Subchapter C. ADOPTION ASSISTANCE
Sec.
3140.201. Applicability.
3140.202. Child eligibility.
3140.203. Adoption assistance agreement.
3140.204. Payments/benefits.
3140.205. Eligibility for Federal financial participation.
3140.206. State reimbursement.
3140.207. Entitlement to other services and benefits.
3140.208. Procedures.
3140.209. [Reserved].
3140.210. Right to hearing and appeal.
Cross References This subchapter cited in 55 Pa. Code § 3130.36 (relating to adoption services); 55 Pa. Code § 3140.17 (relating to review of county plans and budgets); and 55 Pa. Code § 3140.22 (relating to reimbursable services and reimbursement rates).
§ 3140.201. Applicability.
This subchapter applies to the provision of adoption assistance by county children and youth social service agencies. This subchapter is promulgated by the Department to provide financial assistance to adoptive parents on behalf of children with special needs who meet adoption assistance eligibility criteria. The subchapter presents the requirements for State and Federal financial participation in the costs of providing adoption assistance.
Notes of Decisions Most Suitable Home
Based upon the Federal government’s official interpretation of the Federal regulations of this program, this court holds that the local agency must first find, not just ‘‘an appropriate’’ adoptive home, but must first ‘‘locate the most suitable family for the child,’’ without regard for whether the most suitable family does or does not require any form of assistance. Gruzinski v. Department of Public Welfare, 731 A.2d 246 (Pa. Cmwlth. 1999); appeal denied 747 A.2d 902 (Pa. 1999).
§ 3140.202. Child eligibility.
(a) The county children and youth social service agency (county agency) is the sole authority for certifying a child’s eligibility for adoption assistance.
(b) The county agency shall certify for adoption assistance children whose placement goal is adoption and who meet the following requirements:
(1) The child is 17 years of age or younger.
(2) Parental rights have been terminated under 23 Pa.C.S. Part III (relating to the Adoption Act).
(3) The child is in the legal custody of the county agency or another agency approved by the Department.
(4) The child shall have at least one of the following characteristics:
(i) A physical, mental or emotional condition or handicap.
(ii) A genetic condition which indicates a high risk of developing a disease or handicap.
(iii) Be a member of a minority group.
(iv) Be a member of a sibling group.
(v) Be 5 years of age or older.
(c) Prior to certification for adoption assistance, the county agency shall make reasonable efforts to find an adoptive home without providing adoption assistance. Evidence of this effort shall be recorded in the case record and include registration with the Department’s adoption exchange for at least 3 months.
(d) If it would be against the best interests of the child because of factors, such as the existence of significant emotional ties with prospective adoptive parents while in the care of the parents as a foster child, the requirement of subsection (c) does not apply.
Authority The provisions of this § 3140.202 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 § 3140.202 amended January 23, 1987, effective July 23, 1987, 17 Pa.B. 392; amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial pages (114540) to (114541).
Notes of Decisions Eligibility
It is the county agency’s responsibility to determine whether to certify a child as eligible for assistance, not the adoptive parents’ responsibility and the agency cannot expect the adoptive parents to make an informed decision as to whether or not to accept an adoption assistance subsidy when it is the agency that controls what information is and is not given to the adoptive parents. York CYS v. Department of Public Welfare, 833 A.2d 281, 288 (Pa. Cmwlth. 2003)
A child with special needs was not eligible for adoption subsidy payments until March 29, 1989, the date of termination of the natural parents’ rights. Allegheny County Office of Children and Youth Services v. Department of Public Welfare, 800 A.2d 367 (Pa. Cmwlth. 2002).
The county children and youth services agency is responsible for determining the adoption assistance eligibility not only for children who are in their care and custody, but for all children. Gruzinski v. Department of Public Welfare, 731 A.2d 246 (Pa. Cmwlth. 1999); appeal denied 747 A.2d 902 (Pa. 1999).
A child, who was born with a cleft palate, cleft jaw, and a cleft lip, is eligible for adoption assistance retroactive to the first instance where the child was residing with the adoptive mother and the birth mother’s parental rights were terminated, where, at the time the adoption petition was filed, the child was eligible for AFDC while living with a specified relative, her aunt, the adoptive mother, and the child, in fact, received AFDC payments while living with the adoptive mother prior to the adoption, even though actual payments are not necessary in order to meet the AFDC relatedness standard for adoption assistance. Gruzinski v. Department of Public Welfare, 731 A.2d 246 (Pa. Cmwlth. 1999).
