GUIDE FOR THE DEVELOPMENT

OF A STATE PLAN

UNDER THE

ADULT EDUCATION AND FAMILY LITERACY ACT

(TITLE II OF THE WORKFORCE INVESTMENT ACT OF 1998)

OMB Control No. 1830-0026

Expires: 7/31/[year]

U.S. Department of Education

Office of Career, Technical, and Adult Education

Division of Adult Education and Literacy

Washington, D.C. 20202-7240
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TABLE OF CONTENTS

Introduction......................................................................................................................... 4

Revising a State Plan ...................................................................................................... 4

Transmittal ...................................................................................................................... 4

Format of the Plan Revision ........................................................................................... 4

1.0 Eligible Agency Certifications and Assurances ............................................... 6

1.1 Certifications................................................................................................. 6

1.2 Assurances (Sec. 224 (b)(5), (6), and (8)) .................................................... 6

1.3 Assurance for Unified Plans Only (Title V—General Provisions Sec. 

501(c)(3)(B))........................................................................................................... 6

2.0 Needs Assessment (Sec. 224(b)(1)).................................................................. 7

2.1 Individuals Most in Need.............................................................................. 7

2.2 Populations.................................................................................................... 7

3.0 Description of Adult Education and Literacy Activities.................................. 8

(Sec. 224(b)(2))........................................................................................................... 8

3.1 Descriptions of Allowable Activities............................................................ 8

3.2 Special Rule [Uses of Funds for Family Literacy] ....................................... 8

3.3. Descriptions of New Organizational Arrangements and Changes ............... 9

4.0 Annual Evaluation of Adult Education and Literacy Activities (Sec. 

224(b)(3)).................................................................................................................... 9

4.1 Annual Evaluations....................................................................................... 9

5.0 Performance Measures (Sec. 224(b)(4))......................................................... 10

5.1 Eligible Agency Performance Measures (Sec. 212) ................................... 10

5.2 Optional - Additional Indicators................................................................. 10

5.3 Levels of Performance ................................................................................ 10

5.4 Factors (Sec. 212(b)(3)(A)(iv))................................................................... 11

6.0 Procedures for Funding Eligible Providers (Sec. 224 (b)(7))......................... 11

6.1 Applications................................................................................................ 11

6.2 Eligible Providers (Sec. 203 (5)) ................................................................ 12

6.3 Notice of Availability ................................................................................. 12

6.4 Process ........................................................................................................ 12

6.5 Evaluation of Applications (Sec. 231(e)).................................................... 13
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6.6 Special Rule (Sec. 223(c)) .......................................................................... 14

7.0 Public Participation and Comment (Sec. 224 (b)(9)) ..................................... 14

7.1 Description of Activities............................................................................. 14

7.2 Governor’s Comments................................................................................ 15

8.0 Descriptions of Program Strategies for Populations (Sec. 224(b)(10)).......... 15

8.1 Strategies..................................................................................................... 15

9.0 Integration with Other Adult Education and Training (Sec. 224 (b)(11))...... 16

9.1 Description of Planned Integrated Activities.............................................. 16

9.2 State Unified Plan ....................................................................................... 16

10.0 Description of the Steps to Ensure Direct and Equitable Access (Sec. 

224(b)(12))................................................................................................................ 17

10.1 Description of Steps................................................................................ 17

10.2 Notice of Availability.............................................................................. 17

11.0 Programs for Corrections Education and other Institutionalized Individuals 

(Sec. 225).................................................................................................................. 18

11.1 Types of Programs .................................................................................. 18

11.2 Priority..................................................................................................... 18

11.3 Types of Institutional Settings................................................................. 18

12.0 State Leadership Activities (Sec. 223(a), (b))............................................. 19

12.1 Description of Activities......................................................................... 19

Describe how the eligible agency shall use funds made available under Sec. 

222(a)(2) for one or more of the following adult education and literacy activities:

............................................................................................................................... 19

12.2 Description of Joint Planning and Coordination for Unified Plan Only 

(Title V—General Provisions, Sec. 501(c)(3)(A)) ............................................... 20

12.3 Description of Activities under Section 427 of the General Education 

Provisions Act (GEPA)......................................................................................... 20

APPENDIX A................................................................................................................... 22

APPENDIX B................................................................................................................... 23
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INTRODUCTION

REVISING A STATE PLAN

Each eligible agency receiving an adult education grant shall submit to, or have on file 

with the Secretary, a state plan for adult education and family literacy. State eligible 

agencies that previously submitted a plan will be submitting revisions in their adult 

education plan for program year [year], including performance targets for that year. 

