[29 Pa.B. 3513]
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Subchapter C. General Protective Services
County Responsibilities § 3490.231. Functions of the county agency for general protective services.
Comment: IRRC inquired if the objectives have been outlined elsewhere and if the county agencies have the power and resources to fulfill the objectives.
Response: The Department used the objectives from section 6373 of the CPSL (relating to general protective services responsibilities of county agency). The issue of resources will be addressed through the needs-based budgeting process. Training is available to county agencies to aid county agency staff in achieving the objectives. The Department and Pennsylvania Children and Youth Administrators (PCYA) are developing practice standards which will aid county agencies in achieving the objectives. The Department expects to distribute these standards to county agencies to begin implementation by the year 2000.
Comment: Paragraph (2). Three commentators requested the inclusion of the phrase ''whenever possible'' related to preventing abuse, neglect and exploitation of children.
Response: The Department considered the comment but did not make the change. The Department adopted the objectives in section 6373 of the CPSL.
Comment: Paragraph (3). Three commentators recommended the inclusion of the phrase ''assist in overcoming'' related to problems that could result in dependency.
Response: The Department considered the comment but did not make the change. The Department adopted the objectives in section 6373 of the CPSL.
Comment: Paragraph (4). One commentator recommended expanding the language to include kinship care as a substitute care placement.
Response: The Department included clarifying language to include placement with an individual who has a significant relationship with a child or the child's family and that the home shall be approved by the county for this purpose which supports placement in the least restrictive setting and kinship care.
§ 3490.232. Receiving reports and assessing the need for services.
Comment: Subsection (a). One commentator advised that the regulation appears to limit the authority of the juvenile court to receive and any person to file a petition for adjudication of dependency under section 6334 of the Juvenile Act (relating to petition).
Response: The Department amended the regulation and cited the Juvenile Act provision that allows any person to file a petition alleging dependency.
Comment: Subsection (d). One commentator expressed concern that no time frame for completing the initial assessment was included in the regulation and questioned whether this will become a licensing issue.
Response: The Department considered the comment but did not make the change. Response time for initial assessment should be directly related to risk. At the time a referral is accepted for service, the risk assessment screening process requires that a level of risk is assigned to the case. Consistent with the identified risk and the allegations of the report, the county agency would decide when to see the child. Some county agencies have devised a level system where the supervisor assigns the required time within which the child must be seen. The required response time is based upon child risk.
Comment: Subsection (e)(3). One commentator suggested the addition of language calling for services that respond to risk, rather than simply aid in determining the need for services.
Response: The Department included clarifying language in subsection (d)(4) to coordinate risk with the creation of a family service plan. The plan required under §§ 3130.61 and 3490.235 (relating to family service plans; and services available through the county agency for neglected children) is properly cross referenced to identify needed services. The level of services provided should be consistent with the level of risk and should address child safety.
Issue: Subsection (e)(4). The Department included language which requires the use of the risk assessment process in the development of the family service plan. This is related to the previous comment which suggests the level of service should respond to the level of risk to the child.
Comment: Subsection (f). Four commentators suggested that the completion of an assessment for reports of general protective services should be extended to 90 days. The commentators believed that the proposed time limit of 60 days is unrealistic.
Response: The Department considered the comment but did not make the change. Assessments need to be completed in a timely manner. Section 6375(c)(1) of the CPSL (relating to county agency requirements for general protective services) mandated the completion of an assessment within 60 days.
Comment: Subsection (g). Five commentators raised concern that the subsection required a home visit during the assessment period and believed this should be left to the discretion of the county agency.
Response: The Department considered the comment but did not make the change. A visit must be made to the child's residence during the assessment period. While presenting allegations may not indicate that a home visit is necessary, often there are undisclosed issues not provided to the county agency at referral. The Department decided that home visits are necessary as part of the risk assessment process which requires a risk rating based on the condition of the home. The risk assessment process is not complete without a visit to the home. Home visits are required by section 6375(g) of the CPSL. The county agency maintains the ability to discontinue an assessment, when after one contact the allegations are determined to be inaccurate.
