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 # 1830-0026

Expires: 6/30/2014

U.S. Department of Education

Office of Vocational and Adult Education

Division of Adult Education and Literacy

Washington, D.C. 20202-7240
2

Contents

1.0 Eligible Agency Certifications and Assurances

1.1 Certifications.

1.2 Assurances

1.3 Assurances for the Unified Plan Only

2.0 Needs Assessment

2.1 Individuals Most in Need

2.2 Populations

3.0 Description of Adult Education and Literacy Activities

3.1 Description of Allowable Activities

3.2 Special Rule [Uses of Funds for Family Literacy]

3.3 Description of New Organizational Arrangements and Changes

4.0 Annual Evaluation of Adult Education and Literacy Activities

4.1 Annual Evaluations

5.0 Performance Measures

5.1 Eligible Agency Performance Measures

5.2 Optional - Additional Indicators 

5.3 Levels of Performance for First Three Years

5.4 Factors

6.0 Procedures for Funding Eligible Providers

6.1 Applications

6.2 Eligible Providers

6.3 Notice of Availability

6.4 Process

6.5 Evaluation of Applications

6.6 Special Rule

7.0 Public Participation and Comment

7.1 Description of Activities

7.2 Governor’s Comments

8.0 Descriptions of Program Strategies for Populations

8.1 Strategies

9.0 Integration with other Adult Education and Training Activities

9.1 Description of Planned Integrated Activities

9.2 State Unified Plan
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10.0 Description of Steps to Ensure Direct and 

Equitable Access

10.1 Description of Steps

10.2 Notice of Availability

11.0 Programs for Corrections 

Education and other Institutionalized Individuals

11.1 Types of Programs

11.2 Priority

11.3 Types of Institutional Settings

12.0 Description of Proposed State Leadership Activities

12.1 Description of Activities

12.2 Collaboration with Other Related Agencies and Programs

12.3 Descriptions of Activities under Sec. 427 of the General Education 

Provisions Act (GEPA)

12.4 One-Stop Participation

Appendix A. Eligible Agency Certifications and Assurances

Appendix B. Other Grant Forms
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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 2012-

2013, 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, 2012.

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 2012-2013, 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, 2012.

Electronic Submission: We strongly encourage eligible agencies to submit 

revisions electronically to expedite their review and approval. Revisions 

may be transmitted in a PC-compatible format (Microsoft Word or ASCII) 

by electronic mail to Monitoring and Administration Team at 

catherine.means@ed.gov or by OVERNIGHT delivery of a disk to the 

address below. 

Submission by OVERNIGHT Delivery Service of Assurances and 

Certifications: If you choose to submit your revisions electronically, you 
5

must, in addition, send to us one signed original and two copies of the 

assurances and certifications. These required assurances and certifications 

are found in Appendix A. Sending mail to the mailroom other than by 

overnight or express services can delay receipt and review of revisions due 

to mail security requirements. You may also choose to submit a hard copy 

of your complete revisions by overnight delivery, including the signed 

assurances and certifications, but we encourage you to submit your revisions 

electronically to us.

Our delivery address is:

Cheryl L. Keenan, Director

Office of Vocational and Adult Education

Division of Adult Education and Literacy

400 Maryland Avenue SW, Room 11159 PCP

Washington, DC 20202-7240

Phone: 202-245-7700

Through delegated authority, the Assistant Secretary for Vocational 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. States may send OVAE either only 

the revised sections or the entire plan in which revisions have been clearly 

marked, for example 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.
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1.3 Assurance for Unified Plans Only (Title V—General Provisions 

Sec.501(c)(3)(B))

(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))

[States are not required to revise this section]

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; 

(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 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.”
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Further Information

Data should serve as a basis for enabling the agency to fund programs 

providing: 

(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))

[States are only required to include a current organizational chart. 

See 3.3]

3.1 Descriptions of Allowable Activities

Descriptions of required local activities must include one or more programs 

that provide services or instruction in one or more of the following 

categories:
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(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. 

3.2 Special Rule [Uses of Funds for Family Literacy]

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

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))

[States are not required to revise this section]

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, must be included. Information should be provided 

that describes how other program reviews and evaluations of state-
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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 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)) 

 [Required for revisions]

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. 
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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, problemsolving, 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 

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; 

(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 
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(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)) 

[Required for Revisions]

6.1 Applications

States must submit revisions to this section indicating whether they plan to 

extend current grants or conduct a one-year competition. If the one-year 

competition is selected, states 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)
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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 nonprofit 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

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 state 

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 1-year period 

beginning with the adoption of an eligible agency’s performance 
14

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;

(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 
15

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)) 

[States are only required to revise 7.2. regarding the Governor’s 

comments]

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 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 [Required for revisions]

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 
16

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 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 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))

[States are not required to revise this section]

8.1 Strategies

Data from needs assessments could assist the 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 low-income housing projects; or, initiating GED 
17

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))

[States are not required to revise this section]

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 one-stop 

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));

(5) Work programs authorized under Section 6(o) of the Food Stamp 

Act of 1977 (7 U.S.C. 2015(o));
18

(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))

[States are not required to revise this section]

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 
19

(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)

[States are not required to revise this section]

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. 
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11.3 Types of Institutional Settings

Correctional institution means any

(1) Prison;

(2) Jail; 

(3) Reformatory;

(4) Work farm;

(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))

[States are not required to revise this section]

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.
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(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 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 
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Sec. 223—State Leadership Activities, and (2) Actions applicable under Sec. 

231—Grants and Contracts for Eligible Providers.

12.4 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 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, 

DC 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.
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APPENDIX A

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

Guide)
24

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)