42 U.S.C. § 3056k (THE PUBLIC HEALTH AND WELFARE)
§ 3056k. Performance
(a) Measures
(1) Establishment and implementation of measures
The Secretary shall establish and implement, after consultation with grantees, subgrantees, and host agencies under this subchapter, States, older individuals, area agencies on aging, and other organizations serving older individuals, core measures of performance for each grantee for projects and services carried out under this subchapter. The core measures of performance shall be applicable to each grantee under this subchapter without regard to whether such grantee operates the program directly or through subcontracts, subgrants, or agreements with other entities.
(2) Content
(A) Composition of measures
The core measures of performance established by the Secretary in accordance with paragraph (1) shall consist of core indicators of performance specified in subsection (b)(1) and the expected levels of performance applicable to each core indicator of performance.
(B) Expected levels of performance
The Secretary and each grantee shall reach agreement on the expected levels of performance for each program year for each of the core indicators of performance specified in subparagraph (A). Funds may not be awarded under the grant until such agreement is reached. At the conclusion of negotiations concerning the levels with all grantees, the Secretary shall make available for public review the final negotiated expected levels of performance for each grantee, including any comments submitted by the grantee regarding the grantee’s satisfaction with the negotiated levels.
(C) Agreement on expected levels of performance
(i) First 2 years
Each grantee shall reach agreement with the Secretary on levels of performance for each measure described in subparagraph (A)(i),1 for each of the first 2 program years covered by the grant agreement. In reaching the agreement, the grantee and the Secretary shall take into account the expected levels proposed by the grantee and the factors described in subparagraph (D). The levels agreed to shall be considered to be the expected levels of performance for the grantee for such program years.
(ii) Third and fourth year
Each grantee shall reach agreement with the Secretary, prior to the third program year covered by the grant agreement, on levels of performance for each measure described in subparagraph (A), for each of the third and fourth program years so covered. In reaching the agreement, the grantee and the Secretary shall take into account the expected levels proposed by the grantee and the factors described in subparagraph (D). The levels agreed to shall be considered to be the expected levels of performance for the grantee for such program years.
(D) Factors
In reaching the agreements described in subparagraph (B), each grantee and the Secretary shall—
(i) take into account how the levels involved compare with the expected levels of performance established for other grantees;
(ii) ensure that the levels involved are adjusted, using an objective statistical model based on the model established by the Secretary in accordance with section 3141(a)(3)(A)(viii) 2 of title 29; 3 and
(iii) take into account the extent to which the levels involved promote continuous improvement in performance accountability on the core measures and ensure optimal return on the investment of Federal funds.
(E) Adjustments based on economic conditions and individuals served during the program year
The Secretary shall, in accordance with the objective statistical model developed pursuant to subparagraph (D)(ii), adjust the expected levels of performance for a program year for grantees, to reflect the actual economic conditions and characteristics of participants in the corresponding projects during such program year.
(3) Limitation
An agreement to be evaluated on the core measures of performance shall be a requirement for application for, and a condition of, all grants authorized by this subchapter.
(b) Indicators of performance
(1) Core indicators
The core indicators of performance described in subsection (a)(2)(A) shall consist of—
(A) hours (in the aggregate) of community service employment;
(B) the percentage of project participants who are in unsubsidized employment during the second quarter after exit from the project;
(C) the percentage of project participants who are in unsubsidized employment during the fourth quarter after exit from the project;
(D) the median earnings of project participants who are in unsubsidized employment during the second quarter after exit from the project;
(E) indicators of effectiveness in serving employers, host agencies, and project participants; and
(F) the number of eligible individuals served, including the number of participating individuals described in subsection (a)(3)(B)(ii) or (b)(2) of section 3056p of this title.
(2) Definitions of indicators
The Secretary, after consultation with national and State grantees, representatives of business and labor organizations, and providers of services, shall, by regulation, issue definitions of the indicators of performance described in paragraph (1).
(c) Evaluation
The Secretary shall annually evaluate, and publish and make available for public review information on, the actual performance of each grantee with respect to the levels achieved for each of the core indicators of performance, compared to the expected levels of performance established under subsection (a)(2)(B) (including any adjustments to such levels made in accordance with subsection (a)(2)(E)).
(d) Technical assistance and corrective efforts
(1) Initial determinations
(A) In general
As soon as practicable after July 1, 2016, the Secretary shall determine if a grantee under this subchapter has, for program year 2016, met the expected levels of performance established under subsection (a)(2)(B) (including any adjustments to such levels made in accordance with subsection (a)(2)(E)) for the core indicators of performance.
(B) Technical assistance
If the Secretary determines that the grantee, for program year 2016, failed to meet the expected levels of performance described in subparagraph (A), the Secretary shall provide technical assistance to assist the grantee to meet the expected levels of performance.