Comment: Subsection (i). One commentator reported that previous language required that the county agency would make unannounced home visits if an announced home visit would result in an inaccurate portrayal of the home conditions. The regulation as written does not allow county discretion.
Response: The Department considered the comment but did not make the change. Unannounced home visits, in some instances, are necessary to obtain an accurate depiction of the conditions in the child's home. The subsection does not require unannounced home visits. It allows county agencies to make unannounced home visits.
§ 3490.233. Protective custody.
Comment: One commentator requested clarification related to taking a child into protective custody when parents fail to act based on religious beliefs.
Response: The Department made no change to the section as this was a request for clarification. Persons authorized to take protective custody of a child under section 6324 of the Juvenile Act (relating to taking a child into custody) and sections 6315, 6339(b) and 6375(i)(j) of the CPSL may take protective custody of a child if the parents fail to provide essential medical treatment to protect the child.
§ 3490.234. Notifications.
Comment: Subsection (a). One commentator raised concern regarding the omission of the requirement for written notification to the parent which advises that the agency has received a report and will complete an assessment. The only notification that is required is the verbal notification at the time of the initial interview.
Response: The Department considered the comment but did not make the change. Written notification is not a requirement of the CPSL at the time of oral report. The Department maintained the requirement of verbal notification at the time of the oral report and written notification when the county agency accepts the family for service.
Comment: Subsection (b) and subsection (b)(1). Three commentators, including IRRC, recommended the word ''Department'' be changed to ''county agency'' because it is at the county level that the family is accepted for service.
Response: The Department amended the section and changed the word ''Department'' to ''county agency.''
§ 3490.235. Services available through the county agency for neglected children.
Comment: IRRC recommended the proposed heading of the section be changed because services should not only be provided to children who are neglected.
Response: The Department amended the section heading to read ''services available through the county agency for children in need of general protective services.''
Comment: Subsection (e). Two commentators requested clarification related to the phrase ''regular and ongoing'' and requested guidelines for supervisory review.
Response: The Department clarified the regulation to include supervisory review of the referral every 10-calendar days during the assessment period. The Department will accept a supervisor's documentation of review in the case record or by another method. The review should include a statement of the review and that the supervisor concurs with the caseworker's assessment that the child is safe and the services being provided to assure the continued safety of the child are appropriate.
Comment: Subsection (h). One commentator raised concern that there is no corresponding provision in the child protective services section that requires a risk assessment be completed on a periodic basis.
Response: The Department amended § 3490.61(d) to require periodic risk assessments on substantiated cases of child abuse. The Department provides the requirements for the risk assessment process in § 3490.322 (relating to county agency compliance with risk assessment standards).
Issue: Subsection (k). The Department included in the subsection that the county agency, as a provision of the family service plan, requires the parent to notify the county agency of any change of residence within 24 hours. The clarified subsection increases parental accountability.
§ 3490.236. General protective services records.
Issue: Subsection (a)(5). The Department included the need for the provision of services that are consistent with the risk to the child to assure that the child is safe and receiving services that are consistent with need as identified through the risk assessment process. This amendment was made in conjunction with comments made relating to § 3490.232.
General Requirements for General Protective Services § 3490.241. Appeals with respect to general protective services.
Comment: Two commentators raised concern related to the appeals process, identifying that the family may not engage in service during the appeals process which would provide for a lengthy process. One commentator did not see the need for the appeals process when court jurisdiction may be utilized.
Response: The Department considered the comment but did not make the change. The county agency is responsible for assessing the need to seek court involvement in cases when parents appeal the county agency decision to accept the family for services. In cases when the family is in need of service and the safety of the child is of concern, the agency must file a petition with the juvenile court consistent with the risk to the child. Section 6376 of the CPSL (relating to appeals with respect to general protective services) affords parents the right to appeal the county agency decision to accept the family for services.
Subchapter D. General Requirements for Child Protective Services and General Protective Services
Staff Orientation, Training and Certification Requirements § 3490.311. Establishment of a staff development process.
Comment: Subsection (d). One commentator raised concern that the county agency may need to provide statistical information related to evaluating program effectiveness against measurable outcomes.
