Final Report

The Legislative Program Review and Investigations Committee is a joint, bipartisan, statutory committee of the Connecticut General Assembly. It was established in 1972 to evaluate the efficiency, effectiveness, and statutory compliance of selected state agencies and programs, recommending remedies where needed. In 1975, the General Assembly expanded the committee's function to include investigations, and during the 1977 session added responsibility for "sunset" (automatic program termination) performance reviews. The committee was given authority to raise and report bills in 1985.

The program review committee is composed of 12 members. The president pro tempore of the Senate, the Senate minority leader, the speaker of the house, and the House minority leader each appoint three members.

Committee Staff

B. Adult Literacy Acronyms and Definitions

C. State and Federal Adult Literacy Laws: Major Provisions

D. National Reporting System and CASAS Overview

E. Adult Education Program Providers with Cooperating Districts

F. Adult Education Providers: FY 05 Enrollment and Budget

G. Workforce Investment Act: Provisions for Employment and Training Programs

H. SDE 2006-2007 Adult Education Reimbursement Percentages

I. State and Local Adult Education Expenditures: FY 05

J. Survey of Connecticut Adult Education Program Providers

K. Workforce Challenges Facing Connecticut

In Connecticut and across the country, adult literacy is a significant issue, with serious social and economic development implications. In April 2006, at the request of the legislature's higher education and employment advancement committee, the Legislative Program Review and Investigations Committee undertook a study of state programs aimed at improving the literacy levels of adults.

The study's primary purpose was to determine how well publicly funded literacy services for adults with academic skills below the high school level and/or limited English proficiency are coordinated. The committee review focused on assessing: the adequacy of the current service delivery system; consistency of standards and opportunities; accountability for outcomes; and the ability of the existing system to meet adult literacy needs now and in the future.

The program review study pointed out the literacy problem facing Connecticut and the nation is not the inability to read or write at all, or illiteracy in the traditional sense. Instead, today's challenge is low skill levels and a lack of the competencies necessary for success in the new, knowledge-based economy. At present, most family-supporting jobs, particularly in the Connecticut, require at least a high school diploma; adults will need increasingly higher reading, writing, math, and technology skill levels to function effectively at work, in the family and in their communities.

At the same time, the main sources of new workers, particularly in the Northeast, will be immigrants, disadvantaged youth, and nontraditional employee groups such as person with disabilities or former public assistance recipients. These are populations that tend to have limited literacy skills and/or English proficiency and little or no computer experience.

State-supported programs aimed at improving the basic academic and English language skills of adults are critical for maintaining a competitive, qualified workforce. Just as important, effective adult literacy programs will remain a major way to improve the ability of individuals to be self-sufficient and active citizens, as well as parents who can help their children succeed in school.

There are a number of adult literacy providers as well as a range of programs in the state, including but not limited to: local school district adult education courses; basic skills instruction provided in the workplace; remedial education classes at community colleges; and family literacy services as well as one-on-one tutoring offered by public libraries, volunteer organizations, and community-based agencies. The best available estimates, however, show only a small fraction of adults in need of improved literacy skills and/or English language instruction are being served by state programs.

The program review committee found there is significant unmet need for adult literacy services, both basic education and English as a Second Language (ESL), in the state. Effective coordination among the many and varied providers is lacking. There are gaps as well as overlaps in service delivery, inequities in access to opportunities for instruction, and barriers to collaboration and shared resources. The current capacity of adult literacy programs in Connecticut is checked by funding levels that have stayed essentially the same over the last ten years. Competition for limited public resources contributes to unmet demand as well as fragmented service delivery.

Moreover, a mechanism to promote a systematic, strategic approach to providing services that meet identified needs is absent at the state level. There is no single state entity in charge of overseeing or acting as a “champion” for adult literacy services. In addition, there is no central source of good information on who needs what services, who is being served, and who is providing what services at what locations and times.

To address these problems, the committee developed a set of recommendations intended to enable the state systems with key roles in adult literacy -- adult education, workforce investment, and regional community colleges -- to: 1) better coordinate their activities; and 2) collaborate more effectively with the many other entities involved in basic skills and ESL instruction. Among these potential partners are: public libraries; the K-12 education system and the state's secondary vocational schools; public and private postsecondary institutions; unions as well as businesses; and a wide variety of nonprofit, community-based organizations, including faith-based agencies.

The main purpose of the committee's proposals, which are listed below, is to establish a state-level structure that can provide leadership, forge partnerships, and prioritize and direct the allocation of limited resources. The goal is a cost-effective service delivery system that produces literate adults, ready for the workforce, family and community obligations, and life-long learning in the 21^st century.

To promote effective coordination of adult literacy programs, the program review committee recommends:

1) Adoption of a vision and mission statement that clarifies the purpose of adult literacy programs and services in Connecticut, emphasizing the goals of helping adults develop the literacy skills they need to function as productive citizens in work, family, and community environments.

2) Development of a three-year strategic plan that defines roles, identifies priorities, and directs funding for an adult literacy service system in Connecticut. Among the specific areas addressed by the plan shall be the following:

3) Establishment of an adult literacy leadership board consisting of nine voting members appointed by the governor and the legislature. The governor shall appoint five members including the chairperson. The speaker of the House of Representatives, the president pro tempore of the Senate, and the minority leaders of the House of Representatives and the Senate shall each appoint one member.

a) The voting members shall be representatives of the key stakeholders in the adult literacy system including but not limited to: public and private adult literacy service providers, such as local and regional adult education programs, community colleges, volunteer literacy organizations, and community-based organizations experienced in adult literacy programs; public libraries; adult literacy advocates; businesses with employees in need of improved basic skills and English language proficiency; organized labor; and regional workforce investment boards.

