42 U.S.C. § 12653k — Funds

Page 8414 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 12653k (A) avoid duplication of activities directed by the Federal Emergency Management Agency; and (B) consult and, as appropriate, partner with Citizen Corps programs and other local disaster agencies, including State and local emergency management agencies, voluntary organizations active in disaster, State Com- missions, and similar organizations, in the affected area. (Pub. L. 101–610, title I, § 198H, as added Pub. L. 111–13, title I, § 1806, Apr. 21, 2009, 123 Stat. 1562.) Editorial Notes REFERENCES IN TEXT Section 102 of the Robert T. Stafford Disaster Relief and Assistance Act (42 U.S.C. 5122), referred to in sub- sec. (f)(1), (2), probably means section 102 of Pub. L. 93–288, May 22, 1974, 88 Stat. 143, known as the Robert T. Stafford Disaster Relief and Emergency Assistance Act, which is classified to section 5122 of this title. Division C of this subchapter, referred to in subsec. (f)(5)(A), was in the original ‘‘subtitle C of this Act’’ which was translated as meaning subtitle C of title I of Pub. L. 101–610, to reflect the probable intent of Con- gress. The Domestic Volunteer Service Act of 1973, referred to in subsec. (f)(5)(A), is Pub. L. 93–113, Oct. 1, 1973, 87 Stat. 394. Part A of title I of the Act is classified gen- erally to part A of subchapter I (§ 4951 et seq.) of chap- ter 66 of this title. For complete classification of this Act to the Code, see Short Title note set out under sec- tion 4950 of this title and Tables. PRIOR PROVISIONS A prior section 12653h, Pub. L. 101–610, title I, § 195H, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2528, which related to administration of the Corps, was renumbered section 159 of Pub. L. 101–610 and transferred to section 12619 of this title. Prior sections 12653i and 12653j were renumbered by section 104(b) of Pub. L. 103–82 and transferred as fol- lows: Section 12653i, Pub. L. 101–610, title I, § 195I, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2530, which related to status of Corps members and Corps personnel under Federal law, was renum- bered section 160 of Pub. L. 101–610 and transferred to section 12620 of this title. Section 12653j, Pub. L. 101–610, title I, § 195J, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2530, which provided for contract and grant authority of Corps Director, was renumbered section 161 of Pub. L. 101–610 and transferred to section 12621 of this title. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective Oct. 1, 2009, see section 6101(a) of Pub. L. 111–13, set out as an Effective Date of 2009 Amendment note under section 4950 of this title. PART III—SOCIAL INNOVATION FUNDS PILOT PROGRAM § 12653k. Funds (a) Findings Congress finds the following: (1) Social entrepreneurs and other nonprofit community organizations are developing inno- vative and effective solutions to national and local challenges. (2) Increased public and private investment in replicating and expanding proven effective solutions, and supporting new solutions, devel- oped by social entrepreneurs and other non- profit community organizations could allow those entrepreneurs and organizations to rep- licate and expand proven initiatives, and sup- port new initiatives, in communities. (3) A network of Social Innovation Funds could leverage Federal investments to in- crease State, local, business, and philan- thropic resources to replicate and expand proven solutions and invest in supporting new innovations to tackle specific identified com- munity challenges. (b) Purposes The purposes of this section are— (1) to recognize and increase the impact of social entrepreneurs and other nonprofit com- munity organizations in tackling national and local challenges; (2) to stimulate the development of a net- work of Social Innovation Funds that will in- crease private and public investment in non- profit community organizations that are effec- tively addressing national and local challenges to allow such organizations to replicate and expand proven initiatives or support new ini- tiatives; (3) to assess the effectiveness of such Funds in— (A) leveraging Federal investments to in- crease State, local, business, and philan- thropic resources to address national and local challenges; (B) providing resources to replicate and ex- pand effective initiatives; and (C) seeding experimental initiatives fo- cused on improving outcomes in the areas described in subsection (f)(3); and (4) to strengthen the infrastructure to iden- tify, invest in, replicate, and expand initia- tives with effective solutions to national and local challenges. (c) Definitions In this section: (1) Community organization The term ‘‘community organization’’ means a nonprofit organization that carries out inno- vative, effective initiatives to address commu- nity challenges. (2) Covered entity The term ‘‘covered entity’’ means— (A) an existing grantmaking institution (existing as of the date on which the institu- tion applies for a grant under this section); or (B) a partnership between— (i) such an existing grantmaking institu- tion; and (ii) an additional grantmaking institu- tion, a State Commission, or a chief execu- tive officer of a unit of general local gov- ernment. (3) Issue area The term ‘‘issue area’’ means an area