Adult Education Annual Performance and Financial Reports

Table 1 (for Program Years 2008-09 and 2009-10)
Participants by Entering Educational Functioning Level, Ethnicity, and Sex

Enter the number of participants* by educational functioning level,** ethnicity,*** and sex.

Entering Educational Functioning Level

American Indian or Alaska Native

Asian

Black or African-American

Hispanic or Latino

Native Hawaiian or Other Pacific Islander

White

Total

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

(N)

ABE Beginning Literacy

ABE Beginning Basic Education

ABE Intermediate Low

ABE Intermediate High

ASE Low

ASE High

ESL Beginning Literacy

ESL Low Beginning

ESL High Beginning

ESL Intermediate Low

ESL Intermediate High

ESL Advanced

Total

*A participant is an adult who receives at least twelve (12) hours of instruction. Work-based project learners are not included in this table.

**See attached definitions for educational functioning levels.

***A participant should be included in the racial/ethnic group to which he or she appears to belong, identifies with, or is regarded in the community as belonging.

OMB Number 1830-0027, Expires 7/31/09.

Table 1 (beginning Program Year 2010-11)
Participants by Entering Educational Functioning Level, Ethnicity, and Sex

Enter the number of participants* by educational functioning level,** ethnicity,*** and sex.

Entering Educational Functioning Level

American Indian or Alaska Native

Asian

Black or African-American

Hispanic/ Latino

Native Hawaiian or Other Pacific Islander

White

Two or more races

Total

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

(N)

(O)

(P)

ABE Beginning Literacy

ABE Beginning Basic Education

ABE Intermediate Low

ABE Intermediate High

ASE Low

ASE High

ESL Beginning Literacy

ESL Low Beginning

ESL High Beginning

ESL Intermediate Low

ESL Intermediate High

ESL Advanced

Total

*A participant is an adult who receives at least twelve (12) hours of instruction. Work-based project learners are not included in this table.

**See attached definitions for educational functioning levels.

*** See attached definitions of race/ethnicity categories and examples that demonstrate how to report them. A participant should be included in the racial/ethnic group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. If a student does not self-identify a race/ethnicity, the program must use observer identification.

Table 2 (for Program Years 2008-09 and 2009-10)
Participants by Age, Ethnicity, and Sex

Enter the number of participants by age,* ethnicity, and sex.

Age Group

American Indian or Alaska Native

Asian

Black or African-American

Hispanic or Latino

Native Hawaiian or Other Pacific Islander

White

Total (N)

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

16–18

19–24

25–44

45–59

60 and Older

Total

*Participants should be classified based on their age at entry. Participants entering the program prior to the current program year should be classified based on their age at the beginning of the current program year. Work-based project learners are not included in this table.

The totals in Columns B–M should equal the totals in Column B–M of Table 1. Row totals in Column N should equal corresponding column totals in Table 3.

OMB Number 1830-0027, Expires 7/31/09.

Table 2 (beginning Program Year 2010-11)
Participants by Age, Ethnicity, and Sex

Enter the number of participants by age,* ethnicity, and sex.

Age Group

American Indian or Alaska Native

Asian

Black or African-American

Hispanic/ Latino

Native Hawaiian or Other Pacific Islander

White

Two or more races

Total

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(P)

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

(N)

(O)

16–18

19–24

25–44

45–59

60 and Older

Total

*Participants should be classified based on their age at entry. Participants entering the program prior to the current program year should be classified based on their age at the beginning of the current program year. Work-based project learners are not included in this table.

** See definitions of race/ethnic categories and examples that demonstrate how to report them.

The totals in Columns B–O should equal the totals in Column B–O of Table 1. Row totals in Column P should equal corresponding column totals in Table 3.

Table 3
Participants by Program Type and Age

Enter the number of participants by program type and age.

Program Type	16–18	19–24	25–44	45–59	60 and Older	Total
(A)	(B)	(C)	(D)	(E)	(F)	(G)
Adult Basic Education
Adult Secondary Education
English-as-a-Second Language
Total

The total in Column G should equal the total in Column N of Table 1.

The total in Columns B–F should equal the totals for the corresponding rows in Column N of Table 2 and the total in Column N of Table 1.

OMB Number 1830-0027, Expires 7/31/09.

Table 4
Educational Gains and Attendance by Educational Functioning Level

Enter number of participants for each category listed, total attendance hours, and calculate percentage of participants completing each level.

