Subchapter A. PRELIMINARY PROVISIONS
INTRODUCTION Sec.
3140.1. Applicability.
3140.2. Goal.
3140.3. Legal base.
3140.4. Definitions.
3140.5. Waivers
PLAN REQUIREMENTS
3140.11. General requirements.
3140.12. Scope of the plan.
3140.13. Schedule for plan submission.
3140.14. Plan development process.
3140.15. Public hearing.
3140.16. Content of the plan and budget estimate.
3140.17. Review of county plans and budgets.
3140.18. Waiver of plan requirements.
REIMBURSEMENT FOR SERVICES
3140.21. General.
3140.22. Reimbursable services and reimbursement rates.
3140.23. Reimbursement of costs incurred in proceedings under the Juvenile Act.
REIMBURSEMENT PROCEDURES
3140.31. Reporting of expenditures.
3140.32. Plan and budget amendments.
3140.33. Major service categories.
3140.34. Submission of request for plan and budget amendment.
3140.35. Review of the plan and budget amendment.
PAYMENTS TO COUNTIES
3140.41. First and second quarter advance payments.
3140.42. First quarter actual and third quarter advance payments.
3140.43. Second quarter actual and fourth quarter advance payments.
3140.44. Third quarter actual payments.
3140.45. Fourth quarter actual payments.
3140.46. Use of other funds.
3140.47. Deduction for youth development center and forestry camp.
3140.48. Audits.
INTRODUCTION
§ 3140.1. Applicability.
This chapter applies to county children and youth social service programs and governs:
(1) The development and submission of a children and youth social services plan and budget estimate by the county.
(2) The reimbursement of expenses incurred by the county for children and youth social services, including services to alleged and adjudicated delinquent and dependent children.
(3) State and Federal participation in the cost associated with substitute care and adoption assistance.
§ 3140.2. Goal.
The goal of this chapter is to ensure the proper accomplishment of the child welfare duties and functions vested by statute in the counties.
§ 3140.3. Legal base.
The legal base of this chapter is the following statutory provisions:
(1) Articles II, IV, VII and IX of the Public Welfare Code (62 P. S. § § 201—211, 401—488, 701—774 and 901—922).
(2) Title 42 of the Pennsylvania Consolidated Statutes, Chapter 63 (relating to the Juvenile Act).
(3) Title 23 of the Pennsylvania Consolidated Statutes, Chapter 63 (relating to child Protective Services Law).
§ 3140.4. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the content clearly indicates otherwise:
Placement—Twenty-four-hour out-of-home care and supervision of a child.§ 3140.5. Waivers.
(a) A waiver of a requirement of this chapter may be requested as specified in procedures published by the Department.
(b) A waiver may be granted by the Department if the waiver:
(1) Does not alter the applicability, scope or purpose of this chapter.
(2) Is based on evidence, supplied by the requesting agency, that the objective of the requirement will be achieved in another way.
(3) Is based on evidence, supplied by the requesting agency, that a waiver will have no adverse effect on the health, safety and rights of children.
(4) Does not violate or condone noncompliance with Federal statute or regulation, State statute or State regulation other than the requirement of this chapter for which the waiver is approved.
(5) Does not jeopardize receipt of Federal moneys.
Authority The provisions of this § 3140.5 issued under Articles II, VII, IX and X of the Public Welfare Code (62 P. S. § § 201—211, 701—774, 901—922 and 1001—1080).
Source The provisions of this § 3140.5 adopted January 23, 1987, effective January 24, 1987, 17 Pa.B. 392.
PLAN REQUIREMENTS
§ 3140.11. General requirements.
(a) The executive officers of each county shall submit to the Department for approval a needs-based plan and budget estimate which serves as the basis for administration of the county children and youth social services program required by Chapter 3130 (relating to administration of county children and youth social service programs).
(b) The needs-based plan and budget estimate shall be signed by the executive officers of the county. The needs-based plan and budget estimate shall be signed by a majority of the executive officers in any county with more than one executive officer.