Exception
Extenuating circumstances existed in this case to justify a waiver of the 3-month ‘‘reasonable efforts’’ requirement, where each child was placed in the custody of the adoptive parents at a very tender age and formed familial bonds with their adoptive parents; it would not have been in the best interest of either child to have the child removed and placed with a different family solely because that family did not require an adoption subsidy. Adoption Resource Center, Inc. v. Department of Public Welfare, 727 A.2d 1209 (Pa. Cmwlth. 1999).
The exception to the ‘‘reasonable efforts’’ requirement of this regulation should be interpreted broadly, where the ‘‘such as’’ language of the regulation suggests that other situations may come within the exception, and the foster care scenario described therein merely provides one example. Adoption Resource Center, Inc. v. Department of Public Welfare, 727 A.2d 1209 (Pa. Cmwlth. 1999).
Federal Law; Consistency
The Adoption Opportunities Act (62 P. S. § § 771—774) and the regulations promulgated thereunder, are consistent with the Federal Adoption Assistance and Child Welfare Act of 1980 (42 U.S.C.A. § § 670—676), with respect to the requirement that the child be in agency custody to qualify for certain subsidies. The court found that the child was effectively in that position, thereby satisfying the requirements of the Adoption Opportunities Act. C.B. and J.B. v. Department of Public Welfare, 786 A.2d 176 (Pa. 2001).
Three-Month Waiting/Search Period
Although the court agreed that the primary focus of the adoption agency should be on finding the most suitable family for the child, and not on ‘‘shopping’’ for a family that does not require assistance, the court declined to hold that the 3-month registration requirement contained in this regulation is per se unreasonable or in violation of Federal law. Adoption Resource Center, Inc. v. Department of Public Welfare, 727 A.2d 1209 (Pa. Cmwlth. 1999).
The extenuating circumstances doctrine states that adoptive parents have a right to a fair hearing if the State or county adoption agency fails to advise adoptive parents of the availability of adoption assistance. The extenuating circumstances doctrine does not apply when a county agency or the Department does not know of the existence of the children before the adoption is finalized. Without knowledge of the children, the county agency or the Department cannot comply with § § 3140.202(c) or 3140.203(a). Laird v. Dep’t of Pub. Welfare, 23 A.3d 1015, 1030 (Pa. 2011).
Cross References This section cited in 55 Pa. Code § 3140.205 (relating to eligibility for Federal financial participation).
§ 3140.203. Adoption assistance agreement.
(a) The county agency shall execute a binding written adoption assistance agreement between the parties—prospective adoptive parents and county agency—at the time of or before the court issues the final adoption decree.
(b) The adoption assistance agreement shall specify benefits and conditions relating to adoption including:
(1) The dollar amount of the adoption assistance payment, if any.
(2) The schedule for making payment and the date on which the payment will commence, which may not be earlier than the date on which the adoptionwas finalized and the dollar amount of the nonrecurring adoption expenses, if any.
(3) The availability and scope of Medical Assistance coverage, under Title XIX of the Social Security Act (42 U.S.C.A. § § 1396—1396q) (Title XIX) (Medicaid).
(4) The availability and scope of social services under Title XX of the Social Security Act (42 U.S.C.A. § § 1397—1397f) (Title XX).
(5) The extent to which benefits for the child will apply when the adoptive family resides in or relocates to another state while the agreement is in effect.
(6) A provision for the protection of the interests of the child in case the adoptive parents and child reside or relocate to another state while the agreement is in effect.
(i) For an adoptive child certified eligible for Federal Financial Participation, eligibility for Medical Assistance and Title XX social service is retained.
(ii) With regard to Medical Assistance eligibility under Title XIX and social services under Title XX, one of the following statements shall be contained in the agreement.
(A) ‘‘The child you are adopting has been determined eligible for Federal Financial Participation. If you currently reside or subsequently relocate outside this Commonwealth, the child you are adopting will remain eligible for Medical Assistance benefits under Title XIX of the Social Security Act and social services under Title XX of the act. The authorizing Medical Assistance card will be issued from the child’s state of residence.’’
