA, or ASE with sufficient 

numbers of questions to represent 

adequately the domain or domains; and 

* * * * * 

(c) * * * 

(2) Annually publishes in the Federal 

Register and posts on the Internet at 

www.nrsweb.org a list of the names of 

tests and test forms and the educational 

functioning levels the tests are suitable 

to measure in the NRS. A copy of the 

list is also available from the U.S. 

Department of Education, Office of 

Career, Technical, and Adult Education, 

Division of Adult Education and 

Literacy, 400 Maryland Avenue SW., 

room 11152, Potomac Center Plaza, 

Washington, DC 20202–7240. 

(d) * * * 

(2) The test publisher may resubmit 

an application to have the suitability of 

its test determined by the Secretary 

under this part on October 1 in the year 

immediately following the year in 

which the Secretary notifies the 

publisher. 

(e) * * * 

(1) * * * 

(ii) A test has been substantially 

revised—for example, by changing its 

mode of administration, administration 

procedures, structure, number of items, 

content specifications, item types, forms 

or sub-tests, or number of hours 

between pre- and post-testing. 

(2) The Secretary notifies the test 

publisher of the— 

* * * * * 

(5) If the Secretary revokes the 

determination regarding the suitability 

of a test, the Secretary will publish in 

the Federal Register, and post on the 

Internet at www.nrsweb.org, a notice of 

that revocation along with the date by 

which States and local eligible 

providers must stop using the revoked 

test. A copy of the notice of revocation 

will also be available from the U.S. 

Department of Education, Office of 

Career, Technical, and Adult Education, 

Division of Adult Education and 

Literacy, 400 Maryland Avenue SW., 

room 11152, Potomac Center Plaza, 

Washington, DC 20202–7240. 


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(Authority: 29 U.S.C. 3292) 

■ 10. Section 462.13 is amended by 

revising paragraph (b) to read as follows: 

§ 462.13 What criteria and requirements 

does the Secretary use for determining the 

suitability of tests? 

* * * * * 

(b) The test must sample one or more 

of the major content domains of the NRS 

educational functioning levels of ABE, 

ELA, or ASE with sufficient numbers of 

questions to adequately represent the 

domain or domains. 

* * * * * 

(Authority: 29 U.S.C. 3292) 

■ 11. Section 462.14 is amended by 

revising paragraph (b) and the authority 

citation to read as follows: 

§ 462.14 How often and under what 

circumstances must a test be reviewed by 

the Secretary? 

* * * * * 

(b) If a test that the Secretary has 

determined is suitable for use in the 

NRS is substantially revised—for 

example, by changing its mode of 

administration, administration 

procedures, structure, number of items, 

content specifications, item types, 

forms, sub-tests, or number of hours 

between pre- and post-testing—and the 

test publisher wants the test to continue 

to be used in the NRS, the test publisher 

must submit, as provided in 

§ 462.11(j)(4), the substantially revised 

test or version of the test to the 

Secretary for review so that the 

Secretary can determine whether the 

test continues to be suitable for use in 

the NRS. 

(Authority: 29 U.S.C. 3292) 

■ 12. Section 462.40 is amended by 

revising paragraph (c)(3) and the 

authority citation to read as follows: 

§ 462.40 Must a State have an assessment 

policy? 

* * * * * 

(c) * * * 

(3)(i) Indicate when, in calendar days 

or instructional hours, local eligible 

providers must administer pre- and 

post-tests to students; 

(ii) Ensure that the time for 

administering the post-test is long 

enough after the pre-test to allow the 

test to measure educational gains 

according to the test publisher’s 

guidelines; and 

(iii) Specify a standard for the 

percentage of students who will have a 

matched post-test completed. 

* * * * * 

(Authority: 29 U.S.C. 3292) 

■ 13. Section 462.41 is amended by 

revising paragraphs (b)(2) and (3), (c)(3), 

and the authority citation to read as 

follows: 

§ 462.41 How must tests be administered 

in order to accurately measure educational 

gain for the purpose of the performance 

indicator in section 116(b)(2)(A)(i)(V) of the 

Act concerning the achievement of 

measurable skill gains? 

* * * * * 

(b) * * * 

(2) Administer the pre-test to students 

at a uniform time, according to the 

State’s assessment policy; and 

(3) Administer pre-tests to students in 

the skill areas identified in the State’s 

assessment policy. 

(c) * * * 

(2) Administer the post-test to 

students at a uniform time, according to 

the State’s assessment policy; 

* * * * * 

(Authority: 29 U.S.C. 3292) 

■ 14. The authority citation at the end 

of § 462.42 is revised to read as follows: 

§ 462.42 How are tests used to place 

students at an NRS educational functioning 

level? 

* * * * * 

(Authority: 29 U.S.C. 3292) 

■ 15. Section 462.43 is amended by: 

■ a. Revising the section heading and 

paragraphs (a)(1) and (b). 

■ b. Adding paragraph (c). 

■ c. Revising the authority citation. 