(2) National grantees
(A) In general
Not later than 120 days after the end of each program year, the Secretary shall determine if a national grantee awarded a grant under section 3056(b) of this title in accordance with section 3056l of this title has met the expected levels of performance established under subsection (a)(2)(B) (including any adjustments to such levels made in accordance with subsection (a)(2)(E)) for the core indicators of performance described in subsection (b)(1).
(B) Technical assistance and corrective action plan
(i) In general
If the Secretary determines that a national grantee fails to meet the expected levels of performance described in subparagraph (A), the Secretary after each year of such failure, shall provide technical assistance and require such grantee to submit a corrective action plan not later than 160 days after the end of the program year.
(ii) Content
The plan submitted under clause (i) shall detail the steps the grantee will take to meet the expected levels of performance in the next program year.
(iii) Recompetition
Any grantee who has failed to meet the expected levels of performance for 4 consecutive years shall not be allowed to compete in the subsequent grant competition under section 3056l of this title following the fourth consecutive year of failure but may compete in the next such grant competition after that subsequent competition.
(iv) Use of core indicators
For purposes of assessing grantee performance under this subparagraph before program year 2017, the Secretary shall use the core indicators of performance in effect at the time of the award and the most recent corresponding expected levels of performance.
(3) State grantees
(A) In general
Not later than 120 days after the end of each program year, the Secretary shall determine if a State grantee allotted funds under section 3056d(e) of this title has met the expected levels of performance established under subsection (a)(2)(B) (including any adjustments to such levels made in accordance with subsection (a)(2)(E)) for the core indicators of performance described in subsection (b)(1).
(B) Technical assistance and corrective action plan
(i) In general
If the Secretary determines that a State fails to meet the expected levels of performance described in subparagraph (A), the Secretary, after each year of such failure, shall provide technical assistance and require the State to submit a corrective action plan not later than 160 days after the end of the program year.
(ii) Content
The plan submitted under clause (i) shall detail the steps the State will take to meet the expected levels of performance in the next program year.
(iii) Competition
If the Secretary determines that the State fails to meet the expected levels of performance described in subparagraph (A) for 3 consecutive program years, the Secretary shall provide for the conduct by the State of a competition to award the funds allotted to the State under section 3056d(e) of this title for the first full program year following the Secretary’s determination.
(4) Special rule for implementation
The Secretary shall implement the core measures of performance described in this section not later than December 31, 2017.
(e) Impact on grant competition
Effective on January 1, 2018, the Secretary may not publish a notice announcing a grant competition under this subchapter, or solicit proposals for grants, until the day on which the Secretary implements the core measures of performance.
(Pub. L. 89–73, title V, § 513, as added Pub. L. 109–365, title V, § 501, Oct. 17, 2006, 120 Stat. 2580; amended Pub. L. 114–144, § 6(d), Apr. 19, 2016, 130 Stat. 343.)
heading: Editorial Notes
heading: References in Text
text: Section 3141 of title 29, referred to in subsec. (a)(2)(D)(ii), was in the original a reference to section 116 of the Workforce Investment and Opportunity Act and was translated as meaning section 116 of the Workforce Innovation and Opportunity Act, to reflect the probable intent of Congress.
heading: Prior Provisions
text: A prior section 3056k, Pub. L. 89–73, title V, § 513, as added Pub. L. 106–501, title V, § 501, Nov. 13, 2000, 114 Stat. 2281, related to performance measures, prior to the general amendment of this subchapter by Pub. L. 109–365.
heading: Amendments
text: 2016—Subsec. (a). Pub. L. 114–144, § 6(d)(1)(A), struck out “and indicators” after “Measures” in heading.
Subsec. (a)(1). Pub. L. 114–144, § 6(d)(1)(B), struck out “and indicators” after “measures” in heading and “and additional indicators of performance” after “measures of performance” in two places in text.
Subsec. (a)(2)(A). Pub. L. 114–144, § 6(d)(1)(C)(i), substituted “Composition of measures” for “Composition of measures and indicators” in heading, struck out cl. (i) designation and heading, and struck out cl. (ii). Prior to amendment, text of cl. (ii) read as follows: “The additional indicators of performance established by the Secretary in accordance with paragraph (1) shall be the additional indicators of performance specified in subsection (b)(2).”
Subsec. (a)(2)(B). Pub. L. 114–144, § 6(d)(1)(C)(iii), redesignated subpar. (C) as (B), substituted “subparagraph (A)” for “subparagraph (A)(i)”, and struck out “The agreement shall take into account the requirement of subparagraph (B) and the factors described in subparagraph (D), and other appropriate factors as determined by the Secretary, and shall be consistent with the requirements of subparagraph (E).” before “Funds may”. Former subpar. (B) struck out.
