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Commonwealth of Pennsylvania Tom Ridge, Governor www.state.pa.us Department of Community and Economic Development Sam McCullough, Secretary www.dced.state.pa.us
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Comments or inquiries on the subject matter of this publication should be addressed to: Governors Center for Local Government Services Department of Community and Economic Development 4th Floor, Commonwealth Keystone Building Harrisburg, Pennsylvania 17120-0225 (717) 720-7395 1-888-223-6837 E-mail: [email protected] Additional copies of this publication may be obtained from: Governors Center for Local Government Services Department of Community and Economic Development 4th Floor, Commonwealth Keystone Building Harrisburg, Pennsylvania 17120-0225 (717) 783-0176 E-mail: [email protected] Publication is available electronically via the Internet: Access www.dced.state.pa.us Select Local Government Services and select Publications
No liability is assumed with respect to the use of information contained in this publication. Laws may be amended or court rulings made that could affect a particular procedure, issue or interpretation. The Department of Community & Economic Development assumes no responsibility for errors and omissions nor any liability for damages resulting from the use of information contained herein. Please contact your local solicitor for legal advise.
Preparation and printing of this edition of the Manual for County Commissioners was financed from appropriations of the General Assembly of the Commonwealth of Pennsylvania. Copyright 2001, Pennsylvania Department of Community and Economic Development, all rights reserved.
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Table of Contents
I. Introduction - Pennsylvania County Government The Constitution, the County Code and other County-related Laws. . . . . . . . . . . . . . . . . . . i The Pennsylvania County . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii Office of County Commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 . Term of Office. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Vacancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Incompatible Offices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Oath of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Duties and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Role of Majority/Minority Member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Conflict of Interest - Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Personal Liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Transition to a New Board of Commissioners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
II.
III. Meeting Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 . What is a Meeting? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Role of the Chief Clerk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Executive Session . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Minutes and Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 IV. Legislative Powers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 . Types of Legislative Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Ordinance Adoption Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Codification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 V. Working With Other Officials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 .. Overall Organization of County Government. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Row Offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Chief Clerk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Solicitor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 County Government and the Courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Juvenile Probation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Appointed County Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
VI. Budget and Finance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 . Financial Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Annual Budget Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Budget Analysis and Amendments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
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Capital Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Capital Reserve Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Operating Reserve Fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Borrowing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Investing Idle Cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Fiscal Information Which a Commissioner Needs on a Regular Basis . . . . . . . . . . . . . . . 30 VII. Risk Management and Insurance Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 ... Insurance in General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 The Benefits of Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Appointing a Risk Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 County Safety Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Governmental Immunity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Risk Identification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Risk Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Risk Financing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Program Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Self-Insurance Pools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Purchasing Insurance and Bidding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Insurance Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Claims Made v. Occurrence Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Agents and Brokers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 VIII. Purchasing and Contracts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 . County Contracting Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Purchasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Privatization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Additional Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 IX. Pennsylvania County Human Services System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 .. Consumers/Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Categories of Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Organizing For Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 Children and Youth Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 Juvenile Justice Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Long-Term Care: Services for Older Pennsylvanians . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Mental Health/Mental Retardation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Service Provision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Drug and Alcohol Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Other Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 X. Corrections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 . Jail and Prison Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
XI. Elections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
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XII. Tax Assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Preferential Assessments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 Nuisance Taxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 Hotel Room Rental Tax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 Vehicle Rental Tax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 Act 50 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 XIII. Communications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 . The Reporting Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Citizen Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Media Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Media Relations Tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 News Releases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 Meeting With the Press . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 Communicating With Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 XIV. Other County Functions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 . Public Works. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Transportation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 Public Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Land Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 Solid Waste . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 Weights and Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 Tax Collection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 Conservation Districts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 Penn State Cooperative Extension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 Director of Veterans Affairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 XV. Personnel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 Personnel Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 Policy Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 Hiring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 Pay Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Salary Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Civil Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Position Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 Job Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Performance Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Disciplinary and Grievance Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Current Topics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Employee Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 Labor Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 Payroll . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 Job Enrichment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 Retirement Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
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XVI. Information Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 . Information Technology in County Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 County Records Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Public Inspection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 XVII. Home Rule Option. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 XVIII. Future of Counties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 . County Commissioners Association of Pennsylvania. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 National Association of Counties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Appendix A Sunshine Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Appendix B PA Workers Compensation Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Appendix C County Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
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Introduction
This is the second edition of the Pennsylvania County Commissioners Manual. Although there are wide variations among Pennsylvanias counties and their governments, there are more things which are common to counties and the job of county commissioners than there are differences. This is a manual for all of Pennsylvanias counties and county commissioners. The primary goal is to provide an easily read, comprehensive information source for county commissioners in the performance of their statutory duties. The Manual attempts to cover some of the more common governmental functions assigned by local practice and custom and to describe common approaches in dealing with county operations. The Manual offers helpful information and suggestions for incumbent and new commissioners and adds to the general descriptions of how county government operates. Its audience is not only county commissioners but also includes other county officials, county employees, the media, and citizens. The Manual is geared primarily to the County Code which applies to all counties of the third through eighth classes and only incidentally to counties of the second or second class A. Information provided in the Manual should not be construed as legal opinion, although reference is made to the County Code, general state law, and some court cases. Details of local government operations such as fiscal management, debt management, insurance administration, land use planning, information management, purchasing and taxation are found in other publications of the Department of Community and Economic Development (DCED). Numerous training courses offered by the County Commissioners Association of Pennsylvania (CCAP) and other agencies deal with specific aspects of the commissioners duties. Learning the ins and outs of county government is mainly accomplished on the job. This Manual is, thus, a supplement to real world training. Counties are widely perceived as the local government of the future. They are the major human services providers in the political system. Counties also have increasing responsibilities in policy areas that have a regional focus: solid waste planning and disposal, land use planning and growth management, economic development, emergency services, and water supply, to name a few. Pennsylvanias counties are incredibly diverse in terms of political party control, size, population density, degree of shared responsibility with other local governments, relations with state government, regional and geographic variations of economic base, and cultural attitudes. Some are becoming full service mega-counties, fueled by modernization, urbanization, and suburbanization, These counties are responsible for the full gamut of state-mandated services, and locally involved in highway networks and parks, an array of emergency services, planning, information and coordination, the funding of innovate municipal incentives, and backing up municipalities and councils of government in other ways. Other counties in the state have not felt significant reform, but, nonetheless are interested in doing the right things well and letting everyone know about it. All of Pennsylvanias counties are in a period of change. National devolution and government reform at all levels will mean that new responsibilities may be thrust upon counties, or at least new ways of doing things. Changing citizen demands for responsiveness, accountability, effectiveness, and efficiency will continue. Pennsylvanias counties have arguably already responded to their challenges better than most other units of government. As local problems spill over existing municipal boundaries, it makes sense to talk about the emerging role in the governance system. Municipal boundaries were created in a different era; they no longer match economic realities. The term governance captures the interaction by the public, private and non-profit sectors in forging the policies and delivering wanted and needed citizen services to match economic
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realities, despite outmoded jurisdictional boundaries. Counties are being looked to as an effective forum for facilitating the cooperation and collaboration needed in a region for the new governance. This manual is designed to help all county commissioners, and other county officials, in the exciting challenges of the new governance. The DCEDs Center For Local Government Services acknowledges the Public Information and Training Committee of CCAP whose members assisted, encouraged and advised in the process of preparing this Manual. Thanks are also offered to Doug Hill, Executive Director of CCAP; Nancy Rorem, former Deputy Director of CCAP; Janet Neidig, Communications and Member Relations Director; Harry VanSickle, Commissioner, Union County; Dee Robinson, Chief Clerk, Union County; William McNett, former Bradford County commissioner; Guy Graybill, former Snyder County commissioner; John Sallade, Managing Director, CCAP Insurance Programs, and Dr. Bev Cigler, Professor of Public Policy and Administration, Penn State University. As with the Chief Clerks/Administrators Manual, this Manual was the brainchild of the late Bill Harral, Chief of the Consulting Services Division of the Department of Community Affairs. Mr. Harral coordinated the effort, wrote several chapters, and edited several other chapters. His interest and support of county government was exemplary.
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County Government
Section 4. County officers shall consist of commissioners, controllers or auditors, district attorneys, public defenders, treasurers, sheriffs, registers of wills, recorders of deeds, prothonotaries, clerks of the courts, and such others as may from time to time be provided by law. County officers, except for public defenders who shall be appointed as provided by law, shall be elected at the municipal elections and shall hold their offices for the term of four years, beginning on the first Monday of January next after their election, and until their successors shall be duly qualified; all vacancies shall be filled in such a manner as may be provided by law. County officers shall be paid only by salary as provided by law for services performed for the county or any other governmental unit. Fees incidental to the conduct of any county office shall be payable directly to the county or the Commonwealth, or as otherwise provided by law. Three county commissioners shall be elected in each county. In the election of these officers each qualified elector shall vote for no more than two persons, and the three persons receiving the highest number of votes shall be elected. Provisions for county government in this section shall apply to every county except a county which has adopted a home rule charter or an optional form of government. One of the optional forms of county government provided by law shall include the provisions of this section. There is also a significant mention of counties in the Definitions Section of Article IX as follows:
Definitions
Section 14. As used in this Article, the following words shall have the following meanings: Municipality means a county, city, borough, incorporated town, township or any similar general purpose unit of which shall hereafter be created by the General Assembly. In America, the English model for county governments was adopted early on. Pennsylvanias first three counties (Philadelphia, Bucks, Chester) were created when William Penn arrived in Pennsylvania in 1682. By various combinations and subdivisions, more counties were created over the next 200 years until the youngest of the 67 counties, Lackawanna, was instituted in 1878.
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Just as counties were sometimes formed from portions of other jurisdictions, so too were county responsibilities. It was not until 1929, however, that the General County Law was enacted to consolidate some of the tasks counties had acquired on a piecemeal basis over the preceding years. This process of accumulation and consolidation was repeated 25 years later, with the adoption of the Second Class County Code in 1953 and the County Code in 1955. Since that time, apart from the normal accumulation of amendments, the Code has remained virtually the same, serving as the basic document delineating the administrative structure of county government. Perhaps the only significant administrative changes in recent years were the 1972 enactment of the Home Rule Law pursuant to the provisions of the 1968 Constitution, and the development of Philadelphias charter which combines city and county functions into a single administration. The County Code provides for the classification of counties For the purposes of legislation in the regulation of their affairs. The main purpose of this classification relates to constitutional prohibition on legislative enactment of special laws, or laws pertaining to single governmental units. Classification is provided so there can be some relationship to size and General Assembly enactments. Counties are divided into nine classes on the basis of population.1 1. 2. 2.1 3. 4. 5. 6. First Class Counties - Those having a population of 1,500,000 inhabitants and over. Second Class Counties - Those having a population of 800,000 and more but less than 1,500,000 inhabitants. Second Class A Counties - Those having a population of 500,000 and more but less than 800,000 inhabitants. Third Class Counties - Those having a population of 225,000 and more but less than 500,000 inhabitants. Fourth Class Counties - Those having a population of 150,000 and more but less than 225,000 inhabitants. Fifth Class Counties - Those having a population of 95,000 and more but less than 150,000 inhabitants. Sixth Class Counties - Those having a population of 45,000 and more but less than 95,000 inhabitants, and those having a population of 35,000 and more but less than 45,000 inhabitants, which by ordinance or resolution of the board of county commissioners elect to be a county of the sixth class. Seventh Class Counties - Those having a population of 20,000 or more but less than 35,000 inhabitants, and those having a population of 35,000 and more but less than 45,000 inhabitants which have not elected to be county of the sixth class. Eighth Class Counties - Those having a population of less than 20,000 inhabitants.
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Counties roles saw little change through the 19th century, with the exception of the addition of responsibility for the local school system, particularly in the smaller counties. By that time, the local court systems were well established, as were the county jails. The concept of institution districts had been established for counties to begin a tradition of caring for the poor and the disadvantaged. County structure had also remained somewhat constant. From the earliest years, counties had been governed by commissioners or some similar office. Counties also had what are now known as row officers, with the earliest being the sheriff, treasurer and auditor. Many of these row offices were delineated in the early Pennsylvania constitutions. With the advent of the 20th century, the role of county government came to be defined as it is known today. County government now had both state and local dimensions. Its primary responsibilities, traditional in nature, are as an agent of the state for the purposes of the administration of justice, maintenance of legal records, the conduct of elections and the administration of human services programs. Counties have also been granted powers more commonly considered local, rather than state, in character. Some of these powers include zoning, parks and recreation and solid waste management. Since the early 1960s, however, county government has experienced explosive growth, especially in human services programs and court-related areas. Counties have grown into the role of the primary provider of state and federal social programs. Counties have outgrown their former caretaker status and evolved into active providers of services for their inhabitants. On pages 24 and 25 are organizational charts for Pennsylvania county governments. The first, the traditional structure showing the row officers positions and the commissioners board positions. The second chart represents the organizational structure of one large, modern Pennsylvania county governmentin this case, York County. Philadelphia is the only First Class County in Pennsylvania, but it does not have a county government. All laws applicable to the County of Philadelphia apply to the City of Philadelphia and all functions except election responsibilities that would ordinarily be assumed by a county government have subsequently been assumed by the government of the City of Philadelphia.
Reference
1. 16 P.S. 210; County Code, Section 210.
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Term of Office
The position of commissioner is a county-wide elected office with a term of four years.1 The commissioners are elected at the municipal election before the expiration of the terms of the current office holders. The term of office begins the first Monday of January after their election.
Vacancies
Should a vacancy occur in the office of county commissioner the President Judge of the Court of Common Pleas shall appoint a replacement.2 The appointee must be of the same political party as was the person holding the position prior to the vacancy, and will complete the unexpired term of office. The county-wide political committee may submit recommendations to the President Judge, but the Judge is not obligated to consider such recommendations.
Qualifications
Any elector (registered voter) may run for any county office provided that they are at least eighteen years of age, a citizen of the United States, and a resident of the county for one year prior to the election.3 Exceptions are District Attorney and Judge who must have a Juris Doctor degree and be a member of the local bar association in good standing. To successfully fulfill the responsibilities normally expected of an incumbent, an individual should posses a level of maturity and experience that allows them to make rational decisions.
Incompatible Offices
A county commissioner is prohibited from serving, at the same time, as a member of the legislative body of any city, borough, town or township of any class, treasurer or tax collector of any city, borough, incorporated town or township, school director of any school district or member of a board of health.4 It is also inadvisable for a county commissioner to be a member of a municipal authority created by the Board of Commissioners.5
Oath of Office
Normally, the President Judge administers the oath for all row officers. The oath involves swearing or affirming that the duties of the office will be carried out in accordance with county, state, and federal rules and regulations.6 The oath is administered at the beginning of each term and formally allows an individual to start functioning as a commissioner.
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Compensation
The salary for all county elected offices (except judge, district attorney and district magistrate, whose salaries are set by the Commonwealth) is set by the board of commissioners.7 Care must be given to observe the law that compensation for all future elected officials must be proposed by the sitting Board of Commissioners for the next term of office. The process must be done in a way that the new salary schedule will be adopted prior to the calendar year in which the county commissioners are to be elected. In this way, prospective candidates will know in advance of an election year what the compensation will be for the next term of office. The salary schedule must be adopted by the commissioners at a public meeting held between the hours of 6:00 and 9:00 p.m. in a central location in the county, the idea being to afford the public the greatest opportunity to attend. While not in the governing statute, it is recommended that the process take place in November or December immediately prior to the year in which commissioners are to be elected. Once the salary schedule is adobpted, the Board of Commissioners may not change the compensation from what which was determined. The procedure allows for each years compensation to be different, but not to vary from the approved plan, although a special schedule can be adopted for the office of coroner. Special consideration must be given when one or more row office elections fall midway in the commissioners term. This type of a situation may necessitate the adoption of a schedule that extends beyond a four-year period. In the absence of a statutory language addressing this scenario, the county solicitor should be consulted to assure that the procedure used is proper in the context of the general statue and chase law. An exception exists for the judiciary (judges and district justices) in that while they are locally elected, their salaries are paid by the state.
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most involved, because they are responsible for ensuring that property assessments are fair and equitable. Whether the commissioners sit as the Board of Assessment, or they appoint a Board of Assessment, they are responsible for meeting assessment laws and also setting the rates that are needed to collect local taxes sufficient to balance the budget. A section treating taxes and assessment is found elsewhere in this manual. Other duties and responsibilities are addressed throughout this manual and will not be duplicated here. However, it is safe to say that the position of commissioner is the most visible position as far as the public is concerned. You are viewed as the Chief Executive Officer of the county. You do not have as much power or control as is perceived by the public. You cannot direct how another elected row officer is to manage his or her department. After the budget is approved for an office managed by another elected official, the commissioners have only minimal fiscal control exercised through their approval or disapproval of purchase orders, contracts, etc. Commissioner activity is generally followed closely in the press and therefore it is very important that you are honest and forthright when dealing with the press. It has been said that one should never argue with someone who buys ink by the barrel! Through your attendance at the various committee meetings you will be able to see what is happening in the myriad programs that are sponsored by all of the county agencies. Committee members tend to draw conclusions as to how well you are doing your job by how involved you are in that particular committee. However a county commissioner must seek a reasonable balance between the assumed obligation to attend every meeting relative to county government and the confidence to allow those committees function in their absence, yet on their behalf. In either event, it is incumbent upon those committees to report back to the commissioners on a regular basis.
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Personal Liability
Each county should have an insurance program that includes Errors and Omissions (E&O). E&O coverage protects decision makers from having to pay for their mistakes. However, in the insurance policys fine print there will be a statement that coverage will be denied if the action taken was illegal or willful misconduct. For an action to be willful misconduct, there must be proof that the person knew the action was wrong, i.e. the solicitor said, You cant do that. In rare instances, the court may surcharge the individual and he or she will be obligated to reimburse the county for damages from his or her personal finances. Example A new courthouse was to be built. Plans and material list are approved, and contracts signed. Near the end of construction, the contractor offered the commissioners a good deal on adding marble wainscoting. Without publicly altering the contract or taking any public action, the commissioners said, Do it. The auditors found a discrepancy between the contracted amount and the cost of the building that had been paid for. The commissioners were successfully surcharged for the added cost of the marble wainscoting.
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References
1. 2. 3. 4. 5. 6. 7. 8. 9. 16 P.S. 501; County Code, Section 501. Ibid. 16 P.S. 413; County Code, Section 413. 16 P.S. 402; County Code, Section 402. 53 P.S. 312 (D); Municipality Authorities Act, Section 10D. 16 P.S. 403; County Code, Section 403. 16 P.S. 11011-10.1. 16 P.S. 1782; County Code, Section 1782. 16 P.S. 1782.1; County Code, Section 1782.1.
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What is a Meeting?
According to the Sunshine Law (See Sunshine Act, Appendix A.), a meeting is any prearranged gathering of an agency attended by a quorum of members held for the purpose of deliberating agency business or taking official action. In counties where there are only three commissioners, two commissioners constitute a quorum, and deliberation, that is the discussion of county business for the purpose of making a decision, should be avoided outside a properly convened public meeting. The Sunshine Law, passed in 1986 with amendments adopted during intervening years, is the legislation aimed at assuring that meetings are kept open to the public which elects the members of each public agency. While there are many reasons given why the legislature adopted the law, probably the best reason is that open meetings help enhance public faith in the political process. The Pennsylvania Sunshine Act requires that all public agencies take all official actions and conduct all deliberation leading up to official action at public meetings. Official actions include making recommendations, establishment of policy, decisions on agency business, and votes taken on any motion, resolution, ordinance, etc. The area which is gray to many officials is the phrase deliberations leading up to official actions. Many commissioners do not feel comfortable with that phrase, and bend over backwards to assure that no discussion which could be construed as being a deliberation take place. Commissioners should be on guard to assure that no casual conversation progresses to the point where it comes under the purview of the act. In addition, a briefing given to two commissioners by the chief clerk, row officers, or department head is considered a meeting under the terms of the act. This problem points out that very innocent day-to-day activities can take on a different aspect when viewed in light of the Sunshine Law.
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Commissioners are able to discuss personnel issues in executive session. Any votes after discussion on these issues must be taken in a public meeting, however. Personnel issues have been clearly defined by the courts to mean matters relating directly to persons employed or appointed by the agency. A mixed trail of decisions make it unclear as to whether or not deliberations on filling a vacancy in an elective office or in the positions of county engineer or solicitor must be at a public meeting. Agencies may hold executive sessions to consult with their attorney regarding information on strategy in connection with litigation or with issues on which identifiable complaints are expected to be filed. Again, while deliberation may be held in private, any official act based on the discussions must be made in an open meeting. Please note that the discussions must be on identifiable complaints which either have been or are expected to be filed. Violation of the Sunshine Law may be cured at a subsequent meeting of the board. Likewise, actions improperly taken at a closed meeting may be ratified at a subsequent public meeting and deliberations held in private may be repeated in public. Announcements of executive sessions which are not made at the very next public meeting may be made at a future meeting. To not take further action on a topic because of a violation or mistake could gridlock the agency. Such a ratification action may also render any court appeal moot.
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Notice
The County Code and Sunshine Law require that all meetings of the county commissioners both regular and special be open to the public at all times.1 The chief clerk is usually responsible for publication and posting of all notices for meetings of the commissioners as well as for hearings, advertisements for bids, and budgetary procedures. In the case of special meetings, the chief clerk notifies commissioners of the time, place, and purpose of the meeting as well as giving public notice. At least 24 hours notice must be given under the Sunshine Law for special meetings. Public Notice. Under the Sunshine Law, all formal action of the commissioners and deliberation leading up to those actions, must be taken at a meeting open to the public at a time and place of which the public has been notified. Public notice must be given by publication in a newspaper of general circulation within the municipality and by posting a copy of the notice at a public building where the meeting is to be held. Special provisions for public notice and public hearings are required if the governing body is to take certain actions under the Planning Code and during the budget adoption process.
Executive Session
County commissioners may hold executive sessions, but only under certain circumstances. These exceptions to the Open Meeting Law requirements include consideration of the following: personnel matters; collective bargaining issues; real estate transactions; and litigation matters. Commissioners must announce their reasons for holding an executive session at the open meeting held immediately prior to or subsequent to the executive session. No vote may be taken on any motion, proposal, resolution, rule, regulation, ordinance, or order during an executive session.