Entering Educational Functioning Level	Total Number Enrolled	Total Attendance Hours	Number Completed Level	Number who Completed a Level and Advanced One or More Levels	Number Separated Before Completed	Number Remaining Within Level	Percentage Completing Level
(A)	(B)	(C)	(D)	(E)	(F)	(G)	(H)
ABE Beginning Literacy
ABE Beginning Basic Education
ABE Intermediate Low
ABE Intermediate High
ASE Low
ASE High*
ESL Beginning Literacy
ESL Low Beginning
ESL High Beginning
ESL Intermediate Low
ESL Intermediate High
ESL Advanced
Total

The total in Column B should equal the total in Column N of Table 1.

Column D is the total number of learners who completed a level, including learners who left after completing and learners who remained enrolled and moved to one or more higher levels.

Column E represents a subset of Column D (Number Completed Level) and is learners who completed a level and enrolled in one or more higher levels.

Column F is students who left the program or received no services for 90 consecutive days and have no scheduled services.

Column D + F + G should equal the total in Column B.

Column G represents the number of learners still enrolled who are at the same educational level as when entering.

Each row total in Column H is calculated by using the following formula:

Work-based project learners are not included in this table.

*Completion of ASE high level is attainment of a secondary credential or passing GED tests.

OMB Number 1830-0027, Expires 7/31/09.

Table 4B
Educational Gains and Attendance for Pre- and Posttested Participants

Enter number of pre- and posttested participants for each category listed, calculate percentage of posttested participants completing each level, and enter total attendance hours for posttested completion.

Entering Educational Functioning Level	Total Number Enrolled Pre- and Posttested	Total Attendance Hours	Number Completed Level	Number who Completed a Level and Advanced One or More Levels	Number Separated Before Completed	Number Remaining Within Level	Percentage Completing Level
(A)	(B)	(C)	(D)	(E)	(F)	(G)	(H)
ABE Beginning Literacy
ABE Beginning Basic Education
ABE Intermediate Low
ABE Intermediate High
ASE Low
ASE High*
ESL Beginning Literacy
ESL Low Beginning
ESL High Beginning
ESL Intermediate Low
ESL Intermediate High
ESL Advanced
Total

Include in this table only students who are both pre- and posttested.

Column D is the total number of learners who completed a level, including learners who left after completing and learners who remained enrolled and moved to one or more higher levels.

Column E represents a subset of Column D (Number Completed Level) and is learners who completed a level and enrolled in one or more higher levels.

Column F is students who left the program or received no services for 90 consecutive days and have no scheduled services.

Column D + F + G should equal the total in Column B.

Column G represents the number of learners still enrolled who are at the same educational level as when they entered.

Each row total in Column H is calculated using the following formula:

Work-based project learners are not included in this table.

*Completion of ASE high level is attainment of a secondary credential or passing GED tests.

OMB Number 1830-0027, Expires 7/31/09.

Table 4C
Educational Gains and Attendance for Participants in Distance Education

Enter number of distance education participants for each category listed, calculate percentage of participants completing each level, and enter total proxy and direct attendance hours.

Entering Educational Functioning Level	Total Number Enrolled In Distance Education	Total Estimated and Actual Attendance Hours	Number Completed Level	Number who Completed a Level and Advanced One or More Levels	Number Separated Before Completed	Number Remaining Within Level	Percentage Completing Level
(A)	(B)	(C)	(D)	(E)	(F)	(G)	(H)
ABE Beginning Literacy
ABE Beginning Basic Education
ABE Intermediate Low
ABE Intermediate High
ASE Low
ASE High*
ESL Beginning Literacy
ESL Low Beginning
ESL High Beginning
ESL Intermediate Low
ESL Intermediate High
ESL Advanced
Total

Include in this table only students who are counted as distance education students.

Column D is the total number of learners who completed a level, including learners who left after completing and learners who remained enrolled and moved to one or more higher levels.

Column E represents a subset of Column D (Number Completed Level) and is learners who completed a level and enrolled in one or more higher levels.

Column F is students who left the program or received no services for 90 consecutive days and have no scheduled services.

Column D + F + G should equal the total in Column B.

Column G represents the number of learners still enrolled who are at the same educational level as when they entered.

Each row total in Column H is calculated using the following formula:

Work-based project learners are not included in this table.