b) The term of office of the members shall be for four years. The board may create officers other than the chairperson as it deems necessary from among its members. All actions of the board shall require the affirmative vote of at least five voting members serving on the board, which number shall constitute a quorum.

c) The commissioners of correction, education, higher education, economic and community development, labor, and social services, the director of the Office of Workforce Competitiveness, and the secretary of the Office of Policy and Management, or their designees, shall serve as nonvoting, ex officio members of the board.

i) develop the vision and mission statement and strategic plan recommended above by July 1, 2008;

ii) submit recommendations to the governor and legislature for sources and levels of funding to meet the goals and objectives outlined in the strategic plan each year;

iii) establish performance measures for the adult literacy system and use them to track progress toward the goals and objectives outlined in the strategic plan; and

iv) report to legislature and the governor each year by July 1 beginning in 2008 on progress made in developing and subsequently implementing the strategic plan, based on the established performance measures.

e) The board shall also be responsible for developing and maintaining centralized system information and for promoting coordination through regional planning, community partnerships for service delivery, and mechanisms for sharing resources, as discussed below.

f) The board may call upon state agencies and offices, including but not limited to the departments of education, higher education, labor, economic and community development, and social services, the workforce competitiveness office and the board of trustees for the community colleges for information, reports, and assistance as it may need to carry out its duties.

g) The board shall be scheduled to terminate five years from its effective date unless reauthorized by the General Assembly. During the year prior to automatic termination, the Legislative Program Review and Investigations Committee shall conduct a sunset review and report its findings and recommendations regarding continuation, modification, or termination of the board for consideration by the General Assembly during the next regular legislative session.

a) a statewide automated inventory of adult literacy services that can be accessed by the public online, and includes a description of the type of service, the time and place it is offered, and any eligibility requirements or fees, be established and maintained;

b) all adult literacy service providers be required to maintain waiting lists and report that information in accordance with standards developed by the board; and

c) state agencies with automated information systems containing data related to adult literacy services work together to overcome the restrictions that impede the sharing of program data for research purposes and develop ways of using their systems to track individual progress and service outcomes.

d) The committee also recommends a state “report card” on the status of adult literacy in Connecticut be prepared and presented as part of the board's annual report recommended earlier. The adult literacy report card should include, for each major component of the adult literacy system (e.g., adult education, family literacy, workplace literacy, developmental education): a description of funding levels and sources; numbers and demographics of the individuals served, and performance measures for key adult literacy outcomes such as learning gains, program/credential completion, success in employment or postsecondary education/training, and indicators of community participation (e.g., attain citizenship, voting, attending parent-teacher conferences, etc.).

e) The program review committee further recommends at least two full-time education consultant positions be added to the adult education unit of the State Department of Education to provide sufficient capacity to collect and analyze information on available services and program outcomes and to carry out research on adult education program effectiveness and best practices. As part of its strategic planning responsibilities, the leadership board should also determine whether additional staffing is needed at the state level by other systems with adult literacy responsibilities, including public libraries, to carry out these functions.

5) The program review committee recommends that the board, through its strategic planning process:

a) establish that collaboration and community partnerships are the preferred way of delivering adult literacy services and identify ways to modify program requirements to promote shared funding and funding flexibility; and

b) develop funding policies that provide a) incentives for community partnerships of adult literacy providers and regionalized service delivery and b) financial support for regional collaboration and community planning.

c) In addition, it is recommended that the legislature, with the advice of the adult literacy leadership board, establish a new funding source for adult education and other adult literacy program providers that provides state bonus grants for good performance outcomes, including but not limited to, effective collaboration and coordinated funding and service delivery. The board should also develop a policy for providing multi-year funding to programs with records of good performance.

In the 21^st century the term literate has come to have a different meaning than the once commonly held notion of just being able to read at grammar school level and write one's name. There is general agreement adults need an array of reading, writing, communication, quantitative, and even technology skills, to function effectively in today's world. Adult literacy is not defined in state law and Connecticut has not adopted a legislative policy statement regarding the goals of all of its publicly funded programs aimed at improving adult literacy. To develop a working understanding of adult literacy definitions and measures, program review staff reviewed the relevant literature. Results of this review are summarized below.

This chapter also highlights the major legislative mandates concerning adult literacy and briefly describes the main types of basic literacy programs currently provided for adults. Given the many laws, agencies, and organizations, and the wide range of programs and services adult literacy encompasses, this report contains a large number of terms and acronyms. A list of the most common adult literacy acronyms is provided in Appendix B. An overview of the main roles and responsibilities for delivering and overseeing adult literacy services in Connecticut, information on funding sources and levels, and data on adult education programs, the core of the state's current adult literacy services, follow in Chapters II, III, and IV, respectively.

Being literate is commonly thought of as just being able to read but to educators, policymakers, and many employers, literacy encompasses the many reading, writing, communication, and quantitative skills individuals require for social and economic success today and in the future. Literacy levels are assessed on a continuum of skill-based proficiency. In general, adult literacy levels are measured using a scale of functional skills ranging from little or no ability to read and understand printed material in English to the capability of comprehending and using very complex information in either print or electronic formats.

There is no single, accepted goal for adult literacy programs or any one set standard for literacy. However, many experts agree high levels of English language proficiency and problem-solving skills, and more than a high school diploma, will become increasingly necessary for a family-supporting job, particularly in Connecticut. The primary target populations for adult literacy programs and services, therefore, are individuals with low literacy skill levels, those with limited English proficiency, and adults who lack a secondary school completion credential such as a high school diploma.

For the purposes of the committee study, the following definition from the National Institute for Literacy (NIFL), which is incorporated in federal adult literacy legislation, was used:

Additionally, for study purposes, the term “adult literacy programs and services” means the publicly funded activities in the state that are intended to improve the reading, writing, math, and English speaking skills of individuals age 16 and over who are not enrolled in secondary or postsecondary education credit programs.

