Adult Education and Family Literacy Act (AEFLA): A Primer

Congressional research reportDec 19, 2013

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Adult Education and Family Literacy Act

(AEFLA): A Primer

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Analyst in Labor Policy

December 19, 2013

Congressional Research Service

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R43036

Adult Education and Family Literacy Act (AEFLA): A Primer

Summary

Enacted in 1998, the Adult Education and Family Literacy Act (AEFLA) is the primary federal

legislation that supports basic education for out-of-school adults. Commonly called “adult

education,” the programs funded by AEFLA typically support educational services at the

secondary level and below, as well as English language training. Actual services are typically

provided by local entities using a combination of federal and non-federal funds. Specific curricula

vary based on the needs and objectives of the local student population.

In FY2013, approximately $575 million was appropriated for AEFLA. Of this sum,

approximately $21 million was set aside for national activities and incentive grants. The

remaining $554 million was allocated to the states via formula grants. To receive a federal grant,

states are required to provide a match so that non-federal resources account for at least 25% of the

total resources dedicated to adult education. Many states contribute well beyond their required

match, though there is substantial variation among the states.

The statute specifies that 82.5% of each state’s grant must be subgranted to local providers of

educational services. These local providers are most commonly local education agencies

(typically school districts) or institutions of higher education (typically community, junior, or

technical colleges). Nonprofit agencies, correctional institutions, and other entities may also

receive grants.

Adult education activities provided at the local level are divided into three broad categories:

•

Adult Basic Education (ABE), which includes instruction for adults whose

literacy and numeracy skills are below the high school level;

•

Adult Secondary Education (ASE), which includes instruction for adults whose

literacy skills are approximately at the high school level, including adults who

are seeking to pass the General Education Development (GED) test; and

•

English literacy (EL), which includes instruction for adults who are not proficient

in the English language.

In program year 2011-2012 (the most recent year for which complete data are available),

approximately 1.8 million individuals participated in state adult education activities for an

average of 124 hours each. A plurality of the students (47%) participated in ABE while a smaller

share (40%) participated in EL activities. The remaining share of adult education students (13%)

participated in ASE activities. Non-federal funds accounted for the majority of spending on

these activities.

The authorization of appropriations for AEFLA expired at the end of FY2003, though the

programs it supports have continued to be funded through the annual appropriations process.

AEFLA was enacted as Title II of the Workforce Investment Act of 1998 (WIA) and AEFLA

reauthorization debate has also been part of broader efforts to reauthorize WIA.

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Adult Education and Family Literacy Act (AEFLA): A Primer

Contents

Background ...................................................................................................................................... 1

AEFLA Statutory Provisions ........................................................................................................... 1

Purpose of AEFLA and Definition of Adult Education ............................................................. 2

AEFLA-Funded Programs......................................................................................................... 2

State Grants ......................................................................................................................... 2

Set-Asides for Other Purposes ............................................................................................ 5

AEFLA Implementation and Program Data .................................................................................... 6

Characteristics of Local Services .............................................................................................. 7

Types of Service Providers ........................................................................................................ 7

Characteristics of Participants ................................................................................................... 9

Treatment and Outcome Data .................................................................................................. 10

Educational Gains ............................................................................................................. 10

Other Outcomes................................................................................................................. 11

Tables

Table 1. Local Adult Education Grantee Types by Funding Source, PY2011-12 ............................ 8

Table 2. Characteristics of Adult Education Personnel, PY2011-12................................................ 9

Table 3. Characteristics of AEFLA Participants, PY2011-2012 .................................................... 10

Table 4. AEFLA Enrollment and Educational Progress, PY2011-2012 ........................................ 11

Table 5. Core Follow-Up Measures for AEFLA Exiters, PY2011-2012 ....................................... 12

Table A-1. AEFLA Funding FY1999-FY2013 .............................................................................. 13

Table B-1. AEFLA Grants to States, FY2011-2013 ....................................................................... 14

Table B-2. AEFLA EL-Civics Grants to States, FY2011-FY2013 ................................................ 16

Appendixes

Appendix A. AEFLA Funding, FY1999-FY2013 .......................................................................... 13

Appendix B. AEFLA Grants to States and Outlying Areas, FY2011-2013 ................................... 14

Contacts

Author Contact Information........................................................................................................... 17

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Adult Education and Family Literacy Act (AEFLA): A Primer

Background

Many adults in the United States have low levels of literacy or numeracy, or limited English

language proficiency.1 Under the authorization of the Adult Education and Family Literacy Act

(AEFLA), the federal government has made grants to states to provide services to improve these

skills among adults who are not enrolled in school. Commonly called “adult education” efforts,

these investments provide educational services to adults at the secondary level and below, as well

as English language training.

Adult education services are typically provided by local entities using a combination of federal

and non-federal funds. Students include those seeking to develop basic skills, those seeking to

obtain a secondary credential, and English language learners of various educational backgrounds.