Performance targets must exceed actual performance for the prior year. These revisions 

will enable the Department to extend the plans for one year, and make allotments of 

federal adult education funds on July 1, [year].

To assist states in developing revisions to their plans, we are reinstating our original 

Guide for the Development of a State Plan under the Adult Education and Family 

Literacy Act (Guide), which includes appropriate references to various sections of the 

Adult Education and Family Literacy Act (AEFLA), Title II of the Workforce Investment 

Act of 1998 or federal regulations. Submissions currently required need be only pertinent 

revisions, not full plans. In addition to new performance levels for program [year] for 

example, states receiving increases in their allotments would indicate what new state 

leadership activities they plan to undertake. States revising their funding formulas would 

outline these new formulas in their state plan revisions. These revisions are simply

updated sections of the original plans. Revisions must meet requirements set for the 

original sections summarized below.

TRANSMITTAL

Revisions to the five-year state plan must be submitted to the Department of Education 

by April 1, [year].

Please submit revisions electronically. Revisions may be transmitted in a PC-compatible 

format (Microsoft Word or ASCII) by electronic mail to the Area Coordinator for your 

region. A signed copy of each of the Assurances and Certifications found in Appendices 

A and B must be scanned and sent with your state plan. Please retain the forms with 

original signatures in your office.

Through delegated authority, the Assistant Secretary for Career, Technical, and Adult 

Education approves state plans.

FORMAT OF THE PLAN REVISION

An eligible agency has discretion in establishing the format of its state plan revisions, but 

it must address the requirements of the current legislation and the procedures contained in 

this Guide. For example, States may send the Office of Career, Technical, and Adult 

Education (OCTAE) either only the revised sections, or the entire plan in which revisions 
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have been clearly marked in Microsoft Word Track Changes format. The eligible agency

must include in its plan revision an updated organizational chart (see 3.3) reflecting the 

line of authority from the authorized state official who is signing the plan revision to the 

state Director of adult education.
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1.0 ELIGIBLE AGENCY CERTIFICATIONS AND ASSURANCES

[States must submit new, signed copies of these documents]

1.1 Certifications (EDGAR 76.104, Certifications and Assurances—a preprinted 

copy is included as Appendix A)

(1) The plan is submitted by the state agency that is eligible to submit the plan.

(2) The state agency has authority under state law to perform the functions of the 

state under the program.

(3) The state legally may carry out each provision of the plan.

(4) All provisions of the plan are consistent with state law.

(5) A state officer, specified by title in the certification, has authority under state 

law to receive, hold, and disburse federal funds made available under the plan.

(6) The state officer who submits the plan, specified by title in the certification, 

has authority to submit the plan.

(7) The agency that submits the plan has adopted or otherwise formally approved 

the plan.

(8) The plan is the basis for the state operation and administration of the program.

1.2 Assurances (Sec. 224 (b)(5), (6), and (8))

(1) An assurance that the eligible agency will award not less than one grant to an 

eligible provider who offers flexible schedules and necessary support services 

(such as child care and transportation) to enable individuals, including individuals 

with disabilities, or individuals with other special needs, to participate in adult 

education and literacy activities, which the eligible provider shall attempt to 

coordinate with support services that are not provided under this subtitle prior to 

using funds for adult education and literacy activities provided under this subtitle 

for support services.

(2) An assurance that the funds received under this subtitle will not be expended 

for any purpose other than for activities under this subtitle.

(3) An assurance that the eligible agency will expend the funds under this subtitle 

only in a manner consistent with fiscal requirements in Sec. 241.

1.3 Assurance for Unified Plans Only (Title V—General Provisions Sec. 

501(c)(3)(B))
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(1) An assurance that the methods included an opportunity for the entities 

responsible for planning or administering such programs and activities to review 

and comment on all portions of the unified plan.

