§ 3140.17. Review of county plans and budgets.
(a) Prior to submitting its determination of a county’s total costs and reimbursable costs to the governor and General Assembly, the Department will meet with representatives of each of the counties to review and discuss the needs-based plan and budget estimate. A county may involve the juvenile court and other appropriate agencies in the meeting.
(b) The Department will review each county’s needs-based plan and budget estimate to determine if the following requirements have been fulfilled:
(1) The needs-based plan and budget estimate submitted to the Department shall contain the information required in the forms and instructions bulletin published by the Department. Missing or incomplete forms or other information may invalidate the portion of the county’s budget request that would be supported by the missing information. The county will be given an opportunity to provide the missing information.
(2) The needs-based plan and budget estimate shall show that services required by § § 3130.34—3130.38 will be provided as required by regulation. Failure of a county to show how required services will be made available will result in disapproval of the county’s needs-based plan and budget estimate. Before disapproval, the county will be given an opportunity to respond to the Department’s concerns.
(3) The program of services described in a county’s needs-based plan and budget estimate shall be consistent with State children and youth service objectives established by § 3140.16(d) (relating to content of the plan and budget estimate). If the Department determines, after taking into consideration the size of the county, its past achievement of State objectives and significant problems the county has experienced, that a county’s needs-based plan and budget estimate is not consistent with State children and youth service objectives, the county will be given the opportunity to include initiatives in the plan that are directed at solving problems preventing the achievement of State objectives. Refusal of a county to develop initiatives consistent with State objectives may result in disapproval of the needs-based plan and budget estimate or a portion of the needs-based plan and budget estimate.
(c) The Department will make its determination of the county’s total costs and reimbursable costs and the amount of State reimbursement allowed the county in accordance with section 704.1(a) of the Public Welfare Code (62 P. S. § 704.1(a)), this chapter and Chapter 3170 (relating to allowable costs and procedures for county children and youth). The Department’s determination will consider whether the county’s needs-based plan and budget estimate is reasonable in relation to the following criteria:
(1) The needs-based plan and budget shall provide for no more than the number of families per caseworker required by § 3130.32 (relating to staffing requirements) and may provide for no less than 15 families per one caseworker for nonspecialized programs unless the county had a caseworker to family ratio that provided service to fewer families per caseworker on June 30, 1991. A request for a family to caseworker ratio that is less than required by § 3130.32 will not be approved if it will reduce the ratio of families per caseworker by more than one family from the ratio approved in the previous year, needs-based plan and budget except where the addition of one caseworker may reduce the ratio of families per caseworker by more than one family. The request for staff may not reduce the ratio to less than 15 families per one caseworker. Projected client caseload levels used to develop the caseworker to family ratio shall exclude families and caseworkers in specialized programs and shall be reasonable and adequately justified in the plan as determined by the Department.
(2) The needs-based plan and budget estimate may provide for a direct service staff to supervisor ratio, excluding staff and supervisors assigned to specialized programs, no less than that required by § 3130.32 unless the county had a lower number of direct service staff to supervisors on June 30, 1991, than is provided for by § 3130.32. Replacement of supervisory positions is an allowable cost only if the number of direct service staff to supervisors is higher than that required by § 3130.32.
(3) The needs-based plan and budget estimate may include staffing requests for specialized programs such as family preservation services, child abuse and placement prevention projects, and risk assessment services that provide for fewer families per caseworker than that established in paragraph (1) and fewer direct service staff per supervisor than that established in paragraph (2) but shall be based on adequate justification as determined by the Department.
(4) Except for staff positions funded under paragraph (8), a request for funding of new staff positions in a county’s needs-based plan and budget estimate may provide for no more than 8 months funding during the first fiscal year. A request for funding of vacant staff positions may provide for no more than 10 months funding unless the county can show that all or a portion of the vacancies do not represent a consistent trend as shown by staff vacancy data for the current and previous fiscal years.
(5) Staff salary and staff benefit levels requested in a county’s needs-based plan and budget estimate may not exceed the allowable costs for salaries and benefits established in Chapter 3170.
(6) Service levels and service costs, excluding county staff costs, for purchased services projected for cost centers and major service categories in the county’s needs-based plan and budget estimate shall be:
(i) Reasonable when compared with current and prior years trends in the number of children in the county and the number of children served and with service level, per diem and cost trends reported to the Department’s program and fiscal reporting systems.
(ii) Reasonable when compared with service level, per diem and cost trends shown by other comparable counties.
(iii) Adequately justified in the county’s needs-based plan and budget estimate.
(7) The annual percentage increase in budgeted expenditures in the county’s needs-based plan and budget estimate over the Departmentally determined, previous year, needs-based budget amounts for currently provided purchased services for the institutional placement, the community-based placement and the in-home and intake major service categories may not be more than the projected consumer price index for wage earners developed for the Department for the plan year.
(8) Service levels, per diem rates and cost estimates for new initiatives and services shall be reasonable and requests included in the county’s plan and budget estimate for new initiatives or services shall show that:
(i) The new initiative or service will result in cost savings or reduced rates of increase within its major service category or another major service category.
(ii) The new initiative or service is less expensive or more effective than the current service available.
(9) The cost of the new initiative or service is limited to 6 months funding during the first year but may receive up to 10 months funding based on adequate justification as determined by the Department that the county will have the new initiative in operation in less than 6 months and the initiative will result in cost savings during the first year. Cost savings shall equal at least the amount of additional funds approved to implement the initiative for more than 6 months.
(10) Based on the service levels and budgeted expenditures requested for the major service categories, the county’s needs-based plan and budget estimate shall project Federal Title IV-E revenues under Title IV-E of the Social Security Act (42 U.S.C.A. § § 670—679a) and other program income that is reasonable when compared to prior years actual and estimated actual costs and shall reflect full compliance with Subchapters B and C (relating to placement maintenance; and adoption assistance) and § 3170.31(a) and (b) (relating to the liability of the county and the Department).
(11) The annual percentage increase in budgeted expenditures in the county’s needs-based plan and budget estimate over the approved, previous year, needs-based budget amount for administrative costs may not be more than 3% unless adequately justified as determined by the Department.
(12) Requests included in the county’s needs-based plan and budget estimate for expansion or improvement to the county’s management information or electronic data processing systems shall describe the purpose and cost of the expansion or improvement.
(13) Based on budgeted administrative and training costs requested, the county’s needs-based plan and budget estimate shall project Federal Title IV-E revenues that are reasonable when compared to actual costs of the prior year and Departmentally determined needs-based budget amounts for the previous fiscal years.
(d) If the Department’s assessment of the criteria established in subsection (c) indicates that a portion of the county’s needs-based plan and budget estimate is not reasonable, that portion of the plan and budget estimate may be determined to be nonreimbursable by the Department.
(e) The county may appeal the Department’s determination reached in accordance with subsection (c) under 2 Pa.C.S. § § 501—508 and 701—704 (relating to Administrative Agency Law) and Chapter 275 (relating to appeal and fair hearing and administrative disqualification hearings).
Source The provisions of this § 3140.17 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287; amended October 3, 2008, effective November 3, 2008, 38 Pa.B. 5435. Immediately preceding text appears at serial pages (247636) to (247638) and (257423).
Cross References This section cited in 55 Pa. Code § 3140.35 (relating to review of the plan and budget amendment); 55 Pa. Code § 3140.114 (relating to substitute care agreement); and 55 Pa. Code § 3490.341 (relating to staff-to-family ratios).
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