Response: The Department considered the comment but did not make the change. The county agency may need to provide additional information to insure that the training program is adequately meeting the program objectives. The Department is focused on staff development through the training and certification program to aid staff in meeting the demands of the child welfare system.
§ 3490.312. Training program requirements for direct service workers.
Comment: One commentator interpreted the proposed section to require that workers not provide protective services until they are certified.
Response: The Department considered the comment but did not make the change. The Department does not prohibit workers from providing services while they are attending CORE training. Subsection (d)(5) provides that workers who are in the process of obtaining certification may be assigned a caseload consistent with their ability to perform the job duties determined by the agency through policy and procedure. Workers who fail to achieve certification within 18 months or fail to maintain certification may not provide direct services until certification is completed.
Comment: Subparagraph (ii)(A). One commentator expressed concern related to the time that will be required to complete the assessment to determine recommendation of a direct service worker for certification.
Response: The Department considered the comment but did not make the change. The process of determining the recommendation for certification of a direct service worker is an ongoing process that is both formal and informal. During supervisory review, oversight of cases and the casework process, the supervisor would be assessing the decision making process and the worker's analytical ability.
Comment: Paragraph (8)(i). For a direct service worker who completed direct service worker certification during the agency training year, the county agency would be able to prorate the number of training hours the worker would need to take during the training year. One commentator reported that to prorate training in a large agency would be difficult.
Response: The Department considered the comment but did not make the change. To prorate training when workers have completed CORE within the calendar year, but have not reached the 20-hour annual requirement, is reasonable.
Comment: Subparagraph (10). Two commentators requested clarification related to workers who do not complete or maintain certification as direct service workers. A commentator inquired if failure to maintain certification would serve as grounds for involuntary termination of employment while the other questioned what would happen to those workers who do not complete certification within 18 months.
Response: The Department considered the comment but did not make the change. The county agency would determine if grounds exist for termination of employment based on performance of the employe and county policy or labor contracts. The subparagraph provides that workers who do not achieve or maintain certification may not perform direct service duties until they are certified. The county agency would determine what position the worker may hold and would follow county policy and procedures.
§ 3490.313. Direct service worker certification requirements for supervisors who supervise direct service workers.
Comment: One commentator raised concern that there is no remedy for supervisors who fail to meet the requirements of this section.
Response: The Department considered the comment but did not change the regulation. Supervisors who fail to meet the direct service worker certification may not supervise direct service workers. At the time the supervisor achieves certification they could resume their supervisory responsibilities.
Risk Assessment § 3490.321. Establishment of standards for a risk assessment process.
Comment: One commentator suggested that risk assessment apply to children who are alleged to be dependent.
Response: The Department amended the general protective services regulation in Subchapter C to include completion of a risk assessment on all reports for children alleged to be in need of general protective services. The requirements of this section are applicable.
Comment: One commentator suggested that this section should include language which specifies the assessment of risk is exclusively a county determination which may not solely be based on the State-approved risk assessment process.
Response: The Department established a regulation to provide the framework for the risk assessment process. The determination of risk is based on this process, while casework skills are used to determine the level of risk. County agencies should utilize information obtained in the case through the assessment in ongoing phases to document risk according to the risk assessment case interval policy. Section 6362(e) of the CPSL requires county agencies to implement a State-approved risk assessment process.
Comment: Subsection (d). IRRC and one commentator raised concern related to the issuance of bulletins to establish standards and questioned whether developing risk assessment is an ongoing process. The public and the Legislature have a right to know the changes to be made and have a right to participate in the regulatory review process.
Response: The Department deleted the reference to issuance of bulletins. The Department amended the subsection to clarify the risk assessment process. The subsection includes the current practice which is followed by county agencies.
The Risk Assessment Task Force (RATF) has been in existence since 1988 and will continue to evaluate the risk assessment process to assure child safety and the provision of services to children and their families. Recommendations will be made to improve the process to assure that the core factors assessed continue to address child safety and family dynamics.
The standards that guide the risk assessment are included in the subsection. The CORE factors which must be assessed and the intervals at which the assessments will be completed are enumerated.
§ 3490.322. County agency compliance with risk assessment standards.
Comment: Subsection (d). One commentator recommended a statement which provides risk assessment as an ongoing process completed when making case decisions.