Source The provisions of this § 3140.11 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial page (114520).
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 3140.12. Scope of the plan.
The needs-based plan and budget estimate shall identify the functions the county will perform and the services the county will provide or make arrangement for in order to carry out its legal responsibilities to provide public child welfare services.
Source The provisions of this § 3140.12 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial page (114520).
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 3140.13. Schedule for plan submission.
Prior to August 15 each year, counties shall submit to the Department a needs-based plan and budget in a form prescribed by the Department containing their annual client and budget estimates and a description of proposed changes in their annual plans for the fiscal year beginning the following July 1.
Source The provisions of this § 3140.13 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial page (114520).
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 3140.14. Plan development process.
(a) The county shall involve the public in the development of the needs-based plan and budget estimate, including the identification of needs and problems to be addressed in the plan.
(b) Prior to development of the needs-based plan and budget estimate, the county shall request that the court, law enforcement agencies and other children and youth service providers participate in developing the plan.
Source The provisions of this § 3140.14 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial pages (114520) to (114521).
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 3140.15. Public hearing.
(a) Prior to submitting the needs-based plan and budget estimate to the Department, the county shall hold, in compliance with the act of July 19, 1974 (P. L. 486, No. 175) (65 P. S. § § 261—269), a public hearing on a draft of the plan and budget estimate.
(b) The county shall, at least 10 days prior to the public hearing, make the draft needs-based plan and budget estimate available for review and comment by the public.
(c) The county shall accept comment on the needs-based plan and budget estimate for at least 5 days after the date of the public hearing.
Source The provisions of this § 3140.15 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial page (114521).
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 3140.16. Content of the plan and budget estimate.
(a) The needs-based plan and budget estimate submitted by the county to the Department shall contain the forms and information specified in the forms and instructions bulletin published annually by the Department.
(b) The plan shall show that services required in Chapter 3130 (relating to administration of county children and youth social service programs) will be provided as specified in that chapter. If the county projects that a required service will not be needed during the plan period, it shall describe what provisions have been made to make the service available if needed.
(c) The plan shall address needs and problems identified in the Department’s annual inspection of the county agency if:
(1) The activities planned by the county to meet the needs and address the problems identified in the inspection are scheduled to occur during the plan period.
(2) The activities planned by the county will require the addition or reallocation of staff time, staff functions or funds.
(d) The objectives, service projections and service budgets in the plan and budget estimate shall be consistent with the achievement of Commonwealth objectives for the delivery of children and youth social services. Commonwealth objectives for the delivery of children and youth social services are:
(1) To protect children from abuse and neglect.
(2) To increase the use of in-home services for dependent and delinquent children.
(3) To use community-based residential resources, whenever possible, when placement is necessary.
(4) To reduce the use of institutional placements for dependent and for delinquent children.
(5) To reduce the duration of out-of-home placements.
Source The provisions of this § 3140.16 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial pages (114521) to (114522).
Cross References This section cited in 55 Pa. Code § 3140.17 (relating to review of county plans and budgets); 55 Pa. Code § 3140.35 (relating to review of the plan and budget amendment); and 55 Pa. Code § 3140.114 (relating to substitute care agreement).
§ 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).
§ 3140.18. Waiver of plan requirements.
Counties engaged in coordinated human services planning or service delivery may request a waiver of plan guidelines relating to the content and format of the plan and the submission of required forms.
Cross References This section cited in 55 Pa. Code § 3140.114 (relating to substitute care agreement).
REIMBURSEMENT FOR SERVICES
§ 3140.21. General.
(a) Under section 704.1 of the Public Welfare Code (62 P. S. § 704.1), the Department reimburses expenses incurred by the county for children and youth social services, including services to alleged and adjudicated dependent and delinquent children according to an approved county plan and budget estimate up to the amount of State funds allocated to the county under section 709.3 of the Public Welfare Code (62 P. S. § 709.3).
(b) Reimbursement is made:
(1) At varying percentages based on the type of service or activity for which the expenditure was incurred.