2.0 NEEDS ASSESSMENT (SEC. 224(B)(1))

2.1 Individuals Most in Need

An objective assessment of individuals in the state or outlying area for adult education 

and literacy activities. The assessment must include individuals most in need or hardest 

to serve.

2.2 Populations

Information on populations must include: 

(1) Low-income adult learners who are educationally disadvantaged;

(2) Individuals with disabilities;

(3) Single parents and displaced homemakers;

(4) Individuals with multiple barriers to educational enhancement, including 

individuals with limited English proficiency; and,

(5) Criminal offenders in correctional institutions and other institutionalized 

individuals.

Other populations, such as homeless adults, or children who are eligible to participate in 

family literacy programs, may also be included in the descriptions.

The term “displaced homemaker” is defined by Sec. 101(10) of the Workforce 

Investment Act (WIA):

“(10) DISPLACED HOMEMAKER.—The term ‘displaced homemaker’ means 

an individual who has been providing unpaid services to family members in the 

home and who—

(A) has been dependent on the income of another family member but is no longer 

supported by that income; and,

(B) is unemployed or underemployed and is experiencing difficulty in obtaining 

or upgrading employment.”

FURTHER INFORMATION

Data should serve as a basis for enabling the agency to fund programs providing:
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(1) adult education and literacy services, including workplace literacy services;

(2) family literacy services; and

(3) English literacy programs.

Information may include data obtained from local programs, the U.S. Census Bureau, 

secondary analyses of data sources from other agencies, or a recent needs assessment.

If possible, it is recommended that the eligible agency conduct mutual assessments 

(either at the state or sub-state level) with its WIA and program partners or, at a 

minimum, create a planning process that promotes the sharing of needs assessment 

information. Sharing of assessment data can create the framework for coordinated and 

integrated services that are to be carried out through the one-stop delivery system 

established by WIA.

Also, because the state, under WIA Title I, may require assessment requirements to 

support local plans developed by the local workforce development boards, it is 

recommended that the eligible agency consider localizing its needs assessment. This 

local assessment information could prove valuable to local providers, as they contribute 

to the work of local workforce boards. See also Section 9.0 of this Guide.

3.0 DESCRIPTION OF ADULT EDUCATION AND LITERACY ACTIVITIES

(SEC. 224(B)(2))

3.1 Descriptions of Allowable Activities

[States must describe any new uses of funds]

Descriptions of required local activities must include one or more programs that provide 

services or instruction in one or more of the following categories:

(1) Adult education and literacy services, which may include workplace literacy

services (Sec. 203(18) defines these as “literacy services that are offered for the 

purpose of improving the productivity of the workforce through the improvement 

of literacy skills”);

(2) Family literacy services; and 

(3) English literacy programs (Sec. 231(b)).

The state plan should include as a minimum the scope, content, and organization of local 

activities including, if applicable, how the eligible agency incorporates the provision of 

employability skills.

3.2 Special Rule [Uses of Funds for Family Literacy]
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Each eligible agency awarding a grant or contract under Sec. 231 must not use any funds 

made available under this subtitle for adult education and literacy activities for the 

purpose of supporting or providing programs, services, or activities for individuals who 

are not individuals described in subparagraphs (A) and (B) of Sec. 203(1), except that 

such agency may use such funds for such purpose if such programs, services, or activities 

are related to family literacy services. In providing family literacy services under this 

subtitle, an eligible provider shall attempt to coordinate with programs and services that 

are not assisted under this subtitle prior to using funds for adult education and literacy

activities other than adult education activities (Sec. 231(d)). 

3.3. Descriptions of New Organizational Arrangements and Changes

[States must include a current organizational chart.]

Describe organizational changes at the state (include organizational chart) and local 

levels including: the one-stop delivery system, performance reporting for eligible 

providers, and state leadership activities.

4.0 ANNUAL EVALUATION OF ADULT EDUCATION AND LITERACY ACTIVITIES 

(SEC. 224(B)(3))

4.1 Annual Evaluations

Describe how the eligible agency will evaluate annually the effectiveness of the adult 

education and literacy activities, based on the performance measures in Sec. 212. 

Information should be provided that describes how other program reviews and 

evaluations of state-administered adult education programs, services, and activities under 

the Act will be conducted.