Curricula vary based on student needs and objectives. According to the most recent annual data,

the average adult education student received 124 hours of instruction. Adult education instructors

are a combination of full-time, part-time, and volunteer personnel.

AEFLA programs are administered by the U.S. Department of Education (ED) through its Office

of Vocational and Adult Education (OVAE).2 In FY2013, appropriations under the act were $575

million. Of this appropriation, $554 million was distributed to the states via formula grants.

This report will provide background information on AEFLA and the activities it funds. The report

begins with a description of the law itself. This description focuses on AEFLA’s largest

component, the state grants program. The second half of the report uses program data to describe

the implementation of the state grants program, including the data on providers and participants.

AEFLA Statutory Provisions

AEFLA was enacted as Title II of the Workforce Investment Act of 1998 (WIA; P.L. 105-220). It

replaced the National Literacy Act of 1991 (P.L. 102-73) and the Adult Education Act of 1966

(P.L. 89-750).

AEFLA authorized such sums as necessary to carry out its functions from FY1999 through

FY20003. When the program was not reauthorized, the General Education Provisions Act

(GEPA) automatically extended AEFLA authorization for one year. Since the expiration of this

extension, the program has continued to be funded through the annual appropriations process.

AEFLA reauthorization has been debated in the context of broader efforts to reauthorize WIA.3

Defining literacy is a complex issue and, depending on definitions, the literacy rate in the United States can vary

dramatically. The National Assessment of Adult Literacy (NAAL) is an occasional federally sponsored survey that

measures components of adult literacy and numeracy. The most recent NAAL was conducted in 2003. The findings of

this assessment illustrate the complexity of measuring literacy and are available at http://nces.ed.gov/naal/.

The exception to this is Workforce Investment Act Title V incentive grants, which are funded under AEFLA and part

of ED’s budget but administered by the Department of Labor.

For information on reauthorization efforts in the 113th Congress, see CRS Report R42990, Workforce Investment Act

(WIA) Reauthorization Proposals in the 113th Congress: Comparison of Major Features of Current Law and H.R. 803;

and CRS Report R43265, Workforce Investment Act (WIA) Reauthorization Proposals in the 113th Congress:

Comparison of Major Features of Current Law and S.1356.

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Adult Education and Family Literacy Act (AEFLA): A Primer

Purpose of AEFLA and Definition of Adult Education

The statutory purpose of AEFLA is to

(1) assist adults to become literate and obtain the knowledge and skills necessary for

employment and self-sufficiency;

(2) assist adults who are parents to obtain the educational skills necessary to become full

partners in the educational development of their children; and

(3) assist adults in the completion of a secondary school education.4

To fulfill this purpose, statute authorizes funds for adult education activities, which it defines as

services or instruction below the postsecondary level for individuals who are at least 16 years old,

are not enrolled in school nor required to be enrolled in school under state law, and either

(i) lack sufficient mastery of basic educational skills to enable the individuals to function

effectively in society;

(ii) do not have a secondary school diploma or its recognized equivalent, and have not

achieved an equivalent level of education; or

(iii) are unable to speak, read, or write the English language.5

AEFLA-Funded Programs

AEFLA specifies portions of its annual appropriation that are set aside for certain programs.6 The

remaining funds (which are typically more than 95% of the annual appropriation) are distributed

to the states through formula grants.7

State Grants

AEFLA specifies how funds are allotted to each state as well as the proportion of each state’s

grant that must be allotted to various activities. The act also sets criteria for how state grant funds

must be subgranted to local service providers.

Allotment of Funds Among the States

Section 211(b) of AEFLA specifies a two-step process through which state grant funds are

distributed. First, there is an initial allotment of $250,000 to each state and $100,000 to each

Section 201 of AEFLA (20 U.S.C. 9201)

Section 202 of AEFLA (20 U.S.C. 9202)

The set-asides are discussed in the “Set-Asides for Other Purposes” section later in this report.

The formula for these funds is established in AEFLA. Since FY2000, however, appropriations legislation has reserved

a portion of state grant funds for English Literacy-Civics (EL-Civics) formula grants to states. This reservation

effectively creates two formula grants within the state grants program: one that allots the set-aside using the EL-Civics

formula in appropriations legislation (described in the “English Literacy-Civics Grants” subsection later in this report)

and a second that allots the remaining state grant funds using the formula in AEFLA.

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Adult Education and Family Literacy Act (AEFLA): A Primer

eligible outlying area.8 The second step of the allotment process distributes the remainder of the

funding by formula. The formula is based on each state’s share of qualifying adults. Qualifying

adults are those who are

•

at least 16 years of age,

•

beyond the age of compulsory school attendance in the states,

•

without a high school diploma or the equivalent, and

•

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.9 Non-federal matches may be cash or in-kind.10 In outlying areas, the nonfederal 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.11 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.12

Table B-1 in Appendix B lists the annual allotments to each state from FY2011 to FY2013.