de- scribed in subsection (f)(3). (d) Program From the amounts appropriated to carry out this section that are not reserved under sub- Page 8415 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 12653k sections (l) and (m), the Corporation shall estab- lish a Social Innovation Funds grant program to make grants on a competitive basis to eligible entities for Social Innovation Funds. (e) Periods; amounts The Corporation shall make such grants for periods of 5 years, and may renew the grants for additional periods of 5 years, in amounts of not less than $1,000,000 and not more than $10,000,000 per year. (f) Eligibility To be eligible to receive a grant under sub- section (d), an entity shall— (1) be a covered entity; (2) propose to focus on— (A) serving a specific local geographical area; or (B) addressing a specific issue area; (3) propose to focus on improving measur- able outcomes relating to— (A) education for economically disadvan- taged elementary or secondary school stu- dents; (B) child and youth development; (C) reductions in poverty or increases in economic opportunity for economically dis- advantaged individuals; (D) health, including access to health serv- ices and health education; (E) resource conservation and local envi- ronmental quality; (F) individual or community energy effi- ciency; (G) civic engagement; or (H) reductions in crime; (4) have an evidence-based decisionmaking strategy, including— (A) use of evidence produced by prior rig- orous evaluations of program effectiveness including, where available, well-imple- mented randomized controlled trials; and (B) a well-articulated plan to— (i)(I) replicate and expand research-prov- en initiatives that have been shown to produce sizeable, sustained benefits to par- ticipants or society; or (II) support new initiatives with a sub- stantial likelihood of significant impact; or (ii) partner with a research organization to carry out rigorous evaluations to assess the effectiveness of such initiatives; and (5) have appropriate policies, as determined by the Corporation, that protect against con- flict of interest, self-dealing, and other im- proper practices. (g) Application To be eligible to receive a grant under sub- section (d) for national leveraging capital, an el- igible entity shall submit an application to the Corporation at such time, in such manner, and containing such information as the Corporation may specify, including, at a minimum— (1) an assurance that the eligible entity will— (A) use the funds received through that capital in order to make subgrants to com- munity organizations that will use the funds to replicate or expand proven initiatives, or support new initiatives, in low-income com- munities; (B) in making decisions about subgrants for communities, consult with a diverse cross section of community representatives in the decisions, including individuals from the public, nonprofit private, and for-profit private sectors; and (C) make subgrants of a sufficient size and scope to enable the community organiza- tions to build their capacity to manage ini- tiatives, and sustain replication or expan- sion of the initiatives; (2) an assurance that the eligible entity will not make any subgrants to the parent organi- zations of the eligible entity, a subsidiary or- ganization of the parent organization, or, if the eligible entity applied for funds under this section as a partnership, any member of the partnership; (3) an identification of, as appropriate— (A) the specific local geographical area re- ferred to in subsection (f)(2)(A) that the eli- gible entity is proposing to serve; or (B) the issue area referred to in subsection (f)(2)(B) that the eligible entity will address, and the geographical areas that the eligible entity is likely to serve in addressing such issue area; (4)(A) information identifying the issue areas in which the eligible entity will work to improve measurable outcomes; (B) statistics on the needs related to those issue areas in, as appropriate— (i) the specific local geographical area de- scribed in paragraph (3)(A); or (ii) the geographical areas described in paragraph (3)(B), including statistics dem- onstrating that those geographical areas have high need in the specific issue area that the eligible entity is proposing to address; and (C) information on the specific measurable outcomes related to the issue areas involved that the eligible entity will seek to improve; (5) information describing the process by which the eligible entity selected, or will se- lect, community organizations to receive the subgrants, to ensure that the community or- ganizations— (A) are institutions— (i) with proven initiatives and a dem- onstrated track record of achieving spe- cific outcomes related to the measurable outcomes for the eligible entity; or (ii) that articulate a new solution with a significant likelihood for substantial im- pact; (B) articulate measurable outcomes for the use of the subgrant funds that are connected to the measurable outcomes for the eligible entity; (C) will use the funds to replicate, expand, or support their initiatives; (D) provide a well-defined plan for repli- cating, expanding, or supporting the initia- tives funded; (E) can sustain the initiatives after the subgrant period concludes through reliable Page 8416 