The revisions and addition read as 

follows: 

§ 462.43 How is educational gain 

measured for the purpose of the 

performance indicator in section 

116(b)(2)(A)(i)(V) of the Act concerning the 

achievement of measurable skill gains? 

(a)(1) Educational gain is measured by 

comparing the student’s initial 

educational functioning level, as 

measured by the pre-test described in 

§ 462.41(b), with the student’s 

educational functioning level as 

measured by the post-test described in 

§ 462.41(c). 

Example: A State’s assessment policy 

requires its local eligible providers to test 

students in reading and mathematics. The 

student scores lower in reading than in 

mathematics. As described in § 462.42(d)(1), 

the local eligible provider would use the 

student’s reading score to place the student 

in an educational functioning level. To 

measure the student’s educational gain, the 

local eligible provider would compare the 

reading score on the pre-test with the reading 

score on the post-test. 

* * * * * 

(b) Except as specified in paragraph 

(c) of this section, if a student is not 

post-tested, then no educational gain 

can be measured for that student and 

the local eligible provider must report 

the student in the same educational 

functioning level as initially placed for 

NRS reporting purposes. 

(c) States that offer adult high school 

programs, sanctioned by State law, 

code, or regulation, that lead to a 

secondary school diploma or its 

equivalent may measure and report 

educational gain through the awarding 

of credits or Carnegie units. 

(Authority: 29 U.S.C. 3292) 

§ 462.44 [Removed] 

■ 16. Remove § 462.44. 

■ 17. Add part 463 to read as follows: 

PART 463—ADULT EDUCATION AND 

FAMILY LITERACY ACT 

Subpart A—Adult Education General 

Provisions 

Sec. 

463.1 What is the purpose of the Adult 

Education and Family Literacy Act? 

463.2 What regulations apply to the Adult 

Education and Family Literacy Act 

programs? 

463.3 What definitions apply to the Adult 

Education and Family Literacy Act 

programs? 

Subpart B [RESERVED] 

Subpart C —How does a State Make an 

Award to Eligible Local Providers? 

463.20 What is the process that the eligible 

agency must follow in awarding grants or 

contracts to eligible providers? 

463.21 What processes must be in place to 

determine the extent to which a local 

application for grants or contracts to 

provide adult education and literacy 

services is aligned with a local plan 

under section 108? 

463.22 What must be included in the 

eligible provider’s application for a grant 

or contract? 

463.23 Who is eligible to apply for a grant 

or contract to provide adult education 

and literacy activities? 

463.24 How can an eligible provider 

establish that it has demonstrated 

effectiveness? 

463.25 What are the requirements related to 

local administrative cost limits? 

463.26 What activities are considered local 

administrative costs? 

Subpart D—What are Adult Education and 

Literacy Activities? 

463.30 What are adult education and 

literacy programs, activities, and 

services? 

463.31 What is an English language 

acquisition program? 

463.32 How does a program that is intended 

to be an English language acquisition 

program meet the requirement that the 

program lead to attainment of a 

secondary school diploma or its 

recognized equivalent and transition to 

postsecondary education and training or 

leads to employment? 

463.33 What are integrated English literacy 

and civics education services? 


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463.34 What are workforce preparation 

activities? 

463.35 What is integrated education and 

training? 

463.36 What are the required components 

of an integrated education and training 

program funded under title II? 

463.37 How does a program providing 

integrated education and training under 

title II meet the requirement that the 

three required components be 

‘‘integrated’’? 

463.38 How does a program providing 

integrated education and training under 

title II meet the requirement that an 

integrated education and training 

program be ‘‘for the purpose of 

educational and career advancement’’? 

Subpart E [RESERVED] 

Subpart F—What are Programs for 

Corrections Education and the Education of 

Other Institutionalized Individuals? 

463.60 What are programs for corrections 

education and the education of other 

institutionalized individuals? 

463.61 How does the eligible agency award 

funds to eligible providers under 

programs for corrections education and 

the education of other institutionalized 

individuals? 

463.62 What is the priority for programs 

that receive funding through programs 

for corrections education and the 

education of other institutionalized 

individuals? 

463.63 How may funds under programs for 

corrections education and the education 

of other institutionalized individuals be 

used to support transition to re-entry 

initiatives and other post-release services 

with the goal of reducing recidivism? 

Subpart G—What Is the Integrated English 

Literacy and Civics Education Program? 

463.70 What is the Integrated English 

Literacy and Civics Education program? 

463.71 How does the Secretary make an 

award under the Integrated English 

Literacy and Civics Education program? 

463.72 How does the eligible agency award 

funds to eligible providers for the 

Integrated English Literacy and Civics 

Education program? 

463.73 What are the requirements for 

eligible providers that receive funding 

through the Integrated English Literacy 

and Civics Education program? 

463.74 How does an eligible provider that 

receives funds through the Integrated 

English Literacy and Civics Education 

program meet the requirement to provide 

services in combination with integrated 

education and training? 

463.75 Who is eligible to receive education 

services through the Integrated English 

Literacy and Civics Education program? 

