Adult Education and Family Literacy Act: Major Statutory Provisions
Released: 2014-11-17T00:00:00

Background

Under the authorization of the Adult Education and Family Literacy Act (AEFLA), the federal government makes grants to states to support services to improve literacy and other basic skills among adults who are not enrolled in school. Commonly called "adult education," the activities funded by AEFLA provide educational services to adults at the secondary level and below, as well as English language training.

AEFLA-supported adult education services are typically provided by local entities. Students include those seeking to develop basic skills, those seeking to obtain a secondary credential, and English language learners of various educational backgrounds. Curricula and other programmatic details vary based on local student needs and objectives. AEFLA programs are administered at the federal level by the U.S. Department of Education (ED) through its Office of Vocational and Adult Education (OVAE).

Legislative History and 2014 Reauthorization

AEFLA was originally enacted as Title II of the Workforce Investment Act of 1998 (WIA, P.L. 105-220 ). AEFLA authorized such sums as necessary to carry out its functions from FY1999 through FY20003. The General Education Provisions Act (GEPA) automatically extended AEFLA authorization through FY2004. After this extension expired, the programs authorized by the act continued to be funded through the annual appropriations process.

In July 2014, AEFLA was reauthorized as Title II of the Workforce Innovation and Opportunity Act of 2014 (WIOA, P.L. 113-128 ). WIOA authorizes appropriations through FY2020. The AEFLA provisions of WIOA are scheduled to be incrementally implemented over the next several years. This means that, as of this writing, both the federal government and states are operating their adult education programs under the WIA provisions of AEFLA while preparing to implement the WIOA provisions. This report will focus on the WIOA provisions of AEFLA, though it will discuss prior WIA provisions as necessary.

Note on terminology : Both WIA and WIOA authorized a group of workforce programs. In each law, Title II was called the Adult Education and Family Literacy Act. This report will refer to the prior adult education law as "the AEFLA provisions of WIA" and the 2014 provisions as "the AEFLA provisions of WIOA."

Major Changes to AEFLA in WIOA

The AEFLA provisions of WIOA maintained the general program structure established by the AEFLA provisions of WIA in 1998: the large majority of funding under the act is granted to state agencies that are required to subgrant the bulk of their federal funds to local agencies that provide the actual services. Smaller portions of the funds support activities of statewide and national significance.

WIOA amended AEFLA to increase emphasis on transitions from adult education programs to employment and postsecondary education. As part of this increased emphasis, WIOA requires states to develop a unified state plan that coordinates and aligns the group of core WIOA-authorized workforce programs, including adult education. Previously, states developed a dedicated adult education plan. WIOA also aligns workforce programs by establishing a set of common performance indicators across the core WIOA programs that emphasizes employment outcomes and the attainment of credentials. Under prior law, adult education programs had their own set of indicators.

WIOA authorizes AEFLA appropriations from FY2015 through FY2020. Nominal authorization levels increase each year. The authorization level for FY2015 is $577,667,000. Between FY2015 and FY2016, the authorization level increases 7.7%. Between FY2016 and FY2020, annual increases in authorization levels are between 2.1% and 2.4%. In FY2020, the authorization level is $678,640,000. Exact authorization levels for each year are in the "Authorization Level" row of Table 1 .

Purpose of AEFLA and Definition of Adult Education

Under the WIOA provisions, Section 202 of AEFLA specifies that the purpose of the legislation is to create a partnership between the federal government, states, and localities to provide services to

(1) assist adults to become literate and obtain the knowledge and skills necessary for employment and economic self-sufficiency;

(2) assist adults who are parents or family members to obtain the education and skills that-

(A) are necessary to becoming full partners in the educational development of their children; and

(B) lead to sustainable improvements in the economic opportunities for their family;

(3) assist adults in attaining a secondary school diploma and in the transition to postsecondary education and training, including through career pathways; and

(4) assist immigrants and other individuals who are English language learners in-

(A) improving their-

(i) reading, writing, speaking, and comprehension skills in English; and

(ii) mathematics skills; and

(B) acquiring an understanding of the American system of Government, individual freedom, and the responsibilities of citizenship.

These provisions in WIOA represent an expansion of the purpose specified in the WIA version of AEFLA. Paragraph (3) expands the program purpose to include transition to postsecondary education and training. Paragraph (4) is a new provision in WIOA and has no direct counterpart in prior law.

WIOA also amended the definition of "adult education" in statute to reflect an increased emphasis on the relationship between AEFLA-funded services and subsequent transitions to postsecondary education and employment. Under WIOA, adult education is defined as:

[A]cademic instruction and education services below the postsecondary level that increase an individual's ability to—

(A) read, write, and speak in English and perform mathematics or other activities necessary for the attainment of a secondary school diploma or its recognized equivalent;

(B) transition to postsecondary education and training; and

(C) obtain employment.

Under WIA, the definition of adult education did not include employment or postsecondary education, though other provisions of the bill did mention these outcomes.

Statutory Division of AEFLA Appropriations

Under the AEFLA provisions of WIOA, Sections 211 and 221 reserve or limit funds for specific purposes or activities. The collective effects of these provisions, as specified in statute, are summarized below.