English Literacy-Civics Grants

Since FY2000, appropriations legislation has set aside a portion of the AEFLA state grant funding

for integrated English literacy and civics education services (EL-Civics) to limited-Englishproficient populations. In FY2013, this set-aside was $70.81 million or about 12.8% of state

grants funding.13 The remainder of state grant funds were allotted using the formula described in

the previous section.

The provisions of the EL-Civics grants are enumerated in annual appropriations legislation and

are not established elsewhere in law. EL-Civics funds are distributed to the states based on recent

For the purposes of state grant allotments, the 50 states, the District of Columbia, and Puerto Rico are classified as

states. American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands are classified as outlying

areas. By the definition in AEFLA, the freely associated states of the Marshall Islands, Micronesia, and Palau are also

considered outlying areas but their grant eligibility is governed by Compact of Free Association and does not follow the

process outlined in AEFLA. Since FY2005, Palau has been the only freely associated state that receives AEFLA

funding and since then, its annual grant has equaled 90% of its grant from the prior year. In FY2013, Palau’s grant was

$20,590 or 0.00004% of total AEFLA state grant funding.

This matching requirement can also be viewed as states providing $1 of resources for every $3 in federal funding.

See 20 U.S.C. 9222(b). 34 C.F.R. 461.1(c) further specifies when determining non-federal contributions, ED shall

consider “(1) Expenditures from State, local, and other non-Federal sources for programs, services, and activities of

adult education, as defined in [AEFLA], made by public or private entities that receive from the State Federal funds

made available under [AEFLA] or State funds for adult education; and (2) Expenditures made directly by the State for

programs, services, and activities of adult education as defined in [AEFLA].”

If federal appropriations are insufficient to meet this threshold, each grantee’s share of current year funding will be

ratably reduced.

See 20 U.S.C. 9251(b).

Appropriations legislation set aside $74,850,000 for EL-Civics activities and the appropriation was reduced under

sequestration.

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Adult Education and Family Literacy Act (AEFLA): A Primer

immigration data from the United States Citizenship and Immigration Services (USCIS).14

Typically, 65% of the EL-Civics funding is distributed based on each state’s relative share of

immigrants admitted for legal permanent residence in the 10 most recent years and 35% is

distributed based on each state’s relative share of immigrants admitted for legal permanent

residence in the three most recent years.

Table B-2 in Appendix B lists the annual EL-Civics allotments to each state from FY2011 to

FY2013.

Uses of State Grant Funds

Section 222 of AEFLA specifies several requirements on how states must allocate their grant

funds:

•

At least 82.5% of the state allotment must be competitively subgranted to local

service providers. Up to 10% of the 82.5% may be granted to entities that provide

services to individuals in correctional facilities or other institutionalized

individuals.

•

Up to 12.5% of the state’s allotment may be allocated to state leadership

activities (i.e., programs of statewide relevance such as the development and

dissemination of curricula).15

•

No more than 5% of the total grant or $65,000, whichever is greater, may be used

for administrative expenses.

All recipients of local subgrants must use funds for the provision of one or more of the following

services: adult education and literacy services, family literacy services, and/or English literacy

programs. Entities eligible to receive local subgrants include local educational agencies,

community and faith-based organizations, institutions of higher education, and other nonprofit

organizations.16

AEFLA requires states to consider certain factors when selecting local subgrant recipients. Most

of these considerations relate to a subgrantee’s ability to successfully serve qualifying adults

(particularly high-need populations) and accurately report performance data.17

State Plans

Section 224 of AEFLA specifies that, to receive a grant, each state must submit, or have on file, a

state plan. Plans are five years in duration. State plans must contain18

•

an assessment of adult education needs in the state, including high-need and

hard-to-serve individuals;

EL-Civics funds are limited to the 50 states, the District of Columbia, and Puerto Rico.

Allowable state leadership activities are listed in Section 223 of AEFLA (20 U.S.C. 9223).

The full list of eligible providers is available in Section 203(5) of AELFA (20 U.S.C. 9202(5)).

The 12 statutory considerations are listed in Section 231(e) of AEFLA (20 U.S.C. 9241(e)).

In addition to the components below, state plans must also contain several assurances that the state will comply with

certain provisions of AEFLA. See 20 U.S.C. 9224(b) for complete required contents.

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Adult Education and Family Literacy Act (AEFLA): A Primer

•

a description of the adult education activities that will be funded by AEFLA;

•

a description of how the state will annually evaluate and improve its activities

using standardized reporting measures (see “Performance Accountability and

Reporting Requirements” subsection later in this report);

•

a description of the process that the state will use for public participation and

comment in the development of its state plan;

•

a description of how the state will develop program strategies for certain

populations such as individuals with disabilities and single parents;

•

a description of how AEFLA-funded activities in the state will be integrated with

other adult education, career development, and employment training services;

and

•

a description of steps the state will take to ensure equitable access to funds

among local adult education providers.