(B) ‘‘The child you are adopting has been determined ineligible for Federal Financial Participation. Although a Pennsylvania Medical Assistance card may be provided in the child’s name regardless of your state of
(5) The extent to which benefits for the child will apply when the adoptive family resides in or relocates to another state while the agreement is in effect.
(6) A provision for the protection of the interests of the child in case the adoptive parents and child reside or relocate to another state while the agreement is in effect.
(i) For an adopted child certified eligible for Federal Financial Participation, eligibility for Medical Assistance and Title XX social service is retained.
(ii) With regard to Medical Assistance eligibility under Title XIX and social services under Title XX, one of the following statements shall be contained in the agreement.
(A) ‘‘The child you are adopting has been determined eligible for Federal Financial Participation. If you currently reside or subsequently relocate outside this Commonwealth, the child you are adopting will remain eligible for Medical Assistance benefits under Title XIX of the Social Security Act and social services under Title XX of the act. The authorizing Medical Assistance card will be issued from the child’s state of residence.’’
(B) ‘‘The child you are adopting has been determined ineligible for Federal Financial Participation. Although a Pennsylvania Medical Assistance card may be provided in the child’s name regardless of your state of residence, it may be difficult to locate medical providers who will accept a Pennsylvania Medical Assistance card if you reside outside Pennsylvania boundaries. Title XX social services as agreed upon will be available to the extent that a voluntary agreement can be worked out between involved states.’’
(iii) For agreements entered into on or after October 1, 1983, if a needed service specified in the adoption assistance agreement is not available in the state of residence, the county making the original adoption assistance agreement remains responsible for assuring reasonable access to specified or comparable service.
(7) The circumstances that would cause a reduction in the amount paid or termination of the adoption assistance agreement.
(8) That adoptive parents are responsible for notifying the county agency of changes in circumstances, and that the county agency will contact the parents at least annually to assess the child’s continued dependency.
(9) Information concerning additional services that are available to the child, such as mental health/mental retardation services.
(10) Acknowledgement that the adoption assistance agreement remains in effect if a family relocates outside the certifying county.
(11) The duration of the agreement.
(12) The schedule for making payment and the date on which payment will commence.
(c) Each party to the agreement shall be given one signed copy of the agreement.
Authority The provisions of this § 3140.203 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 § 3140.203 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392; amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial pages (114541) to (114542).
Notes of Decisions The extenuating circumstances doctrine states that adoptive parents have a right to a fair hearing if the State or county adoption agency fails to advise adoptive parents of the availability of adoption assistance. The extenuating circumstances doctrine does not apply when a county agency or the Department does not know of the existence of the children before the adoption is finalized. Without knowledge of the children, the county agency or the Department cannot comply with § § 3140.202(c) or 3140.203(a). Laird v. Dep’t of Pub. Welfare, 23 A.3d 1015, 1030 (Pa. 2011).
Cross References This section cited in 55 Pa. Code § 3140.204 (relating to payments/benefits).
§ 3140.204. Payments/benefits.
(a) The county agency shall certify the child’s eligibility for adoption assistance and, in consultation with the adoptive parent, shall determine the terms of the adoption assistance agreement.
(b) Two types of payments, as well as adoption assistance benefits, shall be available to children certified as eligible for adoption assistance under this chapter. The two types of payments are adoption assistance payments and nonrecurring adoption expense payments.
(1) For adoption assistance payments, the following apply:
(i) The amount of the adoption assistance payment may not exceed the foster care maintenance payment which would have been paid if the child for whom the adoption assistance payment is made were living in a foster family home.
(ii) The county agency shall, when determining the dollar amount of the assistance payment, consider the following circumstances of the adoptive parent and child:
(A) Family income and expenses.
(B) Family financial assets and liabilities.
(C) Other family resources, such as employe benefits, available to the adoptive parent which would become accessible to the child.
(D) The cost of supportive child services that are borne by the adoptive parents, such as medical expenses not covered under the State Medical Assistance Program, and special transportation costs.
(E) The possible loss of benefits currently available to the child, such as supplemental security income.
(iii) The county agency which certifies the child eligible for adoption assistance payments shall remain responsible for the agreed upon payments, as specified in the adoption assistance agreement, if the adoptive family relocates outside the county.