Agenda
The agenda is a necessary first step toward an orderly, productive meeting, regardless of the size of the county or amount of business to be transacted. The agenda is a written plan of the order and content of a meeting; a prearranged outline for the conduct of business in the most efficient manner. It prevents surprises for commissioners and staff members which result from someone bringing up topics for which not everyone is prepared. Without the discipline of an agenda, any meeting tends to become long, disorderly, and fruitless. Such a meeting will be frustrating to the public as well as to the individual commissioners. Determining the actual contents for a meeting and the order of business should follow a procedure established in the boards rules of procedure. The County Code provides that the board adopt rules for the conduct and order of business. A copy must be posted at all times in a conspicuous place in the courthouse for the benefit of the public.2 Preparing the agenda is usually the responsibility of the chief clerk. The chief clerk should maintain an agenda file which contains material encountered in daily business which might be a subject of a future agenda item. Inclusion of specific items is usually the decision of an appropriate official such as the chair, while the chief clerk is responsible for distributing the agenda prior to the meeting and assembling the necessary supportive documentation.
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A more detailed description of minutes and what should be included in them can be found in the Manual for County Chief Clerks/Administrators published by the DCED. Minute books are permanent records of the county. They can never be discarded. Creation of a backup copy of each volume of minutes, either by photocopy or microfilm, is a recommended practice. Original minute books should be stored in the vault where the most valuable records of the county are kept.
Procedures
The procedures for meeting management should be in a written form, and should go beyond the Code and Sunshine Act requirements for rules for the conduct and order of business. Procedures should include at least the following: 1. The structure of the agenda. 2. Rules of decorum, reasonable time constraints, and a specific agenda for hearing comments from the public. 3. Rules on stipulating how items are placed on the agenda.
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4. Rules on recording meetings on audio or video tape, either by the public or the media. 5. The steps for the introduction of ordinances and resolutions by board members. 6. Any restrictions which may exist on length, timing, or content of statements by commissioners. 7. The roles, if any, of row officers, the chief clerk, and the heads of departments in meetings. 8. A restatement of Code and statutory requirements regarding meetings, ordinances, resolutions, open meetings, executive sessions, abstentions from voting, etc. 9. Parliamentary procedures (if any) to be used and departures from them. Parliamentary Procedure. Rules of parliamentary procedure are designed to channel conflicting points of view on issues, expedite the business before the board, and still preserve the right of commissioners to contribute to deliberation. Rules of procedure which include the points listed above will also assist in meeting these goals. Some boards have adopted formal written rules or adopted rules such as Roberts Rules of Order. Others may instead have informal, unwritten rules. Each Board of Commissioners should decide which course of action is best for its meetings. Quorum. A quorum represents the minimum number of members required to be present in order to even call the meeting to order and then to conduct business. The County Code stipulates that in counties with three commissioners, two members shall constitute a quorum. Voting. The Sunshine Law requires commissioners votes to be individually recorded in adoption of ordinances and resolutions, approving expenditures, awarding contracts, and making loans or issuing bonds. Votes need not be recorded for actions such as adjournment, assignment of tasks to committee or officers, or authorizing actions on a project previously approved in a formal matter. Absenteeism. Failure of members to attend meetings can hinder or even stop the conduct of county business. The oath of office pledges members to discharge the duties of their office with fidelity, necessarily implying faithful attendance. Nonvoting (Abstentions). Commissioners are prohibited from voting on an issue where there is a conflict of interest, but they may sometimes abstain from voting on issues where they have no personal interest. Commissioners have a sworn duty to represent voters by helping to decide matters before the governing body. Failure to vote has another consequence. An abstention equates as a no vote because a majority of the quorum must vote affirmatively in order for a question to pass. Motions. Often motions come at the end of a long statement with the words I so move. It is the responsibility of the commissioner to make the motion properly and the duty of the chairman to put the motion to the board in words acceptable to the mover and seconder. Except in the case of simple, routine motions, the chief clerk should read back the wording of the motion before the vote. This procedure will protect both the chief clerk and the commissioners.
References
1. 2. 3. 4. 5. 6. 7. 16 P.S. 460; County Code, Section 460; 65 P.S. 274; Sunshine Act, 1986 P.L. 388, No. 84, Section 4. 16 P.S. 503; County Code, Section 503. 16 P.S. 521, County Code, Section 521. 65 P.S. 276; Sunshine Act, Section 6. Fisher v. South Williamsport Borough, 1 Pa. Super 386, 1896. Jefferson County v. Rose Township, 129 Atl 78, 283 Pa. 126, 1925. 65 P.S. 276; Sunshine Act, Section 6.
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References
1. 2. 3. 4. 16 P.S. 509; County Code, Section 509. Ibid. 53 P.S. 10101; Pennsylvania Municipalities Planning Code. 16 P.S. 509; County Code, Section 509.
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Row Offices
The term row offices is often applied to those county officials other than the board of commissioners who are elected to their positions. The term probably derives from the fact that these officials appear in a row on the ballot. These include the following. County Controller or Auditors. In counties having an elected county controller, the controller is the chief financial officer of the county and is responsible for gathering budget information, prescribing systems of accounting, approving all bills, claims and demands and preparing vouchers and authorizing their approval. The controller audits books, records and accounts of all county officers and makes financial reports at the close of the year. The controllers powers and duties are especially provided for in the County Code.3 Some counties elect three auditors rather than elect a controller. They perform a post audit function, not an accounting function. This option is available in sixth, seventh and eighth class counties. Many counties are also heavily involved in financial functions paralleling or complementing those of the controller. These duties and responsibilities are described in some detail in Chapter VI of this manual. County Treasurer. Duties of the county treasurer include receipt, custody, and disbursement of all county monies and, as an agent of the state, issuing dog, hunting and fishing licenses.4 The office pays all bills on order from the commissioners and must produce vouchers and records of transactions for the auditors at the end of each fiscal year. In counties having no controller, the treasurer must render, at least quarterly and more often if required, a statement of transactions.
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District Attorney. The district attorney signs all bills of indictment and conducts all in-court criminal prosecution in the name of the Commonwealth. Assistants, special assistants, deputy assistants, deputy assistant district attorneys, county detectives, stenographers, and clerks are appointed to assist in criminal investigation and prosecution of the cases before the court. Powers and duties of the district attorney are defined in the County Code to a greater extent.5 Sheriff. The sheriff serves principally as an officer of the court. The main duties involve delivering and carrying out orders of county courts. Sheriffs serve various writs, processes, and other judicial documents, provide courthouse security, prisoner transport, assistance in impaneling juries and in executing sheriffs sales. Aside from transfer of powers from the outgoing sheriff to a successor, the County Code contains no further enumeration of the sheriffs powers and duties.6 In counties without a Prison Board, the sheriff is also responsible for jail management. Prothonotary. The prothonotary is the clerk of the court of common pleas, and keeps records of all civil procedures before the courts, signs all writs and processes (such as suits) and files copies of all records and processes. The duties and responsibilities of the prothonotary and other court-related offices are set forth throughout the County Code and other state laws. The prothonotary takes bail in civil actions, enters judgments at the instance of plaintiffs, and, upon the confession of defendants, signs all judgments and takes the acknowledgments of satisfaction of judgments or decrees entered on the records of the court. The prothonotary can also administer oaths and affirmations, and is required by state law to maintain the judgment docket. The prothonotary is the Commonwealths agent for the collection of the tax on original writs and other records received and is responsible for records including the minute book for the court of common pleas, trial and argument lists, and similar records. An important duty of the office is receiving petitions in connection with roads and rights of way, recording the action of members of boards of view, and eminent domain proceedings. A service which requires considerable time is the processing of naturalization papers. The office obtains information and makes records and arrangements for naturalization court. Applications for passports can also be obtained at the office of the prothonotary. Recording divorce proceedings is also a duty of the office of the prothonotary. Clerk of Courts. The office of the clerk of courts is reputed to be one of the oldest in the state. This officer is the chief clerk and recordkeeper for the criminal courts. The clerk keeps all papers filed under criminal and civil procedures of the courts and is responsible for maintaining the minute book and the records of all similar procedures of the courts. Register of Wills. The register of wills has jurisdiction over the probate of wills and the granting of letters; both considered to be quasi-judicial powers. The register of wills decides the probate of the will of any resident of the county or of any decedent the bulk of whose estate lies within the county. The register of wills is the Commonwealths agent for the collection of the state inheritance tax; has jurisdiction over the probate of wills and fiduciary accounts and maintains records on wills, inventory of estates, fiduciary accounts, inheritance tax records, registration of licenses (including marriage licenses), and other miscellaneous records. Clerk of Orphans Court. All proceedings relative to estates of incompetents and to adoptions are filed with the clerk of orphans court. Adoption records are the only records in the office which are sealed and which may not be seen by the public. In most counties, the register of wills also serves as the clerk of orphans court. Recorder of Deeds. The recorder of deeds is mainly responsible for the preservation of records relating to real property in the county. The recorder of deeds is required to record and affix a seal on all deeds executed, mortgages, condominium declarations, subdivision plans, and other records of property ownership; record oaths and commissions of all county officers, notaries public, and district justices. Fees involved must be paid to the State Treasurer or to the county, depending upon who is designated to receive them.
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The recorder makes records of military discharges, agreements of sale, property options, leases, rights-of-way and easement agreements. The county recorder also keeps a permanent record of all property deeds. The office is one of the busiest in the courthouse, with lawyers, realtors and others seeking information about property sales. Another function of the office is recording plot plans for developments. This has become an important job in recent years. Highway maps of road construction, and changes and secured transactions attached to real estate are all kept in the office of the recorder of deeds. The recorder also collects both the state and local taxes on real estate transfers. Coroner. The coroner investigates deaths of a suspicious or violent nature and is assisted by a coroner jury of inquest when called to determine the cause of death. When inquests are warranted, the coroner is empowered to perform autopsies, subpoena witnesses, administer oaths, and compel attendance at an inquest upon threat of imprisonment. The coroner is required to issue a certificate of cause of death when it occurs without medical attention or attendance. The powers and duties are specified in the County Code.7 Jury Commissioners. The County Code provides for the election of two jury commissioners. Their duties are limited to providing a jury panel for the ensuing court year. They are authorized to appoint a clerk to assist them in performing this function. In certain counties of the third class, the office of jury commissioner may be abolished by referendum at the opion of the county.8
Chief Clerk
The county commissioners shall appoint a chief clerk.9 With these words the Pennsylvania General Assembly provides for a person who frequently operates as the administrative assistant to the county commissioners and as an administrator of the general functions of county government. Most of the official business that requires the commissioners attention is channeled through the office of the chief clerk who functions as a coordinator between the commissioners and department heads in the county government. The chief clerk is in reality the right arm of the commissioners. County chief clerks are both public officers and employees of the county. A chief clerk occupies a position of trust and responsibility, with definite powers and duties. As an appointed public office, the chief clerks formal status is defined in state laws and local ordinances, resolutions and policies. Significant differences in the office do exist from place to place because of variations in law and local action. One difference that is readily obvious is in the title of the position itself. Chief clerks sometimes carry the title chief clerk/administrator or some variation of the joint title. Usually, the use of the word administrator in the title indicates a wider range of responsibilities, although this is not uniformly true. The use of administrator in the position title is totally an option of the county commissioners as the title is not mentioned in the County Code. The exception is where the county has adopted a home rule charter mandating such a position. A great deal of the discussion in this manual may or may not apply to the position or similar positions set forth in home rule charters. It depends on the charter language itself and on the language of implementing administrative codes and ordinances. There is a brief discussion of county home rule in Chapter XVIII of this manual. The responsibilities of the chief clerk vary from county to county but generally include proposing the annual budget, official keeper of the commissioners proceedings, maintaining and ordering supplies, and serving as the chief purchasing officer.10 In many counties, the chief clerk also serves as the director of elections. The effectiveness or ineffectiveness of the chief clerk in performing these duties usually depends upon support and confidence gained from the Board of Commissioners. Informal factors also create wide differences in the status of chief clerks even within the same class of county. Aside from state legal provisions, the status of the chief clerk is affected by preferences of the Board of Com19
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missioners, local legislation and practice, expectations of the general public, and administrative actions by national, state and county agencies. Local custom, attitudes and political practice are a principal source for the variety in the role of the chief clerks in county operations. Chief clerks are appointed by the governing body of the county, the county commissioners. They are appointed for indefinite terms and serve at the pleasure of the Board of Commissioners. They need not be reappointed at each organization meeting.
Solicitor
The County Code makes provision for the expenditure of county assets to obtain legal counsel as required. The county commissioners generally appoint a county solicitor to represent them in legal matters.11 Compensation arrangements are whatever the parties concerned agree upon. There may be times when an attorney with special skills or expertise is needed. Such legal counsel may be acquired in addition to that available through the designated county solicitor. An example might be medical malpractice, complicated assessment appeals, issuing bonds, or handling tax claims matters. When engaging a solicitor it is wise to put friendship and patronage aside and find an attorney with municipal law experience. The commissioners must be apt to listen to advice given and allow their solicitor to keep them out of trouble rather than expect the solicitor to get them out of trouble.
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For example, Acts 193 and 201 allow sentencing judges to deviate from the mandatory requirements for driving under the influence (DUI) offenders. Judges may sentence DUI offenders to inpatient drug and alcohol treatment programs or a combination of house arrest or electronic monitoring combined with drug and alcohol treatment. This new sentencing option could have a dramatic effect on jail populations by moving to a more appropriate sanction. Intermediate Punishment (IP) Programs may be run out of one of three different county offices or a combination of these. Primarily, the IP Programs are administered by the probation department. Second most frequent is the county correctional facility. Sometimes the programs are run from the county Single Count Authority (SCA) or drug and alcohol program. Originally, funding for these programs came from the Pennsylvania Commission on Crime and Delinquency (PCCD). Since 1991, counties have invested $13 million in IP Programs. These programs were only for startup costs and lasted for three years. Counties are then required to continue these programs with county dollars. Beginning in 1995, the Commonwealth appropriated $5.3 million for IP programs. This was the first time the state agreed to fund county IP Programs. In recent years, the state made funds available to counties for IP Programs, but it remained at the same level. Probation. The county adult probation and parole office is responsible for supervision of Accelerated Rehabilitative Dispositions (ARD), probationers, and parolees serving county sentences. County probation officers also prepare pre-sentence investigations and pre-parole reports, and in some counties administer the DUI Intervention Program. Adult probation and parole has two sources of funding to offset the cost to the county. The Pennsylvania Board of Probation and Parole is an independent state agency under the jurisdiction of the Governor. Act 501 of 1965 broadened the powers and duties of the board to include the administration of a grant-in-aid program for the improvement of county adult probation services, the establishment of a state probation personnel and program standards, the provision of training for county adult probation personnel and the collection, compilation and publication of county adult probation and parole statistical information. Funding is awarded annually to the 65 participating counties to help offset the costs of adult probation and parole salaries. Professional county adult probation and parole personnel increased from 170 in 1965 to 1,569 in 1999. State grants-in-aid presently pay about 56% of eligible personnel salary costs. Act 35 of 1991, providing for Costs of Offender Supervision Programs, requires counties to collect a $25.00 a month supervision fee from county parolees. Counties are required to submit fifty percent of collections of these supervision fees to the Commonwealth. It has been the Boards policy to return these monies to the counties on a dollar-for-dollar basis. The fee is to be used to offset the costs of adult probation and parole salaries, benefits and operational expenses. Counties have been very successful in the collection of these supervision fees, but the state has used this to offset their grant-in-aid dollars by decreasing the state grant-in-aid in proportion to the counties collection of supervision fees. The Act further specifies that the remaining 50% of the supervision fees collected are to be placed in a separate account and used by the court for the purpose of improving the county adult probation office. Consequently, this leads to a conflict between the commissioners and the judge. In some counties the judge will use this account to purchase equipment, award bonuses, etc., without the commissioners approval or salary board action, and outside the budget process.
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References
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. Pennsylvania Constitution, Article IX, Section 4. 16 P.S. 401; County Code, Section 401. 16 P.S. 1702 et seq.; County Code, Section 1702 et seq. 16 P.S. 1760; County Code, Section 1760, 16 P.S. 1402 et seq.; County Code, Section 1402 et seq. 16 P.S. 1201; County Code, Section 1201. 16 P.S. 1232 et seq.; County Code, Section 1232 et seq. P.L. 619, No 79, Section 401. 16 P.S. 520; County Code, Section 520. 16 P.S. 521; County Code, Section 521. 16 P.S. 901; County Code, Section 901. 72 P.S. 5453.51; Fourth to Eighth Class County Assessment Law, Section 501. 16 P.S. 9960.4. 16 P.S. 1001; County Code, Section 1001. 16 P.S. 2101; County Code, Section 2101. 16 P.S. 1923; County Code, Section 1923.
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Counties
ELECTORATE
CLERK OF COURTS
3 COUNTY COMMISSIONERS
TREASURER
2 JURY COMMISSIONERS
DISTRICT ATTORNEY
COMMISSIONERS APPOINT MOST OF THE SUBORDINATE OFFICERS AND EMPLOYEES AND SERVE AS MEMBERS OF THE BOARD OF ELECTIONS, BOARD OF ASSESSMENT AND APPEALS, SALARY BOARD, RETIREMENT BOARD.
CONTROLLER OR 3 AUDITORS
PROTHONOTARY
SHERIFF
RECORDER OF DEEDS
REGISTER OF WILLS
CORONER
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VOTERS
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PRESIDENT JUDGE
Clerks of Courts Prothonotary Register of Wills Jury Commissioners Treasurer Sheriff Coroner District Attorney Controller Recorder of Deeds
Borough Officials
Tax Assessment Elections/Voter Registration Tax Clerks Communications (County Control) Emergency Management Agency Veterans Affairs Human Services Mental Health & Mental Retardation Program Hospital and Home Area Agency on Aging Library System Solicitor Children and Youth Services Parks and Recreation Public Defender Drug and Alcohol Program Data Processing Weights and Measures Juvenile Detention Home County Prison Office of Employment and Training Personnel Archivist Center for Highway Safety Bridge Department Safety Director
Transportation Authority County Redevelopment Authority DISTRICT County Hospital Authority County Solid Waste and Refuse Authority JUSTICES County Conservation District County Industrial Development Authority County Industrial Development Corporation County Library System Board of Directors County Private Industry Council County Planning Commission Weatherization Community Development Block Grant Program County Children and Youth Service Advisory Committee County Area Agency on Aging Council County Human Services Advisory Council County Board of Parks and Recreation Drug and Alcohol Planning and Implementation Council Victim/Witness Policy Board County Juvenile Detention Home Advisory Board
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Financial Records
The base for any budget preparation or analysis is the financial records, their record, structure, availability, and detail. The controller is responsible for establishing and maintaining the financial records of the county. In counties where there is no controller, the chief clerk is responsible. Where there is a controller, the chief clerk must closely cooperate with the controller to assure that the records are structured to reflect all financial transactions properly and accurately according to the wishes of the commissioners. To meet the County Code requirements as well as modern accounting and auditing practices, records must be established on a double entry basis and transactions should automatically report against the established budget. Separate funds must be created where required, such as liquid fuels, the nursing home, and the various human services programs. Other funds should be created where they will identify specific areas of concern such as projects funded by the proceeds from debt. As a financial organization grows in complexity, a balance must be struck between specificity and management. All departments must understand how the accounting system works and what their role is in its operation. The system must accurately record transactions and report these transactions to decision makers in a timely and easily understood manner. Monthly status reports of the budget is a minimum requirement. More may be needed, especially at budget time or during tight financial times. Allied reports on such topics as cash management, tax collections, monies owed to and by state and federal agencies, etc. may be useful and required.
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Forms should be distributed to each department which presents the current years budget figures and current status for all expenditures and revenue items for which the particular department head is responsible. The form should be in the desired format and provide that someone is responsible for each revenue and expenditure item. These forms are often returned to the controller; or to the chief clerk in the absence of that office. When all initial figures are in, budget planners will have a good general sense of next years finances. One can see why it is of the utmost importance to receive this information as early in the budget process as possible in case lengthy budget analysis is necessary. At the conclusion of the budget process, the budget director must prepare and submit the required forms to DCED.3 This official budget document has insufficient detail to be helpful as a true representation of the countys fiscal picture. A separately prepared document with expanded detail can be much more useful for internal purposes and more informative for the public. A budget summary showing budget trends and highlighted for public consumption is also useful.
Capital Budgeting
Part of the overall budget are items labeled as capital outlays. These items are high cost, non-recurring items which provide a permanent improvement. The exact definition will differ from county to county, but should include minimum cost, expected life of the item, and category. While capital items will be expensive, a large quantity of consumable supplies is not a capital item. By contrast, any real estate purchase may be identified as a capital item, regardless of price. The important fact to keep in mind about capital items is that there is no best definition, but each county should have its own definitions which everyone accepts and uses in budgeting for that county. The firm that conducts the countys audit can be very helpful in defining what a capital expenditure is. In many years there is a longer list of needed capital items than there is money to purchase them. A long-term capital budget becomes critical for budgeting purposes. A capital budget is simply a list of items or projects to be purchased or built with the source of funds outlined and the year listed in which the item will become a reality. Each year, the next years list of capital items is taken from the capital budget and transferred to the next
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years operating budget. The entire list of items scheduled for the next year probably will not be funded in its totality. Changes in priorities, funding, and need dictate that the capital budget be revisited each year during the budgeting process and amended so that current expectations are reflected in the long term plan. The capital budget is usually five to six years in duration, with the current budget year dropping off and a year five to six years hence being added. The capital budget will be much shorter than the operating budget, but will have a very large dollar value for the few items. Special financing may be required for the items and the yearly debt service must be planned as the budget is developed. This part of the budget can have huge repercussions for the county and great care must be taken in agreeing to place items or projects into this budget. As with the regular budget, a timetable should be agreed upon for development of this budget each year.
Borrowing
There are two reasons for a county to borrow. The first is a situation where either cash flow problems, a sound investment strategy, or both dictate a short-term borrowing. The second is the more common reason a long-term borrowing is needed to support a large project. Tax Revenue Anticipation Notes. A Tax Revenue Anticipation Note (TRAN) is a short term borrowing at the beginning of the fiscal year. Tax revenues are pledged to repay the loan and the repayment must occur during the calendar year. Historically, a municipality would borrow money at a low rate and reinvest it at a significantly higher rate during the calendar year. This arrangement, known as arbitrage would provide cash flow protection and often made enough interest so that the process was a net source revenue. Federal IRS regulations have tightened significantly so that arbitrage is now virtually impossible. Consequently, TRANs are usually used only to tide the county over until taxpayers begin paying their real estate taxes.