Response: The Department considered the comment but did not make the change. Risk assessment training is a component of the CORE training prior to certification of a direct service worker. The training includes intervals and circumstances during the case when the risk assessment form should be completed.
Annual Report § 3490.331. Annual report on required activities.
Comment: One commentator recommended the inclusion of statistics related to unfounded cases which go beyond the 60-calendar day time limit and are determined unfounded as well as those cases that are unfounded resulting from a lack of evidentiary proof as required by the Supreme Court in A.Y. v. Department of Public Welfare, 641 A.2d 1148 (1994). One commentator also suggested including recommendations for improving the child welfare system to children and families.
Response: The Department considered the comment but did not make the change. The annual report does include a table which provides the number of reports that were expunged because a county agency could not complete an investigation within the 60-calendar day limit in section 6368(c) of the CPSL. There are no statistics relating to expunction of reports resulting from a lack of evidentiary proof required by the Supreme Court in A.Y. v. Department of Public Welfare, 641 A.2d 1148 (1994).
Comment: IRRC reported that one commentator reported that costs were not factored into need-based budgets and therefore the fiscal impact to the public sector was underestimated and the published appropriations will not reflect actual costs. They recommended an explanation of the calculation of costs of the program in the report and how the calculations represent accurate costs.
Response: The Department considered the comment but did not make the change. The Department will include an explanation of the calculation of program costs in the annual report.
Staff Ratios § 3490.341. Staff-to-family ratios.
Comment: IRRC questioned if the Department has established staff-to-family ratios. Two commentators expressed concern relating to the 1 to 30 staff-to-family ratio set forth in § 3130.32 which is believed to be too high. One commentator suggested the Department consider a staff-to-children ratio as there is more than one child in most families.
Response: The Department provided a cross reference to §§ 3130.32 and 3140.17 (relating to plan and budget estimates) which establishes the staff-to-family ratio. The Department will participate in the reduction of caseload size by incremental decreases through the needs-based budget process.
Standards for Staff § 3490.362. Licensure requirements for persons providing services arranged or provided by the county agency.
Comment: One commentator raised concern that persons who provide service which is arranged or provided by the county agency must possess a license issued by the Department of State if the profession is subject to mandatory licensure. The commentator noted potential difficulty in assuring that services are provided in rural areas.
Response: The Department considered the comment but did not make the change. If a profession is subject to mandatory licensure, services from a qualified professional are required.
Attorney for the County Agency § 3490.371. Availability of an attorney for the county agency.
Comment: One commentator inquired whether consideration was given to development of training requirements for county solicitors on issues of child abuse and neglect and child welfare law. The commentator further requested clarification on the steps taken.
Response: The Department considered the comment but did not make the change. County solicitors benefit from training. The Department, in conjunction with the PCYA, will continue to develop continuing legal education. Special training has been provided for solicitors at PCYA quarterly meetings with the approval of the Pennsylvania Bar Association.
Fiscal Impact
* Public Sector
(1) The counties received an additional $15,166,682 between FY 1995-96 and FY 1997-98 to implement the act that went into effect in those years. The provisions that went into effect between FY 1995-96 and 1997-98 include investigating cases of imminent risk of suspected serious physical injury or sexual abuse; investigating cases of suspected serious bodily injury or sexual abuse of students allegedly perpetrated by a school employe; and implementing a risk assessment process to determine the level of risk to a child if the child remains in the home where the alleged abuse occurred.
The allocations were:
* FY 1995-96--$3,010,500
* FY 1996-97--$5,545,091
* FY 1997-98--$6,611,091
(2) The estimate for FY 1998-99 is based on a supplemental increase for January 1999 through June 1999 for implementation of these final rules, which are anticipated to be finalized in January of 1999. The estimate is calculated based on half of the total estimated increase for FY 1999-00 less the 3.5% cost of living increase.
(3) The estimate for FY 1999-00 is based on increased county and State costs associated with implementing the additional requirements in this final rulemaking to:
* Provide general protective services.
* See children weekly when they remain in their own homes and are at high risk of further abuse.
* Visit the homes of children at least once during the investigation or assessment period.