The Department strongly encourages states to evaluate the extent to which local programs 

employ scientifically based research in designing and implementing their programs, and 

to compare the outcomes achieved by programs implementing different instructional 

strategies to gain some insight into their relative effectiveness that may merit further 

exploration and research. States should use the information and insights gained from 

these evaluations to inform their planning and allocation of resources. If an instructional 

strategy appears to be promising based on the results of program evaluations, the state 

should consider investing resources in further investigating the effectiveness of the 

strategy or disseminating information about its initial findings to other local programs.

Evaluation activities may include self-evaluation of program activities; assessments of 

progress in achieving state goals for adult education; the extent to which adult education 

goals for workers, the homeless, and other special populations have been met; the extent 

to which state adult education technology needs have been met; follow-up studies of 

former participants at 6-month, 12-month, and 15-month intervals; reviews of the 
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effectiveness of teacher training; and, the use of evaluation results to determine 

achievement of levels of performance for each of the core indicators for the eligible 

agencies (see Sec. 5.0 of the Guide).

FURTHER INFORMATION

Describe measures, such as indicators of program quality that the state will utilize to 

ensure that program services and activities will take into account the findings of program 

reviews and evaluations.

5.0 PERFORMANCE MEASURES (SEC. 224(B)(4))

5.1 Eligible Agency Performance Measures (Sec. 212)

Describe a comprehensive performance accountability system, comprised of activities to 

assess the effectiveness of eligible agencies in achieving continuous improvement in 

adult education and literacy activities under this subtitle, to optimize the return on 

investment of federal funds in adult education and literacy activities.

The eligible agency performance measures shall at a minimum consist of the core 

indicators of performance described in Sec. 212(b)(2)(A):

(1) Demonstrated improvements in literacy skill levels in reading, writing, and 

speaking the English language, numeracy, problem- solving, English language 

acquisition, and other literacy skills.

(2) Placement in, retention in, or completion of, postsecondary education, 

training, unsubsidized employment, or career advancement.

(3) Receipt of a secondary school diploma or its recognized equivalent.

5.2 Optional - Additional Indicators

An eligible agency may identify additional indicators for adult education and literacy

activities authorized under this subtitle. Levels of performance shall be considered as the 

eligible agency adjusted levels of performance for purposes of the plan.

5.3 Levels of Performance

[States must submit proposed levels of performance]

Each eligible agency submitting a state plan revision shall establish levels of performance 

for adult education and literacy activities authorized under AEFLA. The levels of 

performance established in the revision shall at a minimum: 

(1) be expressed in an objective, quantifiable, and measurable form; 
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(2) show the progress of the eligible agency toward continuous improvement in 

performance; and,

(3) exceed the actual performance level for indicators measured in the prior year.

5.4 Factors (Sec. 212(b)(3)(A)(iv))

In preparing proposed levels of performance, the eligible agency shall take into account 

the following:

(1) How the levels compare with the eligible agency adjusted levels of 

performance established for other eligible agencies, taking into account factors 

including the characteristics of participants who enter the program, and the 

services or instruction to be provided; and,

(2) The extent to which such levels promote continuous improvement in 

performance on the performance measures by such eligible agency, to ensure 

optimal return on the investment of federal funds.

FURTHER INFORMATION

At a minimum, the eligible agency should identify and describe the process to be used to 

report on performance indicators common to the other programs in WIA. (If the 

employment and training system is not prepared to discuss this issue, the eligible agency

should insert a placeholder in the plan to be completed, once plans can be developed with 

the other program partners.)

The eligible agency should include a description, when appropriate, of the process and 

procedures the state will use to develop and submit an application to compete for an 

incentive award.

The eligible agency should include a description, when appropriate, of the performance 

information that local providers must report to one-stop centers to become and remain 

eligible to receive various funds under WIA Title I and describe the process used to 

identify and report performance information the one-stop center will make available to 

prospective clients.

