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G. Monitoring and Reporting
Different forms of monitoring are required by laws, regulations, guidance, and the Workforce Innovation Opportunity Act (WIOA) Plan for the State of Colorado (WIOA State Plan) to ensure the appropriate use of Adult Education and Family Literacy Act (AEFLA) funds. Monitoring is conducted by the Office of Adult Education Initiatives (AEI) and Grants Fiscal staff members. Efforts have been made to streamline monitoring processes as much as possible and AEI is interested in feedback from programs about these processes.
Per 2 C.F.R. 200.333, documents and records related to the federally-funded AEFLA Grant must be retained for three years from the date of the record or document. AEI requires the state-funded AELA Grant to follow the same record retention policy.
Program visits are informal, face-to-face visits between an AEI staff member and grantee at the grantee’s program location. These are not monitoring visits. Program visits allow AEI staff to get to know grantee staff, see the program in operation first hand, and discuss areas of technical support the grantee would like to receive. AEI staff will attend as many program visits as possible each year.
Risk Assessment Process
Per 2 CFR 200.331(b), the Adult Education Initiatives Office (AEI) must conduct a risk assessment at the beginning of each program year, using established criteria, to evaluate each grantees risk for purposes of determining a monitoring plan. This risk assessment will be used to determine which programs are prioritized for on-site monitoring each year.
Annually, programs identified as “High Risk” through the risk assessment will receive a formal on-site review visit. At least once within the 3-year grant cycle all grantees will receive a formal on-site review visit (see the 2017-18 On-Site Review Template). On-site reviews include review and discussion of all components of a program relevant to AEFLA funding and may span multiple days. They will include a review of local program records as well as interviews with staff and learners. AEI will notify the local program director if an on-site review visit is required and will work with the director to schedule dates. Areas of concern or findings resulting from on-site reviews may result in Program Improvement Plans (PIP) or Corrective Action Plans (CAP) that the local program must complete.
Monthly Data Monitoring
Each month, AEI Program Coordinators utilize the LACES data dashboard to review data entered in the LACES database for compliance against reporting requirements, progress towards performance targets, and to identify any areas of promise or growth. Data reporting errors and concerns are sent to grantees monthly for data cleaning or process improvement. Consistent data monitoring concerns may result in Program Improvement or Corrective Action Plans being assigned to the grantee. More detailed information about monthly data monitoring can be found in the LACES Data Dictionary.
Grantees engage in a mid-year reporting process whereby programs reflect on successes and challenges, outline modifications to grant application plans, and/or share plans for the next 3-9 month period. The updates will be submitted as tracked changes to the 2018-19 Grant Continuation Application and/or via conference calls.
Annual Self-Evaluation (Continuation) Process
AEI awarded three-year grants starting in the 2017-2018 fiscal year (July 1, 2017-June 30, 2018). Funding in years two and three (2018-2019 and 2019-2020, respectively) of the grant is not guaranteed as it is contingent upon continued appropriations and upon grantees meeting all grant, fiscal, and reporting requirements.
To receive funding in years two and three, grantees will also need to complete a self-evaluation, or continuation application, outlining their plan for services being provided with AEFLA dollars in the coming year. This process is referenced in the Colorado State Plan. Grantees will self-evaluate the effectiveness of adult education and family literacy activities in their program by using a uniform self-evaluation tool, or continuation application, created by AEI. Grantees must use data collected to develop goals and objectives for improvement in achieving the goals set forth on learner outcomes, professional development plans as well as any other areas of improvement that have been identified during the evaluation process. This plan must be developed and implemented in consultation with AEI.
Program Improvement Plan (PIP) & Corrective Action Plan (CAP)
The AEI Office uses program improvement and corrective action plans to support grantees in their continuous improvement efforts. Each plan provides a template for documenting improvement steps, timelines, and results. Program Improvement Plans may be requested of or assigned to a grantee by the AEI Program Coordinator for a variety of minor AEI policy or guidance concerns. Corrective Action Plans are assigned to grantees for significant or repeated AEI policy and guidance violations or as the result of findings during a formal on-site review visits. Each plan provides an opportunity for thought partnership and dialogue between the AEI Program Coordinator and the grantee. CAP and PIP templates will be provided to grantees by their AEI Program Coordinator as needed.
Annual Reporting (AEFLA)
The Office of Adult Education Initiatives (AEI) utilizes a handful of required reports to check on grantee progress and to comply with state and federal reporting requirements. Annually, grantees will submit a Continuation Application (that acts as the Annual Performance Report) and an Annual Financial Report (AFR) detailing program or fiscal activity for the prior program year. Templates for each report are provided to grantees; check the At-A-Glance for specific dates. Grantee information submitted in these reports are used to complete the statewide Annual Performance Report and Annual Financial Report submitted to the U.S. Department of Education’s Office of Adult, Career, and Technical Education (OCTAE) annually each fall.
Annual Reporting (AELA)
The Office of Adult Education Initiatives (AEI) utilizes a handful of required reports to check on grantee progress and to comply with state reporting requirements. Annually, grantees will submit a Continuation Application (that acts as the Annual Performance Report) that details progress on items outlined in the grant application and participant data including demographics and learning outcomes. These updates are used to develop the annual report to the state legislature.
Grantees turn in three Interim Financial Reports (IFR) during the fiscal year in October, January and April. Grantees also turn in an Annual Financial Report (AFR) for the previous fiscal year they were funded 90 days after fiscal year’s end.
The AEI office is required to convene periodic meetings with representatives from Higher Education, Labor and Employment, Community Colleges, and other Adult Education, Workforce and Postsecondary education and training providers to discuss:
- ways to increase communication and collaboration among these organizations and
- the state's workforce development needs and levels of unmet need for adult education within the state.
May 23, 2022, 1-2 PM
January 30, 2023, 1-2 PM
April 24, 2023, 1-2 PM