Subparts H–K [RESERVED] 

Authority: 29 U.S.C. 3271, et seq., unless 

otherwise noted. 

Subpart A—Adult Education General 

Provisions 

§ 463.1 What is the purpose of the Adult 

Education and Family Literacy Act? 

The purpose of the Adult Education 

and Family Literacy Act (AEFLA) is to 

create a partnership among the Federal 

Government, States, and localities to 

provide, on a voluntary basis, adult 

education and literacy activities, in 

order to— 

(a) Assist adults to become literate 

and obtain the knowledge and skills 

necessary for employment and 

economic self-sufficiency; 

(b) Assist adults who are parents or 

family members to obtain the education 

and skills that— 

(1) Are necessary to becoming full 

partners in the educational development 

of their children; and 

(2) Lead to sustainable improvements 

in the economic opportunities for their 

family; 

(c) Assist adults in attaining a 

secondary school diploma and in the 

transition to postsecondary education 

and training, through career pathways; 

and 

(d) Assist immigrants and other 

individuals who are English language 

learners in— 

(1) Improving their— 

(i) Reading, writing, speaking, and 

comprehension skills in English; and 

(ii) Mathematics skills; and 

(2) Acquiring an understanding of the 

American system of Government, 

individual freedom, and the 

responsibilities of citizenship. 

(Authority: 29 U.S.C. 3271) 

§ 463.2 What regulations apply to the 

Adult Education and Family Literacy Act 

programs? 

The following regulations apply to the 

Adult Education and Family Literacy 

Act programs: 

(a) The following Education 

Department General Administrative 

Regulations (EDGAR): 

(1) 34 CFR part 75 (Direct Grant 

Programs), except that 34 CFR 75.720(b), 

regarding the frequency of certain 

reports, does not apply. 

(2) 34 CFR part 76 (StateAdministered Programs), except that 34 

CFR 76.101 (the general State 

application) does not apply. 

(3) 34 CFR part 77 (Definitions that 

Apply to Department Regulations). 

(4) 34 CFR part 79 (Intergovernmental 

Review of Department of Education 

Programs and Activities). 

(5) 34 CFR part 81 (General Education 

Provisions Act—Enforcement). 

(6) 34 CFR part 82 (New Restrictions 

on Lobbying). 

(7) 34 CFR part 86 (Drug and Alcohol 

Prevention). 

(8) 2 CFR part 200 (Uniform 

Administrative Requirements, Cost 

Principles, and Audit Requirements for 

Federal Awards), as adopted at 2 CFR 

part 3474. 

(b) The regulations in 34 CFR part 

462. 

(c) The regulations in 34 CFR part 

463. 

§ 463.3 What definitions apply to the Adult 

Education and Family Literacy Act 

programs? 

(a) Definitions in the Workforce 

Innovation and Opportunity Act. The 

following terms are defined in Sections 

3, 134, 203, and 225 of the Workforce 

Innovation and Opportunity Act (29 

U.S.C. 3102, 3174, 3272, and 3305): 

Adult Education 

Adult Education and Literacy Activities 

Basic Skills Deficient 

Career Pathway 

Core Program 

Core Program Provision 

Correctional Institution 

Criminal Offender 

Customized Training 

Eligible Agency 

Eligible Individual 

Eligible Provider 

English Language Acquisition Program 

English Language Learner 

Essential Components of Reading 

Family Literacy Activities 

Governor 

Individual with a Barrier to 

Employment 

Individual with a Disability 

Institution of Higher Education 

Integrated Education and Training 

Integrated English Literacy and Civics 

Education 

Literacy 

Local Educational Agency 

On-the-Job Training 

Outlying Area 

Postsecondary Educational Institution 

State 

Training Services 

Workplace Adult Education and 

Literacy Activities 

Workforce Preparation Activities 

(b) Definitions in EDGAR. The 

following terms are defined in 34 CFR 

77.1: 

Applicant 

Application 

Award 

Budget 

Budget Period 

Contract 

Department 

ED 

EDGAR 

Fiscal Year 

Grant 


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Grantee 

Nonprofit 

Private 

Project 

Project Period 

Public 

Secretary 

Subgrant 

Subgrantee 

(c) Other definitions. The following 

definitions also apply: 

Act means the Workforce Innovation 

and Opportunity Act, Public Law 113— 

128. 

Concurrent enrollment or coenrollment, for the purpose of this 

subpart F, refers to enrollment by an 

individual in two or more of the 

programs administered under the four 

core programs. 

Digital literacy means the skills 

associated with using technology to 

enable users to find, evaluate, organize, 

create, and communicate information. 

Peer tutoring means an instructional 

model that utilizes one institutionalized 

individual to assist in providing or 

enhancing learning opportunities for 

other institutionalized individuals. A 

peer tutoring program must be 

structured and overseen by educators 

who assist with training and supervising 

tutors, setting educational goals, 

establishing an individualized plan of 

instruction, and monitoring progress. 