Total Appropriation

Reservation for National Leadership Activities (2% of total appropriation) Unreserved funds (98% of total appropriation) English Literacy and Civics Education State Grants (12% of unreserved funds) Adult education state grant funds (88% of unreserved funds) Subgrants to local providers (at least 82.5% of adult education state grant funds) State leadership activities (up to 12.5% of adult education state grant funds) Administrative costs (up to 5% of adult education state grant)

As noted in Table 1 , the AEFLA provisions of WIOA repealed two reservations that were enacted in the AEFLA provisions of WIA. Under the AEFLA provisions of both WIA and WIOA, statute specifies that the state grant funds that are allotted to the states are the funds that remain after the statutory reservations. As such, the repeals of two "off-the-top" reservations have the practical effect of increasing the portion of the AEFLA appropriation that is allotted to the states.

State Formula Grants

Under the AEFLA provisions of WIOA, the 98% of the annual AEFLA appropriation that is not reserved for National Leadership Activities is granted to the states via two formula grants. Of the formula grant funds, 12% are reserved for English Literacy and Civics Education State Grants (EL-Civics) and allotted to the states via formula. (See the " English Literacy and Civics Education State Grants " section later in this report.) The remaining 88% of the unreserved funds is allocated to adult education state grants and allotted to the states using a second formula.

Allotment of Adult Education State Grant Funds

The AEFLA provisions of WIOA specify a two-step process by which state grant funds are distributed. First, there is an initial allotment of $250,000 to each state and $100,000 to each eligible outlying area. The second step of the allotment process distributes the remainder of the funding by formula, which is based on each state's share of qualifying adults. Qualifying adults are individuals who

are at least 16 years of age, are beyond the age of compulsory school attendance in their state, do not have a secondary school diploma or its recognized equivalent, and are not enrolled in secondary school.

States must match their grants so that 25% of the state's total adult education resources are from non-federal sources. Non-federal matches may be cash or in-kind. In outlying areas, the non-federal share must be at least 12%.

AEFLA's hold harmless provisions specify that states and outlying areas shall receive grants equal to at least 90% of the grant they received in the previous fiscal year. AEFLA's maintenance of effort provisions require each state and outlying area to expend at least 90% of what it spent in the prior year on adult education activities.

WIOA did not change the factors, weights, or hold harmless provisions from the formula in the AEFLA provisions of WIA.

State Agency Allocations of Adult Education State Grants

Statute specifies that states may allocate up to 12.5% of their grants for state leadership activities and up to 5% for administrative expenses. At least 82.5% of their grants must be subgranted to local providers of adult education services.

State Leadership Activities

States may allocate up to 12.5% of their grants to state leadership activities (activities of statewide significance). The AEFLA provisions of WIOA specify four required state leadership activities:

The alignment of adult education activities with other WIOA core programs and One-Stop partners to implement strategies identified in the unified state plan. (See " Unified State Plans " section later in this report.) The establishment or operation of professional development programs to improve instruction by local providers and dissemination of information and promising practices related to such programs. Technical assistance to local service providers, including the development and dissemination of instructional and programmatic practices, information on the role of adult education providers as partners in the workforce system, and assistance in the use of technology. The monitoring and evaluation of adult education activities and dissemination of models and proven or promising practices within the state.

In addition to the required state leadership activities, AEFLA lists a number of allowable statewide activities related to program development, alignment with other programs, and "other activities of statewide significance that promote the purpose of this title."

Subgrants to Eligible Providers

At least 82.5% of a state's formula grant must be subgranted to local providers through a competitive grant process. States must provide "direct and equitable access" to all eligible providers. When selecting subgrantees, states must consider a group of 13 factors detailed in law. Many of these considerations relate to a provider's ability to serve high-need populations, deliver high-quality services, and coordinate with other programs and services.

AEFLA defines an eligible provider as "an organization that has demonstrated effectiveness in providing adult education and literacy activities[.]" Eligible providers may include

a local educational agency; a community-based organization or faith-based organization; a volunteer literacy organization; an institution of higher education; a public or private nonprofit agency; a library; a public housing authority; and a nonprofit institution that has the ability to provide adult education and literacy activities to eligible individuals.

A consortium or coalition of entities in the above list is also considered to be an eligible provider, as is a partnership between an employer and an entity in the above list.

Local subgrantees are required to establish or operate programs that provide adult education and literacy activities. AEFLA defines these activities as

[P]rograms, activities, and services that include adult education, literacy, workplace adult education and literacy activities, family literacy activities, English language acquisition activities, integrated English literacy and civics education, workforce preparation activities, or integrated education and training.

Section 225 of WIOA specifies that each state will subgrant funds to support educational activities for individuals in correctional institutions and for other institutionalized individuals. Statute does not specify a minimum funding level and no more than 20% of subgrants to local providers may support these activities.