*Completion of ASE high level is attainment of a secondary credential or passing GED tests.

OMB Number 1830-0027, Expires 7/31/09

Table 5
Core Followup Outcome Achievement

Core Followup Outcome Measures	Number of Participants With Main or Secondary Goal	Number of Participants Included in Survey Sample	Number of Participants Responding to Survey or Used for Data Matching	Response Rate or Percent Available for Match	Number of Participants Achieving Outcome	Percent Achieving Outcome
(A)	(B)	(C)	(D)	(E)	(F)	(G)
Entered Employment*
Retained Employment**
Obtained a GED or Secondary School Diploma***
Entered Postsecondary Education or Training****

Instructions for Completing Table 5

* Report in Column B the number of participants who were unemployed at entry and who had a main or secondary goal of obtaining employment and who exited during the program year. Do not exclude students because of missing Social Security numbers or other missing data.

** Report in Column B: (1) the number of participants who were unemployed at entry and who had a main or secondary goal of employment who exited during the program year and who entered employment by the end of the first quarter after program exit and (2) the number of participants employed at entry who had a main or secondary goal of improved or retained employment who exited during the program year.

*** Report in Column B the number of participants with a main or secondary goal of passing GED tests or obtaining a secondary school diploma or its recognized equivalent who exited during the program year.

**** Report in Column B the number of participants with a main or secondary goal of placement in postsecondary education or training who exited during the program year.

If survey is used, then the number in Column C should equal the number in Column B unless random sampling was used. If one or more local programs used random sampling, then enter in Column C the total number of students included in the survey. If data matching is used, then Column C should be left blank.

If survey is used, then the number in Column D should be less than Column C, unless there was a 100-percent response rate to the survey. If data matching is used, then the number reported in Column D should be the total number of records available for the data match. That number is normally less than the number in Column B. (If the numbers in these two columns are equal, then it means that all Social Security numbers are valid and that there are no missing Social Security numbers.)

Column E , unless one or more programs used random sampling. If random sampling was used, see Appendix C of the NRS Survey Guidelines for further instructions on reporting.

In Column F, the number should be equal to or less than the number in Column D.

Column G is the number in Column F divided by the number in Column D. Column G should never be greater than 100 percent. If the response rate is less than 50 percent (Column E), then the percent reported in Column G is not considered valid.

OMB Number 1830-0027, Expires 7/31/09.

Table 5A
Core Followup Outcome Achievement for Participants in Distance Education

Core Followup Outcome Measures	Number of Participants With Main or Secondary Goal	Number of Participants Included in Survey Sample	Number of Participants Responding to Survey or Used for Data Matching	Response Rate or Percent Available for Match	Number of Participants Achieving Outcome	Percent Achieving Outcome
(A)	(B)	(C)	(D)	(E)	(F)	(G)
Entered Employment
Retained Employment**
Obtained a GED or Secondary School Diploma***
Entered Postsecondary Education or Training****

Include in this table only students who are counted as distance education students.

Follow the same instructions for Completing Table 5 to complete Table 5a, repeated below.

* Report in Column B the number of participants who were unemployed at entry and who had a main or secondary goal of obtaining employment and who exited during the program year. Do not exclude students because of missing Social Security numbers or other missing data.

** Report in Column B: (1) the number of participants who were unemployed at entry and who had a main or secondary goal of employment who exited and who entered employment by the end of the first quarter after program exit and (2) the number of participants employed at entry who had a main or secondary goal of improved or retained employment who exited in the first and second quarter

*** Report in Column B the number of participants with a main or secondary goal of passing GED tests or obtaining a secondary school diploma or its recognized equivalent who exited during the program year.

**** Report in Column B the number of participants with a main or secondary goal of placement in postsecondary education or training who exited during the program year.

If survey is used, then the number in Column C should equal the number in Column B unless random sampling was used. If one or more local programs used random sampling, then enter in Column C the total number of students included in the survey. If data matching is used, then Column C should be left blank.

If survey is used, then the number in Column D should be less than Column C, unless there was a 100-percent response rate to the survey. If data matching is used, then the number reported in Column D should be the total number of records available for the data match. That number is normally less than the number in Column B. (If the numbers in these two columns are equal, then it means that all Social Security numbers are valid and that there are no missing Social Security numbers.)