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 12653k public revenues, earned income, or private sector funding; (F) have strong leadership and financial and management systems; (G) are committed to the use of data col- lection and evaluation for improvement of the initiatives; (H) will implement and evaluate innova- tive initiatives, to be important contribu- tors to knowledge in their fields; and (I) will meet the requirements for pro- viding matching funds specified in sub- section (k); (6) information about the eligible entity, in- cluding its experience managing collaborative initiatives, or assessing applicants for grants and evaluating the performance of grant re- cipients for outcome-focused initiatives, and any other relevant information; (7) a commitment to meet the requirements of subsection (i) and a plan for meeting the re- quirements, including information on any funding that the eligible entity has secured to provide the matching funds required under that subsection; (8) a description of the eligible entity’s plan for providing technical assistance and support, other than financial support, to the commu- nity organizations that will increase the abil- ity of the community organizations to achieve their measurable outcomes; (9) information on the commitment, institu- tional capacity, and expertise of the eligible entity concerning— (A) collecting and analyzing data required for evaluations, compliance efforts, and other purposes; (B) supporting relevant research; and (C) submitting regular reports to the Cor- poration, including information on the ini- tiatives of the community organizations, and the replication or expansion of such ini- tiatives; (10) a commitment to use data and evalua- tions to improve the eligible entity’s own model and to improve the initiatives funded by the eligible entity; and (11) a commitment to cooperate with any evaluation activities undertaken by the Cor- poration. (h) Selection criteria In selecting eligible entities to receive grants under subsection (d), the Corporation shall— (1) select eligible entities on a competitive basis; (2) select eligible entities on the basis of the quality of their selection process, as described in subsection (g)(5), the capacity of the eligi- ble entities to manage Social Innovation Funds, and the potential of the eligible enti- ties to sustain the Funds after the conclusion of the grant period; (3) include among the grant recipients eligi- ble entities that propose to provide subgrants to serve communities (such as rural low-in- come communities) that the eligible entities can demonstrate are significantly philan- thropically underserved; (4) select a geographically diverse set of eli- gible entities; and (5) take into account broad community per- spectives and support. (i) Matching funds for grants (1) In general The Corporation may not make a grant to an eligible entity under subsection (d) for a Social Innovation Fund unless the entity agrees that, with respect to the cost described in subsection (d) for that Fund, the entity will make available matching funds in an amount equal to not less than $1 for every $1 of funds provided under the grant. (2) Additional requirements (A) Type and sources The eligible entity shall provide the matching funds in cash. The eligible entity shall provide the matching funds from State, local, or private sources, which may include State or local agencies, businesses, private philanthropic organizations, or individuals. (B) Eligible entities including State Commis- sions or local government offices (i) In general In a case in which a State Commission, a local government office, or both entities are a part of the eligible entity, the State involved, the local government involved, or both entities, respectively, shall con- tribute not less than 30 percent and not more than 50 percent of the matching funds. (ii) Local government office In this subparagraph, the term ‘‘local government office’’ means the office of the chief executive officer of a unit of general local government. (3) Reduction The Corporation may reduce by 50 percent the matching funds required by paragraph (1) for an eligible entity serving a community (such as a rural low-income community) that the eligible entity can demonstrate is signifi- cantly philanthropically underserved. (j) Subgrants (1) Subgrants authorized An eligible entity receiving a grant under subsection (d) is authorized to use the funds made available through the grant to award, on a competitive basis, subgrants to expand or replicate proven initiatives, or support new initiatives with a substantial likelihood of success, to— (A) community organizations serving low- income communities within the specific local geographical area described in the eli- gible entity’s application in accordance with subsection (g)(3)(A); or (B) community organizations addressing a specific issue area described in the eligible entity’s application in accordance with sub- section (g)(3)(B), in low-income communities in the geographical areas described in the application. (2) Periods; amounts The eligible entity shall make such sub- grants for periods of not less than 3 and not Page 8417 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 12653k more than 5 years, and may renew the sub- grants for such periods, in amounts of not less than $100,000 