## G **UIDE FOR THE** 

## D **EVELOPMENT OF A**  

## S **TATE** 

## P **LAN**
**UNDER THE** 

## A**DULT** 

## E **DUCATION AND** 

## F **AMILY** 

## L **ITERACY** 

## A **CT** 

## (T **ITLE** 

## II **OF THE** 

## W **ORKFORCE** 

## I **NVESTMENT** 

## A **CT 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

- 72402



## T **ABLE OF** 

## C **ONTENTS** Introduc tion

................................ ................................ ................................ ......................... 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 Descriptio n 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 L iteracy]

................................ ....... 8 3.3. Descriptions of New Organizational Arrangements and Changes

............... 9 4.0 Annual Evaluation of Adult Education and Li teracy A ctivities (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

- A dditional 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 o f Applications (Sec. 231(e))

................................ .................... 133 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 In stitutionalized In dividuals (Sec. 225)

................................ ................................ ................................ .................. 18 11.1 Ty

pes of Programs

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

................................ ................................ ................................ ..... 18 11.3 Ty

pes of Institutional Settings

................................ ................................ . 18 12.0 State L eadership Activities (Sec. 223(a), (b))

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

................................ ................................ ......... 19 Describe how the eligible agency s hall 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 Onl y (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

................................ ................................ ................................ ................... 234



## I **NTRODUCTION** 

### R**EVISING A** 

### S **TATE** 

### P **LAN** Each elig ible 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 ye ar. 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 L iteracy Act (AEFLA), Title II of the Workforce Investment Act of 1998 or federal regulations. Submissions currentl y required need be only pertinent revisio ns, 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 wo uld 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. 

### T **RANSMITTAL** Revisions to the five

- ye ar state plan must be submitted to the Department of Education by April 1, [year]

. Please submit revisions electronicall y. Revisions may be transmitted in a PC

- compatible format (Microsoft Word or ASCII) b y electronic mail to the Area Coordinator for your region. A signed cop y 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. 

### F **ORMAT OF THE** 

### P **LAN** 

### R**EVISION** 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 p rocedures 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 revisions5

have been clearl y 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 Direc tor of adult education.6

**1.0 E**  **LIGIBLE A**  **GENCY C**  **ERTIFICATIONS AND A**  **SSURANCES [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 legall y may carry out each provision of the plan. (4) All provision s 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 A ssurances (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 in dividuals, 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 Onl y (Title V

— General Provisions Sec. 501(c)(3)(B))7 ( 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 N**  **EEDS A**  **SSESSMENT (**  **S EC**  **. 224(**  **B )(1))**  2.1 In dividuals Mo st 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 In formation 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 “displace d homemaker” is defined by Sec. 101(10) of the Workforce Investment Act (WIA) : “(10) DI SPLACED 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 unemplo yed or underemplo yed and is experiencing difficulty in obtaining or upgrading emplo ym ent.” **F URTHER**  **I NFOR** **MATION** Data should serve as a basis for enabling the agency to fund programs providing:8

(1) adult education and literacy services, including workplace literacy services; (2) family

literacy services; and (3) English literacy

programs. In formation may include data obtained from local programs, the U.S. Census Bureau , secondary anal ys es 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 lev el) 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 sy stem 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 ag ency 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 D**  **ESCRIPTION OF A**  **DULT E**  **DUCATION AND L**  **ITERACY A**  **CTIVITIES (S**  **EC .**  **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 th e following categories: (1) Adult education and literacy services, which may

include wo rkplace 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 Famil y Literacy ]9

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 su bparagraphs (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 s ys tem, performance reporting for eligible providers, and state leadership activities. **4.0 A**  **NNUAL E**  **VALUATION OF A**  **DULT E**  **DUCATIO N AND**  **L ITERACY**  **A CTIVI**  **TIES (S**  **EC .**  **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. In formation 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 scienti fically

based research in designing and implementing their programs , and to compare the outcomes achieved b y 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 s hould 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 the10

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). **F URTHER**  **I NFORMATION**  Describe measures, such a s 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 an d evaluations. **5.0 P**  **ERFORMANCE M**  **EASURES (S**  **EC .**  **224( B**  **)(4))** 5.1 Eligible Ag encyPerformance Measures (Sec. 212) Describe a comprehensive performance accountability s ys tem, 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 inves tment 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 lev els 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 employ ment, o r 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 subti tle. L evels 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 revis ion 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;11 (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 perform ance, 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 partic ipants 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 b y such eligible agenc y , to ensure optimal return on the investment of federal funds. **F URTHER**  **I NFORMATION**  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 employ ment and training sy stem is not prepare d 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 proce dures 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 beco me 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 P**  **ROCEDURES FOR F**  **UNDING E**  **LIGI BLE**  **P ROVIDERS**  **( S**  **EC .**  **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 b y the state plan extension; (2) it plans to make new awards that are a result of a competition that was held during the12

timeframe covered b y 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 b y the state plan extension, it must describe ho w 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 des cribed 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 item s (1) through (8) ( Sec. 203 (5) ) Communi ty
- based organizations and non

-profit institutions include non

-profit faith

- based organizations. 6.3 Notice of Availabilit y 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 Process13

Describe the procedures for submitting applications to the state including approximate time frames for the notice and the receipt of applications. 6.5 Evalu ation 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 - ye ar period beginning with the adoption of an eligible agency ’s performance measures under Sec. 212 of AEFLA, the success of an e ligible provider receiving funding under this subtitle in meeting or exceeding such performance measures, especiall y with respect to those adults with lower levels of literacy ; (3) The commitment of the eligible provider to serve individuals in the communi ty