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Long-Term Borrowing. Long-term borrowing is the more common reason for borrowing funds. In this case, a county wants to develop a large project which will provide benefits for future generations; but it cannot afford to pay for the project in the budget. In this instance, either bonds are sold or the county executes a note with a lending institution. In much the same way and for the same reason as described for TRANs, long-term borrowing has become much more sophisticated and remains complicated. Investment bankers purchase the debt from the county and then resell it to their customers. The price which they will pay depends upon factors outside the control of the county, such as IRS regulations, the interest rate climate, and investing trends in the county. There are factors which affect the price which counties receive for their debt which are within the control of counties. These include the reputation of the county for living within its means, the caliber of the county management team, and the quality of the countys accounting practices. Many counties work very hard to make themselves look better to rating agencies. A county may choose the investment banker in two different ways. The county may, through negotiations or interviews, simply hire an investment banker to sell the bonds. The second way is to hire a financial advisor who then prepares and asks for bids from various investment bankers. In the first case, the negotiated sale can be put on the street whenever the county feels that the timing is right. In the second case, the county usually receives the bid which is most favorable to the county on a particular day, but the day may not be the best one from the perspective of the bond market. Skilled financial staff and advisors are the key to making sound decisions when borrowing, regardless of the manner in which the bonds are sold. Selecting staff who will manage the finances of the county is the critical decision in this, as well as other financing questions. All borrowing must be submitted to DCED under the provision of the Local Debt Act for review; with large transactions requiring DCED approval. Forms and model debt statements are available from DCED.
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References
1. 2. 3. 4. 5. 6. 7. 16 P.S. 1781; County Code, Section 1781. 16 P.S. 1782; County Code, Section 1782. 16 P.S. 1783; County Code, Section 1783. 16 P.S. 512; County Code, Section 512. 16 P.S. 513; County Code, Section 513. 16 P.S. 1706; County Code, Section 1706. Ibid.
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The process of accomplishing, monitoring and managing these five tasks is called risk management. It is often called structured common sense. It doesnt necessarily require complex theories or complicated programs. It does not require that the county spend huge amounts of money. It does require thinking about potential losses as an integral part of the operation of county government. Risk management begins with the realization that the county will eventually suffer a loss of some kind. Recognizing this, counties can take appropriate measures to anticipate losses and to minimize their adverse effects on the county.
Insurance in General
The term risk management often is interpreted to mean acquiring insurance, which is the traditional way counties manage risks. In reality, insurance is just one part of risk management. Insurance provides financial protection against accidental loss. It cannot keep losses from happening. In contrast, by identifying and managing risks, counties can prevent unexpected losses. Insurance is important, but it is just one of several techniques for dealing with losses. While it is the most common method, it is also quite frequently the most expensive. When insurance is readily available and relatively affordable during soft market, counties may tend to expect the market to remain that way. In fact, it has been suggested that the easy purchase of insurance undermines sound risk management practices. In addition, over dependence on insurance can leave your county dangerously unprotected during a hard market when insurance coverage tends to be less affordable and less available.
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3. 4. 5. 6. 7.
Reduce losses to the county resulting from natural disasters, lawsuits, and other unexpected occurrences. Identify exposures the county may prefer to cover through means other than insurance or avoid completely. Make the county more attractive to insurance companies, which may lead to greater insurance availability and lower premiums. Reduce overall cost-of-risk so the county can reduce the necessary budget for particular activities or free funds for other services. Reduce uncertainties associated with future projects the county may not consider proposed services or activities to be feasible unless better ways to prevent and pay for accidental losses associated with the proposed activities are identified.
Governmental Immunity
The scope of a countys liability, especially law enforcement and public officials liability, has expanded greatly in recent years as courts increasingly hold governments responsible for negligent and wrongful acts, personal injuries, property damage and civil rights violations.
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The Pennsylvania Political Subdivision Tort Claims Act 2provides limited governmental immunity and limits liability to counties for actions brought under the jurisdiction of state courts. The limit of damages from the same action is set at a maximum of $500,000 plus delay damages (interest). The act states that no political subdivision shall be liable for any damages on account of any injury to a person or property caused by any act or omission of the political subdivision or an employee except for these specific categories of action: 1. 2. 3. 4. 5. 6. 7. 8. Operation of a motor vehicle. Care, custody or control of personal property. Real property in the care, custody or control of the political subdivision. Dangerous condition of trees, traffic controls and street lighting. Dangerous condition of utility service facilities. Dangerous condition of streets. Dangerous condition of sidewalks. Care, custody or control of animals.
The act also requires counties to defend and pay damage awards against officials and employees who are acting within the scope of their duties. However, there is not a similarly broad immunity for actions filed in federal court, and this is where increasing numbers of lawsuits against counties are filed. Most allege some type of violation of federal civil rights (section 1983 claims), and there is no $500,000 cap on awards. Some examples of federal lawsuits are: 1. 2. 3. Inmate lawsuits arising out of suicides, strip searches, conditions of confinement, inadequate medical care, failure to protect from assaults, false imprisonment and lack of access to the courts (inadequate law libraries). Violation of due process rights of parents when children are taken into custody by Children and Youth workers. Wrongful termination and age, sex, race and disability discrimination in employment.
Risk Identification
County government exposures can be grouped into five broad categories: Physical Property. This includes real property such as buildings and grounds and personal property such as vehicles, tools, office equipment and furniture, public records and cash. Loss of Income. Counties receive income through taxes, fees, charges for services, licenses, rents, etc. Any event that causes a temporary or permanent disruption in income would create a financial loss. Contingent Expense. Some losses force counties to incur additional expenses to function normally or to maintain services. For example, if a county nursing home had to be evacuated due to a fire, the county would not only have to pay to repair the nursing home, but also might incur expenses to clean up debris, relocate and house residents of the home. Human Resources. Job-related illnesses and injuries can cause losses stemming not only from medical and hospital expenses, but also from costs of replacing the worker temporarily or permanently and from decreased productivity while the worker is gone or until a new employee is trained. Legal Liability. Every service that the county provides and every action it takes exposes the county to losses from potential lawsuits, not only judgments and negotiated settlements, but also from legal defense costs. Counties can identify exposures by: using checklists or inventory control systems to track property and contents; interviews with county personnel; inspections and site visits; use of accident and hazard reporting forms;
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use of citizen complaint forms; reviewing program budgets; and reviewing contracts with subcontractors. Insurance agents and brokers, risk management consultants, self insurance pools and other risk managers can also assist with identifying risks.
Risk Evaluation
Once the county has identified its exposures, the financial risks inherent with each risk needs to be determined. By evaluating loss exposures, the county can decide how to handle certain risks, allowing more time to be devoted to those risks that have the greatest financial impact on the county. Another goal should be to determine how much insurance coverage is needed for loss exposures. Potential financial loss is measured in terms of frequency and severity. In other words, how often is a loss likely to occur, and how severe could it be? The best way to predict the frequency and type of future losses is to study records of past losses, preferably for the past five years. While your agent, broker and/or insurer may have records of prior losses, the county should keep its own records. This way the information will be up to date and available even when the countys agent, broker or insurer is changed. Estimating the severity of future losses is more complicated. Property exposures can be calculated by assigning values to county assets (real and personal property). It is a good idea to base these values on formal property appraisals done by an independent appraisal firm, preferably every three to five years. The severity of liability exposures can be estimated by reviewing the state tort liability law, the countys claims history, liability suits in nearby counties, recent court cases, jury awards, settlements and common defense costs. For example, Pennsylvanias governmental immunity laws limit county liability exposures to several distinct categories, with a cap of $500,000. In general this cap has held up well in court. However, since this is a state law, the cap does not apply to cases being tried in federal court. With the proliferation of federal civil rights (section 1983) suits, and with court verdicts often in excess of $1 million, purchasing just $500,000 of liability insurance is not sufficient.
Risk Financing
After identifying and evaluating the exposures the county faces, the next step is to examine various ways to handle the countys exposures to loss. Some activities and services carry risks so great that the best way to handle the risks is to avoid the activity altogether. In the strictest sense, this is the complete way to manage risks because it eliminates any chance of loss. Avoidance may not always be possible, because there are certain services that counties must provide. An alternative to avoiding risks is to transfer them to other organizations by contracting for services and products. This should be done contractually as part of the overall written contract with the service provider, and the county should seek proof on a regular basis that the contractor has purchased insurance to cover their liability. Transferring risk to an entity that has no ability or provision to assume the risk is not effective management. Transferring risks should be seen as a financial transaction in the sense that the county is requiring another entity to finance the risk associated with providing a particular activity or service. Retention of risk is an option for counties who determine that some or all of a risk can be paid by the county itself, without insurance. For example, the county may decide to pay for all slip-and-fall claims from the general fund, rather than through insurance. Many counties use a large deductible program where the county pays the first portion of a claim (for example, from $1,000 to $25,000) and the insurer pays amounts above the deductible.
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Another way to transfer risk is to purchase insurance. Commercial insurance is used by many counties. Typically the county will select a program offered through a local insurance agent or broker. Counties should examine in detail the coverages being provided, the insurance company being used, policy limits, deductibles, copayments, exclusions, additional services to be provided, and premium costs. Self insurance is a relatively new concept for Pennsylvania counties. This can involve assuming and funding risks or participating in a self insurance pool. Counties which self insure any area of exposure should establish separate funds outside the countys general fund to provide adequate resources to pay claims, rather than exposing the general fund to the ups and downs of risk financing. In making the decision about how much risk to assume, transfer or finance, counties should keep the following in mind:
Do not retain more risk than the county can afford to lose. Do not assume maximum risks for minimal savings. Do not spend a lot of money for a little protection.
Implementation
One of the most important steps in risk management is the selection of appropriate measures to deal with loss exposures. When the county makes decisions regarding implementation, the following should be kept in mind: Unless a risk can be avoided, at least one loss control technique and one risk financing technique should be applied to every major loss exposure. The county should prioritize loss exposures for implementation. Exposures with high frequency and high severity (They happen a lot and cost a lot.) should be addressed first. Exposures with low frequency and low severity (They dont happen much, and when they do, are not expensive.) may be dealt with last, and may not even need to be insured. After prioritizing, the next step is to choose what will be the most effective way to implement a loss control technique or risk financing technique. For example, if a major exposure to the county is continuing back injuries at the nursing home, one loss control technique would be to teach employees proper lifting techniques. A better way might be to also review lifting practices and make sure that employees do not have to bend, twist, or lift awkwardly and that the home has a policy covering how and when one or more employees lift patients. Some loss control techniques may require that the county expend funds to install and maintain safety devices and programs. The county needs to determine the overall costs of a loss control technique and weigh the costs with the benefits. For example, assume the county has had a rash of citizens and employees tripping on the steps of the courthouse. If the county has a general liability deductible of $1,000 it may be making some significant payments for medical expenses. If it costs $2,000 to install a railing on the steps, this may effectively reduce the claims. Cost benefits also need to be examined when reviewing risk financing options. Insurance requires a cash outflow to pay for premiums, but reserving money (retaining risk) to pay for losses can actually generate income through interest earnings. Some losses are fairly minimal and the county may find it beneficial from a cost standpoint to cover those risks through a funded reserve rather than pay insurance premiums.
Program Monitoring
Once risk management procedures are put into place, the county must maintain some control to ensure that they are effective. The best loss control program will not be a complete success if the county cannot tell whether it is working.
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For example, using the previous example of the $2,000 railing installation on the courthouse steps, monitoring would involve keeping track of how many claims were paid before and after the railing was installed. If costs and the number of claims go down, the county can assume the money spent on the railing was a good investment. If claims are the same or worse, the county needs to determine why. Perhaps the problem is the deterioration of the concrete steps, or poor drainage of water which makes the steps slippery or icy. The county should also monitor the effectiveness of risk financing techniques. Some questions to be answered include: 1. 2. 3. 4. Did the decision to self-insure result in the expected costs savings, compared to commercial insurance? Did the decision to change insurers result in cost savings? Better service? Prompter claims payment? Better coverage? Did the decision to change local insurance agents result in better service? Cost savings? What effect did retaining risk have on the countys budget? The work level of county staff? Investment earnings?
Self-Insurance Pools
Self-insurance pools can be a very effective alternative way for counties to finance insurance coverage, and a good way to obtain risk management services. A self insurance pool is a program, usually created or sponsored by an association, through which members can pool risk, purchase insurance coverage, and receive risk management services. More than sixty percent of local governments buy at least one line of insurance coverage from a self insurance pool. Pools were created for three main reasons: 1. 2. 3. The members could not afford or find certain insurance coverages (hard markets). The members wanted better coverage. The members wanted better control of their insurance coverage and finances.
Pools are analogous to small mutual insurance companies. Members control the program by electing board members, and are shareholders of the pool. In Pennsylvania, insurance pools for workers compensation insurance are regulated by the Department of Labor and Industry. Counties considering joining a self insurance pool should carefully examine the finances of the pool, coverage provided, and pool bylaws or trust agreements. Since self-insurance pools often have unique and broad coverages, counties need to be careful when writing bid specifications for insurance coverage. If specifications are written to reflect traditional commercial insurance products, pools may not be able to qualify as bidders.
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The following suggestions can help the county construct an effective RFP: 1. 2. 3. 4. 5. Make sure the insurance specifications and requirements are clear and specific. When possible, obtain quotes from different insurance companies. Do not simply copy the provisions of the countys current policies, as this will ensure the only legitimate bidder will be the present insurance company. Allow for optional quotes for deductibles, coinsurance and copayments which might allow the county to reduce premiums and dependence on commercial insurance. Include thorough, up-to-date records of current insurance, loss history, including claims and cost information. These records will be important when negotiating coverage. Avoid duplicate coverage by requiring bidders to examine current policies to determine if any can be eliminated. Retain enough flexibility in the RFP process so the county can choose insurance based on the overall program not just the price. Some less expensive policies may be so restrictive that they may cost the county more in the long run. Some programs include additional services such as loss control inspections, workshops, safety materials, etc, which can also save the county money by helping to prevent or control losses. Expect services from your insurance representatives. Agents and brokers should help the county identify, evaluate and control risks. Insurance professionals who just sell insurance are not doing their job. Supply the insurance company, through the RFP, with materials that convey information about your countys activities, loss control programs, qualifications of employees, and required procedures. Make sure your agent or broker is able to effectively represent the county to the insurance companys underwriter. To determine whether or not to cover the county, and for what premium, the insurance companys underwriter needs this information about your operations. Many underwriters fail to understand the scope of county government services, and counties fail to supply the kind of information that would improve their chances of obtaining insurance. Among other criteria, underwriters will consider your attitude toward implementing loss control measures, the maintenance of county property and the countys loss experience. Allow sufficient time for response to the RFP, typically two months, with a deadline at least one month before the countys insurance expires. This will leave the county some time to examine the bids, resolve questions, and award the bid. Keep in mind that while this is an RFP process, it is in the countys interest to keep the requirements for responses to the bid as flexible as possible, in order to give the county the ability to explore new products and options not anticipated by the RFP.
6. 7.
8. 9.
Insurance Policies
Insurance policies typically purchased by counties include the following types: Property. Real property and personal property, protecting the county from actual damage or loss of the property or its ability to generate income. Liability. General liability, errors and omissions, law enforcement liability, automobile liability, environmental liability, protecting the county when a loss occurs due to the countys alleged failure to meet certain responsibilities required by law. General liability covers claims that allege bodily injury, property damage or personal injury such as libel, slander and defamation of character. Errors and omissions (also called public officials liability) covers claims that allege injury other than covered under general liability, such as civil rights violations and discrimination.
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Law enforcement liability covers claims arising from sheriff office activities, other court and law enforcement activities and jail operations. It is one of the few liability insurances in which a county may be held legally liable when there is no physical loss, injury or property damage (for example, false arrest). Environmental liability insurance (or pollution liability) covers claims arising from the operations of landfills, underground storage tanks, pesticide application, road de-icing, and from acquisition of properties. Fidelity. Crime coverage or fidelity bonds, protecting counties from losses due to embezzlement, misappropriation and other loss of money or property from dishonest acts committed by employees or volunteers. Workers Compensation. Required by state law, provides coverage for medical bills and loss of income due to work related injuries and occupational diseases. Policy Format. Insurance policies typically include five sections: Declarations - This section includes specific information such as the name of the insurance company, names of insured parties, policy term, premiums, limits and deductibles, copayments. Insuring Agreement - The heart of the insurance policy, this describes exactly what the policy covers and how and when the coverage will be provided. This is one of the most important sections of the policy; if a claim does not come within the scope of the insuring agreement, it is not covered. Definitions - Words and phrases used in insurance contracts have meanings they never had in standard English. In general, courts usually hold the most liberal interpretation of words found in insuring agreements, but narrow interpretation to words found in exclusions. Words that have more than one meaning will be interpreted in their legal context. A legal dictionary may help explain the meaning of some of these words. Exclusions - This part of the policy lists the various exposures and perils that are not covered by the policy provisions. Unfortunately, this is often the lengthiest section of the policy. Coverages are usually excluded because they may be found in another type of insurance, or because the coverage would go against public policy or law, or because the insurance company considers the risks uninsurable. Always read exclusions carefully. Conditions - Most insurance companies stipulate some conditions that must be met before the policy takes effect or before a claim will be paid. Common conditions include: Coinsurance, cancellation provisions, duties or notification requirements in the event of a loss, subrogation rights, method of property valuation, and coverage territory.
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When working with your agent or broker, keep communications open and clear. Notify them of any changes in the countys scope of operations, new acquisitions, changes in contractual agreements or changes in organizational structure. Editors Note: Information in this section is largely based on the publication Risk Management Manual, a joint project of the Public Risk Management Association, the Extension Service of USDA, and Oklahoma State University. Authors were Richard Wong, PRIMA; and Gary Holland, Oklahoma State University. The manual was funded by a grant from the W.K. Kellogg Foundation. Information from the manual was used by permission. Copies of the book are available from CCAP. Governmental immunity information is taken from Insurance Primer for Municipal Officials, Department of Community and Economic Development, Third Edition, 1998. For copies of sample documentation from the Risk Management Manual, including a risk managers job description, risk management policy statement, hazard reporting form, sample loss history, inspection checklist, accident report form, bid request for proposals, guide for selecting consultants, job safety analysis form and more, contact the County Commissioners Association of Pennsylvania.
References
1. 2. 16 P.S. 1701; County Code, Section 1701. 42 P.S. 8541-8564.
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tained to assure that the price quote provisions are followed. Bids over $10,000 require a formal, advertised bidding process, and must be awarded to the lowest responsible bidder. An area of frequent controversy is lowest responsible bidder. Case law is relatively vague, but tends more toward responsive than responsible; that is, a responsible bid is one that properly answers the specifications and that gives proper assurance that the contract (including materials, deadlines, service, and related matters) will be fulfilled. Generally, the location of the bidder (e.g., out of state), or the reputation of the bidder cannot be relied upon to declare a bid not responsible. Another potential legal pitfall is bid splitting, breaking a contract down into smaller components to avoid the bidding process. A defense that is sometimes offered is that splitting was inadvertent, or was done in good faith to assure that local vendors have the opportunity to participate in the system, but the process is nonetheless illegal. Care must be exercised to be certain that bid splitting is not done inadvertently by a decentralized purchasing system, which has a number of departments purchasing relatively small amounts of a commodity which is greater than the bid limits when combined across the county and throughout the year. Exceptions. The County Code contains a list of relatively specific exceptions to the formal bidding process. For example, professional services such as those of an attorney, consulting engineer, or for insurance, do not require advertising, bidding, or price quotations. Repairs and maintenance projects are generally exempted, although each case must be looked at individually. Piggy backing, using a state, federal, or pool purchasing program and their bid prices to purchase items is not only legal, it is recommended in many functional areas where their buying power cannot be matched by local bids and the paperwork is not so onerous as to negate the savings. Copyrighted products that have no peer are also exempted. When any of the exceptions to the bidding process are used, the county should appropriately note the reasoning for the exception. Although not statutorily required, when contracting under any of the exceptions the county should still encourage a full and open negotiation process, including securing competitive quotes.
Purchasing
Centralized Purchasing. There are no statutory requirements or restrictions on centralized purchasing systems. Under a suggested centralized purchasing system, a county purchasing agent or department coordinates and reviews the needs from the various county offices and submits them to the commissioners, on a regular basis, for final approval. Requests under a threshold established by the commissioners (e.g., $200) are handled by the individual department, subject to review by the purchasing director. Capital items, even though they may be less than the threshold, must also be submitted to the purchasing director prior to the purchase. All requests are compiled into a weekly report which compares the budget for the department against the requests. The report containing the requests is then approved by the commissioners. Once approved, the purchasing director develops specifications, follows any applicable advertising requirements, and sets dates for opening, review, and award of the bid(s). He consolidates quantities so that all those with combined yearly quantities of greater than $4,000 or $10,000 in value are bid following the proper procedures. The purchasing director will generally be the leader in finding alternative ways to save money in the bid process. A central stockroom may be established to store and distribute in a controlled manner the most commonly used items such as paper goods, pens, etc. They are purchased in bulk and charged to the department which uses them when they are distributed. Counties often join purchasing pools such as Councils of Governments in an attempt to get the best price on commonly used items. Copy paper, gasoline, and street signs are a few examples. Often, large quantities mean lower prices for even the smallest partner in the pool.
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Decentralized Purchasing. In this system, there is no purchasing department, only clerks in the commissioners office or the finance department who receive requests for purchases from the individual departments and follow the same general procedures of preparing a report for approval by the commissioners and checking the requests against individual categories. In this process, each department is responsible for preparing its own specifications and bidding documents with only technical assistance from a central office. Departments must determine, perhaps with the help of the purchasing clerks, if their purchases will, when combined over the year and throughout the government, be greater than the price quote/bidding thresholds of $4,000 and $10,000. A decentralized purchasing system would probably not have a central stockroom. There would more likely be a number of smaller versions of stockrooms within departments or sections of the county government. Both types of purchasing systems, when functioning properly, have the elements of a sound purchasing process. Each uses the bid process to receive the best pricing, and purchases are approved by the supervisor who manages the budget for that department as well as the county commissioners and their staff who must oversee the budget as a whole. Regardless of the system used, its success depends upon competent staff taking the jobs of purchasing and budget management seriously. Evaluating the County Purchasing System. There are probably as many different kinds of purchasing systems in Pennsylvania counties as there are counties. Being different is not necessarily bad, however, and each system must be viewed individually. There are checklists which can assist a commissioner in grading the effectiveness of the system in a particular county. The Manual for County Chief Clerks/Administrators contains a checklist which can as easily be reviewed by a commissioner. It is geared towards a centralized system, but the questions can be restated for a decentralized system. Specific systems will differ from county to county and some purchasing system guidelines may not be followed in some counties for a variety of reasons. For example, the degree of centralization of purchasing can vary greatly among Pennsylvania counties with their complex interrelationships among the commissioners, courts, and row officers. The fact remains, however, that county contracting procedures under law are the sole responsibility of the board of commissioners. It is important that they and the chief clerk be aware of the strengths and weaknesses of their particular system.