As an alternative to developing a specialized AEFLA plan, WIA allows states to develop a unified

plan that combines AEFLA requirements with other federally funded workforce

development programs.19

Performance Accountability and Reporting Requirements

Section 212 establishes a performance accountability system for grantees under AEFLA. It

requires grantees to track participation and other core indicators of performance. These core

indicators are

•

improvement in literacy skill levels in reading, writing, and speaking the English

language; numeracy; problem solving; English language acquisition; and other

literacy skills;

•

placement or retention in, or completion of, postsecondary education, training,

employment, or career advancement; and

•

receipt of a secondary school diploma or the equivalent.

States report their performance via the online National Reporting System (NRS). Reports from

the NRS provide the program data presented in the “AEFLA Implementation and Program Data”

section later in this report.

Set-Asides for Other Purposes

Section 211(a) of AEFLA specifies several set-asides from sums appropriated under the act.

•

The lesser of 1.5% of the appropriation or $8 million for National Leadership

Activities (NLA). These activities can include (1) technical assistance to the

states such as assistance in developing performance measures or professional

development for instructors, and (2) national research activities such as

See 20 U.S.C. 9271.

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Adult Education and Family Literacy Act (AEFLA): A Primer

curriculum development, program evaluation, and dissemination of best

practices.20

•

The lesser of 1.5% of the appropriation or $8 million for the National Institute

for Literacy (NIFL).21 NIFL operates under an interagency agreement between

ED, DOL, and the Department of Health and Human Services (HHS). Its

purposes are to (1) provide national leadership regarding literacy, (2) coordinate

literacy services and policy, and (3) serve as a national resource for adult

education and literacy programs.22

•

1.72% for WIA Title V Incentive Grants.23 Incentive grants are available to states

that achieve superior performance in both Title I and Title II of WIA.24 Annual

performance levels are negotiated by the states, DOL, and OVAE. The maximum

incentive grant for each qualifying state is $3 million and the minimum is

$750,000.

Actual appropriations activities have varied from these statutory directives. For example, NIFL

has not received funding since FY2009 and some of its functions have been consolidated into

National Leadership Activities. Since NIFL stopped receiving AEFLA funding, the set-aside for

National Leadership Activities in appropriations legislation has exceeded 1.5% of AEFLA

appropriations. Annual set-asides are listed in Table A-1 in Appendix A.

AEFLA Implementation and Program Data

As discussed in the prior section, AEFLA specifies certain requirements for state grants (and local

subgrants) but leaves many decisions to the states and localities. This section will use program

data from the NRS to illustrate the nature of states’ and localities’ adult education services,

providers, students, and outcomes.25 NRS data are typically reported by program year (PY),

which runs nine months behind the fiscal year (e.g., PY2011-2012 was from July 1, 2011, to June

30, 2012). As such, the data discussed in this section will not align precisely with fiscal year

information discussed elsewhere in this report.

When interpreting the data in this section, it is important to note that many states contribute

beyond their AEFLA-required match. Localities and private entities may also contribute to adult

education activities, and federal funds subsequently account for only a minority of the funds used

to provide local adult education services.

For details on permissible activities, see AEFLA Section 243 (20 U.S.C. 9253).

ED has not allocated funds to NIFL since FY2009. NIFL’s priority activities have been consolidated into AEFLA’s

National Leadership Activities.

For additional details on NIFL, see AEFLA Section 242 (20 U.S.C. 9252).

In the ED budget, incentive grants are part of the state grants program.

Incentive grants are authorized under Section 503 of WIA. Prior to PY2007, states also needed to achieve superior

performance under Title III of the Carl D. Perkins Vocational and Technical Education Act of 1998 to receive an

incentive grant.

All data in this section were generated using the user-directed NRS database at http://wdcrobcolp01.ed.gov/CFAPPS/

OVAE/NRS/reports/.

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Characteristics of Local Services

AEFLA-funded adult education services are typically administered at the local level. NRS data

(and most other adult education literature) divides these services into three primary categories.

•

Adult Basic Education (ABE) includes instruction for adults whose literacy skills

are below the high school level. In PY2011-2012, about 47% of adult education

students were enrolled in ABE classes.

•

Adult Secondary Education (ASE) includes instruction for adults whose literacy

skills are approximately at the high school level. This includes adults who are

seeking to pass the General Education Development (GED) test or obtain a high

school credential. In PY2011-2012, about 13% of adult education students were

enrolled in ASE courses.

•

English literacy (EL) is instruction for adults who are not proficient in the

English language. In PY2011-2012, about 40% of adult education students were

enrolled in EL courses.

States have diverse adult education populations and there are large variations among the states in

terms of enrollment levels in each program. For example, in PY2011-2012, Nevada reported that

80% of its adult education students were enrolled in EL courses while Louisiana reported that

81% of its adult education students were enrolled in ABE courses.

Types of Service Providers

Eligible providers of AEFLA-funded services include both public and private entities. Table 1

presents data on the allotment of federal AEFLA funds and state funds to eligible providers in

PY2011-2012. Local education agencies (typically school districts) were the largest recipients of

both federal and state adult education funding.