(2) According to allowable cost requirements established in Chapter 3170 (relating to allowable costs and procedures for county children and youth programs).
(c) The following costs will not be considered as reimbursable costs:
(1) The cost of mental health or mental retardation treatment services.
(2) The cost of medical and dental services when the client is eligible for other funding or has private resources.
(3) The cost of basic education programs.
(4) The cost of services for children placed outside this Commonwealth in other states:
(i) If the placements are not made according to the requirements of the Interstate Compact on the Placement of Children in section 761 of the Public Welfare Code (62 P. S. § 761) in states which are signatories to the compact.
(ii) If the placements are not made according to sections 746—765 of the Public Welfare Code (62 P. S. § § 746—765) in states which are not signatories to the Interstate Compact on the Placement of Children in section 761 of the Public Welfare Code (62 P. S. § 761).
(5) The cost of care, maintenance and treatment of children placed in facilities which do not meet the requirements of § 3130.39 (relating to services and facilities which may be used).
(6) The cost of county probation office staff.
(7) The cost of juvenile court staff.
(8) The cost of county social service staff not a part of the county agency.
Source The provisions of this § 3140.21 amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial pages (114522) to (114523).
Notes of Decisions In ordering a disposition under 42 Pa.C.S. § 6351 (relating to disposition of dependent child) the court does have the authority to order the county institution district to place children in homes not yet approved and to supervise and fund such placements under subsection (c)(5) and the Superior Court judgment was reversed. In re Lowry, 484 A.2d 383 (Pa. 1984).
Cross References This section cited in 55 Pa. Code § 3140.136 (relating to State financial participation). provided.
§ 3140.22. Reimbursable services and reimbursement rates.
(a) The Department reimburses counties at a rate that is dependent on the type of service provided and the setting in which the service is provided.
(b) Beginning July 1, 1991, the Department reimburses at a 100% rate for adoption services. Adoption services are activities designed to culminate in legal adoption of a child, including adoptive home recruitment, study of adoptive parent applicants, adoptive parent preparation, placement and supervision of the child in an adoptive home, preparation and presentation of material for the adoption hearing, help in obtaining adoption assistance when needed, and supportive services to the adoptive family after placement.
(c) The Department reimburses at a 90% rate for the emergency shelter care of a child in the home of a relative, in a foster family home or in a community residential facility. Emergency shelter service is residential care and supervision in a nonsecure setting, not to exceed 30 consecutive days, for a child:
(1) Whose immediate safety, protection and well-being requires removal from the child’s home.
(2) Who would present a danger to himself or others or who would abscond if he were living at home.
(d) The Department reimburses at an 80% rate for adoption assistance payments as outlined in Subchapter C (relating to adoption assistance).
(e) Up to and including June 30, 1993, the Department will reimburse the following services at a 75% to 90% rate. Beginning July 1, 1993, the Department reimburses the following services at an 80% rate:
(1) Community residential service and group home service. Twenty-four-hour per day placement of a child in a nonsecure facility which serves no more than 25 children. Basic services of the community, including the public school system, recreation and employment, shall be used as a part of the facility’s program.
(2) Foster family service. Twenty-four-hour per day residential care and supervision of a child in a foster family home, including a foster family home operated by a court or county juvenile probation service if the home was operational on January 1, 1978.
(3) Supervised independent living service. The provision or arrangement of living quarters and social services designed to support and supervise children who are living on their own. The child may be in the custody of the child’s parents, the county agency, or another agency or individual.
(4) Alternative treatment programs. Activities or services which are alternatives for residential service, juvenile detention service or secure residential service and do not already receive 75%, 80% or 90% reimbursement. Children and youth programs shall be approved by the Department to receive reimbursement as an alternative treatment program. Department approval for 80% funding is granted to a program if it:
(i) Is provided in a nonsecure setting.
(ii) Is designed to return the child to the child’s home or another legally assured permanent home.