Privatization
A frequent suggestion from those calling for greater efficiency in governmental operations is for the government to privatize various functions. While this can be a valid strategy in some circumstances, care must be taken to research the statutory authorization and restrictions. In general, the dividing line is the question of whether the service is a pure governmental function or a function available in the private sector. Functions that are purely governmental cannot be delegated, while those that are typical of the private sector can readily be delegated. Most governmental services today fall somewhere in between. For example, transportation and recreation services can just as easily be publicly or privately provided. Typical of services that are purely governmental is the court system. The court represents the people, and has the ultimate constitutional power to determine the rights of individuals and to restrict the rights of those who violate the social contract. This power cannot be delegated. Similarly, the county cannot delegate administration of voter registration or the conducting of elections. Similar arguments can be made about county prisons, although with one distinction. While the county must maintain ownership, control, and responsibility for the prison, it can privately contract parts of its administra-
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tion. For example, it is common to contract for laundry service, medical service, or food service. Less common, and closer to the governmental function side of the question, is contracting for overall prison administration. Some county services are set up in a manner that encourages, and provides in detail, for contracting for private provision of services. The mental health system is perhaps the best example. Some services can be provided with a combination of governmental employees and private providers. A common example is the county real property assessment function, where county employees maintain the database, but private contractors are brought in to perform major reassessment projects. When determining whether to contract privately for services, the commissioners should frame the discussion as how do we best provide this service? rather than should we privatize this service? By framing it in the former manner, the decision is based on an objective of service provision. Framing in the latter manner yields an answer focused only on the bottom line, and can lead to the pitfall of excluding consideration of retention of the service in-house. Giving true consideration to in-house provision as an option often encourages departmental employees to suggest ways to improve and economize on the provision of the service.
Additional Information
The DCED has developed an excellent guide to local government purchasing: Purchasing Handbook for Local Governments. The information is valuable for elected officials, purchasing professionals, and those who must oversee the purchasing system but do not actively participate in it.
Contact:
Publications Department of Community and Economic Development Governors Center for Local Government Services 4th Floor, Commonwealth Keystone Building Harrisburg, PA 17120-0225 (717) 783-0176 or 1-888-223-6837 E-mail: [email protected]
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Consumers/Clients
The consumers for whom counties provide services fall into two broad categories. The first encompasses those persons whose chronic illness or condition requires assistance with activities of daily living for a lengthy period of time, perhaps for the rest of their lives. This category of services is called long-term care and provides services for persons with mental retardation, older persons who live at home or in nursing homes, and persons with mental health or substance abuse problems. The second category consists of children who are neglected, abused or delinquent. To qualify for county human services a persons condition is assessed. Based on priorities and funds available, services are provided. Provision of services is based on a persons condition not on his or her income. Once eligible, fees are usually assessed. The State operates other programs whose eligibility is based on income such as Temporary Assistance for Needy Families, TANF (formerly AFDC), medical assistance, and general assistance commonly known as welfare.
Funding
The total available funds for county human services exceeds one billion dollars. About 85% is federal and state funds, and the remainder is county general fund dollars.
Categories of Services
The primary programs provided include: Mental Health, Mental Retardation, Child Welfare and Juvenile Justice, Aging, Nursing Homes, Drug and Alcohol, and Adult Services. These specialty programs are tailored to meet the needs of the people they serve. To aid in understanding the system, the following categories of services are described: Prevention/Education. Nearly all specialty programs provide the general public with information that can prevent or postpone the need for services. Examples of prevention efforts include parenting classes to prevent neglect and lead paint identification and amelioration to prevent mental retardation.
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Crisis Intervention/Protection. Akin to hospital emergency rooms, these services are generally available 24 hours a day. The purpose of these services is to stabilize the situation until more specific services are available. Examples include hospital detoxification for a person suffering from substance abuse and removing a child from his home in the case of child abuse. Assistance/Income Transfers. Services are provided primarily at the state level to low-income persons. These services include TANF, Medicaid, Supplemental Security Income (SSI), and Food Stamps. Counties do not provide these services, but many of the persons served by the county also receive some kind of income transfer assistance. Treatment. This service is designed to reduce or end the condition experienced by the client. Treatment can be provided in any number of settings. Examples include speech therapy for a child in a preschool program and inpatient hospitalization for a person with a substance abuse condition. In-Home Services. These services are designed to assist an individual in staying in his or her own home. It can be something simple like meals-on-wheels, or something complex like attendant care, where services can include medical equipment and total care for a person who is physically disabled but mentally alert. It is where most people with long term care needs would like to receive services. Residential/Institutional Care. Services always include room and board, but may also include treatment. The simplest form is a personal care facility for older persons. A more complex type would be a secure juvenile treatment facility for an adjudicated delinquent who is too dangerous for services delivered in the community. These are the most expensive services to provide. Linking Services. These services form the glue that holds the human services system together. They include information and referral, case management, and transportation. Without these services, coordination among programs would be difficult and independence for clients would be impossible.
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generic services, and to develop innovative services based on the unique needs of a particular county. These funds are usually administered by the lead human services administrator or department, if there is one, or by a special grants coordinator who works with the categorical department heads. It is monitored and regulated by the State Department of Public Welfare (DPW). Even in those systems where a department head or lead administrator is identified, the areas of responsibility vary greatly throughout Pennsylvania counties. Some have incorporated the areas of nursing home management, public health, housing, transportation, and other related responsibilities in combination with the traditional human services administration. Since most human services rely heavily on state funding, and since there is no umbrella state department overseeing human services, there are several policy and regulatory bodies who govern the programs and services under the purview of county human services.
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IV-E of the Social Security Act. Counties must meet the required match of state and federal dollars with local funds. Fiscal regulations promulgated by OCYF/DPW describe cost centers, invoicing procedures and other pertinent fiscal requirements.
U.S. Department of Health and Human Services Health Care Financing Administration Social Security Administration Occupational Safety and Health Administration Pennsylvania Department of Health
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Pennsylvania Department of Public Welfare Pennsylvania Department of Aging Pennsylvania Department of Labor and Industry Pennsylvania Department of Education
The basis for the Area Agency on Aging is the federal Older Americans Act and the companion law at the state level. In addition, the laws governing the lottery come into play. For those counties who provide elder transportation, there are laws and regulations that provide oversight. Administration. Nursing home administration is extremely complex. Staying in compliance with the rules and regulations requires highly skilled, knowledgeable administrators and staff. All nursing home administrators are required to be licensed by the Commonwealth of Pennsylvania. In addition, many other staff positions in the facility are required by various federal and state regulations, such as nursing, social services, activities, housekeeping, dietary, etc. Some counties have the staff to operate their nursing home directly while others contract out for the management of the home. Some counties see the function as too difficult to manage and are selling or privatizing their home to nonprofit agencies to own and operate. Area Agencies on Aging services are provided by county governments for two thirds of the counties. In the remaining one third they are provided by nonprofit agencies. Joinders of two or more counties are very common. The Department of Aging is the state agency to which AAAs relate and employees in the public agencies are Civil Service certified. Services to Older Pennsylvanians. Nursing home services are provided to persons who have been assessed as needing medical care unavailable at home. Sometimes the assessment is done by a doctor, but for most of the counties whose residents will be paying with Medicaid, the assessments are done by the Area Agencies on Aging. Nursing homes provide medical services as well as room and board. Increasingly there is a greater emphasis on rehabilitative aspects of long-term care, with an ultimate goal of discharging the residents back to their own homes. Many nursing homes are looking at subacute care as one step down from care given in a hospital. This need for more high-tech specialization becomes more evident as the age and accompanying health problems of the nursing home population increase. Many facilities are creating special care units for residents with AIDS, Alzheimers , wound care, ventilator dependency, and subacute care. Also, many nursing facilities are branching out along what is termed the continuum of care, adding personal care beds, assisted living and retirement units to their campus of health care. Although county governments role in long term care has been traditionally perceived to be the county nursing home, the actual scope of services provided can be much broader. Area Agencies on Aging provide a whole range of in-home services like meals on wheels, homemaker, home health, and the like. They provide options to people who would otherwise go into nursing homes. They provide center services as well which include congregate meals and sometimes day care. In addition, AAAs are mandated to provide protective services to older persons who need protection. Funding. Funding for county nursing homes is almost entirely made up of Medicaid funds, five percent of which is paid by county governments. This line item is the largest single line item in the state budget and has been and will continue to be the target of cost containment by state officials. The County Commissioners Association of Pennsylvania (CCAP) has spearheaded an effort to obtain increased funding for all Medicaid participating nursing facilities through a mechanism called the Intergovernmental Transfer (IGT). Twenty of the largest counties with nursing homes donate funds to the state in order to qualify
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for additional federal reimbursement. This process has allowed nursing home reimbursement levels to increase and has avoided proposed massive cuts. Through this process, county commissioners have had a large influence on long-term care policy. AAA funding is part federal and part state with a large portion of the state funds coming from proceeds from the lottery.
Service Provision
An extensive range of services is offered through the county MH/MR Program. Some are mandated by the MH/MR Act, while others were added later. The mandated services are short term inpatient services, outpatient treatment, partial hospitalization, emergency services available 24 hours per day, consultation and education services to professional personnel and community agencies, aftercare services for persons released from state and county facilities, specialized rehabilitative and training services, interim care for people with mental retardation services waiting for admission to state facilities, unified procedures for intake for all county services, and a central place providing information and referral services. Other services usually include residential services such as group homes, supervised living and supported housing, crisis intervention and social rehabilitation. The counties are also responsible for managing emergency involuntary commitments and court commitments. In 1990, the General Assembly passed Act 212, which established an Early Intervention entitlement for preschool aged children with developmental delays, including mental retardation. Counties are responsible for developing a comprehensive array of services for children from birth through age three when responsibility is assumed by local school districts. Services must be mobile, generally provided in the childs home and specifically designed to meet the individual needs of each child. Some funds have been allocated to counties, and require ten percent match by the county.
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The county MH/MR system is also expected to generate Medical Assistance dollars to offset costs for this potentially expensive range of services. Counties and joinders may provide services directly or by contracting with private or public service providers. Most choose to purchase the majority of services by contract with local providers. Funding. The General Assembly allocates funds to the Department of Public Welfare which allocates dollars to the county MH/MR Program. Allocations are loosely based upon plans submitted by the Administrator to the Office of Mental Health and the Office of Mental Retardation. These offices establish priorities which counties must follow in order to receive funds and they also promulgate regulations which counties must follow. With a few exceptions, the commissioners must provide a ten percent match on allocated funds. Some federal funds are also allocated or earned by counties. Providers and counties also earn some Medical Assistance revenue for services rendered to eligible consumers.
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Funding. SCAs receive state funds and a federal Substance Abuse Block Grant allocation from ODAP through a contract mechanism. Other public funding includes county funds, Driving Under the Influence fines, Human Services Development funds, Pennsylvania Commission on Crime and Delinquency funds and Pennsylvania Department of Education funds. In addition, some SCAs have been successful in receiving financial support from private foundations and the federal government for special projects in their communities.
Other Services
Many counties have retained the responsibility for other related human services outside of the categorical systems of Children and Youth, Mental Health and Mental Retardation, Drug and Alcohol and Long Term Care. Transportation. Some counties provide human services transportation directly. The primary funding sources and clients are Medicaid eligible persons and older adults. Human Services Development Fund. This fund is distributed to each county in Pennsylvania and requires no county match funds. Each county receives an allocation annually and is required to submit a plan for expending the funds within specific cost centers. Attendant Care. These programs are regulated and funded through both the Departments of Public Welfare and Aging. Attendant care is intended for those who are not able to provide their own personal care without assistance. It is viewed as a support service to retain independence in the community, thus avoiding institutionalization as long as possible. Homeless Assistance. These programs are not intended to provide permanent housing but rather offer alternatives to those who are homeless or in jeopardy of losing their homes.
Reference
1. 16 P.S. 2101 et seq.; County Code, Section 2101 et seq.
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X. Corrections
While the county commissioners have the ultimate fiscal responsibility for the county jail, the day-to-day jail operation and supervision of the warden falls under the responsibility of the county prison board. The county prison board is comprised of the county commissioners, the president judge or judge designee, the district attorney, the sheriff and the controller. The prison board, sometimes called the board of inspectors, is the general rule for counties of the third to eighth class. Counties of the sixth, seventh, and eighth classes may elect either to have a prison board or to maintain the sheriff/warden style of management. With the sheriff/warden style, the day-to-day operating responsibility rests with the elected sheriff with little oversight from the commissioners or the judiciary, while the financial responsibility rests with the commissioners. Most counties have moved to a prison board style of management. Counties of the first, second and second class A have different requirements under the law.
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county prisons with the containment of all costs relating to prison inmate medical expenses. PIMCCs overall goal is to train, educate and provide a quality managed care program which allows the county to choose its own medical cost savings program. Current law gives counties few options for recovery of costs from prisoners. The law is silent on other charges except for those on work release. Statute allows the counties to charge room and board to those inmates participating in a work release program. Another source of income for county prisons is the Commissary Fund. Most counties operate a commissary for the inmates to purchase necessities. Some counties contract with an outside vendor to run the commissary and others run it in-house. Profits from the commissary may be used for supplies and programs for the benefit of inmates.
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XI. Elections
County commissioners serve as the County Board of Elections and perform all duties imposed upon them by the Pennsylvania Election Code. Commissioners conduct the County Board of Elections meetings and appoint a chief clerk and other county employees and assistants to administer election and voter registration. The County Board must certify election results and voter registration totals to the Department of State as required by law. The County Board is responsible for all aspects of the elections including, but not limited to: 1. 2. 3. 4. 5. 6. 7. 8. 9. select and equip polling places. purchase and preserve voting booths (voting equipment) and supplies. appoint employees. issue watchers certificates. prepare and publish notices and advertisements. receive petitions and nomination papers. investigate allegations of vote fraud. announce election results. issue certificates to successful candidates.
Additionally, the commissioners, as the County Board, petition and report to the Court of Common Pleas on issues such as creation of new or consolidation of election districts, appointment of election board officers, as well as petitions that concern the election process. The County Board is responsible for the cost of the primary and general elections. Whenever a member of the Board of County Commissioners is a candidate for the nomination or election to any public office, the President Judge of Common Pleas shall appoint a judge or an elector to serve in the commissioners stead. Also, whenever there appears on the ballot a question relating to the adoption of a Home Rule Charter for the county or amendments to an existing county Home Rule Charter, the President Judge of the Court of Common Pleas shall appoint judges or electors to the county to serve in the stead of the county commissioner.1 Please refer to DCEDs Citizens Guide to Pennsylvania Local Government for additional information on the voter and the election process.
Reference
1. 25 P.S. Section 2641.
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tion has the affirmative burden to prove that it is entitled to exemption. Exemptions recognized by the General Assembly are found at 72 P.S. 5020 - 204, and in the Fourth Class County Assessment Law at P.S. Section 5453.202. Being a non-profit organization by itself is not sufficient to qualify for exemption. The Pennsylvania Supreme Court in Hospital Utilization Project v. Commonwealth 2, provided that for an entity to qualify as a purely public charity it must possess all of the following characteristics: 1. 2. 3. 4. 5. Advances a charitable purpose. Donates or renders gratuitously a substantial portion of its services. Benefits a substantial and indefinite class of persons who are legitimate subjects charity. Relieves the government of some of its burden. Operates entirely free from private profit motive.
Public law provides for an exemption for disabled veterans who live in their own home and meet conditions set by the Veterans Administration.
Preferential Assessments
The PENNSYLVANIA FARM LAND AND FOREST LAND ASSESSMENT ACT 3 Act 319 and COVENANTS PRESERVING OPEN SPACE - Act 515 are two acts that provide for special use land to be assessed using different criteria. Act 319, commonly referred to as Clean and Green allows preferential assessment to be based on use value rather than market value and is extended to owners of agricultural or forest land who agree to maintain their land solely for agricultural or forest use. Utilization of this act requires special effort on the part of the Assessment Office to maintain extensive records depicting both market value and use values, ownership changes with continuing agreement, any splits for home building and a constant monitoring to ensure that the use of the land is not in violation of Act 319 regulation. COVENANTS PRESERVING OPEN SPACE. Act 515 establishes how the County Commissioners may create an open space covenant with a landowner. 4 It is recommended that County Commissioners become very familiar with the provisions of Act 319 and Act 515. As economic conditions change, the market value of real property also changes. This may occur countywide or in a particular area due to unusual development or loss of a major industry that results in localized depression of values. It is illegal to attempt to adjust values to reflect what has occurred to property values in such a community. To do so is called spot reassessment and this is specifically prohibited. Every time a property is sold, the data concerning that transaction is reported to the State Tax Equalization Board (STEB). STEB analyzes this date and compares the selling price with the assessed value. If these two values were the same, then the Common Level Ratio would be exactly the same as the Predetermined Ratio. Obviously, this rarely happens and so as actual market values move away from assessed values (they normally go up) the Common Level Ratio moves away from the Predetermined Ratio. STEB allows a 15% band of variation before they blow the whistle (i.e. if Predetermined Ratio is 50%, Common Level Ratio should be between 42.5% and 57.5%). When the Common Level Ratio falls outside this band, your assessment is considered to be defective and subject to appeal. When an appeal is brought under this condition, the property in question is appraised at current market value and the Common Level Ratio, as determined by STEB, is applied to obtain the new assessed value. In depressed areas, this can be very costly to the county for it erodes the tax base. What to do? The proper answer is to conduct a county-wide reassessment. This should correct any errors in your assessment rolls and provide the county with current assessed values. So, why not reassess? There are two main reasons: First, it is expensive; and second, Commissioners believe that if they conduct a reassessment, they will not be re-elected by an irate electorate.
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The first reason is valid, but the second reason does not necessarily hold true. Both reasons are greatly affected by how you approach a reassessment. The fastest, cheapest, easiest, and worst way is to apply a mathematical factor to each property assessed value and bring the Common Level Ratio within range and be done with it. What this does is that it magnifies existing errors. Undervalued property becomes even more undervalued and overvalued property becomes even more overvalued. Changes that need to be made are not accomplished because no one has taken a look to see the condition of the individual properties or made allowances for new, desirable properties or allowed for depressed areas. Another way to obtain a reassessment is to contract to have it done, There are several firms that specialize in providing county-wide valuations or reassessments. Some of these firms attend CCAP meetings or advertise through CCAP publications. While it is expensive, they can give you a turn key product. It is also possible to conduct an in-house reassessment. It entails a lot of work on the part of your Assessment Office, engaging a consultant who is well versed in the procedure, hiring of some temporary help to gather data, and automation of the Assessment Office if that has not already been done. There are two big payoffs to an in-house reassessment. First, there will be a lot of learning/training going on within the assessment staff. This results in a staff that understands the nuts and bolts of reassessment and will be able to explain to property owners exactly how values were calculated. They will also be able to recommend reasonable adjustments if warranted in case of appeals. The staff members will have a vested interest in producing an accurate valuation because they are the ones who will be defending it. The staff members will gain a real sense of accomplishment and a new found confidence and pride in their product, the reassessment. The second payoff is that an in-house reassessment can be accomplished at a fraction of the cost that is demanded by a commercial firm. To make any reassessment successful, and accepted by the public, all of the commissioners must be in agreement and vow not to try to make political hay out of the procedure. To do so will cast doubt on fairness and lead to nothing less than constant hassles and a disgruntled electorate. Whatever the method used, it is absolutely necessary to be totally open and above board. The news media needs to be constantly briefed as to the need for a reassessment (values are out of balance within the county). If the news media understands what will be happening and is kept informed, they can be a tremendous help in keeping public emotion under control. The public must be aware that as assessed value goes up, millage comes down and the amount of money collected remains about the same. Following a reassessment, you will find that owners who had undervalued property will pay more taxes (their fair share), and owners who had overvalued property will pay less taxes (their fair share). You can easily see which group you will hear from when the appeal time rolls around. It is important for the Board of Assessment Appeals to be fair but firm as they hear appeals. The common thought is that if an owner shows up before the Board with an appeal, their property value will be lowered. You must not let this occur, unless there is true merit in the appeal. If there was an error in valuation, it should have been resolved at an informal appeal heard by the assessment staff. If the Board of Assessment Appeals stands firmly in support of their assessors, the word will quickly spread and a good percentage of the appeals will either be withdrawn or result in no shows. If a well planned reassessment is conducted, Commissioners will be reelected. In conjunction with a county wide revision of assessments involving either a change in the established predetermined rates or revaluating the properties and applying the predetermined rates, the county commissioners of a county of the fourth, fifth, sixth, seventh, and eighth class may create up to four auxiliary appeal boards, each to be known as an auxiliary appeal board. Each board shall be composed of three members appointed by the county commissioners and the term of existence for each board shall not exceed 18 months.5
Nuisance Taxes
Until the Pennsylvania Legislature passes a tax reform bill, counties will be required to continue to set Occupational Assessment. The Occupation Tax is used by some counties and municipalities, and by virtually all
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school districts. Whether or not a county collects the tax, they are responsible for determining the value to be assessed each occupation. It is a terribly unfair tax because the law specifically states that the amount of money earned in the occupation cannot be a factor in determining the assessed value of the occupation. Therefore, the owner of a retail business selling automobiles and grossing $50 million a year has the same assessment as the little spinster who sells greeting cards and grosses five thousand dollars a year. The number of occupational categories that counties use varies from less than ten to several hundred. They all have the same problem: regardless of how many or how well defined their categories, they cannot render a truly fair occupational assessment with the constraints placed on them by the law. Consequently, until the law is changed, expect to hear Occupational Assessment appeals as a routine matter. This tax is levied in part on the value of stocks of companies not registered in Pennsylvania. In May of 1996 the U.S. Supreme Court found the Personal Property Tax in the State of North Carolina, which is similar to the Pennsylvania statute, to be an unconstitutional violation of the Interstate Commerce Clause because the tax exempted in-state corporations while taxing out-of-state corporations. The Pennsylvania Supreme Court has held that the clause in the state law that exempted the stock of in-state corporations from the levy to be unconstitutional. The Court, however, held the tax itself is legal if the illegal exemption of stock from in-state corporations is removed. The Court provided a number of remedies including partial refunds on demanding back taxes from the ownership of in-state corporations. The U.S. Supreme Court refused to hear an appeal fom the Pennsylvania Supreme Court decision.