per year. (3) Applications To be eligible to receive a subgrant from an eligible entity under this section, including re- ceiving a payment for that subgrant each year, a community organization shall submit an application to an eligible entity that serves the specific local geographical area, or geo- graphical areas, that the community organiza- tion proposes to serve, at such time, in such manner, and containing such information as the eligible entity may require, including— (A) a description of the initiative the com- munity organization carries out and plans to replicate or expand, or of the new initiative the community organization intends to sup- port, using funds received from the eligible entity, and how the initiative relates to the issue areas in which the eligible entity has committed to work in the eligible entity’s application, in accordance with subsection (g)(4)(A); (B) data on the measurable outcomes the community organization has improved, and information on the measurable outcomes the community organization seeks to improve by replicating or expanding a proven initia- tive or supporting a new initiative, which shall be among the measurable outcomes that the eligible entity identified in the eli- gible entity’s application, in accordance with subsection (g)(4)(C); (C) an identification of the community in which the community organization proposes to carry out an initiative, which shall be within a local geographical area described in the eligible entity’s application in accord- ance with subparagraph (A) or (B) of sub- section (g)(3), as applicable; (D) a description of the evidence-based de- cisionmaking strategies the community or- ganization uses to improve the measurable outcomes, including— (i) use of evidence produced by prior rig- orous evaluations of program effectiveness including, where available, well-imple- mented randomized controlled trials; or (ii) a well-articulated plan to conduct, or partner with a research organization to conduct, rigorous evaluations to assess the effectiveness of initiatives addressing na- tional or local challenges; (E) a description of how the community organization uses data to analyze and im- prove its initiatives; (F) specific evidence of how the commu- nity organization will meet the require- ments for providing matching funds speci- fied in subsection (k); (G) a description of how the community organization will sustain the replicated or expanded initiative after the conclusion of the subgrant period; and (H) any other information the eligible en- tity may require, including information nec- essary for the eligible entity to fulfill the re- quirements of subsection (g)(5). (k) Matching funds for subgrants (1) In general An eligible entity may not make a subgrant to a community organization under this sec- tion for an initiative described in subsection (j)(3)(A) unless the organization agrees that, with respect to the cost of carrying out that initiative, the organization will make avail- able, on an annual basis, matching funds in an amount equal to not less than $1 for every $1 of funds provided under the subgrant. If the community organization fails to make such matching funds available for a fiscal year, the eligible entity shall not make payments for the remaining fiscal years of the subgrant pe- riod, notwithstanding any other provision of this part. (2) Types and sources The community organization shall provide the matching funds in cash. The community organization shall provide the matching funds from State, local, or private sources, which may include funds from State or local agen- cies or private sector funding. (l) Direct support (1) Program authorized The Corporation may use not more than 10 percent of the funds appropriated for this sec- tion to award grants to community organiza- tions serving low-income communities or ad- dressing a specific issue area in geographical areas that have the highest need in that issue area, to enable such community organizations to replicate or expand proven initiatives or support new initiatives. (2) Terms and conditions A grant awarded under this subsection shall be subject to the same terms and conditions as a subgrant awarded under subsection (j). (3) Application; matching funds Paragraphs (2) and (3) of subsection (j) and subsection (k) shall apply to a community or- ganization receiving or applying for a grant under this subsection in the same manner as such subsections apply to a community orga- nization receiving or applying for a subgrant under subsection (j), except that references to a subgrant shall mean a grant and references to an eligible entity shall mean the Corpora- tion. (m) Research and evaluation (1) In general The Corporation may reserve not more than 5 percent of the funds appropriated for this section for a fiscal year to support, directly or through contract with an independent entity, research and evaluation activities to evaluate the eligible entities and community organiza- tions receiving grants under subsections (d) and (l) and the initiatives supported by the grants. (2) Research and evaluation activities (A) Research and reports (i) In general The entity carrying out this subsection shall collect data and conduct or support Page 8418 TITLE 42—THE PUBLIC HEALTH AND WELFARE § 12653o research with respect to the eligible