* Investigate reports of suspected child abuse for persons between the age of 18 and 20 when the alleged abuse occurred before the person reached 18 years of age.
* Convene a county's multidisciplinary team when the county agency receives reports of suspected child abuse where the children are the victims named in substantiated reports of child abuse previously.
The estimated increased costs for FY 1999-00 are based on the Department's knowledge and experience with county agencies in their implementation of the requirements in this final rulemaking.
The Department's estimated increase was based on a review of funds certified for counties in their FY 1998-99 budgets for in-home services.
(4) The estimates for FY 2000-01 through 2002-03 includes an annual increase of 3.5% of the total increased allocations to county agencies for the implementation of the CPSL from FY 1995-96 through 1999-00.
Estimated increased costs to implement the provisions of this rulemaking from FY 1998-99 through 2002-03 are shown on the following chart.
Year 1998-99 1999-00 2000-01 2001-02 2002-03 Federal $2,340 $4,844 $5,013 $5,189 $5,370 State $7,607 $15,746 $16,297 $16,867 $17,457 Counties $1,902 $3,936 $4,074 $4,217 $4,364 Total $11,849 $24,526 $25,384 $26,273 $27,191 (The figures are in thousands)
Any savings were factored into the estimated budgets that counties submitted to the Department.
* Private Sector
These amendments require an applicant for employment in a school to pay up to $10 to the Department to verify whether or not the applicant's name is on file in the Statewide Central Register of founded and indicated reports of child abuse and student abuse. In calendar year 1997, ChildLine received 239,466 requests for clear-ance statements from applicants for employment when the applicants have direct contact with children. Of these 239,466, 107,478 were as a result of the amendment that requires applicants for employment in schools to receive a clearance statement from ChildLine. We estimate the number of requests will increase by 10% a year.
The following chart shows the increased costs for persons applying for employment in schools from calendar year 1998 through 2002.
1998 1999 2000 2001 2002 Total $1,182 $1,301 $1,430 $1,574 $1,904 (The figures are in thousands)
* General Public
There will be no additional costs to the general public, except for persons applying for employment in a school who are required to pay a $10 fee to verify whether or not the person's name is on file in the Statewide Central Register of founded and indicated reports of child and student abuse.
Paperwork Requirements
School administrators will be required to complete a portion of a form and send it to the district attorney and law enforcement officials when making a report of suspected student abuse. It will take approximately 15 minutes to complete this form.
Law enforcement officials will be required to complete the other portion of the form and send it to the county agency when the law enforcement official receives a report of suspected student abuse. It will take approximately 15 minutes to complete this form.
It is estimated that the costs to complete the form for reporting suspected student abuse will be nominal.
Law enforcement officials will also complete a brief form and send it to the county agency advising it of the status of a referral of suspected child abuse or student abuse that was made to law enforcement. This is a new requirement. It will take approximately 10 minutes to complete the form.
County agencies are required to assess the risk to children needing protective services and to complete a risk assessment process. It is estimated that it takes approximately 45 minutes to complete the risk assessment process.
Protective service supervisors are required to complete an Individual Training Needs Assessment (ITNA) annually for each of their staff. The ITNA is a component of the certification and training program and is used to determine the training needs of a direct service worker. It takes approximately 1 hour and 45 minutes to complete an ITNA.
A court of common pleas may request and shall receive confidential child abuse information in connection with any matter involving custody of a child. To assure that the request is from a judge, the Department is requiring that the request be in writing and either mailed or sent by facsimile to the Department or county agency. The length of time to prepare this letter is minimal.
As a result of the revision to the definition of ''general protective services'' in this final rulemaking, counties will be required to notify the parents that the county agency is conducting an assessment to determine the need for general protective services. Counties will also be required to send a notice to parents advising them of the results of the assessment and their right to appeal the agency's decision that the child is in need of general protective services. While counties will incur increased costs in implementing these requirements, the Department does not expect these increased costs to be substantial in relation to the overall funding for the children and youth programs.
Effective Dates
These amendments will take effect upon publication in the Pennsylvania Bulletin as final rulemaking.