(iii) Minimizes the duration of out-of-home placement.
(f) The Department reimburses at a 75% to 90% rate for the following:
(1) Child protective services—child abuse. Activities, functions and services provided to children reported as abused and to their families under 23 Pa.C.S. Chapter 63 (relating to Child Protective Services Law) and Chapter 3490 (relating to protective services).
(2) Counseling/intervention services. Supportive and therapeutic activities provided to a child or a child’s family and directed at preventing or alleviating conditions, including crisis conditions, which present a risk to the safety or well-being of the child, by improving problem-solving and coping skills, interpersonal functioning, the stability of the family or the capacity of the family to function independently.
(3) Day care service. Out-of-home care for part of a 24-hour day to children provided in day care centers, group day care homes and family day care homes as part of a family service plan required by § § 3130.61 and 3130.67 (relating to family service plans; and placement planning) to prevent removal of a child from his parents’ custody or as a part of the process of reestablishing a child with his family following an out-of-home placement.
(4) Day treatment service. Intensive services provided to a child for part of a day. These activities are designed to provide supervision and counseling of the child and coordination of the range of related human services necessary to establish consistent developmental relationships and skills to enable the child to function in the community. They do not include the cost of juvenile probation services, education programs, primary health care programs and programs designed to treat the mental disabilities of a child.
(5) Emergency shelter service. Emergency shelter service in a residential service facility as defined in subsection (g).
(6) Child protective service—general. Activities and services to protect the health and safety of children who are without proper parental supervision or who have been neglected, exploited or injured by the parents to an extent not sufficient to be covered by 23 Pa.C.S. Chapter 63.
(7) Homemaker/caretaker service. Home help, home care skills instruction and child care and supervision provided to a child and the child’s family in the child’s home by a trained homemaker or caretaker.
(8) Information and referral service. The provision to an individual or requested information about needed services and referral to appropriate providers.
(9) Life skills education. Practical education and training to the child and other family members, either in or outside of their own homes, in skills needed to perform the activities of daily living, including child care and parenting education, home management and related functions.
(10) Service planning. County agency staff activities provided to determine what services are needed, to develop a service plan and to arrange for provision of needed services.
(g) The Department reimburses for expenses incurred for administration at a 60% rate. Administration consists of activities to manage a county children and youth social service agency and to ensure the provision of services and the performance of functions required by this title, including: planning; budgeting; accounting; recordkeeping; staff development; the operation of a volunteer program; and the proportionate costs of planning, research, coordination and evaluation activities performed by a youth service system, a county planning office or other human service planning body.
(h) From July 1, 1992, through June 30, 1993, the Department will reimburse the following services at a 55% rate. Beginning July 1, 1993, the Department reimburses the following services at a 60% rate:
(1) Residential service. Twenty-four-hour out-of-home care in a nonsecure facility for children not related to the provider which does not meet the criteria for community residential service or emergency shelter service.
(2) Secure residential service. Placement of adjudicated delinquent children for residential care, supervision and rehabilitation in a secure facility.
(i) The Department reimburses juvenile detention service at a 50% rate. Juvenile detention service consists of 24-hour per day secure, temporary care; maintenance; and supervision in a licensed or approved detention facility for alleged or adjudicated delinquents who would present a danger to themselves or others or who would abscond if they remained in their homes or were placed in emergency shelter care.
Authority The provisions of this § 3140.22 amended under Articles II, VII, IX and X of the Public Welfare Code (62 P. S. § § 201—211, 701—774, 901—922 and 1001—1080).
Source The provisions of this § 3140.22 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392; amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial pages (114523) to (114527).
Cross References This section cited in 55 Pa. Code § 3140.33 (relating to major service categories); and 55 Pa. Code § 3140.136 (relating to State financial participation).
§ 3140.23. Reimbursement of costs incurred in proceedings under the Juvenile Act.
The Department reimburses 50% of the reasonable costs of:
(1) Medical and other examinations and treatment of a child ordered by the court under 42 Pa.C.S. Chapter 63 (relating to the Juvenile Act).