Re-entry initiatives and post-release 

services means services provided to a 

formerly incarcerated individual upon 

or shortly after release from prison that 

are designed to promote successful 

adjustment to the community and 

prevent recidivism. Examples include 

education, employment services, 

substance abuse treatment, housing 

support, mental and physical health 

care, and family reunification services. 

Title means title II of the Act. 

Subpart B [RESERVED] 

Subpart C—How Does a State Make an 

Award to Eligible Local Providers? 

§ 463.20 What is the process that the 

eligible agency must follow in awarding 

grants or contracts to eligible providers? 

(a) From grant funds made available 

under section 222(a)(1) of the Act, each 

eligible agency must award competitive 

multiyear grants or contracts to eligible 

providers within the State or outlying 

area to enable the eligible providers to 

develop, implement, and improve adult 

education and literacy activities within 

the State or outlying area. 

(b) The eligible agency must require 

that each eligible provider receiving a 

grant or contract use the funding to 

establish or operate programs that 

provide adult education and literacy 

activities, including programs that 

provide such activities concurrently. 

(c) In conducting the competitive 

grant process, the eligible agency must 

ensure that— 

(1) All eligible providers have direct 

and equitable access to apply and 

compete for grants or contracts; 

(2) The same grant or contract 

announcement and application 

processes are used for all eligible 

providers in the State or outlying area; 

and 

(3) In awarding grants or contracts to 

eligible local providers for adult 

education and literacy activities, funds 

are not used for the purpose of 

supporting or providing programs, 

services, or activities for individuals 

who are not eligible individuals as 

defined in the Act, except that such 

agency may use such funds for such 

purpose if such programs, services, or 

activities are related to family literacy 

activities. Prior to providing family 

literacy activities for individuals who 

are not eligible individuals, an eligible 

provider must attempt to coordinate 

with programs and services that do not 

receive funding under this title. 

(d) In awarding grants or contracts for 

adult education and literacy activities to 

eligible providers, the eligible agency 

must consider the following: 

(1) The degree to which the eligible 

provider would be responsive to— 

(i) Regional needs as identified in the 

local workforce development plan; and 

(ii) Serving individuals in the 

community who were identified in such 

plan as most in need of adult education 

and literacy activities, including 

individuals who— 

(A) Have low levels of literacy skills; 

or 

(B) Are English language learners; 

(2) The ability of the eligible provider 

to serve eligible individuals with 

disabilities, including eligible 

individuals with learning disabilities; 

(3) The past effectiveness of the 

eligible provider in improving the 

literacy of eligible individuals, 

especially those individuals who have 

low levels of literacy, and the degree to 

which those improvements contribute to 

the eligible agency meeting its Stateadjusted levels of performance for the 

primary indicators of performance 

described in § 677.155; 

(4) The extent to which the eligible 

provider demonstrates alignment 

between proposed activities and 

services and the strategy and goals of 

the local plan under section 108 of the 

Act, as well as the activities and 

services of the one-stop partners; 

(5) Whether the eligible provider’s 

program— 

(i) Is of sufficient intensity and 

quality, and based on the most rigorous 

research available so that participants 

achieve substantial learning gains; and 

(ii) Uses instructional practices that 

include the essential components of 

reading instruction; 

(6) Whether the eligible provider’s 

activities, including whether reading, 

writing, speaking, mathematics, and 

English language acquisition instruction 

delivered by the eligible provider, are 

based on the best practices derived from 

the most rigorous research available, 

including scientifically valid research 

and effective educational practice; 

(7) Whether the eligible provider’s 

activities effectively use technology, 

services and delivery systems, including 

distance education, in a manner 

sufficient to increase the amount and 

quality of learning, and how such 

technology, services, and systems lead 

to improved performance; 

(8) Whether the eligible provider’s 

activities provide learning in context, 

including through integrated education 

and training, so that an individual 

acquires the skills needed to transition 

to and complete postsecondary 

education and training programs, obtain 

and advance in employment leading to 

economic self-sufficiency, and to 

exercise the rights and responsibilities 

of citizenship; 

(9) Whether the eligible provider’s 

activities are delivered by instructors, 

counselors, and administrators who 

meet any minimum qualifications 

established by the State, where 

applicable, and who have access to 

high-quality professional development, 

including through electronic means; 

(10) Whether the eligible provider 

coordinates with other available 

education, training, and social service 

resources in the community, such as by 

establishing strong links with 

elementary schools and secondary 

schools, postsecondary educational 

institutions, institutions of higher 

education, local workforce investment 

boards, one-stop centers, job training 

programs, and social service agencies, 

business, industry, labor organizations, 

community-based organizations, 

nonprofit organizations, and 

intermediaries, in the development of 

career pathways; 

(11) Whether the eligible provider’s 

activities offer the flexible schedules 

and coordination with Federal, State, 

and local support services (such as child 

care, transportation, mental health 

services, and career planning) that are 

necessary to enable individuals, 

including individuals with disabilities 


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or other special needs, to attend and 

complete programs; 

(12) Whether the eligible provider 

maintains a high-quality information 

management system that has the 

capacity to report measurable 

participant outcomes (consistent with 

section § 677.155) and to monitor 

program performance; and 

(13) Whether the local area in which 

the eligible provider is located has a 

demonstrated need for additional 

English language acquisition programs 

and civics education programs. 