6.0 PROCEDURES FOR FUNDING ELIGIBLE PROVIDERS (SEC. 224 (B)(7))

6.1 Applications

[States must address this section when revising a state plan]

An eligible agency must submit revisions to this section indicating if: (1) it plans to 

conduct a new competition in the timeframe covered by the state plan extension; (2) it 

plans to make new awards that are a result of a competition that was held during the 
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timeframe covered by the previous state plan extension; or, (3) it plans to extend 

subgrantees from the previous year. If an eligible agency intends to conduct a

competition during the timeframe covered by the state plan extension, it must describe 

how the eligible agency will fund local activities in accordance with the considerations 

contained in Sec. 231 (e). (See Sec. 224 (b)). Each eligible provider desiring a grant or 

contract under AEFLA shall submit an application to the eligible agency containing 

information and assurances as the agency may require, including:

(1) A description of how funds awarded under AEFLA will be spent; and,

(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. (Sec. 232).

6.2 Eligible Providers (Sec. 203 (5))

Eligible providers for a grant or contract are:

(1) A local educational agency;

(2) A community-based organization of demonstrated effectiveness;

(3) A volunteer literacy organization of demonstrated effectiveness;

(4) An institution of higher education;

(5) A public or private nonprofit agency;

(6) A library;

(7) A public housing authority;

(8) A nonprofit institution that is not described in (1) through (7) and has the 

ability to provide literacy services to adults and families; and,

(9) A consortium of the agencies, organizations, institutions, libraries, or 

authorities described in any of items (1) through (8) (Sec. 203(5))

Community-based organizations and non-profit institutions include non-profit faith-based 

organizations.

6.3 Notice of Availability

Describe the process to show that public notice was given of the availability of federal 

funds to eligible recipients. (See Sec. 10 for information on direct and equitable access.)

6.4 Process
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Describe the procedures for submitting applications to the state including approximate 

time frames for the notice and the receipt of applications.

6.5 Evaluation of Applications (Sec. 231(e))

In awarding grants or contracts under this section, describe how the eligible agency shall

consider:

(1) The degree to which the eligible provider will establish measurable goals;

(2) The past effectiveness of an eligible provider in improving the literacy skills 

of adults and families, and, after the one-year period beginning with the adoption 

of an eligible agency’s performance measures under Sec. 212 of AEFLA, the 

success of an eligible provider receiving funding under this subtitle in meeting or 

exceeding such performance measures, especially with respect to those adults 

with lower levels of literacy;

(3) The commitment of the eligible provider to serve individuals in the 

community who are most in need of literacy services, including individuals who 

are low-income or have minimal literacy skills;

(4) Whether or not the program is of sufficient intensity and duration for 

participants to achieve substantial learning gains and uses instructional practices, 

such as phonemic awareness, systematic phonics, fluency, and reading 

comprehension that research has proven to be effective in teaching individuals to 

read;

(5) Whether the activities are built on a strong foundation of research and

effective educational practice;

(6) Whether the activities effectively employ advances in technology, as 

appropriate, including the use of computers;

(7) Whether the activities provide learning in real life contexts to ensure that an 

individual has the skills needed to compete in the workplace and exercise the 

rights and responsibilities of citizenship;

(8) Whether the activities are staffed by well-trained instructors, counselors, and 

administrators;

(9) Whether the activities coordinate with other available resources in the 

community, such as establishing strong links with elementary schools and 

secondary schools, postsecondary educational institutions, one-stop centers, job 

training programs, and social service agencies;
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(10) Whether the activities offer flexible schedules and support services (such as 

child care and transportation) that are necessary to enable individuals, including 

individuals with disabilities or other special needs, to attend and complete 

programs;

(11) Whether the activities maintain a high-quality information management 

system that has the capacity to report participant outcomes and to monitor 

program performance against the eligible agency performance measures; and,

(12) Whether the local communities have a demonstrated need for additional 

English literacy programs (Sec. 231(e)).

6.6 Special Rule (Sec. 223(c))

Whenever a state or outlying area implements any rule or policy relating to the 

administration or operation of a program authorized under AEFLA that has the effect of 

imposing a requirement that is not imposed under federal law (including any rule or 

policy based on a state or outlying area interpretation of a federal statute, regulation, or 

guideline), the state or outlying area shall identify, to eligible providers, the rule or policy

as being state—or outlying area-imposed.

If a state agency plans to create any such rule or policy, the agency should send the 

Department a copy when the rule or policy is implemented.