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 effectivel y emplo y 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 b y well

- trained instructors, counselors, and administrators; (9) Whether the activities coordinate with other availa ble 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;14 (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 sy stem 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 s tate or outlyingarea 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 o r policy as being s tate

—or outl yi ng area - imposed. If a state agency

plans to create any

such rule or policy , the agency should send the Department a cop y when the rule or policy is implemented. **F URTHER**  **I NFORMATION**  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 sy stem. For example, what will be the eli gible 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, th e 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 sy stem. **7.0 P**  **UBLIC P**  **ARTICIPATION AND C**  **OMMENT (**  **S EC**  **. 224**  **( B**  **)(9 ))**  7.1 Description of Activities D escribe the procedures and outcomes that were conducted to meet the requirement for public participation and comment on the s tate plan . The eligible agency should include15

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 el igible agency

shall submit the s tate plan and any revisions of the s tate 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 s ubmitted to us along with your s tate plan revisions. **F URTHER**  **I NFORMATION**  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 s tates to include contacts w ith faith

based 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 pu blic 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) Establi shing a lis tserv 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 D**  **ESCRIPTIONS OF P**  **ROGRAM S**  **TRATEGIES FOR P**  **OPULATIONS (**  **S EC**  **. 224(**  **B )(10))**  8.1 Strategies16

Data from needs assessments could assist the eligible agency in developing innovative approaches to serving vari ous population cohorts , as a minimum. In clude 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 low

income housing projects; or, initiating GED instruction on the Internet for single parents and displaced homemakers unable to easil y leave home. **F URTHER**  **I NFORMATION**  Data could also be obtained from some of the other related programs involve d in the planning, development, or implementation of WIA. **9.0 I**  **NTEGRATION WITH O**  **THER A**  **DULT E**  **DUCATION AND T**  **RAINING** 

### (S **EC** 

### . **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 employ ment and training activities in the state or outlying area served b y the eligible agency ( Sec. 224 (b)(11)). For example, the e ligible agency may wish to describe how adult education activities will be made available through the one

stop delivery

s ys tem 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 educ ation 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));17 (5) Work programs authorized under Section 6(o) of the Food Stamp Act of 1977 (7 U.S.C. 2015(o)); (6) Activitie s 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

- Pey ser 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 unemplo ym ent 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 b y the Department of Hou sing 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 D**  **ESCR IPTION OF THE**  **S TEPS TO**  **E NS**  **URE D**  **IRECT AND E**  **QUITABLE A**  **CCESS (**  **S EC**  **. 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 Availabilit y Describe h ow 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 ,18 (2) the same grant or contract announcement process and application process is used for all eligible providers in the state or outl yi ng area. ( Sec. 231 (c ) )

. **F URTHER**  **I NFORMATION**  Describe how eligible entities will apply for: Sec. 231

—local activities, Sec. 223

— state leadership, and Sec. 225

—corrections education and other institutionalized individuals. In clude 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 P**  **ROGRAMS FOR C**  **ORRECTIONS E**  **DUCATION AND OTHER I**  **NSTITUTIONALIZ ED**  **I NDIVIDUALS**  **( S**  **EC .**  **225)** 11.1 Types of Programs From funds made available under Sec. 222(a)(1) for a fiscal ye ar, 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 b y the eligible agency; (3) English literacy

programs; and , (4) Secondary

school credit programs. 11.2 Priorit y 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 o f participation in the program. 1 1.3 Types of Institutional Settings Correctional institution means any (1) Prison; (2) Jail; (3) Reformatory ; (4) Work farm;19 (5) Detention center; or , (6) Halfway

house, community

- based rehabilitation center, or other similar institution designed for the confinement or rehabilitation of criminal offenders. **F URTHER**  **I NFORMATION**  Describe the policies, procedures, and activities for carrying out corrections education or education for other institutionalized individuals. Note: The eligible agency may not spen d 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 S**  **TATE L**  **EADERSHIP A**  **CTIVITIES (**  **S EC**  **. 223**  **( A**  **), (**  **B ))**  12.1 Description of Activities Describe how the eligible agencyshall use funds made available under Sec. 222(a)(2) for one or more of the following adult education and literacyactivities: (1) The establishment or operation of professional development programs to improve the quality

of instruction prov ided pursuant to local activities required under Sec. 231(b) including instruction incorporating phonemic awareness, sy stematic phonics, fluency , and reading comprehension, and instruction provided by volunteers or by

personnel of a state or outl ying 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, s ys tematic phonics, fluency , and reading comprehension. (8) Other activities of statew ide 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 successful20 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 Jo int Planning and Coordination for Unified Plan Only (Title V

— General Provisions, Sec. 501(c)(3)(A) ) In formation 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 federall y 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 conduct ed with such assistance b y 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 i dentify mandatory o ne - s top partner programs that have certain responsibilities with respect to the o ne - s top partner delivery s ystem 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 s tate eligible agency . The eligible agency may designate one or more eligible21

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 o ne - s top delivery

s ys tem (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 o ne - s top delivery s ystems 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., S W, Washington, D

. C

. 20210

- 4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1830

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



## APPENDIX **A** AEFLA Eligible Agenc y 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

- C onstruction Programs Grants.gov

- Certification Regarding Lobbying SF LLL Form

– Disclosure of Lobb ying Activities (required, onl y if applicable)