(Authority: 29 U.S.C. 3321) 

§ 463.21 What processes must be in place 

to determine the extent to which a local 

application for grants or contracts to 

provide adult education and literacy 

services is aligned with a local plan under 

section 108? 

(a) An eligible agency must establish, 

within its grant or contract competition, 

a process that requires an eligible 

provider applying for funds under 

AEFLA to submit its application to its 

Local Board prior to submission to the 

eligible agency. 

(b) The process must require eligible 

providers to— 

(1) Submit the application to the 

Local Board for its review for 

consistency with the local plan within 

the appropriate timeframe; and 

(2) Provide an opportunity for the 

Local Board to make recommendations 

to the eligible agency to promote 

alignment with the local plan. 

(c) The eligible agency must consider 

the results of the review by the Local 

Board in determining the extent to 

which the application addresses the 

required considerations in § 463.20. 

(Authority: 29 U.S.C. 3122(d)(11), 3321(e), 

3322) 

§ 463.22 What must be included in the 

eligible provider’s application for a grant or 

contract? 

(a) Each eligible provider seeking a 

grant or contract must submit an 

application to the eligible agency 

containing the following information 

and assurances: 

(1) A description of how funds 

awarded under this title will be spent 

consistent with the requirements of title 

II of AEFLA; 

(2) A description of any cooperative 

arrangements the eligible provider has 

with other agencies, institutions, or 

organizations for the delivery of adult 

education and literacy activities; 

(3) A description of how the eligible 

provider will provide services in 

alignment with the local workforce 

development plan, including how such 

provider will promote concurrent 

enrollment in programs and activities 

under title I, as appropriate; 

(4) A description of how the eligible 

provider will meet the State-adjusted 

levels of performance for the primary 

indicators of performance identified in 

the State’s Unified or Combined State 

Plan, including how such provider will 

collect data to report on such 

performance indicators; 

(5) A description of how the eligible 

provider will fulfill, as appropriate, 

required one-stop partner 

responsibilities to— 

(i) Provide access through the onestop delivery system to adult education 

and literacy activities; 

(ii) Use a portion of the funds made 

available under the Act to maintain the 

one-stop delivery system, including 

payment of the infrastructure costs of 

the one-stop centers, in accordance with 

the methods agreed upon by the Local 

Board and described in the 

memorandum of understanding or the 

determination of the Governor regarding 

State one-stop infrastructure funding; 

(iii) Enter into a local memorandum of 

understanding with the Local Board, 

relating to the operations of the one-stop 

system; 

(iv) Participate in the operation of the 

one-stop system consistent with the 

terms of the memorandum of 

understanding and the requirements of 

the Act; and 

(v) Provide representation on the State 

board; 

(6) A description of how the eligible 

provider will provide services in a 

manner that meets the needs of eligible 

individuals; 

(7) Information that addresses the 13 

considerations listed in § 463.20; 

(8) Documentation of the activities 

required by § 463.21(b); 

(9) Information, as required under 

§ 463.24, establishing that the eligible 

provider has demonstrated 

effectiveness; and 

(10) Any other information required 

by the eligible agency. 

(b) [Reserved] 

(Authority: 29 U.S.C. 3322) 

§ 463.23 Who is eligible to apply for a 

grant or contract to provide adult education 

and literacy activities? 

An organization that has 

demonstrated effectiveness in providing 

adult education and literacy activities is 

eligible to apply for a grant or contract. 

These organizations may include, but 

are not limited to: 

(a) A local educational agency; 

(b) A community-based organization 

or faith-based organization; 

(c) A volunteer literacy organization; 

(d) An institution of higher education; 

(e) A public or private nonprofit 

agency; 

(f) A library; 

(g) A public housing authority; 

(h) A nonprofit institution that is not 

described in any of paragraphs (a) 

through (g) of this section, and has the 

ability to provide adult education and 

literacy activities to eligible individuals; 

(i) A consortium or coalition of the 

agencies, organizations, institutions, 

libraries, or authorities described in any 

of paragraphs (a) through (h) of this 

section; and 

(j) A partnership between an 

employer and an entity described in any 

of paragraphs (a) through (i) of this 

section. 

(Authority: 29 U.S.C. 3272(5)) 

§ 463.24 How must an eligible provider 

establish that it has demonstrated 

effectiveness? 

(a) For the purposes of this section, an 

eligible provider must demonstrate past 

effectiveness by providing performance 

data on its record of improving the skills 

of eligible individuals, particularly 

eligible individuals who have low levels 

of literacy, in the content domains of 

English language arts, mathematics, 

English language acquisition, and other 

subject areas relevant to the proposed 

services described in the eligible 

provider’s application submitted under 

§ 463.22. An eligible provider must also 

provide information regarding its 

outcomes for participants related to 

employment, high school completion, 

and transition to postsecondary 

education and training. 