Service needs. Increasingly, high reading, writing, and math skills, as well as English language proficiency, and more than a high school diploma are required to obtain a job that can support a family, particularly in Connecticut. Data from the 2000 U.S. Census, the most recent available on literacy needs in the state, show about 16 percent of Connecticut's adult population age 18 and over (426,553 individuals) lack a high school diploma and almost 4 percent of adult residents (92,783) speak English “not well” or “not at all.”

Results from the most recent national study of adult English literacy rates, the 2003 U.S. Department of Education National Assessment of Adult Literacy (NAAL), indicate the reading and math skill levels of many American adults are below what is needed for most well-paying careers or admission to postsecondary education and training programs. NAAL measured adult literacy in three different skill areas:

Data from the national assessment were reported for each skill area using four adult literacy performance levels that range from “Below Basic” to “Proficient” (see below, Table I-1).

Adult literacy performance levels of “Basic” and “Below Basic” are considered low. While there is no set NAAL benchmark for adult literacy, many experts believe adults need performance at least at the “Intermediate” level to function effectively as citizens, parents, and employees in the 21^st century. National NAAL data presented in Table I-2 show the portion of adults with a literacy rate below “Intermediate” was: 43 percent for prose literacy; 34 percent for document literacy; and 55 percent for quantitative literacy. State-by-state literacy rates for 2003 are not yet available.

Until the 2003 assessment results for each state are released, the best available information on literacy needs for Connecticut and other states are from the first national assessment, the National Survey of Adult Literacy (NSAL), which was conducted in 1992.² In addition to producing data on literacy rates nationwide, researchers used the survey data to develop state-level estimates of adult literacy proficiency.³

The NSAL measured the literacy of U.S. adults on a five-level scale, with Level 1 the lowest, and Level 5 the highest, proficiency. According to NIFL, a number of organizations including the National Governors Association (NGA), have identified Level 3 literacy as the minimum standard of proficiency for a family-supporting job in the 21^st century.⁴ Based on the NSAL state estimates, about 41 percent of Connecticut's population age 16 and over (more than 1 million individuals) were at NSAL Levels 1 and 2, or below this benchmark for adult literacy.

A study of adult education systems in New England was conducted for the Nellie Mae Education Foundation in 2002 by Jobs First, a nonprofit research organization. It showed substantial unmet need and demand for literacy services in all six states in the region.⁵ The study defined demand as the number of adults with low literacy skills who acknowledge a need for adult education services, which earlier research found to be about 20 percent of those with literacy levels at NSAL Levels 1 and 2. The Nellie Mae study estimated Connecticut's unmet demand for adult basic literacy skills and ESL services at 181,000 individuals in 2002.⁶

Connecticut's adult literacy activities are subject to state and federal mandates. The main state laws pertaining to adult literacy are the Connecticut General Statutes (C.G.S.) sections concerning adult education (C.G.S. Sections 10-67 through 10-73c). At present, the primary federal legislation on adult literacy is the Adult Education and Family Literacy Act (AEFLA). Both the state and laws are summarized below, while major provisions of each are described in more detail in Appendix C.

State law. In 1902, Connecticut began requiring its large school districts (at least 10,000 residents) to provide evening schools for persons over 14 years old, marking the origins of the adult education requirement in Connecticut. In 1921, any school district regardless of size, upon the written application of 20 or more persons, was required to provide school for non-English speaking adults. These schools were free to town residents. By 1943, requirements for general adult education and for educational services for non-English speaking adults were codified together in the statutory section.

Since 1974, state statutes have required all local and regional school districts, regardless of size, to establish and maintain, either alone or in cooperation with another districts or certain organizations, a program of adult classes for residents age 16 or older who are no longer enrolled in public school. By law, each district's mandated adult education program, which must be provided free of charge to eligible residents, is to include: instruction in Americanization and U.S. citizenship; English for adults with limited English proficiency; and elementary and secondary school completion programs or classes.

Districts are reimbursed by the state for their costs of providing mandated adult education programs on a sliding scale that is based on relative wealth. At present, the state adult education grant, which is administered by the State Department of Education, reimburses districts' eligible costs at rates ranging from 0 to 65 percent.

Federal law. The first federal adult literacy legislation (The Adult Education Act) was enacted as part of the federal Economic Opportunity Act of 1964, the basis for national anti-poverty policies and programs. Over the next 30 years, the federal grants were provided to states to support adult literacy activities under a series of legislative provisions that became increasingly focused on workforce development concerns. Currently, AEFLA, which is Title II of Public Law 105-220, The Workforce Investment Act of 1998 (WIA), is the main federal law pertaining to adult literacy.

The 1998 WIA legislation was a major reform of federal adult education, employment, and vocational rehabilitation programs aimed at creating an integrated system of workforce training and education for adults and youths. In addition to replacing about 60 existing federally funded adult education and employment training programs, the act mandated, for all WIA-funded activities, including adult education: service delivery through local “one-stop” centers; unified state plans for workforce investment; and a performance accountability system with standard outcome measures and reporting requirements.

Under the Adult Education and Family Literacy Act provisions of WIA, block grants are provided to states through the U.S. Department of Education (U.S. DOE) for basic education and literacy programs for adults age 16 and over who lack basic skills, a high school diploma, or English proficiency. U.S. DOE also must provide technical assistance to states, review and approve state plans, and monitor and report on each state's performance of adult literacy activities.

AEFLA grants can be used by states for adult education and literacy services, including workplace literacy services, family literacy services, or English literacy services. The designated state administering agency, which is the State Education Department in Connecticut, can retain a portion of the federal funds for administration and leadership activities but the majority (82.5 percent) must be distributed on a competitive basis to eligible local service providers which may include school districts, community colleges, and nonprofit, community-based organizations.