Pub. L. 114–144, § 6(d)(1)(C)(ii), struck out subpar. (B). Text read as follows: “The measures described in subparagraph (A)(i) shall be designed to promote continuous improvement in performance.”
Subsec. (a)(2)(C) to (E). Pub. L. 114–144, § 6(d)(1)(C)(iv), added subpars. (C) to (E) and struck out former subpars. (D) and (E) which related to adjustment of expected levels of performance and placement into unsubsidized employment, respectively. Former subpar. (C) redesignated (B).
Subsec. (a)(3). Pub. L. 114–144, § 6(d)(1)(D), struck out “and to report information on the additional indicators of performance” after “measures of performance”.
Subsec. (b)(1). Pub. L. 114–144, § 6(d)(2)(A)(i), substituted “subsection (a)(2)(A)” for “subsection (a)(2)(A)(i)” in introductory provisions.
Subsec. (b)(1)(B) to (F). Pub. L. 114–144, § 6(d)(2)(A)(ii), added subpars. (B) to (F) and struck out former subpars. (B) to (E) which read as follows:
“(B) entry into unsubsidized employment;
“(C) retention in unsubsidized employment for 6 months;
“(D) earnings; and
“(E) the number of eligible individuals served, including the number of participating individuals described in subsection (a)(3)(B)(ii) or (b)(2) of section 3056p of the title.”
Subsec. (b)(2), (3). Pub. L. 114–144, § 6(d)(2)(B)–(D), redesignated par. (3) as (2), substituted “paragraph (1)” for “paragraphs (1) and (2)”, and struck out former par. (2) which related to additional indicators of performance.
Subsec. (c). Pub. L. 114–144, § 6(d)(3), substituted “shall” for “shall—”, struck out par. (1) designation before “annually evaluate”, substituted “subsection (a)(2)(B)” for “subsection (a)(2)(C)” and “subsection (a)(2)(E)).” for “subsection (a)(2)(D)); and”, and struck out par. (2) which read as follows: “annually publish and make available for public review information on the actual performance of each grantee with respect to the levels achieved for each of the additional indicators of performance.”
Subsec. (d)(1)(A). Pub. L. 114–144, § 6(d)(4)(A)(i), substituted “July 1, 2016” for “July 1, 2007” and “year 2016,” for “year 2006—”; struck out cl. (i) designation before “met”; substituted “subsection (a)(2)(B)” for “subsection (a)(2)(C)”, “subsection (a)(2)(E)” for “subsection (a)(2)(D)”, and “indicators of performance.” for “indicators of performance described in subparagraphs (A), (C), (D), and (E) of subsection (b)(1); and”; and struck out cl. (ii) which read as follows: “achieved the applicable percentage specified in subsection (a)(2)(E)(ii) for the core indicator of performance described in subsection (b)(1)(B).”
Subsec. (d)(1)(B). Pub. L. 114–144, § 6(d)(4)(A)(ii), substituted “year 2016,” for “year 2006—” and “subparagraph (A),” for “subparagraph (A)(i); or” and struck out cl. (i) designation before “failed”, “and achieve the applicable percentage” before period at end, and “(ii) failed to achieve the applicable percentage described in subparagraph (A)(ii),” before “the Secretary shall provide”.
Subsec. (d)(2)(A). Pub. L. 114–144, § 6(d)(4)(B)(i), substituted “(a)(2)(B)” for “(a)(2)(C)” and “(a)(2)(E)” for “(a)(2)(D)”.
Subsec. (d)(2)(B)(iii). Pub. L. 114–144, § 6(d)(4)(B)(ii)(I), struck out “(beginning with program year 2007)” after “4 consecutive years”.
Subsec. (d)(2)(B)(iv). Pub. L. 114–144, § 6(d)(4)(B)(ii)(II), added cl. (iv).
Subsec. (d)(3)(A). Pub. L. 114–144, § 6(d)(4)(C)(i), substituted “(a)(2)(B)” for “(a)(2)(C)” and “(a)(2)(E)” for “(a)(2)(D)”.
Subsec. (d)(3)(B)(iii). Pub. L. 114–144, § 6(d)(4)(C)(ii), struck out “(beginning with program year 2007)” after “3 consecutive program years”.
Subsec. (d)(4). Pub. L. 114–144, § 6(d)(4)(D), amended par. (4) generally. Prior to amendment, text read as follows: “The Secretary shall establish and implement the core measures of performance and additional indicators of performance described in this section, including all required indicators described in subsection (b), not later than July 1, 2007.”
Subsec. (e). Pub. L. 114–144, § 6(d)(5), amended subsec. (e) generally. Prior to amendment, text read as follows: “The Secretary may not publish a notice announcing a grant competition under this subchapter, and solicit proposals for grants, until the day that is the later of—
“(1) the date on which the Secretary implements the core measures of performance and additional indicators of performance described in this section; and
“(2) January 1, 2010.”