(2) A guardian pendente lite, summons, warrants, notices, subpoenas, travel expenses of witnesses, transportation of the child and other similar expenses incurred in proceedings under 42 Pa.C.S. § § 6301—6365.
Cross References This section cited in 55 Pa. Code § 3140.136 (relating to State financial participation).
REIMBURSEMENT PROCEDURES
§ 3140.31. Reporting of expenditures.
The county shall submit, within 45 days of the end of each quarter, a quarterly report of expenditures on forms prescribed by the Department.
§ 3140.32. Plan and budget amendments.
(a) The county shall submit to the Department for approval a request for a plan and budget amendment if it becomes apparent to the county that actual cumulative expenditures in one of the four major service categories will exceed, by 10% or $10,000, whichever is greater, the approved total annual budget amount for the category.
(b) If no request for a plan and budget amendment has been submitted and approved, reimbursement for actual expenses paid for any quarter will be reduced by the excess of cumulative expenditures for any major service category expenditure which exceeds the approved annual budget amount for the major service category by more than 10% or $10,000, whichever is greater.
§ 3140.33. Major service categories.
The four major service reimbursement categories and the activities and services which comprise them include:
(1) In-home and intake services: child protective services—child abuse; child protective services—general; counseling/intervention service; day care service; day treatment service; homemaker/caretaker service; information and referral service; life skills education; service planning; adoption service; and adoption assistance.
(2) Community based placement services: foster family service; community residential service, including group home service; supervised independent living service; and emergency shelter service.
(3) Institutional placement services: residential service; juvenile detention service; and secure residential service.
(4) Administration services as defined in § 3140.22(f) (relating to reimbursable services and reimbursement rates).
§ 3140.34. Submission of request for plan and budget amendment.
A request for plan and budget amendment may be submitted at any time, up to and including the time the county submits its fourth quarter (April, May, June) quarterly report of expenditures. The request for a plan and budget amendment shall be submitted on the forms and contain the information required by the Department.
§ 3140.35. Review of the plan and budget amendment.
The Department will review and approve or reject the total plan and budget as revised by the proposed amendment. The plan review and budget amendment shall meet criteria established at § § 3140.16 and 3140.17 (relating to content of the plan and budget estimate; and review of county plans and budgets). If the Department rejects the proposed plan and budget amendment, the current approved plan and budget remains in effect.
Authority The provisions of this § 3140.35 amended under Articles II, VII, IX and X of the Public Welfare Code (62 P. S. § § 201—211, 701—774, 901—922 and 1001—1080).
Source The provisions of this § 3140.35 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392; amended June 26, 1992, effective July 1, 1992, 22 Pa.B. 3287. Immediately preceding text appears at serial page (114528).
PAYMENTS TO COUNTIES
§ 3140.41. First and second quarter advance payments.
Upon approval of the county’s plan and budget estimate, the Department will make an advance payment, for the first quarter, of 12.5% of the State share of the county’s plan and budget estimate. Within 45 days of the second quarter of the fiscal year, the Department will make an advance payment of 12.5% of the State share of the county’s approved plan and budget estimate.
§ 3140.42. First quarter actual and third quarter advance payments.
(a) Upon approval of the county’s quarterly report of expenditures for the first quarter, the Department will make a payment to the county which combines a reimbursement of the State’s share of actual expenses for the first quarter and an advance payment for the third quarter of the fiscal year. Reimbursement for actual expenses for the first quarter will be adjusted by the first quarter advance already paid and will not exceed 25% of the State share of the county’s approved plan and budget estimate. Reimbursement for actual expenses paid for the first quarter will be reduced by the excess of any major service category expenditure which exceeds the approved annual budget amount for the major service category by more than 10% or $10,000, whichever is greater.
(b) The advance payment for the third quarter will be 12.5% of the State share of the county’s approved plan and budget estimate.
§ 3140.43. Second quarter actual and fourth quarter advance payments.