Legal Limit 6% (Tourist Promotion & Convention Center) 5% (2nd Class A Counties: Travel & Tourism) (2nd Class County: Tourist Promotion & Convention Center) 2% (Convention Center)
Citation 53 P.S. 16223 Act 70/1986, Sec. 23 (*Philadelphia) 16 P.S. 4970.2 Act 230/1953, Sec. 1970.2 (Allegheny, Bucks, Montgomery, Delaware)
Counties (2nd)
16 P.S. 3000.3061 Act 18/1997 3061 of the County Code (Allegheny) 16 P.S. 2399.1 Act 42/1999 Third Class County Convention Cntr. Auth. Act (Counties not identified)
5% (Convention Center)
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16 P.S. 2399.72 Act 73/2000 Third Class County Conv. Center Authority Act (Alternative Provision) Counties Not Identified
16 P.S. 1770.2 Act 18/1997, Act 79/1998 Act 25/1999; Act 142/2000 1770.2 of the County Code (Cambria, York, Centre, Blair, Chester, Lancaster, Lycoming, Mercer, Indiana) 16 P.S. 1770.4 Act18/1997 1770.4 of the County Code (Lackawanna County) 16 P.S. 1770.5 Act 25/1999; Act 142/2000 1770.5 of the County Code (Dauphin County) 16 P.S. 1770.5 1770.5 of the County Code Act 142/2000 (Counties Not Identified) 16 P.S. 1770.7 Act 142/2000 (Adams County)
3rd-8th Class Counties Without authority to levy the tax prior to 2/20/2001 Specified 6th Class County
3% (Tourist Promotion Agency/ Economic Development/Historic. Preservation/Grants to Local Municipalities having Police Departments) 3.5% (Regional Tourist Promotional Agency/Tourism Facilities and Community Development Initiatives)
16 P.S. 13211 Act 28/2000 Hotel Room Renal Tax Act (Lehigh, Northampton)
*Philadelphia is both a city and a county of the 1st Class NOTE: Purdons Statutes Citations for certain 2000 Acts are speculations based on placement of Acts in the County Code.
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Act 50
On May 5, 1998, the Pennsylvania General Assembly enacted Act 50 of 1998. Act 50, in part, created several new subchapters in Title 53 of the Pennsylvania Consolidated Statutes. Three of these subchapters relate to local tax administration and procedures and authorize local governments to establish programs for real estate tax deferrals and for homestead property exclusions from real property taxation. The three subchapters are the Local Taxpayers Bill of Rights, Real Estate Tax Deferment Program Act, and the Homestead Property Exclusion Program Act. (Act 50, 53 Pa. C.S. 8421, 8571, and 8581) The Local Taxpayers Bill of Rights (LTBR) requires local taxing authorities to adopt notice, disclosure, and appeal procedures in conjunction with the administration, collection, and audit of certain eligible taxes. Most of the taxes falling into the definition of eligible taxes are those pertaining to municipal governments such as occupation, occupation assessment or occupation privilege taxes, gross receipts taxes, amusement or admissions taxes, and earned income and net profit taxes. However, since per capita taxes also fit into the definition per the LTBR, those counties which levy such a tax must comply. Except for a provision in the Act that requires political subdivisions to pay simple interest on overpayments of taxs at a rate equal to what the Commonwealth of Pennsylvania pays under the Fiscal Code, the LTBR does not relate to real estate property taxes. The Real Estate Tax Deferment Program Act gives Pennsylvania political subdivisions, including counties, the power and authority to grant annual real estate tax deferrals to certain eligible individuals on their homesteads. The term homestead is specifically defined in the Deferment Act to include only certain types of residential dwellings. Because the taxes are merely deferred (and not abated), the deferred taxes must ultimately be repaid to the political subdivision granting the deferment as specified in the Deferment Act. Counties, as other political subdivisions, are not required, but have the option to offer deferrals under the Act. The Homestead Property Exclusion Program Act generally permits the governing body of a political subdivision to exclude from real property taxation a fixed dollar amount of the assessed value of each homestead property and farmstead property in the political subdivision. The homestead property exclusion cannot exceed one-half of the median assessed value of homestead property in the political subdivision, and the farmstead property exclusion cannot exceed the amount of the homestead property exclusion. Application forms must be prepared and provided by the county. County assessors are then required to provide sufficient notice to the public regarding the availability of applications, to designate real property as homestead property or farmstead property and to notify the public of all filing deadlines. Applications must be made available at least 75 days before the filing deadline.
References
1. 2. 3. 4. 5. 6. 72 P.S. 5453 - 302b 507 Pa. 1,487 A.2d 1306 (1985) 72 P.S. 5490 et seq. 16 P.S. 11941 et seq. P.L. 179, No. 18, section 1770.3 (1997). P.L. 182, Act of 1999, Section 2398
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XIII. Communications
Any decision a county commissioner makes will affect the county, other governments, private concerns, and the public. Commissioners can expect criticism, no matter how competently they perform their duties or how sincere they are in their dedication to the public good. Criticism can be irresponsible or based on mistaken information or beliefs. Proper communication can help minimize confusion by providing a steady flow of information to the public.
Citizen Relations
Maintaining a good relationship with the public requires the cultivation of favorable public attitudes and an attitude of goodwill and respect on the part of the commissioners. Information is key in obtaining and maintaining this relationship. The goal of providing information to the public is that it enables the citizen to render intelligent judgments regarding the policies and activities of county government. Underlying all public anxieties is the uneasy feeling on the part of many persons that government officials have the authority to impose controls or restrictions on them. It is difficult to eliminate misconceptions once they become public opinion. The answer is systematic communication that provides a continuous flow of information to the public. A commissioner should remember that contact with the public is very important. It is also important to remember that certain groups such as the poor, the undereducated, the young and the elderly have little group leadership, and often need help articulating their needs and desires. Information should be given to and received from all groups, in order to avoid being cut off from significant portions of the public.
Media Relations
The first amendment to the U.S. Constitution contains the guarantee of freedom of the press. Under this guarantee it has been both the privilege and the responsibility of the pressincluding television, radio, periodicals, and newspapersto concern itself with government. News is reported not only to sell papers and advertising but to keep the electorate informed, which the press feels is its special responsibility. There are differences of opinion, however, between the press and government about the obligation of public officials to make information available to the press. The concept of responsibility of the press is not an obligation to report news about government to the satisfaction of public officials, but to report it in such a way as to insure that the public is as completely informed as possible. The press considers itself the guardian of the public interest and as the public representative to pro61
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vide continuing surveillance on county affairs. Reporters consider it their obligation to stimulate, question, criticize and even attack. For this reason, complete harmony with media representatives can be an impossible goal. This does not mean, however, that the media should be regarded as the enemy. Instead, it means understanding and mutual respect of the jobs entrusted to each other.
Brief reporters on background information. See that information given to reporters is accurate and complete. Have an open door policy for reporters. Show an appreciation for deadlines. Encourage discussion with those who can provide detailed answers. Take time to educate the reporter on county operations. Take your complaint directly to the reporter. Go straight to the editor on policy matters. Take advantage of TV and radio. Use clear, straightforward language. Treat the reporter as a professional. Be afraid of publicity. Get into a feud with the press; you wont win. Use jargon or acronyms. Hide mistakes behind secrecy. Say no comment to be evasive. Worry about minor errors in the news. Get angry at reporters over headlines. Go off the recordit never is.
DONT:
News Releases
A news release is a useful way of providing clear, concise, and accurate information for reporters to use not only for the basic story, but also for background and for leads for further information. Releases are perhaps most useful in providing advance announcement of a public ceremony, the text of a speech, a fact sheet about a change in a program, a biography, or summarized information on a detailed report that has been prepared by a committee. The use of news releases should be encouraged because it is the best opportunity for commissioners to put their positive slant on the story. Sometimes the news story can be written entirely from the release. More often the reporter will prefer to follow-up for further information. For this reason, the release always should carry the name, address, and telephone number of the source to be contacted.
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Public Works
The term public works, when broadly defined, takes in a great deal of functional territory. Most recently public works has become somewhat synonymous with the term infrastructure. There are few references to either term in the County Code, but in any specific action there may be any number of functions organized under the heading of public works. These include the following: Streets and highways Street signage Traffic engineering Sewage treatment Engineering Building maintenance Equipment maintenance Bridges Snow removal Water treatment Storm water management Solid waste management Park maintenance
Not all counties provide all of these functions. Most are provided by municipalities, quasi-public agencies, private utilities, and private firms. In certain places, some service may not be available at all. While each county develops its own definition of the public works function, it is important for county commissioners to develop some level of knowledge on all of these areas given the intergovernmental and regional planning implications. Engineering. Engineering encompasses most areas of public works and typically includes the following: 1. 2. 3. 4. Consulting: studies, reports, design, specifications Construction contracts: roads, bridges, building renovation Inspection Records and data: grants/financial reporting
The County Code authorizes the commissioners to appoint a professional civil engineer whose duties include preparation of plans, specifications, and estimates and surveying.1 Some counties have engineers on staff; however, many do not and they must obtain professional engineering work through private firms. Even the counties that have engineering staff will occasionally find themselves in the market for a consulting engineer. The most important reason for hiring a consulting engineer is to acquire the expertise needed for a specific job without having to buy that expertise on an ongoing basis. Planning. A capital improvement program is essential to systematically predict and plan for the purchase or construction of major facilities, assets, and projects. Costs associated with each improvement include architectural and engineering fees, land acquisition, construction, and costs for related furnishings and equipment. Property Management. County commissioners must make investments for the purchase and maintenance of property and equipment. It is better to spend small but adequate amounts on maintenance of these assets annually than to defer maintenance and find the need to spend large amounts later due to neglect. Unfortunately, when budget cutting is required, maintenance is typically red-lined. But under a responsible maintenance program, preventive maintenance can be a cost saving measure. If performed diligently, preventive maintenance
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can reduce overall maintenance and repair cost. Fleet maintenance is an example. A schedule should be developed for servicing and records kept on each vehicle. Bridges. Under federal guidelines, state highway departments must inspect the conditions of all public bridges that are twenty feet or longer. The states can do the inspection work themselves, or pass down the responsibility to cities and counties. There are nearly 23,000 bridges in Pennsylvania, and counties are responsible for approximately 6,800 bridges, 29.3%. The Pennsylvania Department of Transporation (PennDOT) spends millions of dollars annually to inspect state maintained bridges. 2.5% of inspections are double checked to ensure that conditions are interpreted uniformly. Bridge inspections can take hours or days, depending on the bridge type, what it spans, the traffic it carries and its condition. Bridges must be inspected at least every two years and a sufficiency rating (SR) applied. Sufficiency ratings of greater than 80 mean that a bridge does not require replacement or rehabilitation. Inspections and maintenance work performed by counties in most cases are coordinated by the countys designated engineer and performed by a contractor. Work is done in accordance with the Standard Specifications of the PennDOT, Publication 408, dated 2000, as revised and supplemented by PennDOT. The work is subject at all times to the inspection of the engineer who should have free access for inspection. Regarding the scope of contractual work, the contractor should furnish all materials, tools, labor, and work incidentals. The work should include as an example the following items:
sweeping bridge decks removal of debris pothole repair tree and shrub trimming signs sealing deck joints repairs to bridge structure painting bridge floor rock replacement
It could be argued that the problems Pennsylvania is experiencing with bridges comes from decades of neglect and underfunding of bridge rehabilitation and replacement. The solution would therefore be tighter inspection and more money which is obviously a difficult solution to attain given federal, state, and local hardships. Another issue is efficiency. It is hard to justify a $250,000 bridge that serves ten vehicles a day, when the people affected think it is priceless. To solve this problem, new designs and construction techniques use timber, modular concrete and retrofitted railroad cars. County Roads. In Pennsylvania, counties have a limited role in road administration. There are only 685 miles of county roads in the Commonwealth. All county roads are on the federal-aid system. Pennsylvania counties are responsible for special district roads, but not Commonwealth highways and bridges. In some instances, counties must obtain project approval for highway project from the Department of Transportation. When county projects are funded with federal highway dollars, state, or federal standards and approval of projects are imposed. When spending state gasoline taxes, counties sometimes have complete discretion in choice of projects and at other times are required to obtain approval of projects and meet state standards.
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Transportation
County transportation systems are usually comprised of a network of state and local agencies, clients and public and private providers. County transportation services are typically established from the need to transport seniors and mental health/mental retardation clients. County commissioners have the ultimate responsibility for setting the level of service to be provided to county residents. County transportation programs will typically provide its services to any eligible resident of the county. Paratransit refers to shared rides of more than one person in the vehicle. Determining the amount of transportation services to provide in an area requires a difficult trade-off between the wants and needs of residents and the financial and cost-effectiveness criteria imposed by local officials and funding agencies. Service level is defined as the number of days of service provided, the daily hours of service, the number of vehicles operated and the number of trips provided. A major concern of county officials as well as funding agencies (Aging, etc.) is the impact of service expansions on the cost-effectiveness of the transportation services. Criteria used to evaluate alternative services levels include: 1. 2. 3. 4. Needs of county residents. Efficiency/cost-effectiveness. Operational requirements. Financial/budget.
Another consideration is what impact these alternatives would have on the organization(s) directly providing the service. What additional vehicle, driver, dispatching requirements are imposed because of the proposed service change? County transportation plans are developed to transport as many clients as possible usually within an eight- to ten-hour day. Because of the special needs of the clients, transportation needs sometimes occur after working hours. To address this, health providers (for example, a mental health center) are sometimes sold, given or loaned vehicles through county agencies so that individual needs can be met. Funding for the program includes block grants, Department of Public Welfare (DPW) grants, and lottery grant programs. Fare Structure. The county transportation department will be asked by the state to maintain a fare structure that results in a countywide structure. No one fare structure is correct or ideal. An examination of the nearly 100 share-ride transportation providers statewide reveals a wide range of fare structures, each suited to the local conditions. All should be simple to understand and administer, be equitable, and enable the coordinator to recover all costs including direct operating costs and coordination costs. A revised fare structure should allow for the sharing of administrative/ coordination costs among all service providers rather than charging them all to the trips provided directly by the coordinator. Billing System. In many cases, the rider is required to pay a portion of the cost of the ride. Some counties have the driver actually collect the money while most have developed a daily recordkeeping system which includes invoicing the rider. County auditors prefer this arrangement. Drivers. The term driver on the surface implies duties typical of a bus driver or taxi driver. In actuality, county drivers are required not only to drive vehicles on an extremely tight time schedule, they must in many cases assist the client onto the vehicle and at all times insure the safety of the rider. This is an extremely difficult task in some instances. The driver is indeed dealing with a rider with special needs and sometimes must deal with the worst. It is extremely important that county officials acknowledge and address the following three conditions: drivers should be required to have a commercial drivers license, know CPR, and have first aid training.
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Record Keeping. Because the county receives state funds for transportation services, the county must show that rides are given in the most cost-efficient manner possible. A functional record keeping system must be used, clearly showing how individual trips are billed and money is received. Public Transportation. County governments, particularly, in metropolitan areas, have become increasingly involved in the problems of commuter railroads, buses, air, and other forms of transportation. Demands for air transportation services are constantly rising since the capacities of existing airports are overburdened or strained. The number of persons commuting into business centers from surrounding areas of the county or from adjacent counties is also steadily increasing in some counties. It could be argued that the problems of the commuter typically cannot be solved by the actions of a county government alone. In fact, given the high cost of mass transit projects, multicounty coordination would seem most appropriate. In considering transit alternatives, disputes may arise in terms of land use, coordination with local governments, environmental concerns, surface versus air, and the costs and benefits of economic opportunity. The value of having a comprehensive transportation plan is certainly underscored. This plan is a notice to local government regarding projected demands on all aspects of municipal services. It also provides a regional approach to developing transportation.
Public Safety
Public safety in the local government context means primarily fire and police services. In Pennsylvania county government, however, direct participation in providing these services is more focused when provided at all, (for example, court house guards, county detectives, sheriffs and their deputies). There are several public safety functions where Pennsylvania counties play a key role and county commissioners should be aware of these. Emergency Communications. The key recent development in this area has been the passage of the Public Safety Emergency Telephone Act in 1990.2 Implementation of the act will provide a mechanism to make available a toll-free telephone number to every individual in the Commonwealth for the purpose of summoning emergency services, such as fire, ambulance and police. While many large American cities have already implemented 911, rural and smaller communities have had more difficulty doing so because of costs and organizational problems. In Pennsylvania, the new law provides a number of choices and opportunities for local, municipal, and county officials. Basic 911 simply provides telephone access to an emergency dispatch center or PSAP (Public Service Answering Point), with the dispatcher required to obtain the location and nature of the emergency by questioning the caller. Enhanced 911 (E-911) offers computerized assistance in locating the caller, even if somehow incapacitated or incapable of answering the questions. One enhancement, called ANI, or Automatic Number Identification, displays the callers telephone number as soon as the call is answered. ALI, or Automatic Location Identification, provides the dispatcher with the callers street address or telephone location. The law authorizes counties, second and third class cities and other political subdivisions to assess a fee against telephone subscribers to pay for certain nonrecurring, maintenance and operating costs of establishing and operating an Emergency 911 system. First, second and second A class counties are authorized to charge $1 per telephone line; third, fourth, fifth, $1.25; sixth, seventh and eighth, $1.50 with specific rate reductions for multiline subscribers. PEMA establishes guidelines and application procedures, reviews, and approves county 911 plans. The Pennsylvania Emergency Management Agency sets, reviews and approves technical standards. The Pennsylvania Public Utilities Commission reviews and approves proposed contribution rates. The county commissioners (or officials of political subdivisions or authorities empowered to provide emergency services) must designate a local coordinator of the proposed 911 system, and they:
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Must make arrangements with local phone companies to provide exchange telephone service. Must develop and submit a proposed county plan to both PEMA and the phone company. Must execute contracts and agreements to implement the plan. Must hold public hearings to notify the public of the intention to levy fees on telephone subscribers and to disclose the proposed rates.
Counties that already have 911 systems may establish fees to offset some nonrecurring and operating costs of maintaining that system. Regional or multijurisdictional systems are not excluded. If counties choose not to exercise their powers, second and third class cities are specifically empowered to implement their own systems within city limits. Local telephone companies are required to collect the fees and turn them over to the county, but are not responsible for delinquent account of their collection. Phone companies are also required to provide telephone numbers, names and addresses to aid in implementation of the 911 system. Emergency Management. The emergency management program within the Commonwealth and its counties and local subdivisions is mandated in Emergency Management Services Code.3 This statute requires each political subdivision of the Commonwealth to establish a local emergency management organization in accordance with the plan and program of the Pennsylvania Emergency Management Agency (PEMA). Each local organization has the responsibility for emergency management, response and recovery within the territorial limits of that political subdivision. Each local organization in emergency management must have a coordinator who is responsible for the planning, administration and operation of the local organization, subject to the direction and control of the county commissioners in the case of counties. A coordinator is appointed in all counties with approval of the director of the state agency. The governing body of the county recommends a coordinator, whose recommendation must be then endorsed by the director of PEMA, prior to appointment by the Governor. In addition to maintaining the emergency management program, many counties utilize their emergency management office to coordinate similar or related programs. Common examples include fire service and emergency medical services training and public safety communications and hazardous materials planning. Legislation such as the Emergency Telephone Act 4 and the Hazardous Material Emergency Planning and Response Act 5 have had significant impact on the roles and duties of the emergency management coordinator of each county. Both acts are directly linked to the Pennsylvania Emergency Management Agency, which serves as the Commonwealths coordinating agency in various capacities.
Land Use
Planning. In Pennsylvania counties are municipalities under the Municipalities Planning Code (MPC) and have required to prepare comprehensive plans. In absence of local municipal or multimunicipal zoning, counties zoning can be applied. All counties in the Commonwealth have created planning agencies, but planning in some counties plays are much greater role than in others. Counties are required to have comprehensive plans, comment on and review all municipal plans, zoning and subdivision and land development ordinances and well as proposals for land development, which includes subdivision plats and plans. Comprehensive plans are guidance documents and serve to advise the governing body. County comprehensive plans provide useful reference to local municipalities and form a basis to promote general consistency of local plans as well as general guidance for land use patterns that go beyond municipal boundaries.
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Local governments are required to submit proposed actions to the county planning agency for review.7 Municipalities with planning, zoning and subdivision ordinances usually have a procedure for referring such proposals and other development applications to the county planning agency for review and comment. The legislature has given counties the primary responsibility for storm water planning and solid waste management.8 County plans are required and state permitting and funding is tied to them. The Storm Water Management Act requires counties to develop plans on a watershed basis in consultation with the municipalities in the watershed. Counties can adopt zoning for the entire county if there is no local zoning, or for as much of the land within the county that is unzoned.9 Eleven counties have enacted some type of zoning regulations. County zoning is preempted by enactment of a local or multimunicipal zoning ordinance. In the more rural counties of Pennsylvania it makes sense for planning and zoning to be done at the county level. Recent amendments to the MPC requires the county to update the plan every ten years and identify:
Land uses as they relate to important natural resources and appropriate utilization of existing minerals. Current and proposed land uses which have a regional impact and significance, such as large shopping centers,
major industrial parks, mines and related activities, office parks, storage facilities, large residential developments, regional entertainment and recreational complexes, hospitals, airports and port facilities. A plan for the preservation and enhancement of prime agricultural land and encourage the compatibility of land use regulation with existing agricultural operations. A plan for historic preservation. A plan for the reliable supply of water, considering current and future water resources availability, uses and limitations, including provisions adequate to protect water supply sources. County planning commissions are to prepare advisory guidelines that promote general consistency with the adopted county comprehensive plan. These guidelines are to promote uniformity on zoning terminology and common types of land use regulations. In many rural areas funds and expertise may be inadequate to engage in both planning and zoning at the local level. County zoning is fiscally efficient and permits the identification and protection of large elements and patterns in the natural environment such as forests, aquifers, agricultural land, and river and stream corridors.