Eligibility for AEFLA grants requires states to appropriate matching funds and maintain their overall spending levels on adult education and literacy services. States must also negotiate annual performance targets in three core areas (i.e., demonstrated improvement in literacy skills, high school completion rates, and employment and postsecondary education/training rates) and report on their progress through an automated monitoring system established by U.S. DOE.

Adult literacy programs are generally considered to be instructional services intended to improve the reading, writing, listening, and math skills of individuals who are not enrolled in secondary or postsecondary education, as well as the English language proficiency of adult speakers of other languages. Programs specifically aimed at improving English language skills are commonly known as English as a Second Language (ESL).⁷ For the most part, adult literacy programs are aimed at bringing the learner's academic and English language skills to the level represented by completion of a secondary school education program.

Services for improving adult literacy skills are delivered through a number of sources in including: the traditional adult education system operated by local school districts and overseen by the State Education Department (adult education programs); as part of job training and workforce development efforts (workplace literacy programs); in conjunction with early childhood education initiatives (family literacy programs); and within continuing education courses as well as remedial academic classes at community colleges and other postsecondary institutions (developmental education programs). A description of each of these four main types of adult literacy programs -- adult education, workplace literacy, family literacy, and developmental education -- follows.

Adult education. In accordance with federal mandates, all states, under different organizational structures and with differing levels of resources, operate free, public education programs for adults that include the following instructional services: basic literacy skills; secondary adult education and high school completion; and English language acquisition. Many states include U.S. citizenship instruction in their programs, reflecting the historical beginning of state adult education as “Americanization” services for recent immigrants.

Eligibility for free, public adult education generally is limited to persons age 16 and over who lack a high school credential, the skill levels associated with a secondary school education, or English language proficiency. Table I-3 below provides a general description of the four types of instructional programs typically provided through state adult education systems.

As Table I-3 indicates, there is more than one way to obtain a secondary school completion credential through state adult education programs. Individuals can: 1) earn the number of credits needed to meet graduation requirements by taking courses through their school district's adult high school program; 2) be certified as having a secondary school level of education by passing an equivalency test, the General Educational Development (GED) examination; or 3) in some states including Connecticut, meet high school completion requirements by demonstrating their academic skills through a life-experience assessment process. Table I-4 below compares the three types of adult high school completion options as they exist in Connecticut.

In most states, adult education programs are overseen by state education departments and local school districts are common program providers. In some states, community college systems have primary responsibility for adult education while state labor departments are the lead agencies in a few others.

Adult education services are typically delivered in classroom settings, sometimes in local public schools but often at separate, adult education facilities (e.g., adult education centers) as well as in various locations in a community (e.g., libraries, community centers, churches) to improve accessibility. While sometimes referred to as “night school,” adult education programs usually offer both daytime and evening classes, and some may even schedule courses on weekends. In general, adult education programs, particularly those provided by school districts, are headed by a director, who functions like a principal, and have their own administrative staff and educational support positions, such as guidance counselors and social workers.

Workplace literacy. Basic literacy courses, GED programs, and English language instruction also can be included among an array of job preparation or career development activities offered by a nonprofit training program operator or local social service agency. Employers sometimes arrange to have adult literacy services provided on the job site and customized to meet their workforce needs for English language proficiency and/or basic academic skills. Programs that provide adult literacy services in the context of employment are commonly referred to as workplace literacy or workforce education programs.

Local adult education programs, community colleges, and private training companies are among the typical providers of customized adult literacy services for businesses. In addition to job-related academic and ESL classes, the programs may offer participants specific career training. Some workplace literacy programs also make available transportation assistance, child care, and other supports, and some employers allow participants to attend classes on work time with pay.

Family literacy. In recent years, adult basic education has been blended with early childhood education, parenting instruction, and adult education to create family literacy programs. These intergenerational programs are targeted at increasing the literacy skills of low-income families with the goals of improving economic opportunities for the parents and the academic success of their children.

Federal funding has been provided to states through the U.S. Department of Education for family literacy services called “Even Start” programs since 1989.⁸ Program eligibility is limited to parents who have a child under age 8, lack a high school diploma and/or basic reading skills, or need English-as-a-second-language skills. Priority for services is given to families most in need and hardest to serve (i.e., those with the lowest incomes and education levels), with the intent of helping to break the intergenerational cycle of poverty and low literacy levels.

Local education agencies, in collaboration with a community-based organization including a public agency, higher education institution, or other nonprofit organization, may apply to operate an Even Start Program. Adult education services are one of the five required components of the program. The other four components are: early childhood and/or school-age education (up to age 8); parents and children learning together; parent education and support; and literacy-based home-visits.

Even Start is a relatively small federal program; the total federal appropriation for FY 05 was about $225 million and Connecticut received a grant of just over $1.7 million. Nine programs that served a total of 450 participants (adults and children) at an average cost of $3,794 were operational throughout the state that year.

In response to concerns about disappointing results and several negative national evaluations, financial support for the Even Start program has steadily declined since FY 03. The federal appropriation for Even Start was cut by more than half between FY 05 and FY 06 and funding for the upcoming federal fiscal year is in question.

Developmental education. In some cases, individuals have high school completion credentials but still lack the reading and math skills necessary to be successful in postsecondary education or career training programs.⁹ To address this problem, many higher education institutions, particularly community colleges, offer developmental education courses that provide remedial instruction to raise the literacy skills of enrolled students to at least a beginning postsecondary level.

The term developmental education is also used to describe programs of academic instruction made available for incumbent workers who may have a high school credential but need to upgrade basic literacy skills in order to improve their job performance and/or advance their careers.