FURTHER INFORMATION

If appropriate, the eligible agency should describe any guidance being developed jointly

with the state agency responsible for WIA Title I programs, regarding the scope and 

implementation of the required MOUs between local formal partners and the one-stop 

system. For example, what will be the eligible agency’s policy, if any, on the range of 

services and activities to be integrated at the local level; and, what types of financial 

arrangements will be allowable between local providers and the one-stop centers? See 

also Sec. 9.0.

If appropriate, the eligible agency should describe the process to be used to allocate state 

leadership funds to provide incentive awards to local providers for local coordination and 

integration with the one-stop system.

7.0 PUBLIC PARTICIPATION AND COMMENT (SEC. 224 (B)(9))

7.1 Description of Activities

Describe the procedures and outcomes that were conducted to meet the requirement for 

public participation and comment on the state plan. The eligible agency should include 
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specific information on how the various WIA agency and program partners were 

involved in developing the adult education state plan.

7.2 Governor’s Comments

[States must submit Governor’s comments with the state plan revision]

The eligible agency shall submit the state plan and any revisions of the state plan to the 

Governor of the state or outlying area for review and comment, and ensure that any

comments regarding the state plan are submitted to the Secretary (Sec. 224(d)). Please 

note that the Governor's comments, if any, must be submitted to us along with your state 

plan revisions.

FURTHER INFORMATION

This could include consultations with other appropriate agencies, groups, and individuals 

that are involved in, or interested in, the development and implementation of activities 

assisted under AEFLA. The Department encourages states to include contacts with faithbased organizations in these consultations. Activities that may be used by state agencies 

include: 

(1) Conducting a series of public meetings across a state;

(2) Conducting a series of interactive video conferences;

(3) Sending copies out to public locations, such as libraries, for comment;

(4) Requesting responses by Internet;

(5) Presenting local data and needs to area officials and stakeholders; 

(6) Sending copies of the draft plan to agency officials for comment; and,

(7) Establishing a listserv for dialogue.

Also, the eligible agency should ensure that current state requirements for developing a 

state plan revision are met.

The eligible agency should include specific information on how the various WIA agency

and program partners and others were involved in developing the adult education state 

plan.

8.0 DESCRIPTIONS OF PROGRAM STRATEGIES FOR POPULATIONS (SEC.

224(B)(10))

8.1 Strategies
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Data from needs assessments could assist the eligible agency in developing innovative 

approaches to serving various population cohorts, as a minimum. Include populations 

mentioned in Sec. 2.2 of the Guide.

Examples of existing strategies might include: a television series for students with limited 

English proficiency, such as Crossroads Café; expanding services to students in lowincome housing projects; or, initiating GED instruction on the Internet for single parents 

and displaced homemakers unable to easily leave home.

FURTHER INFORMATION

Data could also be obtained from some of the other related programs involved in the 

planning, development, or implementation of WIA.

9.0 INTEGRATION WITH OTHER ADULT EDUCATION AND TRAINING (SEC. 224

(B)(11))

9.1 Description of Planned Integrated Activities

A description of how the adult education and literacy activities that will be carried out 

with any funds received under AEFLA will be integrated with other adult education, 

career development, and employment and training activities in the state or outlying area 

served by the eligible agency (Sec. 224(b)(11)). For example, the eligible agency may

wish to describe how adult education activities will be made available through the onestop delivery system established by WIA.

9.2 State Unified Plan

Sec. 501 of WIA permits a state to submit its plan for adult education and literacy as part 

of a state unified plan. See Sec. 501 for details on how the adult education plan could 

relate to the state plan for the following programs under a unified plan:

(1) Career and technical education programs at the secondary level authorized 

under the Carl D. Perkins Career and Technical Education Act of 2006 (20 U.S.C. 

2301 et seq.);

(2) Career and technical education programs at the postsecondary level authorized 

under the Carl D. Perkins Career and Technical Education Act of 2006 (20 U.S.C. 

2301 et seq.);

(3) Activities authorized under WIA Title I;

(4) Programs authorized under Section 6(d) of the Food Stamp Act of 1977 (7 

U.S.C. 2015(d));
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(5) Work programs authorized under Section 6(o) of the Food Stamp Act of 1977 

(7 U.S.C. 2015(o));

(6) Activities authorized under Chapter 2 of Title II of the Trade Act of 1974 (19 

U.S.C. 2271 et seq.);

(7) Programs authorized under the Wagner-Peyser Act (29 U.S.C. 49 et seq.);

(8) Programs authorized under Title I of the Rehabilitation Act of 1973 (29 U.S.C. 