Solid Waste
The Municipal Waste, Planning, Recycling, and Waste Reduction Act, best known for providing for mandatory and voluntary recycling programs at the municipal level, also gives counties responsibility for developing solid waste plans for the proper disposal of all municipal (garbage), residual (industrial processes) and infectious (medical) waste generated within the county.10 For counties with approved plans, implementation is the next phase. Generally, implementation includes, at a minimum, assuring that municipalities within the county have adopted any ordinances and procedures which the plan may require. The Act gives the county flexibility to rely on private or municipal facilities or to develop its own. Grants are available from The Department of Environmental Protection (DEP) for development of plans and for the hiring of recycling coordinators. Counties operating their own facilities may levy tipping fees, and counties may also negotiate a host county fee levied against waste disposers within the county. Finally, the Act gives counties discretionary authority to develop household hazardous waste collection programs.
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Tax Collection
In the majority of counties, municipal tax collectors collect county real estate, per capita and occupation taxes. Under special legislation, county taxes in Allegheny County are collected by the county treasurer.11 Other special local laws make the county treasurer the collector of county taxes in Beaver, Bedford, Chester, Fulton, Greene, Lawrence and Washington counties.12 In Bedford and Fulton counties, the county commissioners have voted to have local tax collectors collect the county taxes. Counties adopting home rule charters may opt to collect the county taxes; currently Delaware, Lackawanna and Northampton counties collect their own taxes under their home rule authority. Additional information on tax collection can be found in the DCEDs Taxation Manual.
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Conservation Districts
Conservation Districts in Pennsylvania are a subdivision of a state government acting under the supervision of the State Conservation Commission. Conservation Districts have a major responsibility in natural resource management in that they coordinate the efforts of all state, federal and local agencies involved in the conservation of our natural resources. Conservation Districts in Pennsylvania are county-based, and the programs are guided by a volunteer Board of Directors appointed by the county commissioners. There are districts in every county except Philadelphia. The majority of district operating funds come from the county. The State Conservation Commission assists with funding for administration and for hiring staff. Assisting the public in complying with environmental regulation is a major focus of districts. Environmental education is also an area of concern for Conservation Districts. Educating the public whether it be school students, municipal leaders, contractors, developers, or others about environmental regulation or natural resource conservation is extremely important. There are a variety of programs and delegated duties a District may be involved in. These duties or programs may include responsibilities such as overseeing the erosion and sedimentation pollution prevention program (Chapter 102 of the Clean Streams Law), permitting of stream and wetland encroachments (Chapter 105), AgLand Preservation and the purchase of development rights, the Chesapeake Bay Program, the 319 Clean Water Act, P.L. 566 flood control, Resource Conservation and Development, the Envirothon, etc. Districts can assist in almost any area of county involvement from comprehensive planning to securing outside funds.
A variety of delivery methods and strategies are used to deliver education programs including the use of satellite down link equipment for conferences and presentations at county offices, meetings, demonstrations, tours highlighting application of research findings, publications, radio, television, use of computer technology and personal consultation.
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Programs vary from county to county and are based on specific needs of residents within the county. County commissioners should contact their County Extension Director for the information about programs and resources offered through your Penn State Cooperative Extension Office.
References
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 16 P.S. 1001; County Code, Section 1001. 35 P.S. 7011; Public Safety Emergency Telephone Act. 35 Pa. C.S.A. 7101. 35 P.S. 7001. 35 P.S. 6022. 53 P.S. 10101 et seq. 53 P.S. 10301.3 (MPC 301.3); 53 P.S. 10408 (MPC 408); 53 P.S. 10502 (MPC 502) 53 P.S. 10609 (MPC 609). 32 P.S. 680 (Storm Water Management Act); 53 P.S. 4000 (Municipal Waste Planning, Recycling and Waste Reduction Act). 53 P.S. 10602 (MPC 602). 53 P.S. 4000.303. 72 P.S. 5527, 1929 P.L. 134, Section 1. 1851 P.L. 317. 16 P.S. Sections 1923; County Code, Section 1923.
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XV. Personnel
There are few provisions in the County Code related to personnel. This in no way diminishes the importance of the subject. What is described in this chapter are important elements for a system designed to best provide service through its human resources. For a small county, some of the discussion may not sound pertinent. On analysis, however, the elements should in some way be present, informally perhaps, if not formally. Commissioners should be aware of these elements and promote whenever possible their installation and use. Other objectives of the county should be to ensure the continuance of effective and efficient employee recruitment and administration, professional development, staff relations, employee classification, administration and payroll, and to ensure compliance with pertinent federal and state laws relative to personnel administration. Personnel costs can easily consume 70 percent of a countys total operating budget. Despite an ever increasing level of technology, government operation remains people intensive. The degree of citizen satisfaction with county government depends as heavily on how services are performed as on what is performed, and thus effective utilization and management of personnel is a must if a county is to provide effective and efficient services. Many counties have a personnel department, but in those that do not, the responsibility often falls to the chief clerk. The existence of a personnel department, however, does not lessen management responsibility for personnel administration. Such a department is simply an additional resource to aid in carrying out this responsibility. Anyone in management, the chief administrator, department head or supervisor, is concerned with the human resources of the agency and therefore should be engaged in personnel administration. This fact is particularly important in complex and fragmented organizations such as counties.
Personnel Management
Personnel management is the utilization of people to accomplish the countys objectives as effectively and efficiently as possible. Those who manage personnel must know how to recruit, select, train, evaluate, promote, discipline and dismiss employees. They must be adept at motivating, counseling and bargaining with workers. In addition, they are called upon to classify positions, develop compensation plans, measure productivity and handle grievances and complaints. Personnel administration clearly involves all aspects of managing the countys human resources, including the use of volunteer personnel. Personnel management is concerned with developing, utilizing and accommodating the countys human resources. Implicit in this list of obligations is the view that the personnel function is responsible for motivating employees and ensuring that they make a productive contribution to the organizations mission. These tasks presuppose that personnel management is an activist, future-oriented, and organization-wide function. Personnel, then, supports all aspects of management, and therefore should be considered part of general management and integrated into the overall management function. This integration requires three interrelated objectives: 1. 2. 3. The preparation of specialists in the various functional areas of personnel administration. The design and implementation of personnel systems and techniques that protect and support administrative and managerial processes. The familiarization of managers with the knowledge and skills that personnel specialists may contribute to the effort to solve a wide variety of organizational problems.
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Todays personnel demands appear to require that the chief administrator have both the detailed knowledge and rational capabilities needed to comprehend and actively address a broad range of personnel problems and processes. In addition, it is reasonable to conclude that these human resources management activities would have to be continuously interrelated and coordinated with the many other facets of the public administrators role.
Policy Manual
A policy manual contains statements of personnel policies and procedures. The objective of the policy manual is to increase understanding and eliminate inconsistencies and unfairness in personnel matters. Employees cannot be expected to obey regulations they do not know exist or are unevenly applied. For the employees and the countys benefit, the county must make sure that the county employee is aware of county rules and regulations. Written, well thought out, policies are needed. Table 1 shows items that are typically included in personnel manuals and is not intended to be an all-inclusive list of contents.
The DCED has sample language for all these policy topics. Inclusion of particular policies are dependent on the needs and desires of each individual county.
Hiring
Employing qualified persons within the county requires cooperative action on the part of both the department heads and those directly responsible for personnel, namely the commissioners office. Both should work on recruitment. Both should cooperate in the development of valid examinations and screening devices and both should strive to make government careers as appealing as possible.
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Dealing with public image is a problem. Simply stated, the more favorable the image of the government, the easier the recruitment. One way of addressing this is to make the recruitment process a positive one. An applicant should not feel that the process is a series of faceless interactions and a lot of red tape. Information should be given freely by phone or mail, and questions about employment should be answered quickly. A Word About the Market. Perhaps the most frustrating aspect of personnel and pay is dealing with the market. Many argue that to adequately develop a pay plan, first consideration should be given to what people are making in the private sector. Many times positions are compared to similar positions in other counties. This often results in a comparison of apples and oranges. Generally, it is extremely difficult to compete with the private sector in salaries and benefits. This results in hiring and retention difficulties. In addition, if a county cannot compete with other counties, it may conceivably become a training ground. Unfortunately, the diagnosis is easier than the cure. The best a county can do is to recognize the impact of the market, and given fiscal restraints, develop a pay plan accordingly. Selection. The three basic ingredients for a good selection program are: 1. 2. 3. Knowledge of what skills are really needed to perform the work. Candidates who have these abilities. Some means to accurately measure necessary abilities.
As stated previously, interaction with departments is essential. A few caveats should also be mentioned. One should not, and legally cannot, impose overly rigid restrictions on citizenship, age or sex. On the subject of residency requirements, check with the solicitor as some positions may require residency, others may not. Finally, check the candidates statements. Many costly and embarrassing stories exist regarding the failure to check the validity of employment information with past employers. However, there are changing rules regarding the use of references. A policy should be developed in conjunction with the solicitor as issues of liability have recently arisen in the courts. Application Form. A good application form requests nondiscriminatory, relevant information about the applicant that has a bearing on the applicants suitability for employment. The application form should take into account federal and state requirements prohibiting discriminatory practices. The application form typically asks for a description of: Previous employment with county Availability for work Availability for travel Criminal record Veteran status Language fluency Signature of applicant verifying information References, including telephone numbers and addresses Employment experience Special skills & qualifications (computers, office machine, special drivers licenses, second language) Education
The county solicitor or a professional consultant must periodically review the application form and the application process to ensure compliance with changing regulations and requirements.
Pay Plans
A pay plan lists all the position classes in the county, together with the pay rates or ranges assigned to each class. The orderly groupings of positions resulting from the position classification plan will enable management to develop a systematic and equitable salary structure. A well-constructed pay plan has a number of objectives.
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1. 2. 3. 4. 5. 6. 7.
Set salaries which are equitable in relation to the complexity and responsibility of the work performed. Make sure that pay rates do not discriminate on the basis of race, sex, national origin, or other factors unrelated to the duties performed. Maintain a competitive position in the employment market to attract and retain competent employees. Provide data needed in budgeting, payroll administration and other financial and personnel management activities. Make information on pay rates and practices available to employees and interested citizens. Stimulate and reward high-level performance. Provide an orderly program of salary policy and control.
A pay plan generally includes a series of different pay ranges, with each range including a minimum, or hiring rate, a maximum, or top rate, and several intermediate steps that provide the basis for merit raises. The range structure must be realistic, with an adequate spread between the minimum and maximum salary to differentiate between performance levels. Other factors to consider in developing a pay plan include the relation of the pay scale to general pay levels in the community, the type and cost of fringe benefits which are provided, and the present and future ability of the county to finance additional pay and fringe benefits. Considerable research must be done. A thorough analysis of pay administration may reveal problems that have developed in the system from decisions based on expediency.
Salary Board
The salary board, subject to limitations imposed by law, determines the compensation of all appointed county officers, and the number and compensation of all deputies, assistants, clerks, and other persons paid out of the county treasury. The salary board consists of the three individual members of the board of commissioners and the county controller in counties where there is a controller, or the county treasurer in counties where there is no controller.1 Whenever the board considers the number or salaries of the deputies or other employees of any county officer or agency, this officer or executive head of such agency sits as a member of the board as long as any matter affecting that particular office or agency is under consideration.2 The chairman of the board of county commissioners serves as the chairman of the salary board.
Civil Service
County programs for which the county receives state or federal funds, are required to maintain an agreement with the state departments of Health, Public Welfare, and/or Aging to follow state salary guidelines and to hire employees using selection procedures administered by the State Civil Service Commission or approved by the Commission. The state has established a salary range of recognized positions with a maximum salary allowed. Counties can exceed these state maximums, but will not be reimbursed for the amount of salary over the maximum. Each year county human service agencies are required to submit a compensation plan for state approval.
Benefits
As part of the overall compensation package, counties typically provide at least some fringe benefits to the employees. This package is designed to meet certain county needs while helping to meet employee needs and desires. The county must combine economic realities and social responsibilities while attracting and keeping competent personnel. Employees want, for example, an appropriate standard of living, recognition of performance and individual worth, protection against medical expenses and retirement income. Typically, benefits include some of the following:
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Leaves of Absence Vacation Sick Leave Family Medical Leave Military Leave Bereavement Longevity Pay Holidays Personal Days Employee Assistance
Deferred Compensation Hospitalization Major Medical Vision Care Dental Care Prescription Life Insurance Retirement Uniform Allowance Tuition Reimbursement Workers Compensation
Recent Trends. Benefit programs are effective only if they keep pace with the times. Some forces that affect benefit programs are demographic changes (minorities in workforce, aging workforce); competitive pressures; possible mandating of benefits; and growing costs. To help keep a program up-to-date, the personnel administrator may need to expand or modify existing benefits, or drop benefits that are not longer appropriate for the work force. The county may want to offer new benefits, move into cost sharing, or shift to a flexible benefits plan. Cafeteria Plans. Some organizations are providing cafeteria plans for their employees. These plans allow employees to select the combination of cash and fringe benefits that they want. Proponents of this approach assert the employee will have greater satisfaction concerning compensation because pay comes in many different kinds of fringe benefits as well as actual cash. For many counties, this flexibility results in a more attractive benefit plan at lower cost to the county. However, since many benefit carriers require a minimum number of enrollees to qualify for a reduced rate, a cafeteria plan make some benefits unaffordable. A plan should obtain an IRS qualification so that employee purchases are pre-tax.
Position Classification
Position classifications should produce equality and impartiality. Therefore, the classification plan should be able to accommodate changes that occur as new duties are added, as agencies expand or contract, as reorganizations take place, and as new equipment, tools and methods are introduced. Position specifications, which provide information about the complexity of positions, are used to measure jobs against a common group of factors, including the kind and level of work; required knowledge, skills, and abilities; the extent of supervision given and received; training and experience requirements; and special working conditions to determine a fair pay range. Position classification provides the basis for giving equal pay for equal work. Important points should be noted in reviewing positions. Care should be exercised not to confuse an established position with the employee who occupies it. The position is classified, not the employee. Similarly, the position should be evaluated for its own value, not on how well or how poorly the employee performs. Finally, many pay programs fail because they are not kept up-to-date. The programs fail to address realistic changes in the economy brought about by inflation, competitive wage rates, changes in the nature and scope of jobs, and market demands. Personnel experts advise a complete professional review every five or six years, with annual updates. In establishing a rate of pay, positions are organized into classes, series and grades. The term class means a group of positions which are sufficiently similar in duties and responsibilities that each position in the group requires the same education and experience, can be filled by the same tests of ability, and is of a similar level of job worth and therefore deserves the same salary range. (For example, Department Clerk I.)
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A series of classes is a grouping of two or more classes on the basis of type of work and levels of difficulty. This grouping reflects different and ascending levels of responsibility. The different levels of responsibility in a series of classes represent normal lines of promotion. (For example, Department Clerk I; Department Clerk II; Department Clerk III; Administrative Assistant.) A grade includes all positions which are sufficiently comparable to warrant one range of pay rates. (For example, Pay Grade: Department Clerk I; Dietary Aide, Nursing Assistant, Housekeeping Aide.) The classification process is indeed complex and beyond the scope of this manual. Typically the process includes; (1) determining the scope and method of the study; (2) the position description; (3) development of data gathering; (4) job analysis and desk audits; (5) preparation of class specification; and (6) installation and administration of the plan.
Job Descriptions
Job descriptions are used by individuals throughout an organizationrecruiters, managers, trainers and career planners. Therefore, it is important that the job descriptions be clear and concise so that everyone who uses them has the same picture of what the jobs involve. Some major steps in writing a job description follow. 1. 2. 3. Planning. Define what the job is trying to achieve, how the person tries to do the job, and how job performance is measured. Gathering information. Enough information should be gathered in order to place the job in the context of other related jobs. Drafting the job description. Use the gathered data to create a description that will give the same picture of the job to everyone who reads it. The following headings are typically used: General Definition; Examples of Work; Required Knowledge, Skills and Abilities and Minimum Training and Experience. Validating the job description. The job holder and supervisor must both agree on the content of the description.
4.
Performance Evaluation
Formal performance appraisal is one of the least understood personnel techniques. There are a myriad of personnel evaluation techniques and the system chosen should be compatible with the primary objectives to be achieved. Some systems are primarily designed as an aid in administrative decisionspromotions, layoffs, performance goal setting or salary increases. All are intended to make sure that the rater does not overlook, and thus fail to act on, pertinent aspects of the employees performance. Perhaps the most common form is the rating scale in which a number of traits are listed, with the rater required to check the degree of his satisfaction on each trait for each employee. Quality and quantity of work, reliability, and dependability are common traits for rating.
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It is the countys responsibility and duty to insure that these steps are followed in accordance with the policy. The county needs to document all aspects of a disciplinary action or grievance. Failure to do so will seriously compromise the countys ability to justify its actions and subject it to costly, time-consuming litigation, and the possible continuation of personnel problems.
Current Topics
Fair Labor Standards Act. The Federal Fair Labor Standards Act (FLSA) requires an employer to remunerate an employee who works over 40 hours in a work week at time and one half, either in pay or in compensatory time off. Under this Act, certain employees are exempt from these provisions and consequently the employer is under no obligation to provide any remuneration beyond their established salary. These exempt employees include elected officials, attorneys, and certain other managerial positions that fall within the executive professional or administrative definitions of the Act. In most Pennsylvania county situations, the chief clerk would fall into the exempt category. Any employee who is subject to the FLSA in any workweek must be paid in accordance with its provisions for all hours worked. In general hours worked includes all time that an employee is required to be on duty, or on the employers premises, or at a prescribed workplace for the employer, and all time during which the employee is suffered or permitted to work for the employer. Hours worked have been established by the Supreme Court as including at least all time spent in physical or mental exertion (whether burdensome or not) controlled or required by the employer and pursued necessarily and primarily for the benefit of the employer or his business. It includes any work which the employee performs on or away from the premises, if the employer knows or has reason to believe that the work is being performed. The FLSA requires that both the regular rate and overtime pay or compensatory time in lieu of overtime pay due an employee be computed on the basis of the hours worked in each workweek. An employer cannot average the hours of work of an employee over two or more workweeks. For example, assume that an employee works 30 hours in one week and 50 hours in the next week and the employer claims that since it is within the same pay period it amounts only to an average of 40 hours per week. Under these circumstances, ten (10) hours of overtime or compensatory time would accrue unless FLSA exceptions pertain. Section 11(a) of the FLSA authorizes representatives from the Department of Labor to investigate any allegations involving a violation of the FLSA. Any employee may give suit to recover back wages and an equal amount in damages plus attorneys fees and court costs; the Secretary of Labor may file suit on behalf of the employee for back wages and an equal amount in damages; the Secretary may obtain a court injunction to retrain any person who violated the FLSA. Employees who willfully violate the law may face criminal penalties, including fines and imprisonment. A two-year statute of limitations applies in the recovery of back wages except in cases of willful violation, in which a three year statute of limitations is applicable. Clearly, the development and implementation of written payroll policies and procedures coupled with detailed recordkeeping in connection therewith is essential in order to obviate any potential liability under the FLSA. Americans With Disabilities Act. The Americans with Disabilities Act (ADA) of 1990 provides comprehensive civil rights protection to individuals in the areas of employment, state and local government services, public accommodations, and telecommunications. Title II prohibits discrimination on the basis of disability within all local government services, programs and activities, including employment. Together with its regulations, it provides standards for compliance and implementation.
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Under the ADA, for an individual to be considered as having a disability, that individual must satisfy at least one of the following three conditions. He or she must either: 1. 2. 3. Have a physical or mental impairment that substantially limits one or more of his or her major life activities. Have a record of such impairments. Be regarded as having such an impairment.
Title II, in its regulations, requires all local jurisdictions (cities, counties, towns, townships, hamlets, etc, regardless of size) to undertake a self-evaluation and then to develop and implement a Transition Plan. The regulations call for completion of the self-evaluation, covering local public services, policies and practices. The self-evaluation is a process to identify changes in practices and policies needed to comply with Title II. Some of these changes will be non-structural and others structural. Non-structural changes needed for opening up programs, services, and employment opportunities should be identified and made during the selfevaluation process. The ADA encourages creative, non-structural modification wherever possible. A structural change is a physical or architectural modification required in a building, or in providing access to a building, in order for people with disabilities to be able to gain access to the services or activities conducted on the premises. Changes which require structural modifications form the basis for developing the Transition Plan. A Transition Plan is a plan for correcting the physical obstacles requiring structural changes which were identified as being necessary during the self-evaluation process. The plan includes a year-by-year schedule of structural changes that will be made and the order in which they are to be accomplished. All structural changes had to be made as soon as practical, but no later than January 26, 1995. Governments with 50 or more employees must prepare and maintain a written Transition Plan. When differences arise over interpretation or implementation, the ADA encourages the parties to come together, negotiate, and find a mutually acceptable solution. Private parties may bring lawsuits to enforce their rights under Title II of the ADA. The remedies available are the same as those provided under Section 504 of the Rehabilitation Act of 1973. Complaints may be filed within 180 days of an alleged discrimination with any federal agency that provides financial assistance to the local program in question. Written complaints or inquiries may also be filed with either the U.S. Equal Employment Opportunity Commission (EEOC) or with the U.S. Department of Justice, depending on whether discrimination occurs in employment or in access to government services. Equal Employment Opportunity Commission 1400 L. Street, N.W. Suite 200 Washington, DC 20005 Coordination and Review Section Civil Rights Division U.S. Department of Justice P.O. Box 66118 Washington, DC 20507 (202) 514-0301 (Voice) (202) 514-0381 (TDD) Family Medical Leave Act. Title I of S.5, the Family Medical Leave Act of 1993, makes available to eligible employees up to 12 weeks of unpaid leave per year under particular circumstances that are critical to the life of a family. Leave may be taken: (1) upon the birth of the employees child; (2) upon placement of a child with
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the employee for adoption or foster care; (3) when the employee is needed to care for a child, spouse or parent who has a serious health condition; or (4) when the employee is unable to perform the functions of his or her position because of serious health conditions. To be eligible for leave, an employee of the county must have been employee for at least 12 months and must have worked at least 1,250 hours during the 12-month period preceding the commencement of leave. If the county provides paid leave for which the employee is eligible, the employee may elect or you may require the employee to substitute the paid leave for any part of the 12 weeks of leave to which the employee is entitled under the act. When the need for leave is foreseeable, the employee must provide reasonable prior notice, and make efforts to schedule leave as not to unduly disrupt the county operations. The county may require medical certification to support a claim for leave for an employees own serious health condition or to care for a seriously ill child, spouse or parent. For the employees own medical leave, the certification must include a statement that the employee is unable to perform the functions of his or her position. For leave to care for a seriously ill child, spouse or parent, this certification must include an estimate of the amount of time the employee is needed to care for the child or parent. An employee may require a second medical opinion and periodic recertification at their own expense. If the first and second opinions differ, the employer, again at its own expense, may require the binding opinion of a third health care provider, approved jointly by the employee and the employer. An employee needing leave because of his or her own serious health condition or the serious health condition of a child or parent may, if medically necessary, take leave intermittently or on a reduced leave schedule that reduces the employees usual number of hours per workweek or per workday. An employee taking leave to care for a newborn child or a child which has been placed with the employee for adoption or foster care may not take leave intermittently or on reduced leave schedule unless the employer and the employee agree to such an arrangement. During leave, any pre-existing health benefits provided to the employee by the county must be maintained. The county is under no obligation to allow the employee to accrue seniority or other employment benefits during the leave period. Upon return from leave, the employee must be restored to the same or an equivalent position. The taking of leave may not deprive the employee of any benefit accrued before the leave, nor does it entitle the employee to any right or benefit other than that to which the employee would have been entitled had the employee not taken the leave. It is unlawful under the act for any employee to interfere with or restrain or deny the exercise of any right provided under the act. It is also unlawful for any employer to discharge or otherwise discriminate against any individual for opposing a practice made unlawful under the act, or for participating in any inquiry or proceeding relating to rights established under the act. To ensure compliance with the Family and Medical Leave Act, the Secretary of Labor is given investigative authority parallel to the authority provided to the Secretary with regard to enforcement of the Fair Labor Standards Act of 1938. Employers are required to make, keep and preserve records pertaining to compliance with the Family and Medical Leave Act, but the Secretary may not under authority of the act require employers to submit their books or records to the Secretary more than once during any 12-month period unless the Secretary has reason to believe that the act has been violated or is investigating a complaint of violation. Rights established under the Family and Medical Leave Act are enforceable through civil actions. A civil action for damages or equitable relief may be brought against an employer in any Federal or State court of competent jurisdiction by the Secretary of Labor or by any employee, except that any employees right to bring such an action is terminated if the Secretary files an action seeking relief with respect to that employee.