The major types of adult literacy services and typical providers of those services in Connecticut are illustrated in Figure I-1. As the figure indicates, several state agencies, parts of the public higher education system, local school districts, public libraries, labor unions, private employers, and an array of nonprofit and community-based organizations are among the many entities involved in the delivery of adult literacy services. Nonprofit and community groups include, but are not limited to: volunteer-based agencies such as Literacy Volunteers; local community action agencies; YMCAs, churches, and other charitable organizations that sponsor reading and ESL programs for adults and families; and nonprofit employment and training agencies like Waterbury Opportunities Industrialization Center (OIC) that incorporate adult basic education in their jobs programs. The main public providers and their roles and responsibilities for funding, delivering, and overseeing adult literacy programs in the state are described more fully in the next chapter.

Adult literacy services in Connecticut are not delivered through one, cohesive system and no single state agency oversees or coordinates all programs. At present, three state systems have key roles in providing adult literacy services: the adult education system; the workforce investment system; and the community college system. Major adult literacy responsibilities carried out by each one are described below. Current state efforts to coordinate adult literacy activities across these systems are also highlighted.

In Connecticut, the State Department of Education and local school districts have central roles in the state's mandated adult education system. In addition to the programs provided by local and regional school districts, some adult education services are delivered by nonprofit, community-based organizations and state agencies. Adult education functions carried out by the department, and school districts and other providers are outlined below.

State education department. The main adult education duties of the State Department of Education are: planning and reporting on programs and services in accordance with federal and state requirements; administering federal and state funding; and monitoring and providing technical assistance to program providers. These responsibilities are carried out by the department's Bureau of Early Childhood, Career and Adult Education.

At present, five education consultant positions within the bureau are assigned to adult education functions although one is vacant due to a recent retirement. The department's adult education staffing dropped to its current level in FY 03, following implementation of the state's early retirement program, from a peak of 10 filled consultant positions in FY 01.

Consultant duties. The adult education consultants are responsible for developing state plans and federal grant applications, processing state grant applications, directing state-level initiatives to improve services, and serving as liaisons to agencies and organizations with links to adult education. As part of the bureau's monitoring responsibilities, the consultants: review program and financial data from each provider; conduct site visits; and work with providers to address performance problems.

Professional development. The bureau uses some of the federal funding it receives for statewide leadership activities to contract with the Capitol Region Education Council (CREC) for professional development services for adult education teachers, administrators and other program and support staff. CREC established and operates the Adult Training and Development Network (ATDN) to provide a variety of services including: workshops on instruction techniques in all academic areas; training on administrative policies and procedures; technical assistance on student appraisal and assessment tools; facilitated discussions on adult education topics; and classroom materials and other resources.

Accountability. The State Education Department is responsible for meeting federal as well as state accountability requirements for adult education activities. Like all states, Connecticut must report program outcomes to the U.S. Department of Education through the National Reporting System (NRS), the performance monitoring process mandated under AEFLA.

The federal NRS establishes five core measures for assessing program effectiveness: demonstrated literacy skill improvement; high school completion; entered postsecondary education or training; entered employment; and retained employment. Each year, states must negotiate targeted levels of performance for each core measure and report progress toward their goals to the U.S. DOE. The department's adult education staff are responsible for setting Connecticut's performance goals and tracking and reporting results for the NRS core measures.

To carry out this function, the bureau uses the Connecticut Competency System (CCS), an internal accountability process developed by SDE in the late 1980s that integrates assessment of student performance, curriculum development, and instruction. It is based on the standardized, competency-based assessments developed for adults by Comprehensive Adult Student Assessment System (CASAS), an independent, national testing organization overseen by a consortium of adult education program providers, employment and training professionals, and business and industry representatives. (More details on CASAS and the NRS core measures are provided in Appendix D.)

Adult education, family literacy and any other program providers funded by the bureau are expected to meet CCS performance standards and data collection requirements as well as follow the system's student assessment procedures. The system is intended to help assure effective service delivery by all providers, as well as comply with NRS performance monitoring requirements.

As part of the CCS accountability process, the bureau developed an automated information system called the Connecticut Adult Reporting System (CARS) to collect and report demographic and performance data on all adult education participants. CARS is an Internet-based comprehensive database that can be used by adult education program providers to report required information to the bureau, as well as to generate information for their own management and planning uses.

The bureau also uses CARS to implement a data-driven accountability and program improvement system it created in 2004. Each year, performance profiles based on CARS data are developed by bureau staff. The profiles encompass program effectiveness indicators beyond the NRS core measures of student outcomes, such as recruitment (meeting demand for services), student retention, and utilization of instruction. The profiles are used by bureau staff to provide feedback to help providers improve overall performance and to target technical assistance.

School districts. While a variety of organizations can, and do, provide adult education services in Connecticut, school districts have a statutory responsibility to provide or arrange for free mandated adult education programs (i.e., adult basic education, secondary school completion, ESL, and citizenship) for eligible residents of their communities.¹⁰ Some districts provide all mandated adult education services with their own staff and other resources. Others directly provide parts of their programs, adult basic and secondary education, for example, and contract out for some services like ESL programs. School districts are not required to provide any services directly and may, by law, make “cooperative arrangements” with adult education programs in other districts or regional education service centers (RESCs) to serve their residents.¹¹

At present, school districts in 125 towns are adult education program cooperators, and districts in 44 municipalities are program providers. As Figure II-1 indicates, cooperating districts tend to include the smaller, more rural towns across the state. (Appendix E lists all the providers and the cooperating district municipalities they serve.)

Program providers. Connecticut's adult education system currently includes a total of 71 school districts and other organizations that receive state and federal grant funding to provide mandated adult basic and secondary education, English literacy, and citizenship programs. Figure II-2 lists all the providers in the state by category.