720 et seq.), other than Sec. 112 of such Act (29 U.S.C. 732);

(9) Activities authorized under Chapter 41 of Title 38, United States Code;

(10) Programs authorized under state unemployment compensation laws (in 

accordance with applicable Federal law); 

(11) Programs authorized under Part A of Title IV of the Social Security Act (42 

U.S.C. 601 et seq.);

(12) Programs authorized under Title V of the Older Americans Act of 1965 (42 

U.S.C. 3056 et seq.);

(13) Training activities carried out by the Department of Housing and Urban 

Development; and,

(14) Programs authorized under the Community Services Block Grant Act (42 

U.S.C. 9901 et seq.).

If your state will be submitting a unified plan, describe the activities that will be 

coordinated within your state.

10.0 DESCRIPTION OF THE STEPS TO ENSURE DIRECT AND EQUITABLE ACCESS 

(SEC. 224(B)(12))

10.1 Description of Steps

Describe the steps the eligible agency will take to ensure direct and equitable access, as 

required in Sec. 231(c).

10.2 Notice of Availability

Describe how the state agency receiving funds under this subtitle shall ensure that—

(1) all eligible providers have direct and equitable access to apply for grants or 

contracts under this section; and,
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(2) the same grant or contract announcement process and application process is 

used for all eligible providers in the state or outlying area. (Sec. 231(c)).

FURTHER INFORMATION

Describe how eligible entities will apply for: Sec. 231—local activities, Sec. 223—state 

leadership, and Sec. 225—corrections education and other institutionalized individuals. 

Include the process the agency will use to ensure public notice will be given concerning 

the availability of federal and state funds to eligible recipients throughout the state.

11.0 PROGRAMS FOR CORRECTIONS EDUCATION AND OTHER INSTITUTIONALIZED 

INDIVIDUALS (SEC. 225)

11.1 Types of Programs

From funds made available under Sec. 222(a)(1) for a fiscal year, describe how the 

eligible agency shall carry out corrections education or education for other 

institutionalized individuals, including academic programs. Funds shall be used for the 

cost of educational programs for criminal offenders in correctional institutions, and for 

other institutionalized individuals, including academic programs for: 

(1) Basic education;

(2) Special education programs as determined by the eligible agency;

(3) English literacy programs; and,

(4) Secondary school credit programs.

11.2 Priority

Each eligible agency that is using assistance programs under this section to carry out a 

program for criminal offenders in a correctional institution shall give priority to serving 

individuals who are likely to leave the correctional institution within five years of 

participation in the program.

11.3 Types of Institutional Settings

Correctional institution means any

(1) Prison;

(2) Jail; 

(3) Reformatory;

(4) Work farm;
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(5) Detention center; or,

(6) Halfway house, community-based rehabilitation center, or other similar 

institution designed for the confinement or rehabilitation of criminal offenders.

FURTHER INFORMATION

Describe the policies, procedures, and activities for carrying out corrections education or 

education for other institutionalized individuals. 

Note: The eligible agency may not spend more than the 10 percent of the 82.5 percent of 

the state grant that must be allotted to local programs for Sec. 225 activities.

12.0 STATE LEADERSHIP ACTIVITIES (SEC. 223(A), (B))

12.1 Description of Activities

Describe how the eligible agency shall use funds made available under Sec. 

222(a)(2) for one or more of the following adult education and literacy activities:

(1) The establishment or operation of professional development programs to 

improve the quality of instruction provided pursuant to local activities required 

under Sec. 231(b) including instruction incorporating phonemic awareness, 

systematic phonics, fluency, and reading comprehension, and instruction provided 

by volunteers or by personnel of a state or outlying area.

(2) The provision of technical assistance to eligible providers of adult education 

and literacy activities.

(3) The provision of technical assistance, including staff training, to eligible 

providers of adult education and literacy activities to enable the eligible providers 

to improve the quality of such activities.

(4) The support of state or regional networks of literacy centers.