Column E , unless one or more programs used random sampling. If random sampling was used, see Appendix C of the NRS Survey Guidelines for further instructions on reporting.

In Column F, the number should be equal to or less than the number in Column D.

Column G is the number in Column F divided by the number in Column D. Column G should never be greater than 100 percent. If the response rate is less than 50 percent (Column E), then the percent reported in Column G is not considered valid.

OMB Number 1830-0027, Expires 7/31/09.

Table 6
Participant Status and Program Enrollment

Enter the number of participants for each of the categories listed.

Participant Status on Entry into the Program	Number
(A)	(B)
Disabled
Employed
Unemployed
Not in the Labor Force
On Public Assistance
Living in Rural Area*
Program Type
In Family Literacy Program**
In Workplace Literacy Program**
In Program for the Homeless**
In Program for Work-based Project Learners**
Institutional Programs
In Correctional Facility
In Community Correctional Program
In Other Institutional Setting
Secondary Status Measures (Optional)
Low Income
Displaced Homemaker
Single Parent
Dislocated Worker
Learning Disabled Adult

*Rural areas are places with less than 2,500 inhabitants and located outside urbanized areas.

**Participants counted here must be in a program specifically designed for that purpose.

OMB Number 1830-0027, Expires 7/31/09.

Table 7
Adult Education Personnel by Function and Job Status

Enter an unduplicated count of personnel by function and job status.

Function	Adult Education Personnel		Unpaid Volunteers
	Total Number of Part-time Personnel	Total Number of Full-time Personnel
(A)	(B)	(C)	(D)
State-level Administrative/ Supervisory/Ancillary Services
Local-level Administrative/ Supervisory/Ancillary Services
Local Teachers
Local Counselors
Local Paraprofessionals

In Column B, count one time only each part-time employee of the program administered under the Adult Education State Plan who is being paid out of Federal, State, and/or local education funds.

In Column C, count one time only each full-time employee of the program administered under the Adult Education State Plan who is being paid out of Federal, State, and/or local education funds.

In Column D, report the number of volunteers (personnel who are not paid) who served in the program administered under the Adult Education State Plan.

OMB Number 1830-0027, Expires 7/31/09.

Table 8
Outcomes for Adults in Family Literacy Programs (Optional)

Enter the number of participants in family literacy programs for each of the categories listed.

Core Followup Outcome Measures (A)	Number of Participants With Main or Secondary Goal (B)	Number of Participants Included in Survey (Sampled and Universe) (C)	Number of Participants Responding to Survey or Used for Data Matching (D)	Response Rate or Percent Available for Match (E)	Number of Participants Achieving Outcome (F)	Weighted Average Percent Achieving Outcome (G)
Completed an Educational Functioning Level *
Entered Employment
Retained Employment
Obtained a GED or Secondary School Diploma
Entered Postsecondary Education or Training
Increased Involvement in Children’s Education
Helped more frequently with school
Increased contact with children’s teachers
More involved in children’s school activities
Increased Involvement in Children’s Literacy Activities
Reading to children
Visiting library
Purchasing books or magazines

For reporting completion of Educational Functioning Level:

* Report in Column B for this row all family literacy program participants who received 12 or more hours of service. Column F should include all participants reported in Column B who advanced one or more levels.

Compute Column G for this row using the following formula:

For reporting Followup Measures:

Follow instructions for completing Table 5 to report these outcomes. However, include only family literacy program participants in Table 8.

Achievement of one or more of the increased involvement in children’s education or children’s literacy activities measures should be counted only once per participant. However, the specific outcome should be recorded in the subcategory and more than one outcome may be reported, so that the total for the three subcategories may be greater than the total reported for the overall category. For example, a participant who helped more frequently with schoolwork and increased contact with child’s teachers would be recorded in both categories but would be counted only once in the overall category of “increased involvement in children’s education.”

OMB Number 1830-0027, Expires 7/31/09.

Table 9
Outcomes for Adults in Workplace Literacy Programs (Optional)

Enter the number of participants in workplace literacy programs for each of the categories listed.