(iv) The county agency may adjust the amount of the payments with the concurrence of the adoptive parents.
(2) For nonrecurring adoption expense, the following apply:
(i) Nonrecurring adoption expenses shall be reasonable and necessary costs which are directly related to the legal adoption of a child with special needs and which are incurred in compliance with State and Federal laws.
(ii) Nonrecurring adoption expenses include home study fees, court costs, attorney fees and travel, when necessary to complete the placement or adoption process.
(iii) The amount paid to adoptive parents for nonrecurring adoption expenses may not be a factor in determining the maximum amount of adoption assistance payments under paragraph (1)(i).
(iv) Nonrecurring adoption expense payments shall be a one-time payment.
(v) For nonrecurring adoption expenses, the following two exceptions apply to the adoption assistance agreement requirement of § 3140.203(a) (relating to adoption assistance agreement).
(A) The final decree of adoption must have been entered on or after January 1, 1987 and before June 14, 1989.
(B) A final decree must have been entered before January 1, 1987 but nonrecurring adoption expenses must have been paid after January 1, 1987.
(vi) For nonrecurring adoption expenses, when the final decree has been entered between January 1, 1987 and June 14, 1989, or if a final decree has been entered before January 1, 1987 but nonrecurring adoption expenses have been paid after January 1, 1987, individuals who seek reimbursement shall enter into an agreement with the county agency that certifies the child, and file a claim before December 14, 1990.
(3) For adoption assistance benefits the following apply:
(i) The terms of Medical Assistance benefits shall be specified.
(ii) The terms of Title XX of the Social Security Act (42 U.S.C.A. § § 1397—1397f) social services shall be specified.
(c) Criteria for the adoptive parents, such as residence or a means test designed to exclude prospective adoptive parents from receiving payments or other adoption assistance benefits provided for in this subchapter on behalf of an eligible child, may not be used by the county agency.
(d) An eligible child shall begin to receive adoption assistance payments and benefits when an adoption assistance agreement is in effect under § 3140.203 and the child is placed in the home of prospective adoptive parents.
(e) Adoption assistance payments and benefits shall be terminated by the county agency when one of the following occurs:
(1) The child reaches 18 years of age.
(2) The adoptive parents are no longer providing for the financial support of the child.
(3) The parents are determined by court action to no longer be legally responsible for the child.
(4) The adoptive parents request termination of adoption assistance.
Authority The provisions of this § 3140.204 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 § 3140.204 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392; amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial pages (114542) to (114543).
Notes of Decisions Eligibility; Retroactivity
Although there was no adoption assistance agreement in effect, between the county agency and the adopting parent at the time of the adoption decree, there were ‘‘extenuating circumstances’’ therefore, it was appropriate to award adoption subsidy payments to the adopting parents retroactive to the date of adoption. Allegheny County Office of Children and Youth Services v. Department of Public Welfare, 800 A.2d 367 (Pa. Cmwlth. 2002).
§ 3140.205. Eligibility for Federal financial participation.
(a) Adoption assistance payments shall qualify for Federal financial participation under Title IV-E of the Social Security Act (42 U.S.C.A. § § 670—676) (Title IV-E), when the requirements of this chapter are met and a child is placed with approved adoptive applicants.
(b) To continue Federal financial participation after the adoption is finalized, the child shall meet one of the following conditions:
(1) The child is eligible for Aid to Families with Dependent Children and is living with a relative at the time the adoption petition is filed.
(2) The child is receiving Title IV-E placement maintenance at the time the adoption petition is filed.
(3) The child meets Supplemental Security Income eligibility requirements.
(4) The child is a child whose placement costs are covered by Title IV-E payment made with respect to the child’s minor parent.
(c) A nonrecurring adoption payment shall qualify for Federal financial participation under Title IV-E when, except for the requirements in § 3140.202(b)(3) (relating to child eligibility) and subsection (b), all other requirements of this subchapter have been met.
(d) For each adopted child, Federal financial participation for nonrecurring adoption expenses shall be available at a 50% rate for expenses incurred up to $2,000.
Authority The provisions of this § 3140.205 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 § 3140.205 amended January 23, 1987, effective January 24, 1987, 17 Pa.B. 392; amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial pages (114543) to (114544).
§ 3140.206. State reimbursement.