(b) An eligible provider that has been 

previously funded under AEFLA must 

provide performance data required 

under its accountability provisions to 

demonstrate effectiveness. 

(c) An eligible provider that has not 

been previously funded under AEFLA 

must provide performance data to 

demonstrate its effectiveness in serving 

basic skill-deficient eligible individuals, 

including evidence of its success in 

achieving the outcomes listed in 

paragraph (a) of this section. 

(Authority: 29 U.S.C. 3272(5)) 

§ 463.25 What are the requirements related 

to local administrative cost limits? 

Not more than 5 percent of a local 

grant to an eligible provider can be 

expended to administer a grant or 

contract under title II. In cases where 5 

percent is too restrictive to allow for 

administrative activities, the eligible 

provider must negotiate with the 

eligible agency to determine an 

adequate level of funds to be used for 

non-instructional purposes. 

(Authority: 29 U.S.C. 3323) 


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§ 463.26 What activities are considered 

local administrative costs? 

An eligible provider receiving a grant 

or contract under this part may consider 

costs incurred in connection with the 

following activities to be administrative 

costs: 

(a) Planning; 

(b) Administration, including carrying 

out performance accountability 

requirements; 

(c) Professional development; 

(d) Providing adult education and 

literacy services in alignment with local 

workforce plans, including promoting 

co-enrollment in programs and activities 

under title I, as appropriate; and 

(e) Carrying out the one-stop partner 

responsibilities described in § 678.420, 

including contributing to the 

infrastructure costs of the one-stop 

delivery system. 

(Authority: 29 U.S.C. 3323, 3322, 3151) 

Subpart D—What Are Adult Education 

and Literacy Activities? 

§ 463.30 What are adult education and 

literacy programs, activities, and services? 

The term ‘‘adult education and 

literacy activities’’ means programs, 

activities, and services that include: 

(a) Adult education, 

(b) Literacy, 

(c) Workplace adult education and 

literacy activities, 

(d) Family literacy activities, 

(e) English language acquisition 

activities, 

(f) Integrated English literacy and 

civics education, 

(g) Workforce preparation activities, 

or 

(h) Integrated education and training. 

(Authority: 29 U.S.C. 3272(2)) 

§ 463.31 What is an English language 

acquisition program? 

The term ‘‘English language 

acquisition program’’ means a program 

of instruction— 

(a) That is designed to help eligible 

individuals who are English language 

learners achieve competence in reading, 

writing, speaking, and comprehension 

of the English language; and 

(b) That leads to— 

(1)(i) Attainment of a secondary 

school diploma or its recognized 

equivalent; and 

(ii) Transition to postsecondary 

education and training; or 

(2) Employment. 

(Authority: 29 U.S.C. 3272(6)) 

§ 463.32 How does a program that is 

intended to be an English language 

acquisition program meet the requirement 

that the program leads to attainment of a 

secondary school diploma or its recognized 

equivalent and transition to postsecondary 

education and training or leads to 

employment? 

To meet the requirement in 

§ 463.31(b), a program of instruction 

must: 

(a) Have implemented State adult 

education content standards that are 

aligned with the State adopted 

standards under ESEA as described in 

the State’s Unified or Combined State 

Plan and as evidenced by the use of a 

curriculum that is aligned with the State 

adult education content standards; or 

(b) Offer supportive services that 

assist an eligible individual to attain a 

secondary school diploma or its 

recognized equivalent and transition to 

postsecondary education or 

employment; or 

(c) Be part of a career pathway. 

(Authority: 29 U.S.C. 3112(b)(2)(D)(ii), 3272) 

§ 463.33 What are integrated English 

literacy and civics education services? 

(a) Integrated English literacy and 

civics education services are education 

services provided to English language 

learners who are adults, including 

professionals with degrees or 

credentials in their native countries, 

that enable such adults to achieve 

competency in the English language and 

acquire the basic and more advanced 

skills needed to function effectively as 

parents, workers, and citizens in the 

United States. 

(b) Integrated English literacy and 

civics education services must include 

instruction in literacy and English 

language acquisition and instruction on 

the rights and responsibilities of 

citizenship and civic participation and 

may include workforce training. 

(Authority: 29 U.S.C. 3272(12)) 

§ 463.34 What are workforce preparation 

activities? 

Workforce preparation activities 

include activities, programs, or services 

designed to help an individual acquire 

a combination of basic academic skills, 

critical thinking skills, digital literacy 

skills, and self-management skills, 

including competencies in: 

(a) Utilizing resources; 

(b) Using information; 

(c) Working with others; 

(d) Understanding systems; 

(e) Skills necessary for successful 

transition into and completion of 

postsecondary education or training, or 

employment; and 

(f) Other employability skills that 

increase an individual’s preparation for 

the workforce. 

(Authority: 29 U.S.C. 3272(17)) 

§ 463.35 What is integrated education and 

training? 