As the figure shows, most adult education program providers, 44, are local and regional school districts and three are RESCs. Another 16 providers are what are known by state statute as “cooperating eligible entities” (CEEs), the public or private organizations that provide certain types of adult education classes or services to school districts and RESCs under formal agreements. CEEs, in a sense, act like subcontractors, independently performing specified activities but funded through the main provider organization's adult education budget.

The majority of CEEs are local Literacy Volunteers (LV) agencies. Literacy Volunteers are local affiliates of ProLiteracy America, a nonprofit educational organization of volunteer-based adult literacy service providers. Through LV programs, trained volunteers provide adult learners one-on-one or small group instruction in basic literacy skills and ESL. Literacy Volunteers agencies have a long history as critical partners for adult education programs in Connecticut and across the country because they can provide quality individualized instruction, which adults with very limited literacy and/or English language skills need, at a relatively low cost.

The remaining eight adult education providers are an assortment of entities that include: the Department of Correction; one community college; one state technical high school; two local housing authorities; and three nonprofit community-based organizations. Unlike the school district providers, they operate programs with very targeted literacy services and/or populations

and receive only federal adult education funds through SDE. With the exception of the correction department adult education program, the services provided by these organizations are projects in areas designated by the state as priorities for federal adult education grant funding, such as workplace education, transition to postsecondary education, and family literacy. (The state's priority funding areas are discussed in more detail in the following chapter.)

The DOC school district, which has an average daily enrollment of more than 3,000 students, is the largest provider of adult education services in the state. It is funded through a state General Fund appropriation within the agency budget and some federal monies. Unlike other providers overseen by SDE, it does not receive any state adult education grant funds; it is not receiving any federal adult education grant funds at this time, although it has in the past. The state portion of the annual district budget, which is used mainly for personnel costs, has been approximately $25 million in recent years and federal grant funding has totaled about $1.5 million a year. The district serves about 12,500 students a year, operates 18 schools within the correctional community, and in the 2004-2005 school year employed 222 professional full-time staff and 48 durational part-time employees.

Main duties. Adult education program providers have direct responsibility for mandated literacy services. Their duties include: assessing and counseling students; developing and providing instructional programs; meeting all financial and performance reporting requirements; and staffing, scheduling, and other related support and administrative functions.

There are few state-level standards for the mandated adult education programs beyond the minimum requirements set in statute for an adult high school credit diploma. School districts and other adult education providers have considerable control over the amount, type, and quality of instructional services they offer so there can be significant variation among programs.

The state does require that adult education teachers be certified and all programs that offer high school credit diplomas must have guidance counselors. However, the conditions of employment for adult education staff are decided by the program providers. For the most part, even in school districts, adult education staff positions are part-time and few are part of collective bargaining units. In some districts, even the director of adult education is a part-time position.

Program statistics. Basic enrollment and budget information for each provider for FY 05, the most recent available annual data, is presented in Appendix F. In that year, total providers numbered 74, including three community-based organizations (shown in italics in the table) that received federal adult education funding in FY 05, but did not subsequently apply for any grants.

There is a wide range in enrollment numbers among all providers, from as small as five students in one program operated by a CEE (Waterbury OIC) to over 3,200 in the New Haven Adult Education Program. Among just the school district and RESC programs in FY 05, the smallest was in Simsbury with 24 students, the largest in New Haven, and the median program size was 283. As would be expected, the school district programs in the larger cities have the most students. Eight district programs (New Haven, Hartford, Stamford, Bridgeport, Waterbury, Danbury, Norwich and New Britain) and the Department of Correction each had enrollments of over 1,000 students and together accounted for almost 60 percent of adult education students statewide.

Operating budgets for adult education programs also vary greatly in size. In FY 05, funding levels ranged from just under $20,000 for Waterbury OIC, a cooperating eligible entity that only provides adult basic education services, to over $6 million for the Hartford Adult Education Program. A total of 12 programs, all school district providers, had funding levels of more than $1 million, but in general, adult education budgets are relatively small. The median funding level for school district and RESC programs in FY 05 was about $378,000.

Overall trends in adult education funding are discussed in the following chapter. Program review analysis of selected data SDE compiles on participation, utilization, performance from each of the state's adult education providers in the state is presented in Chapter IV.

Connecticut's workforce investment system, under state and federal mandates, incorporates a variety of state agencies and programs as well as local and regional entities, community-based organizations, and private providers involved in employment training and work-related education. The purpose of the workforce investment system is to improve the quality of jobs and workers in Connecticut and support economic development by ensuring the availability of a skilled, competitive workforce. While adult literacy activities are not the system's focus, they are a key priority according to the state's most recent two-year workforce investment strategic plan.¹²

Much of the system's current structure and responsibilities is based on requirements contained in the 1998 federal Workforce Investment Act. WIA mandates planning and policy-making groups at both the state and local levels and an integrated, one-stop service delivery network for employment, education, and training programs. The main components of Connecticut's workforce investment system at present are:

• the Connecticut Department of Labor, the state agency designated to administer WIA Title I and Title III employment and training programs and responsible for the employment portion of the state's welfare-to-work program, Jobs First Employment Services (JFES);

• the Connecticut Employment and Training Commission (CETC), which is staffed by the Office of Workforce Competitiveness (OWC), and serves as the state-level workforce investment policy board mandated by WIA;

• five Regional Workforce Investment Boards (WIBs), which are the local policy boards required under WIA; and

• CTWorks, the state's system of one-stop job service centers.

An overview of main provisions of WIA regarding employment and training programs and background on each system component is provided in Appendix G. Key adult literacy activities carried out by CETC, the regional boards, and the one-stop centers are highlighted below. The labor department's administration of the Jobs First Employment Services program, whose clients often are in need of adult literacy services, is also briefly described.