Core Followup Outcome Measures (A)	Number of Participants With Main or Secondary Goal (B)	Number of Participants Included in Survey (Sampled and Universe) (C)	Number of Participants Responding to Survey or Used for Data Matching (D)	Response Rate or Percent Available for Match (E)	Number of Participants Achieving Outcome (F)	Weighted Average Percent Achieving Outcome (G)
Completed an Educational Functioning Level*
Entered Employment
Retained Employment
Obtained a GED or Secondary School Diploma
Entered Postsecondary Education or Training

For reporting completion of Educational Functioning Level:

* Report in Column B for this row all workplace literacy program participants who received 12 or more hours of service. Column F should include all participants reported in Column B who advanced one or more levels.

Compute Column G for this row using the following formula:

For reporting Followup Measures:

Follow instructions for completing Table 5 to report the outcomes. However, include only workplace literacy program participants in Table 9.

OMB Number 1830-0027, Expires 7/31/09.

Table 10
Outcomes for Adults in Correctional Education Programs

Enter the number of participants in correctional education programs for each of the categories listed.

Core Followup Outcome Measures (A)	Number of Participants With Main or Secondary Goal (B)	Number of Participants Included in Survey (Sampled and Universe) (C)	Number of Participants Responding to Survey or Used for Data Matching (D)	Response Rate or Percent Available for Match (E)	Number of Participants Achieving Outcome (F)	Weighted Average Percent Achieving Outcome (G)
Completed an Educational Functioning Level*
Entered Employment
Retained Employment
Obtained a GED or Secondary School Diploma
Entered Postsecondary Education or Training

For reporting completion of Educational Functioning Level:

* Report in Column B for this row all correctional educational program participants who received 12 or more hours of service. Column F should include all participants reported in Column B who advanced one or more levels.

Compute Column G for this row using the following formula:

For reporting Followup Measures:

Follow instructions for completing Table 5 to report the outcomes. However, include only correctional educational program participants in Table 10.

OMB Number 1830-0027, Expires 7/31/09.

Table 11
Secondary Outcome Measures (Optional)

Enter the number of participants for each of the categories listed.

Secondary Outcome Measures	Number of Participants With Main or Secondary Goal or Status	Number of Participants Obtaining Outcome	Percentage Achieving Outcome
(A)	(B)	(C)	(D)
Achieved Work-Based Project Learning Goal
Left Public Assistance
Achieved Citizenship Skills
Increased Involvement in Children’s Education*
Increased Involvement in Children’s Literacy Activities*
Voted or Registered To Vote
Increased Involvement in Community Activities

Each row total In Column D Is calculated using the following formula:

* Enter the total number of participants who achieved this goal regardless of whether the participant was in a family literacy program. Use Table 8 to enter achievements of family literacy participants. The number reported here may be higher than reported in Table 8 because it includes all participants who achieved this goal.

OMB Number 1830-0027, Expires 7/31/09.

Table 12 (Optional) (for Program Years 2008-09 and 2009-10)
Work-based Project Learners by Age, Ethnicity, and Sex

Enter the number of work-based project learners by age,* ethnicity, and sex.

Age Group

American Indian or Alaskan Native

Asian

Black or African-American

Hispanic or Latino

Native Hawaiian or Other Pacific Islander

White

Total (N)

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

16–18

19–24

25–44

45–59

60 and Older

Total

Only participants designated as work-based project learners should be included in this table. These participants should not be included in Tables 1–5.

The total in Column N should equal the number of work-based project learners reported in Table 6.

*Participants should be classified based on their age at entry.

OMB Number 1830-0027, Expires 7/31/09.

Table 12 (Optional) (beginning Program Year 2010-2011)
Work-based Project Learners by Age, Ethnicity, and Sex

Enter the number of work-based project learners by age,* ethnicity, and sex.

Age Group

American Indian or Alaska Native

Asian

Black or African-American

Hispanic/ Latino

Native Hawaiian or Other Pacific Islander

White

Two or more races

Total

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

Male

Female

(P)

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

(N)

(O)

16–18

19–24

25–44

45–59

60 and Older

Total

Only participants designated as work-based project learners should be included in this table. These participants should not be included in Tables 1–5.

The total in Column N should equal the number of work-based project learners reported in Table 6.

*Participants should be classified based on their age at entry.

OMB Number 1830-0027, Expires 7/31/09.

Table 13 (Optional)
Core Followup Outcome Achievement for
Prior Reporting Year and for Unintended Outcomes

For Column B, enter the number of participants for each of the outcome categories for outcomes not reported in the prior reporting period. For Column C, enter the number of participants achieving each outcome who did not have the outcome as a goal.