The term ‘‘integrated education and 

training’’ refers to a service approach 

that provides adult education and 

literacy activities concurrently and 

contextually with workforce preparation 

activities and workforce training for a 

specific occupation or occupational 

cluster for the purpose of educational 

and career advancement. 

(Authority: 29 U.S.C. 3272(11)) 

§ 463.36 What are the required 

components of an integrated education and 

training program funded under title II? 

An integrated education and training 

program must include three 

components: 

(a) Adult education and literacy 

activities as described in § 463.30. 

(b) Workforce preparation activities as 

described in § 463.34. 

(c) Workforce training for a specific 

occupation or occupational cluster 

which can be any one of the training 

services defined in section 134(c)(3)(D) 

of the Act. 

(Authority: 29 U.S.C. 3272, 3174) 

§ 463.37 How does a program providing 

integrated education and training under title 

II meet the requirement that the three 

required components be ‘‘integrated’’? 

In order to meet the requirement that 

the adult education and literacy 

activities, workforce preparation 

activities, and workforce training be 

integrated, services must be provided 

concurrently and contextually such 

that— 

(a) Within the overall scope of a 

particular integrated education and 

training program, the adult education 

and literacy activities, workforce 

preparation activities, and workforce 

training: 

(1) Are instructionally balanced 

proportionally across the three 

components, particularly with respect to 

improving reading, writing, 

mathematics, and English proficiency of 

eligible individuals; 

(2) Occur simultaneously; and 

(3) Use occupationally relevant 

instructional materials. 

(b) The integrated education and 

training program has a single set of 

learning objectives that identifies 

specific adult education content, 

workforce preparation activities, and 

workforce training competencies, and 

the program activities are organized to 

function cooperatively. 


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(Authority: 29 U.S.C. 3272) 

§ 463.38 How does a program providing 

integrated education and training under title 

II meet the requirement that the integrated 

education and training program be ‘‘for the 

purpose of educational and career 

advancement’’? 

A provider meets the requirement that 

the integrated education and training 

program provided is for the purpose of 

educational and career advancement if: 

(a) The adult education component of 

the program is aligned with the State’s 

content standards for adult education as 

described in the State’s Unified or 

Combined State Plan; and 

(b) The integrated education and 

training program is part of a career 

pathway. 

(Authority: 29 U.S.C. 3272, 3112) 

Subpart E [RESERVED] 

Subpart F—What are Programs for 

Corrections Education and the 

Education of Other Institutionalized 

Individuals? 

§ 463.60 What are programs for 

corrections education and the education of 

other institutionalized individuals? 

(a) Authorized under section 225 of 

the Act, programs for corrections 

education and the education of other 

institutionalized individuals require 

each eligible agency to carry out 

corrections education and education for 

other institutionalized individuals using 

funds provided under section 222(a)(1) 

of the Act. 

(b) The funds described in subsection 

(a) must be used for the cost of 

educational programs for criminal 

offenders in correctional institutions 

and other institutionalized individuals, 

including academic programs for— 

(1) Adult education and literacy 

activities; 

(2) Special education, as determined 

by the eligible agency; 

(3) Secondary school credit; 

(4) Integrated education and training; 

(5) Career pathways; 

(6) Concurrent enrollment; 

(7) Peer tutoring; and 

(8) Transition to re-entry initiatives 

and other post-release-services with the 

goal of reducing recidivism. 

(Authority: 29 U.S.C. 3302, 3305) 

§ 463.61 How does the eligible agency 

award funds to eligible providers under 

programs for corrections education and the 

education of other institutionalized 

individuals? 

(a) States may award up to 20 percent 

of the 82.5 percent of the funds made 

available by the Secretary for local 

grants and contracts under section 231 

of the Act for programs for corrections 

education and the education of other 

institutionalized individuals. 

(b) The State must make awards to 

eligible providers in accordance with 

subpart C of this part. 

(Authority: 29 U.S.C. 3302, 3321) 

§ 463.62 What is the priority for programs 

that receive funding through programs for 

corrections education and the education of 

other institutionalized individuals? 

Each eligible agency using funds 

provided under programs for corrections 

education and the education of other 

institutionalized individuals to carry 

out a program for criminal offenders 

within a correctional institution must 

give priority to programs serving 

individuals who are likely to leave the 

correctional institution within five years 

of participation in the program. 

(Authority: 29 U.S.C. 3305) 

§ 463.63 How may funds under programs 

for corrections education and the education 

of other institutionalized individuals be 

used to support transition to re-entry 

initiatives and other post-release services 

with the goal of reducing recidivism? 

Funds under programs for corrections 

education and the education of other 

institutionalized individuals may be 

used to support educational programs 

for transition to re-entry initiatives and 

other post-release services with the goal 

of reducing recidivism. Such use of 

funds may include educational 

counseling or case work to support 

incarcerated individuals’ transition to 

re-entry initiatives and other postrelease services. Examples of allowable 

uses of funds include assisting 

incarcerated individuals to develop 

plans for post-release education 

program participation, assisting 

students in identifying and applying for 

participation in post-release programs, 

and performing direct outreach to 

community-based program providers on 

behalf of re-entering students. Such 

funds may not be used for costs for 

participation in post-release programs or 

services. 