Upon approval of the county’s quarterly report of expenditures for the second quarter, the Department will make a payment to the county which combines a reimbursement of the State’s share of actual expenses for the second quarter and an advance payment for the fourth quarter of the fiscal year. As quarterly reports are cumulative, reimbursement for actual expenses for the second quarter will be adjusted by previous payments and the second quarter advance. The second quarter reimbursement of expenditures will not exceed 50% of the State share of the county’s approved plan and budget estimate. Reimbursement for actual expenses paid for the second quarter will be reduced by the excess of cumulative expenditures for any major service category which exceeds the approved annual budget amount of the major service category by more than 10% or $10,000, whichever is greater. The advance payment for the fourth quarter will be 12.5% of the State share of the county’s approved plan and budget estimate.
§ 3140.44. Third quarter actual payments.
Upon approval of the county’s quarterly report of expenditures for the third quarter, the Department will make a payment of the State’s share of the county’s actual expenditures for the third quarter as adjusted by previous payments and the third quarter advance. Third quarter reimbursement of expenditures will not exceed 75% of the State share of the county’s approved plan and estimate. Reimbursement of actual expenses for the third quarter will be adjusted by the excess of cumulative expenditures for any major service category which exceeds the approved annual budget amount for the major service category by more than 10% or $10,000, whichever is greater.
§ 3140.45. Fourth quarter actual payments.
Upon approval of the county’s quarterly report of expenditures for the fourth quarter, the Department will make a payment of the State’s share of the county’s actual expenditures for the fourth quarter as adjusted by previous payments and the fourth quarter advance. Fourth quarter reimbursement of expenditures will not exceed 100% of the State share of the county’s approved plan. Reimbursement of actual expenditures for the fourth quarter will be adjusted by the excess of cumulative expenditures for any major service category which exceeds the approved annual budget amount for the major service category by more than 10% or $10,000, whichever is greater. An overpayment will be adjusted against a scheduled payment in a succeeding year. Adjustments required as a result of the audit of the final quarterly report of expenditures (cumulative report for the full year) or audit conducted by State or Federal officials will be made against payments in a succeeding year.
§ 3140.46. Use of other funds.
Payments made by the Department under this chapter will be made only on the costs remaining after other appropriate funding sources and client-generated revenues have been exhausted.
§ 3140.47. Deduction for youth development center and forestry camp.
(a) The Department will deduct from each quarterly payment to the county the amount that the county owes to the Department for its share of the cost of care and maintenance for adjudicated delinquent children committed to State-operated youth development centers and youth forestry camps.
(b) The amount deducted is based on monthly statements of placements which are aggregated quarterly and sent to each county. The deduction is computed from the monthly statements and interim per diem rates for services in each facility.
(c) The Department will maintain a record of facility costs and days of care for certification by the Auditor General in determining the actual average daily cost for service in each facility. Quarterly payments will be adjusted for the difference between actual costs and interim billings after the costs are certified by the Auditor General.
(d) The interim and actual per diem rates are determined in accordance with a cost allocation procedure published in the Department’s Administrative Manual.
Authority The provisions of this § 3140.47 amended under Articles II, VII, IX and X of the Public Welfare Code (62 P. S. § § 201—211, 701—774, 901—922 and 1001—1080).
Source The provisions of this § 3140.47 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392. Immediately preceding text appears at serial page (75166).
§ 3140.48. Audits.
(a) The county shall maintain its record of expenditures until it is audited by the Auditor General, or for at least 5 years, unless the county is requested to retain certain records, accounts or supporting documents for a longer period.
(b) Within 105 days of the end of the fiscal year, the county shall obtain and submit to the Department an independent audit report of its record of expenditures. The independent audit report shall be submitted to the appropriate regional office of the Department. The audit shall be conducted by a certified public accountant in accordance with the format established by the Department. The Department will withhold payments for children and youth services to a county that fails to submit an audit to the Department within 105 days of the end of the fiscal year. Payment will be withheld until an acceptable audit is received.
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