(5) The monitoring and evaluation of the quality of, and the improvement in, adult 

education and literacy activities.

(6) Incentives for program coordination and integration and performance awards.

(7) Developing and disseminating curricula, including curricula incorporating 

phonemic awareness, systematic phonics, fluency, and reading comprehension.

(8) Other activities of statewide significance that promote the purpose of this title.

(9) Coordination with existing support services, such as transportation, child care, 

and other assistance designed to increase rates of enrollment in, and successful 
20

completion of, adult education and literacy activities, to adults enrolled in such 

activities.

(10) Integration of literacy instruction and occupational skill training, and 

promoting linkages with employers.

(11) Linkages with postsecondary educational institutions.

12.2 Description of Joint Planning and Coordination for Unified Plan Only

(Title V—General Provisions, Sec. 501(c)(3)(A))

Information should contain a description of the methods used for joint planning and 

coordination of the programs and activities included in the unified plan.

12.3 Description of Activities under Section 427 of the General Education 

Provisions Act (GEPA).

This section must include information describing the steps the applicant proposes to take 

to ensure equitable access to, and participation in, its federally assisted program for 

students, teachers, and other beneficiaries with special needs. Information should 

describe the steps such applicant proposes to take to ensure equitable access to, and 

equitable participation in, the project or activity to be conducted with such assistance by 

addressing the special needs of students, teachers, and other program beneficiaries in 

order to overcome barriers to equitable participation, including barriers based on gender, 

race, color, national origin, disability, and age. As a minimum, two matters must be 

addressed: (1) Actions the eligible agency will take under Sec. 223—State Leadership 

Activities, and (2) Actions applicable under Sec. 231—Grants and Contracts for Eligible 

Providers.

One-Stop Participation (Title I, Sec. 121(b)(1) and 20 CFR 662.220(b)(1))

The Department wishes to emphasize that the responsibilities established by Title I of 

WIA are not secondary or subsidiary to the responsibilities and requirements established 

by AEFLA.

The requirements of both Title I of WIA and AEFLA must be satisfied. Eligible agencies 

must design their programs and plan for the use of funds in a manner that will enable 

them to satisfy both sets of requirements. Sec. 121(b)(1) of WIA and 20 CFR Sec. 

662.200 and 20 CFR Sec. 662.220 identify mandatory one-stop partner programs that 

have certain responsibilities with respect to the one-stop partner delivery system in each 

local workforce investment area designated under Sec. 116 of WIA. For programs under 

AEFLA, the entity responsible for fulfilling the One-Stop participation requirements is 

the state eligible agency. The eligible agency may designate one or more eligible 
21

providers in each local area to fulfill all or part of these responsibilities (20 CFR 

662.220(b)(1)).

The participation of the eligible agency in the one-stop delivery system (including the 

expenditure of Sec. 231 funds related to that participation) must be consistent with the 

provisions of AEFLA (Secs. 121(b)(1)(A)(ii), 134(d)(1)(b) of WIA). Include a 

description of the applicable provisions for AEFLA in one-stop delivery systems in the 

state plan. See Program Memorandum OVAE 99-14 for additional information. 

According to the Paperwork Reduction Act of 1995, no persons are required to respond 

to a collection of information unless such collection displays a valid OMB control 

number. Public reporting burden for this collection of information is estimated to 

average 45 hours per response, including time for reviewing instructions, searching 

existing data sources, gathering and maintaining the data needed, and completing and 

reviewing the collection of information. The obligation to respond to this collection is to 

obtain or retain a benefit, as required by Section 224 of Public Law 105-220, from the 

Workforce Investment Act of 1998. Send comments regarding the burden estimate or any 

other aspect of this collection of information, including suggestions for reducing this 

burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, D.C.

20210-4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 

1830-0026. Note: Please do not return the completed State Plan Revision to this address.
22

APPENDIX A

AEFLA Eligible Agency Certifications and Assurances (form version – Sec. 1 of this 

Guide)
23

APPENDIX B

Other Grant Forms

SF 424 Form – Application Form for Federal Assistance (Core Form)

SF424B - Assurances – Non-Construction Programs

Grants.gov - Certification Regarding Lobbying

SF LLL Form – Disclosure of Lobbying Activities (required, only if applicable)