(Authority: 29 U.S.C. 3305) 

Subpart G—What Is the Integrated 

English Literacy and Civics Education 

Program? 

§ 463.70 What is the Integrated English 

Literacy and Civics Education program? 

(a) The Integrated English Literacy 

and Civics Education program refers to 

the use of funds provided under section 

243 of the Act for education services for 

English language learners who are 

adults, including professionals with 

degrees and credentials in their native 

countries. 

(b) The Integrated English Literacy 

and Civics Education program delivers 

educational services as described in 

§ 463.33. 

(c) Such educational services must be 

delivered in combination with 

integrated education and training 

services as described in § 463.36. 

(Authority: 29 U.S.C. 3272, 3333) 

§ 463.71 How does the Secretary make an 

award under the Integrated English Literacy 

and Civics Education program? 

(a) The Secretary awards grants under 

the Integrated English Literacy and 

Civics Education program to States in 

accordance with this section. 

(b) The Secretary allocates funds to 

States following the formula described 

in section 243(b) of the Act: 

(1) Sixty-five percent is allocated on 

the basis of a State’s need for integrated 

English literacy and civics education, as 

determined by calculating each State’s 

share of a 10-year average of the data of 

the Office of Immigration Statistics of 

the Department of Homeland Security 

for immigrants admitted for legal 

permanent residence for the 10 most 

recent years; and 

(2) Thirty-five percent is allocated on 

the basis of whether the State 

experienced growth, as measured by the 

average of the three most recent years 

for which the data of the Office of 

Immigration Statistics of the Department 

of Homeland Security for immigrants 

admitted for legal permanent residence 

are available. 

(3) No State will receive an allotment 

less than $60,000. 

(Authority: 29 U.S.C. 3333) 

§ 463.72 How does the eligible agency 

award funds to eligible providers for the 

Integrated English Literacy and Civics 

Education program? 

States must award funds for the 

Integrated English Literacy and Civics 

Education program to eligible providers 

in accordance with subpart C of this 

part. 

(Authority: 29 U.S.C. 3321) 

§ 463.73 What are the requirements for 

eligible providers that receive funding 

through the Integrated English Literacy and 

Civics Education program? 

Eligible providers receiving funds 

through the Integrated English Literacy 

and Civics Education program must 

provide services that— 

(a) Include instruction in literacy and 

English language acquisition and 

instruction on the rights and 

responsibilities of citizenship and civic 

participation. 

(b) Are in combination with 

integrated education and training. 


tkelley on DSK3SPTVN1PROD with PROPOSALS4
Federal Register / Vol. 80, No. 73 / Thursday, April 16, 2015 / Proposed Rules 20987 

(c) Are designed to: 

(1) Prepare adults who are English 

language learners for, and place such 

adults in, unsubsidized employment in 

in-demand industries and occupations 

that lead to economic self-sufficiency; 

and 

(2) Integrate with the local workforce 

development system and its functions to 

carry out the activities of the program. 

(Authority: 29 U.S.C. 3272, 3333) 

§ 463.74 How does an eligible provider 

that receives funds through the Integrated 

English Literacy and Civics Education 

program meet the requirement to provide 

services in combination with integrated 

education and training? 

An eligible provider that receives 

funds through the Integrated English 

Literacy and Civics Education program 

can meet the requirement to provide 

services in combination with integrated 

education and training by providing: 

(a) Integrated English literacy and 

civics education activities as described 

in subpart D and integrated education 

and training as described in subpart D 

to eligible individuals as defined in this 

subpart; or 

(b) Integrated English literacy and 

civics education activities as described 

in subpart D to eligible individuals as 

described in this subpart and coenrolling participants in integrated 

education and training programs 

provided within the local or regional 

workforce development area. 

(Authority: 29 U.S.C. 3333, 3121, 3122, 3123) 

§ 463.75 Who is eligible to receive 

education services through the Integrated 

English Literacy and Civics Education 

program? 

Individuals who otherwise meet the 

definition of ‘‘eligible individual’’ and 

are English language learners, including 

professionals with degrees and 

credentials obtained in their native 

countries, may receive Integrated 

English Literacy and Civics Education 

services. 

(Authority: 29 U.S.C. 3272) 

Subparts H–K—[RESERVED] 

PART 472—[REMOVED AND 

RESERVED] 

■ 18. Remove and reserve part 472. 

PART 477—[REMOVED AND 

RESERVED] 

■ 19. Remove and reserve part 477. 

PART 489—[REMOVED AND 

RESERVED] 

■ 20. Remove and reserve part 489. 

PART 490—[REMOVED AND 

RESERVED] 

■ 21. Remove and reserve part 490. 

[FR Doc. 2015–05540 Filed 4–2–15; 4:15 pm] 

BILLING CODE 4000–01–P 


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