State reimbursement of county agency costs for adoption assistance shall be 80% of one of the following:
(1) Adoption assistance payments or nonrecurring adoption expenses, or both, when the child is not eligible for Federal financial participation.
(2) When the child is eligible for Federal financial participation, the remainder of costs for adoption assistance payments or nonrecurring adoption expenses, or both, after Federal financial participation has been deducted.
Source The provisions of this § 3140.206 amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial page (114544).
§ 3140.207. Entitlement to other services and benefits.
(a) Notwithstanding another provision of law, families with a signed adoption assistance agreement, who are providing care for a child whom they intend to adopt under sections 771—774 of the Public Welfare Code (62 P. S. § § 771—774) and in accordance with this chapter are not liable under the Mental Health and Mental Retardation Act of 1966 (50 P. S. § § 4101—4704) or the Support Law (62 P. S. § § 1971—1977) if the child needs services or assistance available under these statutes. A child for whom an adoption assistance agreement has been entered and is living with a family who will or has already adopted under the Pennsylvania Adoption Assistance Program is considered a family of one:
(1) By the county board of assistance in determining eligibility for Medical Assistance.
(2) By the local offices of Mental Health and Mental Retardation in determining eligibility for mental health and mental retardation services.
(b) A child who qualifies for Federal Financial Participation is automatically eligible for services under Title XX (42 U.S.C.A. § § 1397—1397f) and Title XIX (42 U.S.C.A. § § 1396—1396q)—Medicaid—of the Social Security Act.
Source The provisions of this § 3140.207 amended October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial pages (114544) and (128297).
Cross References This section cited in 55 Pa. Code § 4305.33 (relating to income to be considered).
§ 3140.208. Procedures.
The county agency shall follow the procedures and execute the forms required by the Department for eligibility determination or documentation, Federal financial participation, State reimbursement and statistical reporting.
§ 3140.209. [Reserved].
Source The provisions of this § 3140.209 reserved October 26, 1990, effective immediately and apply retroactively to July 30, 1988, 20 Pa.B. 5437. Immediately preceding text appears at serial page (128297).
§ 3140.210. Right to hearing and appeal.
(a) A child applying for or receiving adoption assistance or a person acting on behalf of a child has a right to a Departmental hearing to appeal:
(1) A finding of ineligibility after determination of eligibility.
(2) A denial or reduction of service.
(3) The termination or suspension of service.
(b) The hearings will be conducted in accordance with Chapter 275 (relating to appeal and fair hearing and administrative disqualification hearings) unless otherwise provided by this chapter.
APPENDIX A
TITLE IV-E INDEPENDENT LIVING (IL) PROGRAM
GUIDELINES AND APPLICATION PROCESS
(a) Goals of the Title IV-E IL Program.
(1) Children in placement are often deprived of the caring and support of a functioning natural family. Their family background is often one of poverty including generations of dependence on the public welfare system. Without social support and programs, many of these children will repeat the economic dependence learned in their families. Critical to breaking this generational cycle of dependence is the opportunity for meaningful, self-sustaining employment or further education.
(2) The goal of the Commonwealth’s IL Program is to provide children making the transition from placement to independent living with the skills and resources necessary to make them independent and productive members of society.
(3) To accomplish this goal, the Title IV-E IL Program is directed at:
(i) Assisting counties in developing a continuum of community resources and services that help dependent and delinquent youth in placement make the transition to independence and self-sufficiency.
(ii) Improving the coordination and use of existing community resources to meet the transitional living needs of youth in placement.
(iii) Establishing or expanding IL services for IV-E eligible youth who are 16 to 18 years old.
(iv) Maximizing the use of all Federal and State funds available for IL services to children in placement who could benefit.
(b) Counties eligible to submit an application.
(1) An allocation of Title IV-E IL Program money will be made to counties with Title IV-E eligible children who were in placement on March 30, 1988. Counties will be informed by separate letter of their allocation. However, only those counties with youth in placement who meet or who will meet the Title IV-E IL Program eligibility criteria during Federal FY 1988-89 are eligible to submit an application.
(2) To be eligible for Title IV-E IL services, youth shall be 16, 17 or 18 years of age, and receiving Title IV-E Placement Maintenance.