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Sexual Harassment. Title VII of the Civil Rights Act of 1964 prohibits employment discrimination on the basis of race, color, sex, age or national origin. Sexual harassment is included among the prohibitions. Sexual harassment, according to the Federal Equal Employment Opportunity Commission (EEOC), consists of unwelcome sexual advances, request for sexual favors or other verbal or physical acts of a sexual or sex based nature where: (1) submission to such conduct is made explicitly or implicitly a term of an individuals employment; (2) an employment decision is based on an individuals acceptance or rejection of such conduct; or (3) such conduct interferes with an individuals work performance or creates an intimating, hostile or offensive work environment. It is also unlawful to retaliate or take reprisal in any way against anyone who has articulated any concern about sexual harassment or discrimination, whether that concern relates to harassment of or discrimination against the individual raising the concern or against another individual. Examples of conduct that would be considered sexual harassment or related retaliation are set forth as follows: 1. 2. 3. 4. Physical assaults of a sexual nature. Unwanted sexual advances, propositions or other sexual comments. Sexual or discriminatory displays of publications in the work place. Retaliation of sexual harassment complaints.
Sexual harassment is unlawful, and such prohibited conduct exposes not only the County, but individuals involved in such conduct, to significant liability under the law. Employees at all times should treat other employees respectfully and with dignity in a manner so as not to offend the sensibilities of a co-worker. Accordingly, the County must be committed to developing and vigorously enforcing a sexual harassment policy at all levels.
Employee Protection
Unless otherwise provided for in a labor agreement or personnel policy, county personnel are hired on an at will basis. In other words the county has the authority to terminate employment at any time for any reason. There are in practice, however, many limitations on employing at will. These include labor relations laws, equal opportunity laws, local agency laws, civil service requirements, other state and federal laws and court decisions affecting personnel practices. Management must know these protections and insure that policies provide for due process for any action taken against an employee.
Labor Relations
Under Pennsylvania Law, public employees have the right to organize or join unions for the purpose of negotiating terms and conditions of employment. Management is required to bargain with duly elected employee representatives and to put any agreements reached in writing. Negotiating teams vary from county to county. Some commissioners do it themselves, some retain a consultant. It is important to prepare, know the law, and develop and maintain good liaison with those involved.
Payroll
Payroll Procedures. A complete payroll procedure consists of five operations: (1) authorizing payroll additions and changes; (2) recording time and amounts paid; (3) preparing authorizations for pay; (4) paying employees; (5) distributing charges for personal services to the proper accounts. Deductions. Municipalities have faced an increased demand to make more and more payroll deductions. Deductions are of several types: those required by law, charter, or ordinance; those for the benefit of employee or
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private agencies; and those for public purposes. Examples of deductions required by law are taxes and retirement system contributions. Deductions for group health insurance, life insurance and U.S. Savings Bonds are for the employees benefit. Some counties may withhold union dues and community chest pledges which are examples of deductions for the benefit of a private group and for a public purpose respectively.
Job Enrichment
There are a number of techniques which can be used for enriching jobs. These should be a part of any comprehensive personnel management plan. Change. Perhaps anyone who has been in a supervisory position can offer a story about an employees resistance to change. Ever-changing environments, work force, and technologies create the need to adapt, with employees or even whole departments requiring change. Fear of change relates a great deal to uncertainties about who is affected (personal security), why the change is taking place, and what specifically will happen. Addressing these concerns requires an able supervisor who communicates well and involves employees in the entire change process including planning. This involvement has proven to reduce anxieties and in many cases enhances the success of the change. Training. Many counties have a difficult time in hiring highly capable personnel due to fiscal restraints. In addition, positions are filled many times from within. Both conditions create the need to provide opportunities for personnel to improve their capabilities. The employee who is placed in a supervisory position is an example. Contrary to some opinions, a skilled worker does not naturally become a skilled supervisor, and it is incumbent on the county who places the employee in a supervisory position to provide an avenue for this employee to learn supervisory skills. This can be accomplished through, for example, seminars, group learning sessions and through programs such as tuition reimbursement. Orientation. In a large, fragmented organization employees often are hired, placed in a department and then left to their own devices. So that the employee feels to be a part of the organization and in order to understand the purpose and result of their duties, an orientation program is useful. Setting aside time to describe job responsibilities, work rules and benefits, to introduce co-workers and key officials, and to explain how the county operates is key to starting the employee off on the right foot. Employee Assistance Program. Many organizations, public and private, are beginning to recognize that employees do bring to work with them problems from home. They also take work problems home with them. Employers are recognizing that helping to solve these problems will help the employee and at the same time improve an employees productivity at work. Some counties have instituted Employee Assistance Programs (EAP) which provide confidential counseling sessions to employees with problems (both personal and professional). Communication. Todays employees are no longer satisfied simply to be told what to do. They want reasons, explanations and an opportunity to contribute ideas and ask questions. They are concerned about the personal and social implications of their work. Mechanisms should be in place for the commissioners to make their decisions known, inform the employees of the work to be done, and obtain information from employees to help formulate workable plans and policies. There are a significant number of techniques that can be used in effectively communicating. Some counties have established employee newsletters that assist in getting information out to the employees. Simply stated, it is very important to have a handle on adequate communications: If commissioners do not originate the information flow, someone else will.
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Retirement Plan
A retirement system has been established for county employees by resolution of the county commissioners in most counties of the Second Class A through Eighth Class. The retirement system shall be established on the first Monday of January of the year succeeding the one in which the resolution of the county commissioners was adopted. The system, when established, shall be administered by a county retirement board, consisting of five members, three of whom shall be the county commissioners, the county controller, and the county treasurer.3 In counties having no elected county controller, the chief clerk of the county shall be a member of the board. The chairman of the Board of County Commissioners shall be the board chair. Each member of the board shall take an oath of office that he will diligently and honestly administer the affairs of the board, and that he will not knowingly violate or permit to be violated any of the provisions of this act. Such oath shall be subscribed by the member taking it, and shall be filed among the records of the board. The members of the board shall not receive any compensation for their services, but shall be reimbursed for all expenses necessarily incurred in the performance of their duty. The board shall be permitted to contract with any insurance company which has qualified and is authorized by the Insurance Department of the Commonwealth of Pennsylvania to transact business in Pennsylvania, or with any bank, savings and loan association or trust company approved by the Department of Banking of the Commonwealth of Pennsylvania, or with any investment advisor registered pursuant to the Federal Investment Advisers Act of 1940 which is registered as an investment adviser by the Pennsylvania Securities Commission and which agrees to conduct itself in accordance with 20 Pa. C.S. Ch 73 (relating to fiduciaries investments) to be designated as a deposit administrator. The deposit administrator may be given the power to administer the funds in its entirety, including the power to receive and invest all moneys deposited in the fund and such other power as are vested in the board.4 In addition, to the options provided in the act upon retirement, disability withdrawal or death of a contributor, the deposit administrator, if an insurance company, may provide additional options to the contributors or beneficiaries.
References
1. 2. 3. 4 16 P.S. 1622; County Code, Section 1622. 16 P.S. 1625; County Code, Section 1625. 16 P.S. 11654. 16 P.S. 11679.
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tem, covering the need of the clerk of courts, domestic relations officer, prothonotary, court administrator, register of wills, recorder of deeds, district attorney, probation officer, divorce master and sheriff. The careful selections of software programs can allow for expanded application, not just beyond the individual department; but beyond the county government as well. The service, properly created, can be sold to lawyers, realtors, appraisers, engineers, etc. These outside professionals, who value time as money, can all save considerable time with direct access to the countys data bank. An outstanding example of this symbiotic relationship might be the countys creation of a geographic information system (GIS), which stores extremely detailed survey data maps for all land in the county. This information is invaluable for the countys Emergency Management office, assessors office, and planning office. However, it is similarly attractive to lawyers, realtors, appraisers, engineers, developers, etc. The fees which these outsiders willingly pay for the time saved become welcome revenue at budget time. A word of caution, however: Any system offering data to multiple county users and to outside customers must be protected from theft. Therefore, user identification and other facets of a computer security system must be part of the initial installation of such a system. If the county does not have the in-house expertise to develop a properly computerized system of government, the commissioners should use extreme care in obtaining that service elsewhere. The commissioners might consult with other counties that have already undergone the process. They should also be wary of proprietary systems that restrict the software choices to a single manufacturer. Once a county has modernized its information management system, it can never return to the old methods of having many employees handling all of a countys information; so it is important to make sound choices at the outset. Another consideration when seeking technologial expertise might be contracting with the local development district (LDD) or council of government (COG) to which the county belongs. The LDD or COG staff may be able to advise and to acquire, and to do both with attractive savings to the county. Counties may use the Commonwealths ITZ (Inivation to Qualify) process to develop and acquire computer related services. A list of approved vendors is viewable at www.itq.state.pa.us.
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Request Form. RJA 507 (c) lists nonscheduled offices, including court administrators, probation/parole, bail agencies, domestic relations, and divorce masters. For these records, the Unified Judicial System Nonscheduled Court Records Disposal Certification form is used, and copies are sent to both the Administrative Office of Pennsylvania Courts and PHMC. Complete instructions and forms are available from both agencies. Although records scheduled for permanent retention must be retained indefinitely, they need not be retained in the original format. Certain permanent records may be disposed of after microfilming, following procedures prescribed by PHMC. Archival security copies of permanent records must be created when those records are microfilmed. These security copies must meet standards for quality, and must include identification and quality control targets as prescribed by the County Records Manual and the Guidelines for Microfilming Local Public Records also published by the PHMC. The original camera-ready microfilm, or master negative, should be designated the archival security copy. This film should never be used for reference purposes. Diazo or silver-gelatin duplicates may be made from the master negative for reference use. Procedures for creating and storing the master negative must follow standards created by the American National Standards Institute (ANSI). Many county records become inactive before their retention period expires. Inactive records are those which are no longer required for the day-to-day activities of an office. These records are stored most inexpensively and efficiently in an area or facility set aside for this purpose, such as shelving in a warehouse type environment. This is less expensive than storing inactive records in filing cabinets in high-rent office space. It is also safer and more efficient than storage in attics or basements. The ideal records center should be an individual building convenient to county offices. If the records center must share space with other occupants, precautions should be taken to eliminate fire hazards. The most valuable resource for setting up or updating a county records program is the PHMC. It offers assistance and expertise in all areas of records management, including retention and disposition, storage and microfilming. It is also the source for the County Records Manual and Guidelines for Microfilming Local Public Records. The address is: Pennsylvania Historical and Museum Commission Division of Archival and Records Management Services Post Office Box 1026 Harrisburg, PA 17108-1026 (717) 787-3362 or (717) 787-3051
Public Inspection
Every citizen of the Commonwealth must be given the right, at any reasonable time, to examine any public record.3 This includes the right, under reasonable rules and regulation, to make extracts, copies, photographs or photostats under the supervision of the custodian of the records. This right of access extends to all citizens, regardless of the nature or extent of their interest.4 Prompt, courteous and helpful compliance on the part of county staff in this matter provides an excellent source of good public relations and goes a long way toward building public confidence in the county government. Failure to comply may result in a citizens appeal to the courts, which can order compliance if the denial lacked just and proper cause. The Right to Know Law includes, among the public records open to examination, accounts; vouchers or contracts documenting the receipt or disbursement of money; purchase, lease or sale of services or supplies; and any minutes, order or decision affecting the personal or property rights, duties or obligations of any group.5 County officials are not required to allow public inspection of reports or communications disclosing the process
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of official investigations; of any document where public access is prohibited by law or court order; or any document which would operate to impair a persons reputation or personal security; or of any document which would result in the loss of federal funds.
References
1. 2. 3. 4. 5. 16 P.S. 13001; County Records Act. 42 Pa. C.S.A. 4321; Pa. Rules of Judicial Administration. 65 P.S. 66.2; 1957 P.L. 390 Section 2. Wiley v. Woods, 141 A.2d 844, 393 Pa. 341, 1958. 65 P.S. 66.1; 1957 P.L. 390, Section 1.
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The changes in governmental structures brought about through the charter adoption in the six counties range from minimal in Lackawanna County to executive-council governments in Allegheny, Erie, Lehigh and Northampton counties. The hallmark of the executive council form of government is a strong elected executive with broad administrative appointments and veto powers. In other words, there is a definite separation of executive and legislative authority and function. In Lehigh and Northampton counties, there are nine part-time councilmembers; five elected at large and four by district in Northampton, and four at large and five by district in Lehigh. Erie County elects seven district and Delaware, five at large. Allegheny County elects two at large and thirteen by district. There were also changes in row offices in the charter provisions. In Northampton County all elected row offices except district attorney and controller were eliminated, and in Delaware County, all were made appointive except controller and register of wills. Examples of other charter provisions in the five counties include mandate for a personnel merit system; and with modern financial system requirements mandated, such as capital budgeting and CPA post auditing. County Exercise of Municipal Powers. A widespread concern raised by the possibilities of county home rule was the prospect of a home rule government taking over traditional municipal functions. 2 The Home Rule Law includes a provision protecting local units from counties taking over existing municipal functions, but this issue has not been proven to be a real problem, since home rule counties find that they have enough to do with limited revenue resources. County home rule charters contain provisions preserving the powers of municipal units, usually as part of their general powers clause. At least one county government study commission concluded that this guarantee provided protection not previously available to local governments. The DCEDs Governors Center For Local Government Services publishes and distributes a publication which contains additional information on home rule: Home Rule in Pennsylvania.
References
1. 2. 53. Pa.C.S.A 2901, Home Rule Charter and Optional Plans Law. 53. Pa.C.S.A. 2963, Home Rule Charter and Optional Plans Law.
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The Association represents county government on issues before all branches of the state and federal government. It fosters far-sighted, innovative and responsive county service delivery, policy decisions, and use of public resources. CCAP has contractual agreements, termed affiliations, with a number of independent associations and organizations having ties to county government including:
Mental Health/Mental Retardation Program Administrators Association of Pennsylvania (MH/MR PAAP) Pennsylvania Association of County Affiliated Homes (PACAH) Pennsylvania Association of County Drug and Alcohol Administrators (PACDAA) Pennsylvania Association of County Human Services Administrators (PACHSA) Pennsylvania Children and Youth Administrators, Inc. (PCYA, Inc.) Pennsylvania Chief Adult Probation Officers Association (PCAPOA) Pennsylvania State Foster Parent Association (PSFPA) Juvenile Detention Centers Association of Pennsylvania (JDCAP)
The overall intent of the affiliation process is to have mechanisms whereby these groups and CCAP can arrive at common policy positions. These affiliations also provide CCAP with the opportunity to augment its staff with expertise in specific functional areas. CCAP provides services and educational opportunities for its membership, so that county officials can better administer the affairs of their offices to the benefit of the general public. For additional information contact: County Commissioners Association of Pennsylvania 17 N. Front Street Harrisburg, PA 17101 Phone (717) 232-7554 Fax (717) 232-2162 www.pacounties.org
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Appendix A
SUNSHINE ACT - ENACTMENT Act of 1986, P.L. 388, No. 84 AN ACT
Requiring public agencies to hold certain meetings and hearings open to the public; and providing penalties.
Table of Contents
SECTION 1. SECTION 2. SECTION 3. SECTION 4. SECTION 5. SECTION 6. SECTION 7. SECTION 8. SECTION 9. SECTION 10. SECTION 11. SECTION 12. SECTION 13. SECTION 14. SECTION 15. SECTION 16. SECTION 17. SECTION 18. Short Title. Legislative findings and declaration. Definitions. Open meetings. Recording of votes. Minutes of meetings, public records and recording of meetings. Exceptions to open meetings. Executive sessions. Public notice. Rules and regulations for conduct of meetings. Use of equipment during meetings. General Assembly meetings covered. Business transacted at unauthorized meeting void. Penalty. Jurisdiction and venue of judicial proceedings. Confidentiality. Repeals. Effective date.
The General Assembly of the Commonwealth of Pennsylvania hereby enacts as follows: SECTION 1. Short title. This act shall be known and may be cited as the Sunshine Act. SECTION 2. Legislative findings and declaration. (a) Findings. The General Assembly finds that the right of the public to be present at all meetings of agencies and to witness the deliberation, policy formulation and decision making of agencies is vital to the enhancement and proper functioning of the democratic process and that secrecy in public affairs undermines the faith of the public in government and the publics effectiveness in fulfilling its role in a democratic society.
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(b)
Declarations. The General Assembly hereby declares it to the public policy of this Commonwealth to insure the right of its citizens to have notice of and the right to attend all meetings of agencies at which any agency business is discussed or acted upon as provided in this act.
SECTION 3. Definitions The following words and phrases when used in this act shall have the meanings given to them in this section unless the context clearly indicates otherwise: Administrative Action. The execution of policies relating to persons or things as previously authorized or required by official action of the agency adopted at an open meeting of the agency. The term does not, however, include the deliberation of agency business. Agency. The body, and all committees thereof authorized by the body to take official action or render advice on matters of agency business, of all the following: the General Assembly, the executive branch of the government of this Commonwealth, including the Governors Cabinet when meeting on official policymaking business, any board, council, authority or Commission of the Commonwealth or of any political subdivision of the Commonwealth or any State, municipal, township or school authority, school board, school governing body, commission, the boards of trustees of all State-aided colleges and universities, the councils of trustees of all State-owned colleges and universities, the boards of trustees of all State-related universities and all community colleges or similar organizations created by or pursuant to a statute which declares in substance that the organization performs, or has for its purpose the performance of, an essential governmental function and through the joint action of its members exercises governmental authority and takes official action. The term does not include a caucus nor a meeting of an ethics committee created under rules of the Senate or House of Representatives. Agency Business. The framing, preparation, making or enactment of laws, policy or regulations, the creation of liability by contract or otherwise or the adjudication of rights, duties and responsibilities, but not including administrative action. Caucus. A gathering of members of a political party or coalition which is held for purposes of planning political strategy and holding discussion designed to prepare the members for taking official action in the General Assembly. Conference. Any training program or seminar, or any session arranged by State or Federal agencies for local agencies, organized and conducted for the sole purpose of providing information to agency members on matters directly related to their official responsibilities. Deliberation. The discussion of agency business held for the purpose of making a decision. Emergency meeting. A meeting called for the purpose of dealing with a real or potential emergency involving a clear and present danger to life or property. Executive session. A meeting from which the public is excluded, although the agency may admit those persons necessary to carry out the purpose of the meeting. Litigation. Any pending, proposed or current action or matter subject to appeal before a court of law or administrative adjudicative body, the decision of which may be appealed to a court of law. Meeting. Any prearranged gathering of an agency which is attended or participated in by a quorum of the members of an agency held for the purpose of deliberating agency business or taking official action. Official Action. (1) (2)
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Recommendations made by an agency pursuant to statute, ordinance or executive order. The establishment of policy by an agency.
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The decisions on agency business made by an agency. The vote taken by any agency on any motion, proposal, resolution, rule, regulation, ordinance, report or order. Political Subdivision. Any county, city, borough, incorporated town, township, school district, intermediate unit, vocational school district or county institution district. Public Notice. For a meeting: (i) Publication of notice of the place, date, and time of a meeting in a newspaper of general circulation, as defined by 45 Pa.C.S. 101 (relating to definitions), which is published and circulated in the political subdivision where the meeting will be held, or in a newspaper of general circulation which has a bona fide paid circulation in the political subdivision equal to or greater than any newspaper published in the political subdivision. (ii) Posting a notice of the place, date and time of a meeting prominently at the principal office of the agency holding the meeting or at the public building in which the meeting is to be held. (iii) Giving notice to parties under section 9 (c). (2) For a recessed or reconvened meeting: (i) Posting a notice of the place, date and time of the meeting prominently at the principal office of the agency holding the meeting or at the public building in which the meeting is to be held. (ii) Giving notice to parties under section 9(c). Special meeting. A meeting scheduled by an agency after the agencys regular schedule of meetings has been established. SECTION 4. Open Meetings. Official action and deliberations by a quorum of the members of an agency shall take place at a meeting open to the public unless closed under section 7, 8 or 12. SECTION 5. Recording of votes. In all meetings of agencies, the vote of each member who actually votes on any resolution, rule, order, regulation, ordinance or the setting of official policy must be publicly cast and, in the case of roll call votes, recorded. SECTION 6. Minutes of meetings, public records and recording of meetings. Written minutes shall be kept of all open meetings of agencies. The minutes shall include: (1) (2) (3) (4) (a) (b) (c) The date, time and place of the meeting. The names of members present. The substance of all official actions and a record by individual member of the roll call votes taken. The names of all citizens who appeared officially and the subject of their testimony. Executive session. An agency may hold an executive session under section 8. Conference. An agency is authorized to participate in a conference which need not be open to the public. Deliberation of agency business may not occur at a conference. Certain working sessions. Boards of auditors may conduct working sessions not open to the public for the purpose of examining, analyzing, discussing and deliberating the various accounts and records with respect to which such boards are responsible, so long as official action of a board with respect to such records and accounts is taken at a meeting open to the public and subject to the provisions of this act.