Table 1 may exclude some non-federal, non-state contributions to adult education activities such

as local funding and in-kind contributions. Comprehensive estimates of non-federal effort are

available from each state’s annual Financial Status Report (FSR). States’ final FSR reports for the

2011-2012 program year will be available after September 2013. Aggregated data on non-federal

effort from prior years’ FSRs are not readily available.26

Individual states’ final FSRs from PY2010-2011 and prior years can be generated from the NRS database at

http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/FSRtables/index.cfm.

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Adult Education and Family Literacy Act (AEFLA): A Primer

Table 1. Local Adult Education Grantee Types by Funding Source, PY2011-12

Provider Agency

AEFLA

Funding Total

AEFLA

Funding % of

Total

State Funding

Total

State Funding

% of Total

Local Education Agencies

$254,239,492

50.6%

$1,082,312,982

77.8%

Institutions of Higher Education

$158,903,708

31.6%

$214,474,276

15.4%

Community Junior or Technical

Colleges

$144,122,868

28.7%

$209,969,359

15.1%

Four-Year Colleges or Universities

$6,041,315

1.2%

$3,109,273

0.2%

Other Institutions of Higher

Education

$8,739,526

1.7%

$1,395,644

0.1%

Public or Private Nonprofit

Agencies

$68,670,126

13.7%

$52,600,030

3.8%

Community-Based Organizations

$54,036,910

10.8%

$47,210,692

3.4%

Faith-Based Organizations

$10,701,670

2.1%

$4,811,538

0.3%

Libraries

$3,931,545

0.8%

$577,801

<0.1%

Other Agencies

$20,345,302

4.1%

$41,067,663

3.0%

Correctional Institutions

$12,904,283

2.6%

$29,943,503

2.2%

Other Institutions (noncorrectional)

$732,725

0.1%

$4,640,433

0.3%

$6,708,293

1.3%

$6,483,728

0.5%

$502,158,628

100.0%

$1,390,454,951

100.0%

All Other Agencies

Total

Source: National Reporting System, Aggregate NRS Table 14 for PY2011-2012. Tables generated at

http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/reports/ on April 4, 2013. Data for Maine have not yet been

approved by ED and were not included in this table.

Note: Due to rounding, the sum of subgroups may not equal totals. Since funds are reported on a program year

basis, they may not correspond with fiscal year funding levels discussed elsewhere in the report. State funding

may not include local, private, or in-kind contributions to adult education activities.

AEFLA services are provided by a combination of paid staff and volunteers. Table 2 presents

data on state and local adult education personnel in PY2011-2012. Local teachers were the largest

personnel group and almost 85% of this group was either part-time or volunteers. As is the case

with other program components, the characteristics of each state’s adult education personnel

varied by state. For example, nearly 50% of Kentucky’s teachers are full-time while more than

70% of the teachers in Pennsylvania are volunteers.

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Adult Education and Family Literacy Act (AEFLA): A Primer

Table 2. Characteristics of Adult Education Personnel, PY2011-12

Share of Personnel

Position

Number

Full-Time

Part-Time

Unpaid

Volunteer

Total

Local Teachers

72,202

14.5%

59.2%

26.3%

100.0%

Local Paraprofessionals

17,600

13.9%

28.4%

57.7%

100.0%

Local Administrative, Supervisor,

and Ancillary Services

12,256

41.2%

41.0%

17.8%

100.0%

Local Counselors

2,242

30.8%

59.1%

10.1%

100.0%

State Administrative, Supervisory,

and Ancillary Services

482

76.8%

22.0%

1.2%

100.0%

Source: Calculations by CRS based on data from National Reporting System, Aggregate Table 7 for PY20112012. Tables generated at http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/reports/ on April 4, 2013.

Characteristics of Participants

Data on the demographics and other characteristics of AEFLA participants are available from

NRS. Table 3 presents data on the approximately 2 million individuals that participated in adult

education programs in PY2011-2012.

The characteristics of adult education participants vary by the type of services. For example, the

ASE population tended to be younger (57% under the age of 25) and have a higher concentration

of white students (48%) than the overall adult education population. Conversely, the EL

population tended to be older (84% age 25 or over) and have a higher concentration of Hispanic

or Latino students (65%) than the overall adult education population.

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Adult Education and Family Literacy Act (AEFLA): A Primer

Table 3. Characteristics of AEFLA Participants, PY2011-2012

Number

Share of Population

Age

1,818,806

100.0%

16-18

184,085

10.1%

19-24

433,776

23.8%

25-44

834,485

45.9%

45-59

295,586

16.3%

60+

70,874

3.9%

Race

1,818,806

100.0%

White

480,789

26.4%

Black or African American

407,383

22.4%

Hispanic or Latino

709,213

39.0%

Asian

148,968

8.2%

Othera

72,453

4.0%

1,818,806

100.0%

Employed

579,815

31.9%

Unemployed

734,233

40.4%

Not in the Labor Force

504,758

27.8%

Employment Status

Source: National Reporting System, NRS Aggregate Table 2 for PY2011-2012; Longitudinal Report Table 10 for

PY2011-2012. Tables generated at http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/reports/ on April 4, 2013.