(3) Counties that expect to have youth in placement during 1988-89 who meet these requirements may submit an application for the amount of their allocation. Smaller counties with limited allocations are encouraged to join with a nearby county or counties to submit a joint application. Counties that choose to submit joint applications shall identify the lead county for purposes of payment, audit reporting and the like, in their application.
(c) Funding.
(1) There is no local match required to receive Title IV-E IL funds.
(2) Title IV-E IL funding shall be used to increase spending for IL services and the amount of existing (FY 1987-88) spending for IL services shall be maintained. The new funds can be used to initiate new programs and services or expand existing services. For counties that participated last year, these funds may be used to continue or expand the program begun with the initial grant.
(3) To maximize the use of funding available for IL services to youth, the county shall:
(i) Use Title IV-E IL dollars to provide services for Title IV-E eligible youth. Wherever possible, the grant money should be used to pay for social services for Title IV-E eligible youth now being paid for with State and local dollars. The grant funds can also be used to develop new or expand existing services for eligible youth. Title IV-E IL funds may not be used to fund placement maintenance costs such as food, rent, clothing or board payments.
(ii) Use existing State and local IL dollars, when possible, to fund IL services and programs for youth who are not Title IV-E IL eligible. This is where much of the expansion in a county’s IL program can be realized. State and local dollars are much more flexible than Title IV-E IL funds. They can be used to provide services to youth under 16 years of age and over age 18, aftercare services for youth who have left placement and a broader range of practice living experiences.
(d) Program activities for which Title IV-E IL funds can be used.
(1) Support. Title IV-E IL funds can be used to support:
(i) Direct services for 16, 17 and 18 year old youth who are receiving Title IV-E Placement Maintenance Assistance. Counties may not use Title IV-E IL funds to pay for rent, food, clothing or board payments.
(ii) A prorated share of direct services when they are provided both to Title IV-E eligible youth and those youth who are not Title IV-E eligible. For example, the proportional cost of a group counseling program serving both Title IV-E and non-Title IV-E eligible youth.
(iii) The cost of indirect service activities that benefit both Title IV-E eligible and non-Title IV-E eligible youth when it can be shown that the activity is needed to establish or provide services to Title IV-E eligible youth. Indirect services are those activities that support the provision of direct IL services. Some examples are: staff and foster parent training, community coordinating activities, program evaluation and community education and outreach to support transitional living programs for all youth.
(2) Examples. Examples of the types of direct and indirect services and activities for which Title IV-E IL funds can be used are listed in paragraph (3). The lists are not exhaustive and are meant to serve as guides. Counties are not strictly bound by the lists in preparing their applications and are encouraged to develop new and innovative services and approaches to achieve the goals of the IL Program and meet the needs of youth in their communities.
(3) Direct services.
(i) Direct services are activities conducted on behalf of a youth to achieve the goals and objectives established in the youth’s IL plan. The Federal law that established the Title IV-E Program also requires that an IL case plan be developed for youth receiving Title IV-E IL services and, wherever appropriate, for other youth age 16 or over. The youth’s IL case plan shall be part of the youth’s family service plan and include a description of the services which will help the youth prepare for transition from foster care to independent living.
(ii) For purposes of the Title IV-E IL Program, direct services include, but are not limited to, the following:
(A) Individualized assessment of the IL needs of eligible children and the development of an IL case plan based on that assessment.
(B) Services related to education and vocational training, such as:
(I) Career planning.
(II) Preparation for GED or higher education.
(III) Job readiness.
(IV) Job search assistance.
(V) Job placement.
(VI) Tutoring or other remedial education.
(VII) Job follow-up activities.
(C) Programs and services in basic living skills such as:
(I) Money management.
(II) Home management.
(III) Consumer skills.
(IV) Identifying and using community resources.
(V) Use of transportation.
(VI) Health care.
(VII) Locating housing.
(VIII) Problem solving/decision making.
(IX) Time management.
(X) Communication skills.
(D) Individual and group counseling as well as workshops and conferences to promote:
(I) Self esteem.
(II) Self confidence.
(III) Development of interpersonal and social skills.
(IV) Preparation for transition to independence and termination from substitute care.
(E) Stipends to youth for participation in and completion of IL activities. Stipends can be used as a ‘‘nest egg’’ to fund start-up costs of IL, such as a security deposit for an apartment, apartment utilities and furnishings, and tuition for education and training.