CETC duties. CETC serves as the WIA-required statewide workforce investment policy board, with staff support and assistance provided by the Office of Workforce Competitiveness. The commission, in consultation with the regional workforce development boards, is required to prepare, and update at least once every five years, a single Connecticut workforce development plan that outlines a five-year strategy for the state's workforce development system.

The plan is intended to serve as a framework for the development of public policy, fiscal investment, and operation of all workforce education and job training programs in the state. It is required by federal and state law to contain long-term and short-term goals, which must address accountability for provider performance, coordination of activities, and integration of funding resources, benchmarks, and performance measures.

The state strategic plan must also identify core, intensive, and training services that are available under the one-stop service delivery system. Several of these, such as initial and comprehensive skill assessments, and programs that combine workplace training with related instruction like adult education, are related to adult literacy.

Each year, CETC is required to submit recommendations to the governor and the General Assembly on the appropriation of WIA funds for a number of specified workforce development activities including certain adult literacy services. These include: job-related vocational, literacy, language and numerical skills training; adult workforce development services for individuals with barriers to fulltime, stable employment including language, basic skills, and occupational literacy barriers; and special grants or contracts in each region for training programs targeted for difficult-to-serve workers, including but not limited to, those with low literacy skills, limited English proficiency, or lacking a high school credential.

Since 1999, the commission has been required by state law to provide the regional workforce development boards with criteria for evaluating employment and training programs they fund. The criteria must include: a description of the amount, type, and effectiveness of literacy training; the number of persons completing job training; the gender and race of persons receiving training; occupational skill types; the number of persons who enter unsubsidized employment; the number remaining in unsubsidized employment after six months; and the earnings they receive. CETC must include the board program evaluations in its statutorily mandated annual progress report to the governor and legislature.

The employment and training commission uses these evaluation criteria as the basis for the education and job training report card it has been statutorily required to develop since 1999. The report card must assess the Connecticut workforce development system's accomplishments in meeting federal accountability requirements. By law, the report card must address system effectiveness in meeting both employers' needs for educated and trained workers and clients' needs for improving their economic well-being. Each report card produced by the commission to date includes outcome information related to adult education programs and community colleges, as well as the other major parts of the workforce investment system.

Regional boards. At present, there are five regional boards in Connecticut responsible for developing policies for workforce investment funding and programming, as well as planning and overseeing service delivery for their geographic areas. Each regional board is listed in Table II-1.

In accordance with federal requirements, the WIBs play the lead role at the local level in coordinating strategies and resources to meet the workforce development needs, including employment-related literacy needs, of their employers, workers, and jobseekers. Under federal law, WIBS must establish at least one one-stop comprehensive center for delivering employment, education and training services in their areas and may contract with a public or private organization to operate the centers. (With very few exceptions, WIA prohibits boards from directly operating one-stop centers.)

In Connecticut, the regional boards, in partnership with state labor department, supervise one-stop centers. In a number of cases, the centers are located in facilities leased by DOL. A map showing the state's five workforce regions, and the location of all CTWorks one-stop centers, is presented in Figure II-3.

All regional boards are subject to compliance and performance monitoring by DOL and are expected to conform with federal and state workforce investment policies and operating procedures. However, WIBs are also expected to tailor their activities to respond to the needs and resources of their particular service areas. As a result, funding and programming priorities, as well as the scope of services and service delivery methods, can vary from region to region.

One-stop centers. Currently there are 20 CTWorks career centers throughout the state (see Figure II-3) that serve as Connecticut's WIA one-stop network for employment and training services for jobseekers and employers. One-stop centers are an important initial access point to services for adults in need of improved literacy skills. One-stop centers, at a minimum, provide information about adult education programs and other literacy services through their self-service resource rooms.

When individuals have obvious English language or reading, writing, and math needs, staff may refer them immediately to the adult education system or help them access volunteer-based services (e.g., Literacy Volunteers). Literacy skill assessments are not routinely offered to all customers, as a center's primary focus is employment and the staff's main function is to help with job search and training. However, one-stop customers who are eligible for intensive WIA services, including all JFES welfare-to-work program participants, do receive a formal reading and math skills appraisal, as well as a comprehensive career assessment.

It is state policy that all one-stop centers use the same adult literacy skills assessment system as the adult education system requires for its program providers, the Comprehensive Adult Skills Assessment System. Training and technical assistance in using CASAS is provided to one-stop center case management and employment specialist staff by the State Department of Education through its adult education professional development contractor.

The one-stops use a CASAS appraisal test, the ECS-130, that measures reading and math skills in terms of employability. Unlike other CASAS tests used by adult literacy programs to measure gains in proficiency, appraisal instruments are designed to identify overall skill levels and guide placement decisions. One-stop staff use the results help develop individual employability plans for clients and make referrals to literacy services, such as adult education programs. Data on lit


Table I-1. Literacy Performance Levels for Adults (NAAL 2003)
Level	Definition	Sample Tasks
Below Basic	Nonliterate in English to the most simple and concrete literacy skills	• Search short, simple text to find out what a patient can drink before a medical test • Sign a form • Add amounts on a bank deposit slip
Basic	Skills necessary to perform simple and everyday literacy tasks	• Find in a prospective juror pamphlet how people are selected for the jury pool • Use a TV guide to find out what programs are on at a specific time • Compare ticket prices for two events
Intermediate	Skills necessary to perform moderately challenging literacy activities	• Consult reference materials to determine which foods contain a particular vitamin • Identify a specific location on a map • Calculate the total cost of ordering specific office supplies from a catalog
Proficient	Skills necessary to perform more complex and challenging literacy activities	• Compare viewpoints in two editorials • Interpret a table about blood pressure, age and physical activity • Compute and compare the cost per ounce of food items
Source: “A First Look at the Literacy of America's Adults in the 21^st Century,” NCES, 2006.