“Other” aggregates three categories: American Indian or Native Alaskan; Native Hawaiian or Pacific

Islander; and two or more races.

Treatment and Outcome Data

AEFLA requires grantees to track the nature and duration of their services as well as student

outcomes. Data on educational gains are available for all participants. Data on other outcomes

(such as entering employment or postsecondary education) are more limited.

Educational Gains

Table 4 presents data on participants’ hours of attendance and educational progress. Educational

progress is defined as completing a level of curriculum within the ABE, ASE, or EL tracks. The

ABE program has four levels, the ASE program has two, and the EL program has six.27 Progress

is determined through a pre-test administered to a participant at intake and subsequent post-tests

at specified intervals.28

For detailed descriptions of each educational level, see tables at 34 C.F.R. 462.44.

Testing procedures are not uniform across the states. For information on how states establish their tests other testing

(continued...)

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Adult Education and Family Literacy Act (AEFLA): A Primer

Table 4. AEFLA Enrollment and Educational Progress, PY2011-2012

Entering Educational

Functioning Level

Total

Number

Enrolled

Average

Hours of

Participation

per Enrollee

Total, All Programs and Levels

1,818,806

Adult Basic Education (ABE)

Completing

Level

Separating

Before

Completing

Level

Remaining

within

Level

Total

124

43.8%

32.4%

23.7%

100.0%

853,213

109

43.4%

35.2%

21.4%

100.0%

Adult Secondary Education (ASE)

231,969

39.2%

36.9%

23.9%

100.0%

English Literacy (EL)

733,624

153

45.8%

27.8%

26.4%

100.0%

Source: Shares calculated by CRS based on Aggregate Table 4 Data for PY2011-2012. Table generated at

http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/reports/ on April 4, 2013.

Notes: There are four levels within ABE, two levels within ASE, and six levels within EL. For definitions of each

educational functioning level, see tables at 34 C.F.R. 462.44.

Other Outcomes

In addition to educational gains, AEFLA requires states to track participant outcomes regarding

employment, the completion of a secondary degree, and entrance into postsecondary education.29

Unlike the fairly comprehensive data on demographics and educational progress, data on these

post-school outcomes are somewhat limited. These data are limited by two primary factors:

•

Follow-up outcomes are only tracked when a client states an objective beyond

education. Otherwise, only the default “educational progress” indicator is

tracked. As Table 5 shows, a relatively small portion of AEFLA participants state

a follow-up objective. Participants may decline to state an objective beyond

educational progress for a variety of reasons. They may have already attained a

goal (for example, Table 3 in a prior section shows that 32% of AEFLA

participants were employed at intake), educational progress may be their only

goal, or they may simply choose not to state a follow-up objective.

•

In some cases, follow-up outcomes may be tracked with surveys that have varied

response rates. Coupled with the fact that only a subset of the population’s

follow-up outcomes are tracked, this may result in follow-up outcome data based

on only a small number of participants.

Due to these limitations, the available data on follow-up measures in Table 5 should be

interpreted with caution. While the available data can provide some insight into the subsequent

outcomes for some AEFLA participants, using these data to evaluate program efficacy may

be difficult.

(...continued)

requirements and procedures, see 34 C.F.R. 462.1-44.

See 20 U.S.C. 9212(b)(2)(A). These post-program outcomes are often described as “follow-up objectives.”

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Table 5. Core Follow-Up Measures for AEFLA Exiters, PY2011-2012

Number of Participants

Population

with Main or

Secondary

Goal

Outcome data

Available via Survey

or Data Matching

Entered Employmenta

221,799

170,104

80,938

47.6%

Retained Employmentb

169,799

133,170

87,172

65.5%

Obtained a GED or Secondary

School Diplomac

250,579

234,341

143,816

61.4%

Entered Postsecondary Education or

Trainingd

101,343

82,222

47,731

58.1%

Core Follow-Up Outcome

Measures

Achieving

Outcome

Percent

Achieving

Outcome

Source: National Reporting System, NRS Aggregate Table 5 for PY2011-2012; generated at

http://wdcrobcolp01.ed.gov/CFAPPS/OVAE/NRS/reports/ on April 4, 2013. Data for the District of Columbia,

Iowa, New Hampshire, and Maine were not yet approved by ED at the time of retrieval and may be subsequently

revised.

Notes: Percent achieving outcome is the number of participants achieving the outcome divided by the number

of participants for which outcome data are available. Participants for which outcome data are not available are

excluded from these calculations. Definitions for PY2011-2012 are from the November 2011 edition of

Implementation Guidelines: Measures and Methods for the National Reporting System for Adult Education, published by

ED. Definitions for subsequent program years may vary somewhat.