(F) Activities that promote and assist teen parents and their children in making the transition from foster care.
(G) The cost of staff that provide direct services.
(4) Indirect services. For purposes of the Title IV-E IL Program indirect services include, but are not limited to, the following:
(i) Training efforts.
(A) Training of staff to acquire knowledge and skills needed to develop IL programs and IL case plans.
(B) Training of staff, foster parents and other child care providers to provide for the IL needs of children in care such as life skills education.
(C) Purchase of workbooks, audiovisual and other resources to be used in training staff, foster parents and youth.
(ii) Community, outreach and education efforts designed to stimulate support for housing, employment, education, other opportunities for youth leaving care.
(iii) Interagency coordination to support IL activities and services at the local level such as:
(A) An interagency steering committee.
(B) Interagency cooperative agreements that define roles and responsibilities for planning, implementing, funding, staffing and accountability for the various components of the IL initiative.
(iv) System change efforts including:
(A) Development and implementation of IL policies, procedures and service delivery including requirements and models for the development of IL case plans.
(B) Development of an evaluation system for IL programs and case plans.
(v) Staff costs—Title IV-E IL funds may be used to fund staff positions whose duties relate directly to administration of IL programs or services, or both.
(vi) Equipment such as audio/visual or computer hardware and software that will be used to support the IL program effort.
(vii) Staff and training activities are eligible for reimbursement under Title IV-E. Therefore, counties should use the Title IV-E IL funds for staff and training activities only when reimbursement is not available under Title IV-E Placement Maintenance.
(e) Coordination with other service providers.
(1) The success of this program is dependent on the involvement and support of other community agencies and programs. Education, job readiness, access to employment and housing are critical to the successful transition of youth from placement to independent living. The development of cooperative relationships between the county children and youth agency and education, job training, job placement, housing, counseling and other social service agencies is important to the success of the program.
(2) To ensure this cooperation, the county’s Title IV-E IL program should be developed and implemented with the involvement and support of:
(i) Local education and vocational programs. Counties should attempt to involve school districts, community colleges and vocational/technical programs in planning and developing the IL program.
(ii) Job placement and training agencies. The local Private Industry Council and the administrative entity for the Council should be involved in the development and implementation of the program. A letter of support should be obtained from the Council.
(iii) Other public and private housing and social service agencies. These should include the juvenile court and probation office, county MH/MR agency, drug and alcohol agency, local housing authority, private counseling, social service and job placement agencies and services, including Federal Job Corps programs.
(iv) Whenever one or more of these agencies or organizations will be involved in the implementation of the IL program by providing staff, funds, services or other support, a letter describing the specific nature of the agency’s support for the program should be included.
(3) One of the primary reasons for involving other agencies and programs is to make maximum use of existing community resources and services. Working with these agencies to develop a Title IV-E IL Program will help to build community services for all youth. Whenever possible, counties should use and work with existing programs rather than create new programs.
(f) Program application process and content.
(1) Process.
(i) To receive its Title IV-E IL Program allocation a county shall submit an application for Title IV-E IL Program funds to the Department. Counties that participated last year are required to submit a complete application for second year funding.
(ii) A county’s application shall be postmarked or received by the Department by August 19, 1988. Funds allocated to counties that do not submit an application by the deadline will be reallocated for use by other counties. Counties that receive small allocations are encouraged to join with a nearby county or counties to submit a joint application.
(iii) Counties shall send three copies of their application to: Robert Diethorn, Office of Children, Youth and Families, Post Office Box 2675, Health and Welfare Building, Annex, Harrisburg, Pennsylvania 17105-2675.
(2) Content. The county’s application shall contain the following five sections. The narrative sections of the application—subparagraphs (iii) and (iv)—shall follow the outline for these sections as follows:
(i) Certification of the executive officers. This form shall be signed by the county executive or a majority of the county commissioners.
(ii) Need for the program and current effort. Follow the instructions for completing this form. All information shall be provided. Counties that participated in the first year shall update the information contained on the form submitted last year.
(iii) Program description.
(A) Describe the goals of the county’s IL program and how Title IV-E IL Program funds will be used to expand and improve services for youth in placement.
(B) Describe the intended outcomes of the program. The outcomes should be defined in measurable terms, for example, the number of youth prepared for or placed in self-sustaining employment.