Table I-2. U.S. Adult Literacy Rates: 2003
	Below Basic	Basic	Intermediate	Proficient
Literacy Area
Prose	14%	29%	44%	13%
Document	12%	22%	53%	13%
Quantitative	22%	33%	33%	13%
Source: “A First Look at the Literacy of America's Adults in the 21^st Century,” National Center for Education Statistics, 2006


Table I-3. State Adult Education Instructional Programs
Program	Description
Adult Basic Education (ABE)	Instruction in basic reading, writing, computing skills for adults functioning at lower literacy levels to just below high school level. Completion of an ABE program is intended to prepare an individual to benefit from secondary-level educational instruction and improve opportunities for employment and meeting adult responsibilities.
Adult Secondary Education (ASE)/High School Completion	Instruction for adults whose literacy skills are at approximately the secondary school level and who are seeking a high school diploma or equivalent credential such as a General Educational Development certificate. Diploma programs require adults to earn a minimum number of credits in a prescribed set of academic areas comparable to a school district's graduation standards. GED programs provide instruction to help individuals prepare to pass a five-part standardized test that demonstrates attainment of academic skills and concepts normally acquired through completion of a high school education program.
English as a Second Language (ESL)	Instruction for adults who lack English language proficiency and are seeking to improve their ability to understand, speak, read, or write in English. Courses are available at different levels (beginning, intermediate, and advanced) and are intended to develop language skills needed for employment, other education and training, and successful adjustment to life in the United States.
Citizenship	Instruction for foreign-born individuals who wish to become United States citizens. Civics education courses are intended to prepare adults for the Immigration and Naturalization citizenship process and are sometimes integrated with English language instruction.
Source of Data: SDE Bureau of Early Childhood, Career and Adult Education


Table I-4. Adult Education Secondary School Completion Options in Connecticut
	Adult High School Credit Diploma (AHSCD)	General Educational Development (GED)	External Diploma Program (EDP)
Method	Academic Credits (classroom and approved independent study)	Standardized Examination	Portfolio Assessment
Requirements	Obtain minimum of 20 academic and elective credits through prescribed plan of course work (districts may enhance diploma requirements)* One credit course must be at least 48 hours in length Diploma program must comply with SDE administrative requirements and only use certified teachers/counselors	Pass GED examination (a standardized, national, five-part test including a writing sample, developed by the American Council on Education) Applicants must be at least 17 years of age and officially withdrawn from school for at least six months.	Complete portfolio that demonstrates skills and competence in particular job, talent, or academic area gained through life experiences (no classroom instruction)
Credential	School District Diploma	Connecticut High School Diploma	School District Diploma
Providers	Adult Education Programs operated by Local Education Agencies (local or regional school districts and Regional Education Service Centers)	All Adult Education Programs; variety of community organizations	Adult Education Programs (at their option)
*Credits must be distributed as follows: 4 English; 3 social studies including American history and ½ civics/government; 3 math; 2 science; 1 Arts/Vocation Education; 7 Electives Source: PRI staff analysis of SDE Bureau of Early Childhood, Career and Adult Education materials


Figure II-2. Connecticut Adult Education System Providers (2006)
School Districts (44) Berlin Adult Education Bloomfield Adult Education Branford Adult Education (ERACE) Bridgeport Adult Education Bristol Adult Education Cheshire Adult Education Danbury Adult Education (WERACE) East Hartford Adult Education East Haven Adult Education Enfield Adult Education Fairfield Adult Education Farmington Adult Education Greenwich Adult Education Groton Adult Education Hamden Adult Education Hartford Adult Education Meriden Adult Education Middletown Adult Education Milford Adult Education Naugatuck Adult Education New Britain Adult Education New Haven Adult Education Newington Adult Education New London Adult Education New Milford Adult Education North Haven Adult Education Norwalk Adult Education Norwich Adult Education Plainville Adult Education Shelton/Valley Reg. Adult Education Simsbury Adult Education Southington Adult Education Stamford Adult Education Stratford Adult Education Trumbull Adult Education Vernon Adult Education Wallingford Adult Education Waterbury Adult Education West Hartford Adult Education West Haven Adult Education Westport Adult Education Wethersfield Adult Education Windsor Adult Education Windsor Locks Adult Education	RESCs (3) Capitol Region Education Center Education Connection EastConn CEEs (16) Family Services Woodfield Literacy Volunteers - Danbury Literacy Volunteers - East Hartford Literacy Volunteers - Enfield Literacy Volunteers - Greater Hartford Literacy Volunteers - Meriden Literacy Volunteers - Middletown Literacy Volunteers - New Britain/Bristol Literacy Volunteers - New Haven Literacy Volunteers - New London Literacy Volunteers - Norwich Literacy Volunteers - Stamford/Greenwich Literacy Volunteers - Waterbury Urban League Waterbury OIC YMCA of Metro Hartford - Read to Succeed Other (8) Department of Corrections APT Foundation Bullard Havens Tech. High School Connecticut Puerto Rican Forum Housing Authority of Ansonia Housing Authority of Meriden Mercy Learning Center NW CT Community Technical College
Source of Data: SDE Bureau of Early Childhood, Career and Adult Education


Table II-1. Connecticut Regional Workforce Investment Boards (WIBs)
Area	No. Towns	Regional Board Name	WIB Office Location	No. One-Stop Center Sites
North Central	37	Capital Workforce Partners	Hartford	6
South Central	30	Workforce Alliance	New Haven	4
East	41	Eastern CT Workforce Investment Board	Franklin	4
Southwest	20	The Workplace, Inc.	Bridgeport	3
Northwest	41	Northwest Regional Workforce Investment Board, Inc.	Waterbury	3
Source of Data: Connecticut Department of Labor