Core Followup Outcome Measures	Number of Participants With Main or Secondary Goal Who Achieved Outcome but Were Not Reported in the Prior Reporting Period	Number of Participants Achieving Outcome in Current Year Who Did Not Have the Outcome as a Goal
(A)	(B)	(C)
Entered Employment
Retained Employment
Obtained a GED or secondary school diploma
Placed in postsecondary education or training

For Column B, report the number of participants who had the core outcome as a primary or secondary goal and who achieved that outcome according to the core outcome definitions (see Table 5) but were not reported in the prior program year.

For Column C, report the number of participants who achieved the outcome in the current reporting year but did not have the outcome as a main or secondary goal.

OMB Number 1830-0027, Expires 7/31/09.

Table 14
Local Grantees by Funding Source

Enter the number of each type of grantee (see attached definitions) directly funded by the state and the amount of federal and state funding they receive.

Provider Agency (A)	Total Number of Providers (B)	Total Number of Sub-Recipients (C)	WIA Funding		State Funding
			Total (D)	% of Total (E)	Total (F)	% of Total (G)
Local Education Agencies
Public or Private Nonprofit Agency
Community-based Organizations
Faith-based Organizations
Libraries
Institutions of Higher Education
Community, Junior or Technical Colleges
Four-year Colleges or Universities
Other Institutions of Higher Education
Other Agencies
Correctional Institutions
Other Institutions (non-correctional)
All Other Agencies
Total

1. In Column (B), report the number of providers receiving a grant award or contract for instructional services from the eligible agency. 2. In Column (C), report the total number of each entity receiving funds as a sub-recipient. (Entities receiving funds from a grantee as part of a consortium are to reported in column (C).
3. In Column (E), the percentage is to be calculated using the following formula: Column D ---------------------------- = Col (E) Total WIA

4. In Column (F), report total amount of state funds contributed. This amount need not necessarily equal the non-federal expenditure report on the Financial Status Report.
5. In Column (G), the percentage is to be calculated using the following formula: Column F -------------------------- = Col (G) Total State

OMB Number 1830-0027, Expires 7/31/09.

GRANTEE DEFINITIONS FOR TABLE 14

Local Education Agencies are publicly funded entities designated to administer and provide primary and secondary education instruction and services within a city, county, school district, township or region.

Community-based Organizations (CBOs) are private nonprofit organizations of demonstrated effectiveness that are representative of a community or significant segment of a community.

Faith-based Organizations (FBO) are non-profit organizations associated with a faith community or multiple faith ministries.

Libraries are public state and community funded institutions that offer education and community services in addition to providing access to print, audio-visual and technology resources.

Community, Junior or Technical Colleges are public institutions of higher education that offer associate’s degree and certificate programs but, with few exceptions, award no baccalaureate degrees.

Four Year Colleges or Universities are a public or private non-profit institution of higher education that primarily offers baccalaureate degree programs.

Other Institution of Higher Education is a public or private non-profit institution that is not a community, junior, or technical college or a four-year college or university.

Correctional Institutions refer to state or federal penal institutions for criminal offenders. These include prisons, jails, and other correctional detention centers.

Other Institutions (Non-Correctional) are any medical or special institutions not designed for criminal offenders.

All Other Agencies include other public (federal, state, local) agencies not listed in the categories above.

INSTRUCTIONS
FINANCIAL STATUS REPORT
OMB Number 1830-0027

U.S. Department of Education
Office of Vocational and Adult Education
Adult Education and Family Literacy Act of 1998
Basic Grants to States—CFDA 084.002

A separate set of Financial Status Report (FSR) forms are to be used for each Federal Funding Period as reported in Block 8 of the FSR for Adult Education.

Instructions for Completing the FSR.

Block

1. This block is preprinted.

2. PR/Award numbers as indicated in Block 5 of the Grant Award Notifications for the Basic Grants to States.

3. Grant recipient submitting report.

4. Enter DUNS/SSN Identifying number in Block 8 of the Grant Award Notification.

5. For optional use for those agencies needing cross-reference identification.

6. Check Yes if this is the Final report for a grant award and there are no amounts reported in column h (unliquidated obligations). The report is final when there are no additional outlays or obligations against the grant award and all existing obligations have been liquidated.

7. Identify the accounting basis used by the Grantee. If the modified accrual basis is used, it should be so indicated by adding the word “modified” in this block.