Population includes participants who are not employed at the time of program entry, have a goal of entering

employment, and exited the program during the program year. To achieve the outcome, participants must

enter employment by the end of the first quarter after program exit. A job obtained while the student was

still enrolled can be counted as achieving the goal if the participant is still employed the quarter after

program exit.

Population includes participants who either (1) are not employed at the time of program entry, have a goal

of obtaining employment, and enter employment by the end of the first quarter after exit; or (2) are

employed at entry and have a goal of improved or retained employment. To achieve the outcome, a

participant must remain employed in the third quarter after exit.

Population includes participants with a goal of passing the GED test or obtaining a secondary school

diploma (or equivalent) who exit during the program year. To achieve the outcome, a participant must

attain a passing score on a GED test or obtain a diploma or state recognized equivalent, documenting

satisfactory completion of secondary studies.

Population is all participants with a goal of placement in postsecondary education or training who exit

during the program year. To achieve the outcome, participants must enroll in a postsecondary education or

occupational skills training program, regardless of whether the adult education services were completed.

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Appendix A. AEFLA Funding, FY1999-FY2013

Table A-1. AEFLA Funding FY1999-FY2013

(all funding in thousands)

State Grant Funds

EL-Civics

Set-Aside

National

Institute

for

Literacy

National

Leadership

Activities

Fiscal

Year

AEFLA

Total

1999

$385,000

$345,339

n/a

$6,000

$14,000

2000

470,000

450,000

25,500

6,000

14,000

2001

560,500

540,000

70,000

6,500

14,000

2002

591,060

575,000

70,000

6,617

9,500

2003

587,217

571,262

69,545

6,517

9,438

2004

590,233

574,372

69,135

6,692

9,169

2005

585,406

569,672

68,582

6,638

9,096

2006

579,552

563,975

67,896

6,572

9,005

2007

579,563

563,975

67,896

6,583

9,005

2008

567,468

554,122

66,710

6,468

6,878

2009

567,468

554,122

67,895

6,468

6,878

2010

639,567

628,221

75,000

11,346

2011

607,443

596,120

74,850

11,323

2012

606,295

594,993

74,709

11,302

2013

574,667

563,955

70,811

10,712

Source: Department of Education FY2000 through FY2014 budget justifications. Additional details on

Congressional Action from FY2011 to FY2013 are available at http://www2.ed.gov/about/overview/budget/

tables.html.

Note: State grant funds include set-asides for WIA Title V incentive grants. Appropriation levels were taken

from subsequent years’ budget documents and include sequestration, rescissions, and other post-appropriation

adjustments, where applicable.

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Appendix B. AEFLA Grants to States and Outlying

Areas, FY2011-2013

Table B-1. AEFLA Grants to States, FY2011-2013

(excludes EL-Civics Grants, which are listed in Table B-2)