(C) For counties that participated last year, update the outcome measures and, if appropriate, add new ones.
(D) Describe direct and indirect services to be developed.
(E) List and describe the specific direct and indirect services to be established, expanded or enhanced through the program. Direct services refer to activities that address the needs of youth directly, for example, life skills education. Indirect services are activities directed at building and improving agency or community resources for youth in need of IL services. Each service shall be described in sufficient detail to provide a clear understanding of what is being proposed. The description should include:
(I) The goal of the service—what does the service seek to accomplish?
(II) How will the service be delivered or carried out—what are the activities or approach used to provide the service?
(III) Who will deliver the service or carry out service activities—what agencies will be involved?
(IV) Whether the service will be supported with Title IV-E IL funds, State and county funds, or both,
(V) The number of Title IV-E IL eligible and non-eligible youth to be served in each direct service.
(VI) An estimate of the Title IV-E IL eligible and non-eligible youth who will benefit from each indirect service.
(VII) For counties that participated last year, update or add service descriptions and update the number of Title IV-E and non IV-E eligible youth to be served in each service.
(F) Describe the current IL program to be maintained.
(G) Identify those parts of the county’s current IL program that will be continued without change and give the number of Title IV-E II eligible and non-eligible youth to be served during the year in each service listed.
(iv) Coordination for resource development and service delivery.
(A) Identify by name the agencies and organizations that will be involved in the program. Describe how they will be involved in the development and implementation of the program and list the services that are available from each of the agencies and organizations identified.
(B) Letters of support from agencies that will be active participants in the IL program—for example, providing resources: space, staff, dollars, equipment and the like—accepting referrals should be attached to the application. A letter should identify the specific type and level of support the agency will provide.
(v) Budget.
(A) Follow the instructions for completing the CY-809—Title IV-E IL Program Budget.
(B) The services listed on the budget form shall reflect the IL services provided by the project. If services such as assessment, training, transportation, counseling, and the like are identified in the program description, those services should also be identified on the budget form.
(g) Review and approval of applications. Office of Children, Youth and Families (OCYF) staff will review applications submitted and recommend approval based on how well the applications address the criteria in paragraphs (1)—(3). OCYF wishes to assure the approval of all applications. Staff will be available to work with counties as necessary to clarify or revise applications to meet review criteria.
(1) Review criteria.
(i) Required information—Is the application complete? Does it contain the required information? Does it contain the required forms? Does the application follow the prescribed format?
(ii) Maintenance of effort—Does the application show that Title IV-E IL funds will not supplant current funding for IL services in the county?
(iii) Scope—Does the application display support for a comprehensive approach to IL services that includes education, employment and counseling services for youth?
(iv) Coordination—Does the application reflect the active participation of local education and vocational programs, job placement and training agencies, and other public and private housing and social service agencies?
(2) Approval process.
(i) Staff will present their findings and recommendations to the Deputy Secretary for Children, Youth and Families, who will make the final decision on approval or disapproval of applications.
(ii) A county will be notified in writing of approval or disapproval of its application. If the application is disapproved, the notification will identify the specific reasons for disapproval.
(3) Program reporting.
(i) Counties will be required to submit quarterly fiscal reports to the Department. Reports are due within 45 days of the end of each fiscal quarter. The reports are to be submitted on forms provided by the Department.
(ii) Fiscal reports will show expenditures for county children and youth IL service activities as well as Title IV-E IL Program expenditures. Expenditures shall be shown by service and intermediate cost category.
(iii) Program reports shall be submitted for each youth receiving IL services under the county’s program at the time of program entry, program completion, 90 days after completion and at the end of the program year on forms provided by the Department.
(iv) Program reports shall include:
(A) A description of the IL services planned and provided to each youth.
(B) The age, race, sex, living arrangement, marital and parental status, duration of foster care and special needs of each youth served.
(C) The results achieved 90 days after the youth completed the program including:
(I) Employment status.
(II) Educational status.
(III) Housing status.
(IV) Services being received.
(V) Whether the youth is living independent of agency maintenance programs.
(D) A summary of coordinating and training activities conducted during the year and a description of the results or products of the activities,
(E) Recommendations for program modifications.
Source The provisions of this Appendix A adopted July 29, 1988, effective July 5, 1988, 18 Pa.B. 3352.
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