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(3) (4)
(1)
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SECTION 8. Executive sessions. Purpose. An agency may hold an executive session for one or more of the following reasons: (1) To discuss any matter involving the employment, appointment, termination of employment, terms and conditions of employment, evaluation of performance, promotion or disciplining of any specific prospective public officer or employee or current public officer or employee employed or appointed by the agency, or former public officer or employee, provided, however, that the individual employees or appointees whose rights could be adversely affected may request, in writing, that the matter or matters be discussed at an open meeting. The agencys decision to discuss such matters in executive session shall not serve to adversely affect the due process rights granted by law, including those granted by Title 2 of the Pennsylvania Consolidated Statutes (relating to administrative law and procedure). The provisions of this subsection shall not apply to any meeting involving the appointment or selection of any person to fill a vacancy in any elected office. (2) To hold information, strategy and negotiation sessions related to the negotiation or arbitration of a collective bargaining agreement or, in the absence of a collective bargaining unit, related to labor relations and arbitration. (3) To consider the purchase or lease of real property up to the time an option to purchase or lease the real property is obtained or up to the time an agreement to purchase or lease such property is obtained if the agreement is obtained directly without an option. (4) To consult with its attorney or other professional advisor regarding information or strategy in connection with litigation or with issues on which identifiable complaints are expected to be filed. (5) To review and discuss agency business which, if conducted in public, would violate a lawful privilege or lead to the disclosure of information or confidentiality protected by law, including matters related to the initiation and conduct of investigations of possible or certain violations of the law and quasi-judicial deliberations. (6) For duly constituted committees of a board or council of trustees of a State-owned, State-aided or State-related college or university or community college or of the Board of Governors of the State System of Higher Education to discuss matters of academic admission or standings. (b) Procedure. The executive session may be held during an open meeting, at the conclusion of an open meeting, or may be announced for a future time. The reason for holding the executive session must be announced at the open meeting occurring immediately prior or subsequent to the executive session. If the executive session is not announced for a future specific time, members of the agency shall be notified 24 hours in advance of the time of the convening of the meeting specifying the date, time, location and purpose of the executive session. (c) Limitation. Official action on discussions held pursuant to subsection (a) shall be taken at an open meeting. Nothing in this section or section 7 shall be construed to require that any meeting be closed to the public, nor shall any executive session ne used as a subterfuge to defeat the purposes of section 4. SECTION 9. Public Notice. (a) Meetings. An agency shall give public notice of its first regular meeting of each calendar or fiscal year not less than three days in advance of the meeting and shall give public notice of the schedule of its remaining regular meetings. An agency shall give public notice of each special meeting or each rescheduled regular or special meeting at least 24 hours in advance of the time of the convening of the meeting specified in the notice. Public notice is not required in the case of an emergency meeting or a conference. Professional licensing boards within the Bureau of Professional and Occupational Affairs of the Department of State of the Commonwealth shall include in the public notice each matter involving a proposal to revoke, suspend or restrict a license. Notice. With respect to any provision of this act that requires public notice to be given by a certain date, the agency, to satisfy its legal obligation, must give the notice in time to allow it to be published (a)
(b)
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(c)
(d)
(e)
or circulated within the political subdivision where the principal office of the agency is located or the meeting will occur before the date of the specified meeting. Copies. In addition to the public notice required by this section, the agency holding a meeting shall supply, upon request, copies of the public notice thereof to any newspaper of general circulation in the political subdivision in which the meeting will be held, to any radio or television station which regularly broadcasts into the political subdivision and to any interested parties if the newspaper, station or party provides the agency with a stamped, self-addressed envelope prior to the meeting. Meetings of General Assembly in Capitol Complex. Notwithstanding any provision of this section to the contrary, in case of sessions of the General Assembly, all meetings of legislative committee held within the Capitol Complex where bills are considered, including conference committees, all legislative hearings held within the Capitol Complex where testimony is taken and all meetings of legislative commissions held within the Capitol Complex, the requirement for public notice thereof shall be complied with if, not later than the preceding day: (1) The supervisor of the newsroom of the State Capitol Building in Harrisburg is supplied for distribution to the members of the Pennsylvania Legislative Correspondents Association with a minimum of 30 copies of the notice of the date, time and place of each session, meeting or hearing. (2) There is a posting of the copy of the notice at public places within the Main Capitol Building designated by the Secretary of the Senate and the Chief Clerk of the House of Representatives. Announcement. Notwithstanding any provision of this act to the contrary, committees may be called into session in accordance with the provisions of the Rules of the Senate or the House of Representatives and an announcement by the presiding officer of the Senate orr the House of Representatives. The announcement shall be made in open session of the Senate or the House of Representatives.
SECTION 10. Rules and regulations for conduct of meetings. Nothing in this act shall prohibit the agency from adopting, by official action, the rules and regulations necessary for the conduct of its meetings and the maintenance of order. The rules and regulations shall not be made to violate the intent of this act. SECTION l0.l. Public participation (a) General rule. Except as provided in subsection (d), the board of council of a political subdivision, or of an authority created by a political subdivision, shall provide a reasonable opportunity at each advertised regular meeting and advertised special meeting for residents of the political subdivision or of the authority created by a political subdivision, or for both, to comment on matters of concern, official action or deliberation which are or may be before the board of council prior to taking official action. The board or council has the option to accept all public comment at the beginning of the meeting. If the board of council determines that there is not sufficient time at a meeting for residents of the political subdivision or of the authority created by a political subdivision or for taxpayers of the political subdivision, or of the authority created by a political subdivision, or for both to comment, the board of council may defer the comment period to the next regular meeting or to a special meeting occurring in advance of the next regular meeting. The board or council has the option to accept all public comment at the beginning of the meeting. Recording devices. Except as provided in subsection (b), a person attending a meeting of an agency shall have the right to use recording devices to record all the proceedings. Nothing in this section shall prohibit the agency from adopting and enforcing reasonable rules for their use under section 10. Rules of the Senate and House of Representatives. The Senate and House of Representatives may adopt rules governing the recording or broadcast of their sessions and meetings and hearings of committees.
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SECTION 12. General Assembly meetings covered. Notwithstanding any other provision, for the purpose of this act, meetings of the General Assembly which are covered are as follows: All meetings of committees where bills are considered, all hearings where testimony is taken and all sessions of the Senate and the House of Representatives. Not included in the intent of this act are caucuses or meetings of any ethics committee created pursuant to the Rules of the Senate or the House of Representatives. SECTION 13. Business transacted at unauthorized meeting void. A legal challenge under this act shall be filed within 30 days from the date of a meeting which is open, or within 30 days from the discovery of any action that occurred at a meeting which was not open at which the act was violated, provided that, in the case of a meeting which was not open, no legal challenge may be commenced more than one year from the date of said meeting. The court may enjoin any challenged action until a judicial determination of the legality of the meeting at which the action was adopted is reached. Should the court determine that the meeting did not meet the requirements of this act, it may in its discretion find that any or all official action taken at the meeting shall be invalid. Should the court determine that the meeting met the requirements of this act, all official action taken at the meting shall be fully effective. The court may impose attorney fees for legal challenges commenced in bad faith. SECTION 14. Penalty. Any member of any agency who participates in a meeting with the intent and purpose by that member of violating this act commits a summary offense and shall, upon conviction, be sentenced to pay a fine not exceeding $100 plus costs of prosecution. SECTION 15. Jurisdiction and venue of judicial proceedings. The Commonwealth Court shall have original jurisdiction of actions involving State agencies and the courts of common pleas shall have original jurisdiction of actions involving other agencies to render declaratory judgements or to enforce this act, by injunction or other remedy deemed appropriate by the court. The action may be brought by any person where the agency whose act is complained of its located or where the act complained of occurred. SECTION 16. Confidentiality. All acts and parts of acts are repealed insofar as they are inconsistent herewith, excepting those statutes which specifically provide for the confidentiality of information. Those deliberations or official actions which, if conducted in public, would violate a lawful privilege of lead to the disclosure of information or confidentiality protected by law, including matter related to the investigation of possible or certain violations of the law and quasi-judicial deliberations, shall not fall within scope of this act. SECTION 17. Repeals. The following acts and parts of acts are repealed: Act of June 21, 1957 (P.L. 392, No. 213), entitled, as amended, An act requiring that meetings of the governing bodies of political subdivisions and of certain authorities and other agencies performing essential governmental functions shall be open to the public; requiring public notice of such meetings; and prescribing penalties.
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Act of July 19, 1974 (P.L. 486, No. 175), entitled An act requiring public agencies to hold certain meetings and hearings open to the public and providing penalties. SECTION 18. Effective date. This act shall take effect in six months. APPROVED The 3rd day of July, A,D, 1986. DICK THORNBURGH
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Appendix B
Pennsylvania Workers Compensation Act (Act 44 of 1993) Chapter 7E Health & Safety
Section 1038.2
(a) (b) An insured employer may make application to the department for the certification of any established safety committee operative within its workplace, developed for the purposes of hazard detection and accident prevention. The department shall develop such certification criteria. Upon the renewal of the employers workers compensation policy next following receipt of department certification, the employer shall receive a five per centum discount in the rate of rates applicable to the policy for a period of one year. The five per centum discount shall continue for a total of five years if the employer, by affidavit, provides annual verification to the department and to the empoloyers insured that the safety committee continues to be operative and continues to meet the certification requirements.
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Appendix C
County Contracts
1. Statutory requirements of The County Code A. Contracts for services and personal property 1. $10,000 or less - by note or memorandum, in writing, signed by commissioners or their agent 16 P.S. 1801(a). 2. For contracts exceeding $4,000 but less than $10,000 written or telephonic price quotations from at least three qualified and responsible bidders and a written record maintain. 16 P.S. 1801(b) 3. More than $10,000 - 16 P.S. 1802 a. Written contracts. 1802(a) b. Advertisement for bids - due notice in one newspaper of general circulation, published or circulating in the county, at least 3 days if a daily newspaper, or once a week for 2 successive weeks if a weekly newspaper. 1st ad shall be published not less than 10 days prior to date fixed for opening of bids. If emergency, can waives this section, but emergency must be declared and stated by resolution of the commissioners. 1802(b) c. Award to lowest responsible bidder. 1802(b) d. Receipt and opening of bids bids must be 1) received by controller, 2) in sealed envelopes, 3) opened by commissioners, 4) in presence of controller, 5) controller must keep a record of all bids and awards and only pay on contracts made accordingly. 1802(c) e. Amount of contract shall be entire amount county pays to bidder. 1802(d) f. Acceptance of bids may only be made by public announcement at meeting when bids are opened, or at subsequent meeting which time and place are announced at bid opening; or at a subsequent meeting which time and place are announced at meeting originally held for award. At 3rd meeting commissioners must either award the contract or reject all bids. All contracts must be filed with the controller. 1802(e) g. Cash, certified check or bid bond of at least 10% of bid is required; forfeited if successful bidder fails to supply performance bond or execute contract. 1802(f) h. Performance bond of 50% of contract amount must be supplied within 30 days (or shorter period as prescribed by commissioners). These mandatory bonding provisions do not apply to purchase of motor vehicles or other pieces of equipment, but only to contracts which involve furnishing of labor and materials. Guarantees for deliveries and performance may be required for these exceptions. 1802(g) No advertising, bidding, or price quotations for contracts in excess of $10,000 for: P.S. 16 1802(h) 1) Maintenance, repairs of replacements for water, electric, light, or other public works that are not new additions, extensions or enlargements of existing facilities and equipment. A bond may be required. 2) Improvements, repairs and maintenance of any kind, made or provided through county employees. This does not apply to construction materials used in a street improvement. 3) Patented and manufactured or copy-rights products. 4) Insurance policies, surety company bonds, public utility service under P.U.C. traffics, contracts with other political subdivisions, the state or federal governments, their agencies or municipal authorities.
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5) Professional services - medical, legal, registered architects, engineers,, C.P.A.s or other personal service involving professional expert advice. 6) Those involving contracts entered into by nonprogit cooperative hospital service nonprofit cooperative hospital service associations for hospitals and nursing homes which are part of the institutional district or which are owned by the county, operated by the county or affiliated with the county by the purchasing of, or participating in contracts for, materials, supplies and equipment. ((h) amended July 10, 1990, P.L. 379, No 89) j. Compliance with Steel Products Procurement Act for all contracts for construction, reconstruction, alteration, repair, improvement or maintenance of public works. 1802(i) 4. No evasion of advertising and bidding requirements by splitting into a series of contracts, each under $10,000, commissioners are personally subject to surcharge for any loss sustained. B. Contracts for construction and alteration of county buildings 1. Contracts for more than $10,000. 16 P.S. 2317 a. Separate bids if entire cost of work is more than $10,000, for erection, construction and alteration of any public building. The county may have only the following separate specifications: a) plumbing, b) heating, c) ventilating, d) electrical work, e) elevators and moving stairs, and f) one complete set of specifications for all other work to be done. Heating and ventilating may be combined if there is air conditioning. b. Must award contracts to lowest responsible bidder for each of the above branches, including balance of the work in addition to plumbing, heating, ventilating and electrical work and elevators and moving stairs. 2. For contracts for more than $1,500 for construction, erection, installation, completion, alteration, repair of or addition to any public work or improvement, a payment bond for all labor and material for not less than 50% nor more than 100% of contract price (amount prescribed by county). (This section applies unless Public Works Contractors Bond Law applies). See 16 P.S. 2318(a) 3. In all construction contracts or contracts involving the employment of labor, the commissioners must require proof of workers compensation insurance and the contract must contain clauses that contractor accepts the provisions of the Workmens Compensation Act and that contractor will insure liability thereunder or file for exemption. 16 P.S. 2319 4. County architects and engineers cannot bid on any county public work or be awarded any contracts. 16 P.S. 2320 5. Plans and specifications may have to be approved by some other government body, e.g., plans for penal facilities must be reviewed and approved by Department of Justice. 16 P.S. 2328 6. Building or repairing bridges - if more than $10,000 - must follow the above provisions, and, in addition, must set forth description of repairs or designs in advertisement, and for new bridge must maintain a copy of design specifications in office, must mark outside of bids filed with the persons name with whom filed. 16 P.S. 2670 II. Other Statutory Requirements A. Public Works Contractors Bond Law, 8 P.S. 191 et seq. 1. Applies to all public bodies and contracts in excess of $5,000 for construction work, including repair contracts and highway work. 8 P.S. 193 (a) 2. Before awarding contract, contractor must furnish payment and performance bonds, each at 100% of contract amount. 3. Bonds must be executed by one or more surety companies legally authorized to do business in Pennsylvania. 4. Public body must furnish certified copies of payment bonds upon request and affidavit. See 196(a).
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Public body may not require that bonds be furnished by a particular surety company or through a particular agent or broker. Violations is a misdemeanor. 198(a) B. Prevailing Wage Act, 43 P.S. 165-1 et seq. 1. Requires the payment of not less than the prevailing minimum wages, as determined by the Secretary of Labor and Industry, to all workers employed on public work construction jobs where total project estimated cost is in excess of $25,000. Maintenance work is excluded. 2. Contract specifications must contain determination issued by Secretary. See 165-3. Notice must reference prevailing wages requirement. 165-4 3. Public body must request determination of prevailing minimum wage rates from Secretary. 4. If predetermination is challenged, public body must extend bid date until 5 days after final determination, and must give notice thereof in a special bulletin to all interested parties, as well as notice of final determination. 5. Public body must require written certifications from contractors and subcontractors before final payments. C. Withdrawal of Bids law. 73 P.S. 1601 et seq. 1. Applies to all public contracts for construction, services, lease of real or personal property except highway work. 1601 et seq. 2. Bidder may withdraw bid after bid opening with out forfeiting bid security if bidder made a clerical mistake such as arithmetical error or unintentional omission of substantial quantity of work made directly in compilation of bid, not judgement mistake. 1602 3. Bidder must give written notice of claim of right to withdraw within 2 business days after bid opening. 4. Withdrawal of bid must not result in awarding of contract on another bid of same or related bidder. 5. Withdrawal bidder may not perform any work, either directly or indirectly, without written approval of contracting body. 6. If bid is withdrawn, contracting body may either award contract to next lowest bidder or may reject all bids and rebid. 1603 7. If re-bid, withdrawing bidder must pay costs of rebid, e.g., printing, advertising, postage. 8. Public body can contest right to withdraw, but must hold a hearing within 10 business days and issue an order within 5 days of hearing. Must have court stenographer. Order can be arbitrated. If public body wins, the bid bond is forfeited. 1604. 9. No liability or surcharge on public body or public official for allowing withdrawal of bid, absent fraud or collusion. 1605. 10. Anyone who allows withdrawn bidder to supply labor or material or perform any subcontract for anyone performing work on the project without approval of contracting body is guilty of misdemeanor, up to $25,000 fine, 1 to 2 years imprisonment. 1606. D. Anti-Bid Rigging Act, 73 P.S. 1611 et seq. 1. Prohibits bid-rigging in all contracts and subcontracts for equipment, goods, services, materials, construction or repair. 1613(a) 2. Public body may pursue action for treble damages and attorneys fees. 1614(c) 3. Statute of limitation is 4 years from date of discovery of conduct, with a maximum of 10 years from date contract was signed. 1614(d) 4. Public body may issue rules and regulations and regulations to debar violations. 1615 5. Public body may require noncollusion affidavits, which must be set forth in invitation to bid. See specific language of 1617 for required language of the affidavit. If affidavit not provided when required, this may be grounds for disqualification of bid.
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E. Award and Execution of Public Contracts law, 73 P.S. 1621 et seq. 1. Applies to public contracts for construction, reconstruction, alteration or repair of public works, in excess of $50,000, where performance and payment bonds are required by Public Works Contractors Bond Law. 1621 2. Time for award of contracts must be awarded within 60 days of bid opening (120 days id delayed by sale of bonds or approval of Govt agency). 30-day extensions allowed with mutual written consent. 1622 3. Must execute contracts within 30 days of award, and public body must issue a notice to proceed unless extended by mutual written consent. 1623 4. Failure to comply releases bidder, and entitles bidder to return of bid security. 1624 5. Retainage - 1625 Maximum 10% until contract is 50% complete. 1625(a) When 50% complete, one-half of retainage to contractor is returned (unless valid reason for greater withholding). Architect/engineer must approve application for payment. After 50% completion, maximum retainage is 5%. (If dispute with another prim contractor, 1 times amount of possible liability may be withheld, unless bond is posted). 1625 6. Contractor must pay subcontractors within 20 days of receipt of payment. 1626 7. If retainage, then contract must provide for architect/engineer to make final inspection within 30 days of receipt of contractors request for final inspection and application for final payment. If substantially complete, final payment within 45 days after inspection, less 1 times amount for minor uncompleted items. See statute for specific requirements of architect/engineer. 1627 8. Interest on final payment from date due and payable to the contractor: 1628 6% if no retainage; 10% if retainage; or, if financed by bonds, then 10% or rate on bond, whichever is less. F. Bid Advertisements and Non-Receipt of Bids, 73 P.S. 1641. 1. Applies to political subdivisions, municipal authorities and transportation authorities. 2. If public body advertises for bids on an item as required by law and receives no bids, they must rebid. 3. If no bids are received the second time, then public Body may purchase or enter into contracts for the purchase of an item within 45 days of date of second advertisement. G. Steel Products Procurement Act, 73 P.S. 1881 et seq. 1. Applies to all public contracts for construction, reconstruction, alteration, repair, improvement or maintenance of public works. 2. Requires contractual provision that any steel products or supplied must be made from steel made in U.S. If product contains U.S. and foreign steel, it must be least 75% domestic. H. Motor Vehicle Procurement Act, 73 P.S. 1891 et seq. 1. Applies to cars and self-propelled farm and construction equipment. 1892 2. Public bodies must procure only motor vehicles which are manufactured in North America, i.e., substantial majority of principal components are assembled into final products in assembly plant in North America. 3. Contract documents must contain appropriate provision. III. Case Law A. Construction Management 1. Professional services only. 2. No unlawful delegation of authority to supervise public work. Pennsylvania Constitution, Article III, 31.
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B.
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E. F.
3. No guaranteed maximum price. Specifications 1. Common standard - bidders must submit proposals on an equal basis; must have previously prepared specifications, freely accessible for all competitors, as sole basis for bids. Common standard can be destroyed by ambiguous specifications, proprietary specifications or negotiations. a. Ambiguous specifications - material changes must be published. b. Proprietary specifications, which have the effect of placing unnecessary obstacles in the way of those who may want to bid, are illegal. Can use or equal specifications. c. Negotiations with bidders is not allowed. 2. General Conditions - change AIA or other general conditions to more favorable terms. 3. Required provisions - there are many contract provisions which are required by law. See outline above. Bids 1. Responsiveness of bid a. Bid must be responsive in all material aspects to terms and specifications of invitation to bid. If not, then it is nor considered to be a bid at all, but merely an offer on changed terms, which cannot be accepted. b. Minor irregularities can be waived. c. If the differing factor affects price, quality or quantity, it is generally material. d. If the differing factor effects price, quality or quantity, it is generally material. e. Non-responsive bids may not be conformed after bid opening. f. No extrinsic evidence is allowed to determine responsiveness; it must be determined from the face of the bid. 2. Late bids - may not be accepted. Lowest responsible bidder 1. Lowest bidder who submits a responsive bid. 2. Responsibility is determined by the following factors; judgment, skills, promptness, honesty, financial standing, reputation, experience, resources, facilities, past history of adherence to plans and specifications, availability, efficiency. 3. Public body must complete a full investigation before rejecting a low bidder on the basis of lack of responsibility. 4. If lowest bidder is not responsible, public body may award to next highest bidder. 5. Invitation to bid may require submission of information with bids to establish responsibility, or such information can be supplied after bid opening. Rejection of all bids allowed if in publics best interest, absent fraud or collusion. Bid Protest cases 1. Taxpayer has standing. 2. No award to disappointed bidder, only injunction against award to improper bidder, and then rebid. 3. Even if there is no statutory requirement for bids, if the public body invites bids, it must award to lowest responsible bidder.
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