8. Enter Federal Funding Period based on information obtained in Block 6 of the Grant Award Notification.

9. Enter the beginning and ending dates of the period in which you are reporting the financial activity of the grant. A first year report will cover the first 15 months of the grant period e.g., July 1, 2002 through September 30, 2003. The final report will cover the entire 27 months, which grantees have to obligate their funds e.g., July 1, 2001 through September 30, 2003.

10. The Columns (a) through (f) contain preprinted headings for reporting expenditures. The following are explanations of what expenditures should be reported in each column.

Column (a). State Administration. Report State administrative expenditures authorized Section 222 (a)(3) of the Adult Education and Family Literacy Act (AEFLA).

Column (b). State Leadership. Report expenditures authorized in section 222 (a)(2) and described in section 223 of AEFLA.

Columns (c) and (d), Programs of Instruction. Report all expenditures made by local eligible providers in conducting basic education and English literacy (column c), and secondary education programs of instruction (column d), including expenditures for institutionalized persons.

Column (f). Institutionalized. Report expenditures for programs for institutionalized persons. These expenditures will also appear in columns (c) and (d).

10a. In the first year report of the grant award, this column must be zero. In the final report, the amount reported should be the same as the amount reported on line 10e of the first year report made for the same grant award. If there has been an adjustment of the amount shown previously, attach explanation. For reports made on a cash basis, outlays are the sum of actual cash disbursements for goods and services, the amount of indirect expense charged, the value of in-kind contributions applied, and the amount of cash advances and payments made to contractors and subgrantees. For reports prepared on an accrued expenditure basis, outlays are the sum of actual cash disbursements, the amount of indirect expense incurred, the value of in-kind contributions applied, and the net increase (or decrease) in the amounts owed by the recipient for goods and other property received and for services performed by employees, contractors, subgrantees, and other payees, and other payees, and other amounts becoming owed under programs for which no current services or performances are required, such as annuities, insurance claims, and other benefit payments.

10b. Total outlays, including any state and local outlays, for the report period indicated in Item 9.

10c. Program credits must be included on this line and are to be used to reduce total outlays.

10d. Line b minus line c.

10e. Line a plus line d.

10f. Enter amount of non-federal outlays reported in line b.

10g. Line e minus line f.

10h. All unliquidated obligations as of the end of the reporting period.

10i-j. Unliquidated obligations are—

Cash basis—obligations incurred but not paid

Accrued expenditure basis—obligations incurred but for which an outlay has not been recorded.

Do not include any amounts that have been included on Lines a through g. Include unliquidated obligations to subgrantees and contractors.

If the report is final, it should not contain any unliquidated obligations.

10k. Line g plus line j.

10l. The amount of Federal funds awarded, per the cumulative amount in Block 7 of the Grant Award Notification.

10m. Line l minus line k.

11a. Self-explanatory

11b. Enter the indirect cost rate in effect during the reporting period. If more than one rate was applied during the reporting period, include a separate schedule showing the bases against which the indirect cost rates were applied.

11c. Enter amount of the base to which the rate was applied.

11d. Enter total amount of indirect cost charged during the reporting period.

12. Include any remarks necessary to explain any specifics in the report. Attach additional information if needed.

13. The Executive Officer, or designee, of the Grant recipient, as appropriate, must certify the report.

Financial Status Reports are due on December 31 of each year. Reports should be submitted electronically via the online NRS reporting system. A paper copy with original signatures must be mailed to the following address:

Accountability Team
Division of Adult Education and Literacy
Office of Vocational and Adult Education
U.S. Department of Education
400 Maryland Avenue, SW
Potomac Center Plaza, Room 11159
Washington, DC 20202-7240

Financial Reporting Requirements for EL-Civics Funding

States expending EL-Civics funds under the conditions outlined in Program Memorandum 2000–19, issued by Ronald S. Pugsley on May 16, 2000, shall report those expenditures as follows:

In addition to submitting an annual FSR reporting all Federal and non-Federal expenditures, including those for EL-Civics, a separate FSR for EL-Civics expenditures is also required. This EL-Civics FSR, which represents a sub-total of the overall report, will provide the necessary information to determine that EL-Civics expenditures were in compliance with existing statutory requirements. A specially identified EL-Civics FSR is included for your use.

NRS Implementation Guidelines C–9