Sunset Date
No sunset date has been established for these regulations. The Secretary of the Department is required by the law and these regulations to submit an annual report to the Governor and the General Assembly on the implementation of the law. The report must include recommendations to amend the law; thus, the Department is continuously evaluating the effectiveness of the law and the need for amendments.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), the Department submitted a copy of the notice of proposed rulemaking, published at 28 Pa.B. 1079, to IRRC and to the Chairpersons of the House Aging and Youth Committee and the Senate Committee on Public Health and Welfare for review and comment. In compliance with sections 5.1(a) and (b) of the Regulatory Review Act (71 P. S. § 745.5a(a) and (b)), the Department also provided IRRC and the Committees with copies of all comments received, as well as other documentation.
In preparing these final-form regulations, the Department has considered the comments received from IRRC, the Committees and the public.
These final-form regulations were deemed approved by the House Aging and Youth Committee and the Senate Public Health and Welfare Committee on May 4, 1999, and were approved by IRRC on May 6, 1999, in accordance with sections 5.1(d) and (e) of the Regulatory Review Act.
Contact Person
The contact person for these final-form regulations is Joseph L. Spear, P. O. Box 2675, Harrisburg, PA 17105-2675, (717) 787-3986.
Findings
The Department finds that:
(1) Public notice of intention to adopt the administrative regulations adopted by this order has been given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202) and the regulations thereunder, 1 Pa. Code §§ 7.1 and 7.2.
(2) The adoption of these amendments in the manner provided in this order is necessary and appropriate for the administration and enforcement of the Public Welfare Code.
Order
The Department, acting under the Public Welfare Code, orders that:
(a) The regulations of the Department, 55 Pa. Code Chapters 3480 and 3490, are amended:
(1) by amending §§ 3490.1--3490.4, 3490.11--3490.21, 3490.31--3490.40, 3490.41, 3490.42, 3490.52--3490.62, 3490.67--3490.71, 3490.73, 3490.81, 3490.91--3490.95, 3490.101--3490.105, 3490.106, 3490.107 and 3490.121--3490.127;
(2) by adding §§ 3490.5, 3490.40a, 3490.105a, 3490.106a, 3490.108, 3490.109, 3490.131--3490.136, 3490.141--3490.143, 3490.151--3490.154, 3490.161, 3490.171--3490.175, 3490.181, 3490.182, 3490.191--3490.193, 3490.221--3490.223, 3490.231--3490.236, 3490.241, 3490.242, 3490.301--3490.303, 3490.311--3490.314, 3490.321, 3490.322, 3490.331, 3490.341, 3490.351, 3490.361, 3490.362, 3490.371, 3490.381, 3490.391 and 3490.401; and
(3) by deleting §§ 3480.1--3480.4, 3480.11--3480.17, 3490.43, 3490.51, 3490.63--3490.66, 3490.72 and 3490.201--3490.210; to read as set forth in Annex A.
(b) The Secretary of the Department shall submit this order and Annex A to the Office of Attorney General and the Office of General Counsel for approval as to legality and form as required by law.
(c) The Secretary of the Department shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(d) This order shall take effect upon publication in the Pennsylvania Bulletin as final rulemaking.
FEATHER O. HOUSTOUN,
Secretary(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 29 Pa.B. 2734 (May 22, 1999).)
Fiscal Note: 14-441. (1) General Fund;
State County (2) Implementing Year 1998-99 is $ 7.067 Million $1.902 Million; (3) 1st Succeeding Year 1999-00 is $15.746 Million $3.936 Million; 2nd Succeeding Year 2000-01 is $16.297 Million $4.074 Million; 3rd Succeeding Year 2001-02 is $16.867 Million $4.217 Million; 4th Succeeding Year 2002-03 is $17.457 Million $4.364 Million; 5th Succeeding Year 2003-04 is $18.068 Million $4.517 Million; State County (4) 1997-98 $398.740 Million $173.966 Million; 1996-97 $354.863 Million $163.757 Million; 1995-96 $264.743 Million $142.988 Million; (7) Department of Public Welfare County Child Welfare; (8) recommends adoption. The State will pay the counties through the needs based budget for county services to children and youth. The counties are responsible for a portion of the cost of these services.
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