Grantee

FY2011

Actual

FY2012

Actual

FY2013

Estimate

Alabama

$9,520,213

$9,579,239

$9,088,850

Alaska

918,644

929,924

898,919

Arizona

11,450,928

10,590,633

9,980,874

Arkansas

5,712,738

5,676,617

5,297,517

California

72,825,539

74,427,797

71,230,654

Colorado

6,133,088

6,094,776

5,739,165

Connecticut

4,527,412

4,662,122

4,439,837

Delaware

1,471,150

1,518,064

1,478,724

District of Columbia

1,137,010

1,103,228

1,070,355

Florida

30,662,909

31,038,637

29,670,257

Georgia

17,139,168

16,815,540

15,982,788

Hawaii

1,588,671

1,659,543

1,626,247

Idaho

2,147,294

2,182,925

2,067,540

Illinois

18,893,675

18,640,584

17,408,635

Indiana

9,661,398

9,571,412

8,982,766

Iowa

3,355,410

3,391,695

3,226,015

Kansas

3,355,192

3,422,191

3,274,835

Kentucky

8,850,695

8,766,623

8,203,425

Louisiana

8,972,585

9,055,340

8,594,550

Maine

1,769,175

1,741,358

1,603,257

Maryland

7,691,436

7,888,511

7,357,666

Massachusetts

8,257,777

8,099,621

7,689,541

Michigan

13,419,141

12,623,242

11,935,152

Minnesota

5,022,396

5,085,523

4,804,353

Mississippi

6,389,755

6,272,954

5,932,954

Missouri

9,039,282

8,820,305

8,266,224

Montana

1,284,020

1,242,934

1,162,247

Nebraska

2,131,202

2,165,498

2,033,764

Nevada

4,829,004

4,943,602

4,725,873

New Hampshire

1,575,928

1,523,454

1,445,444

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Grantee

FY2011

Actual

FY2012

Actual

FY2013

Estimate

New Jersey

11,887,152

11,890,448

11,212,010

New Mexico

3,910,247

3,966,322

3,811,142

New York

32,694,835

32,579,394

30,968,520

North Carolina

16,219,755

16,510,505

15,567,536

North Dakota

947,550

959,829

914,175

Ohio

15,698,631

15,288,148

14,429,143

Oklahoma

5,865,864

5,897,105

5,614,916

Oregon

4,933,855

5,009,468

4,774,550

Pennsylvania

17,311,298

16,983,158

15,900,404

Rhode Island

2,064,796

2,055,919

1,936,550

South Carolina

8,476,144

8,400,669

8,032,414

South Dakota

1,183,101

1,145,317

1,110,518

Tennessee

11,779,315

11,581,647

10,886,025

Texas

49,255,542

49,815,407

47,675,857

Utah

2,766,570

2,779,187

2,703,616

Vermont

881,946

875,060

831,224

Virginia

11,458,209

11,737,155

10,813,789

Washington

7,745,973

7,915,685

7,617,021

West Virginia

3,823,017

3,831,120

3,557,393

Wisconsin

6,478,733

6,408,082

6,031,232

Wyoming

763,770

751,008

719,322

American Samoa

245,248

247,297

241,549

Guam

429,887

434,542

421,486

Northern Mariana Islands

355,982

359,594

349,463

Puerto Rico

13,301,621

12,284,314

11,320,719

Virgin Islands

510,463

516,254

500,009

Freely Associated States

25,420

22,878

20,590

10,522,611

10,505,395

9,963,675

$521,270,370

$520,284,799

$493,143,276

Indian set-aside

Non-state allocations

Total

Source: Department of Education, http://www2.ed.gov/about/overview/budget/statetables/index.html, accessed

December 18, 2013; 2011 data available from http://www2.ed.gov/about/overview/budget/history/index.html.

Note: Non-state allocations are allotted to WIA Title V Incentive grants.

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Table B-2. AEFLA EL-Civics Grants to States, FY2011-FY2013

Grantee

FY2011 Actual

FY2012 Actual

FY2013 Estimate

Alabama

$232,214

$240,648

247,550

Alaska

106,998

107,857

108,253

Arizona

1,303,665

1,321,765

1,274,870

Arkansas

188,079

190,420

184,178

California

16,938,499

16,506,124

14,717,879

Colorado

840,142

860,625

851,064

Connecticut

914,336

900,821

867,149

Delaware

148,260

150,161

149,326

District of Columbia

193,848

195,777

187,457

Florida

8,209,887

8,014,070

7,432,428

Georgia

1,750,656

1,755,573

1,729,364

Hawaii

467,286

464,169

462,362

Idaho

174,342

179,156

168,509

Illinois

3,100,243

3,033,889

2,779,095

Indiana

507,376

536,663

531,205

Iowa

277,347

288,163

285,103

Kansas

329,071

340,044

330,513

Kentucky

330,088

339,920

335,050

Louisiana

252,309

263,031

264,759

Maine

105,723

104,292

100,287

Maryland

1,722,519

1,758,941

1,696,411

Massachusetts

2,142,083

2,153,860

2,097,150

Michigan

1,352,634

1,341,874

1,253,164

Minnesota

1,018,670

1,012,407

913,794

Mississippi

104,699

107,246

106,278

Missouri

503,750

507,770

474,361

Montana

60,000

Nebraska

241,794

259,463

266,771

Nevada

776,346

768,631

723,943

New Hampshire

176,879

179,332

170,063

New Jersey

3,895,302

3,931,658

3,692,762

New Mexico

252,901

250,826

237,856

New York

9,467,113

9,631,839

9,632,498

North Carolina

1,060,840

1,084,518

1,094,024

North Dakota

60,000

Ohio

999,640

1,002,874

947,137

Congressional Research Service

Adult Education and Family Literacy Act (AEFLA): A Primer

Grantee

FY2011 Actual

FY2012 Actual

FY2013 Estimate

Oklahoma

302,595

301,878

296,576

Oregon

634,531

624,338

554,382

Pennsylvania

1,591,838

1,610,056

1,617,285

Rhode Island

252,725

261,809

256,603

South Carolina

283,817

287,174

280,801

South Dakota

60,000

63,075

73,058

Tennessee

547,183

549,487

548,026

Texas

6,022,770

6,139,529

6,032,333

Utah

376,941

390,706

385,831

Vermont

60,000

Virginia

1,989,433

1,995,018

1,909,680

Washington

1,664,784

1,658,631

1,561,581

West Virginia

60,000

Wisconsin

490,349

479,705

437,104

Wyoming

60,000

American Samoa

Guam

Northern Mariana Islands

Puerto Rico

247,495

262,721

245,366

Virgin Islands

Freely Associated States

Indian set-aside

Total

$74,850,000

$74,708,534

$70,811,239

Source: Department of Education, http://www2.ed.gov/about/overview/budget/statetables/index.html, accessed

December 18, 2013; 2011 data available from http://www2.ed.gov/about/overview/budget/history/index.html.

Author Contact Information

(name redacted)

Analyst in Labor Policy

[redacted]@crs.loc.gov, 7-....

Congressional Research Service

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