English Literacy and Civics Education State Grants

Under WIOA, 12% of AEFLA formula grant funds are reserved for "Integrated English Literacy and Civics Education" (EL-Civics State Grants). The AEFLA provisions of WIOA define EL-Civics activities as

[S]ervices provided to English language learners who are adults, including professionals with degrees and credentials in their native countries, that enables such adults to achieve competency in the English language and acquire the basic and more advanced skills needed to function effectively as parents, workers, and citizens in the United States. Such services shall include instruction in literacy and English language acquisition and instruction on the rights and responsibilities of citizenship and civic participation, and may include workforce training.

EL-Civics grant funds are allotted to the states by formula on the basis of each's state relative share of recent immigrants admitted for legal permanent residence (LPR). Specifically

65% of EL-Civics funds are allotted on the basis of each state's share of LPRs for the 10 most recent years; 35% of EL-Civics funds are allotted on the basis of each state's share of LPRs for the 3 most recent years; and no state may receive an EL-Civics grant of less than $60,000.

While the codification of EL-Civics State Grants was new to WIOA, EL-Civics grants had been funded through set-aside provisions in annual appropriations legislation since FY2000. The allotment formula in WIOA is the same as the formula that was typically specified in appropriations legislation for allotting EL-Civics State Grant funding.

State Plans and Performance Accountability Metrics

To be eligible for AEFLA grant funds, a state must have an approved state plan. A major change in WIOA is the state-level alignment and coordination of AEFLA-funded programs with other WIOA-authorized programs. Under the new law, programs are coordinated through a single unified state plan and performance is aligned through a set of common measures.

Under the AEFLA provisions of WIOA, each state had an AEFLA-specific state plan as well as separate plans for other programs authorized under WIA. Similarly, the performance accountability system under AEFLA was limited to adult education programs and not directly comparable to data from other WIA-authorized programs.

Unified State Plans

Under WIOA, each state must submit a unified state plan (USP) that establishes a four-year strategy for the core WIOA-authorized programs in the state, including adult education. Generally, these plans must assess the state's labor needs and workforce development system and describe how the core WIOA programs will be aligned and coordinated to meet these needs. The plan must also describe how each program will be assessed each year.

The unified state plan is developed by the State Workforce Development Board (WDB). The WDB includes representatives from business, the workforce, and government. Government representatives include the lead state official from each core program and, as such, the lead official from each state's adult education agency will be on the state WDB.

In addition to the unified components of the state plan, WIOA also requires state plans to address several specific issues related to activities carried out under AE FLA. These requirements include descriptions of how the state will

if applicable, align content standards for adult education with state-adopted academic content standards, as adopted under Title I-A of the Elementary and Secondary Education Act (ESEA); apply statutory considerations when awarding subgrants, including subgrants for correctional education, EL-Civics, and integrated education and training; use the funds to carry out state leadership activities; use funds to carry out EL-Civics activities; and assess the quality of providers and actions to improve such quality.

Performance Accountability Measures and Reporting Requirements

Similar to the unified state plans, WIOA also developed common performance accountability measures across all core WIOA-authorized programs. Generally, these metrics focus on employment and credential attainment. The alignment of performance indicators for adult education and other employment programs reflects WIOA's increased emphasis on the transition from adult education to employment and/or postsecondary education. Section 116 of WIOA specifies six performance accountability measures:

1. the percentage of program participants who are in unsubsidized employment during the second quarter after exit from the program; 2. the percentage of program participants who are in unsubsidized employment during the fourth quarter after exit from the program; 3. the median earnings of program participants who are in unsubsidized employment during the second quarter after exit from the program; 4. the percentage of program participants who, during participation in or within one year after exit from the program, obtain either (1) a recognized postsecondary credential or (2) a secondary school diploma or its recognized equivalent and subsequently enter employment or are in a program leading to a recognized postsecondary credential; 5. the percentage of program participants who, during a program year, are in an education or training program that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains toward such a credential or employment; and 6. the indicators of effectiveness in serving employers (to be established by the Secretary of Education and the Secretary of Labor).

Each state must identify an expected level of performance for each indicator for each core WIOA program. In practice, this means that data limited to AEFLA grantees will be reported on each of the six performance metrics. Expected levels of performance are negotiated between the state and the Secretary of Labor in conjunction with the Secretary of Education and will be included in each unified state plan.

National Leadership Activities

Under WIOA, 2% of AEFLA appropriations are reserved for National Leadership Activities (NLA). Section 242 of WIOA describes NLA as "activities to enhance the quality and outcomes of adult education and literacy activities and program nationwide."

Statute establishes four required activities:

providing assistance to help states meet the performance accountability requirements in Section 116 of WIOA; upon request by a state, providing assistance to local providers in using performance accountability measures and data systems for the improvement of adult education activities; carrying out research on and evaluation of adult education activities and estimating the number of adults functioning at the lowest levels of literacy proficiency, which shall be coordinated across relevant federal agencies, including the Institute for Education Sciences; and carrying out an independent evaluation of the programs and activities under AEFLA at least once every four years.

Statute also specifies a group of allowable activities under NLA. These include using NLA funds for technical assistance to states and local providers as well as supporting activities to identify best practices, support networks of providers, increase program effectiveness, and evaluate programs.

Appendix A. AEFLA Funding, FY2000-FY2014 Under the Workforce Investment Act

Appendix B. Estimated Allotments of State Grant Funds, FY2014