enti- ties and community organizations receiv- ing grants under subsections (d) and (l), and the initiatives supported by such eligi- ble entities and community organizations, to determine the success of the program carried out under this section in repli- cating, expanding, and supporting initia- tives, including— (I) the success of the initiatives in im- proving measurable outcomes; and (II) the success of the program in in- creasing philanthropic investments in philanthropically underserved commu- nities. (ii) Reports The Corporation shall submit periodic reports to the authorizing committees in- cluding— (I) the data collected and the results of the research under this subsection; (II) information on lessons learned about best practices from the activities carried out under this section, to im- prove those activities; and (III) a list of all eligible entities and community organizations receiving funds under this section. (iii) Public information The Corporation shall annually post the list described in clause (ii)(III) on the Cor- poration’s website. (B) Technical assistance The Corporation shall, directly or through contract, provide technical assistance to the eligible entities and community organiza- tions that receive grants under subsections (d) and (l). (C) Knowledge management The Corporation shall, directly or through contract, maintain a clearinghouse for infor- mation on best practices resulting from ini- tiatives supported by the eligible entities and community organizations. (D) Reservation Of the funds appropriated under section 12681(a)(4)(E) of this title for a fiscal year, not more than 5 percent may be used to carry out this subsection. (Pub. L. 101–610, title I, § 198K, as added Pub. L. 111–13, title I, § 1807, Apr. 21, 2009, 123 Stat. 1564.) Editorial Notes PRIOR PROVISIONS A prior section 12653k, Pub. L. 101–610, title I, § 195K, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2531, which set out other departments’ responsibilities to the Corps, was renumbered section 162 of Pub. L. 101–610 and transferred to section 12622 of this title. Prior sections 12653l to 12653n were renumbered by section 104(b) of Pub. L. 103–82 and transferred as fol- lows: Section 12653l, Pub. L. 101–610, title I, § 195L, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2532, which related to Advisory Board for the Corps, was renumbered section 163 of Pub. L. 101–610 and transferred to section 12623 of this title. Section 12653m, Pub. L. 101–610, title I, § 195M, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2532, which provided for annual evalua- tions of Corps programs, was renumbered section 164 of Pub. L. 101–610 and transferred to section 12624 of this title. Section 12653n, Pub. L. 101–610, title I, § 195N, as added Pub. L. 102–484, div. A, title X, § 1092(a)(1), Oct. 23, 1992, 106 Stat. 2532, which limited funding for Corps pro- grams, was renumbered section 165 of Pub. L. 101–610 and transferred to section 12625 of this title, prior to re- peal by Pub. L. 111–13, title I, § 1515, Apr. 21, 2009, 123 Stat. 1528. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective Oct. 1, 2009, see section 6101(a) of Pub. L. 111–13, set out as an Effective Date of 2009 Amendment note under section 4950 of this title. PART IV—NATIONAL SERVICE PROGRAMS CLEARINGHOUSES; VOLUNTEER GENERATION FUND § 12653o. National service programs clearing- houses (a) In general The Corporation shall provide assistance, by grant, contract, or cooperative agreement, to entities with expertise in the dissemination of information through clearinghouses to establish 1 or more clearinghouses for information regard- ing the national service laws, which shall in- clude information on service-learning and on service through other programs receiving assist- ance under the national service laws. (b) Function of clearinghouse Such a clearinghouse may— (1) assist entities carrying out State or local service-learning and national service programs with needs assessments and planning; (2) conduct research and evaluations con- cerning service-learning or programs receiving assistance under the national service laws, ex- cept that such clearinghouse may not conduct such research and evaluations if the recipient of the grant, contract, or cooperative agree- ment establishing the clearinghouse under this section is receiving funds for such purpose under part III of division B or under this divi- sion (not including this section); (3)(A) provide leadership development and training to State and local service-learning program administrators, supervisors, service sponsors, and participants; and (B) provide training to persons who can pro- vide the leadership development and training described in subparagraph (A); (4) facilitate communication among— (A) entities carrying out service-learning programs and programs offered under the national service laws; and (B) participants in such programs; (5) provide and disseminate information and curriculum materials relating to planning and operating service-learning programs and pro- grams offered under the national service laws, to States, territories, Indian tribes, and local entities eligible to receive financial assistance under the national service laws; (6) provide and disseminate information re- garding methods to make service-learning pro-