Pennsylvania Code
Title 55 - HUMAN SERVICES
Part VIII - Intellectual Disability and Autism Manual
Subpart A - Statements of Policy
Chapter 6000 - STATEMENTS OF POLICY
Subchapter F - ADMINISTRATION AND MANAGEMENT OF CLIENT FUNDS
Section 6000.521 - Administration and management of client funds
Universal Citation: 55 PA Code ยง 6000.521
Current through Register Vol. 54, No. 44, November 2, 2024
(a) The County Mental Health/Mental Retardation Administrator (Administrator) is responsible for compliance with the policies and procedures in this statement of policy.
(b) An Administrator should ensure that community residential facilities with which they contract establish policies and procedures on the administration and management of client funds consistent with this statement of policy. Administrators should review and approve the policies and procedures on client funds and monitor the implementation of these policies and procedures.
(c) Policies and procedures should include provision for a financial plan to be integrated into each client's Individual Program Plan to insure the satisfaction of current and future needs. The financial plan should include, at a minimum:
(1) Documentation that a client
has received assistance in applying for funds and benefits to which the client
is entitled by establishing residential intake procedures that identify client
eligibility for benefits from all resources and annually reviewing each
client's eligibility for programs-for example, rent rebate, food stamps and the
like. A decision not to access benefits shall be approved by the
Administrator.
(2) A forecast of
cash flow, a budget plan and a review of proposed cash needs.
(3) A review and analysis of the client's
investments, insurance policies, burial accounts and conserved resources
identified by family-for example, burial plots and the like.
(4) Development of a room and board contract,
if applicable, in accordance with Chapter 6200 (relating to room and board
charges).
(5) An assessment of the
client's need for supervision or training in money management, or
both.
(6) Documentation of the
client's desire to receive oversight/training in the management of personal
funds.
(7) An assessment of the
individual client's need for a representative payee based on the client's
ability to manage the client's own monies.
(d) Policies and procedures should include provision for training clients in the management of personal funds. Training should include at a minimum:
(1) Assessing the
client's skills in the management of funds and the need for specific skill
training.
(2) Specifying goals
related to training in the management of personal funds. Goals should be
included in the client's Individual Program Plan, if appropriate.
(3) Monitoring of the training program via
the client's Individual Program Plan.
(e) Policies and procedures should include provision for the creation of irrevocable burial accounts. The policies and procedures should include:
(1) Review of
individual client balances and spending patterns to determine if the client has
adequate funds to meet present and projected financial needs.
(2) Consultation, if appropriate, with the
client/the client's family/interdisciplinary team about other available
resources and whether a burial fund or other appropriate arrangements are in
the client's best interests.
(3)
Review of the client's insurance records to assure that the burial reserve plus
cash surrender value of insurance policies would be adequate to meet
anticipated client burial costs.
(4) Discussion of the nature of irrevocable
burial funds-money can be withdrawn only for burial purposes.
(5) Establishment of a separate irrevocable
burial reserve, interest-bearing account in the client's name ensuring the
following:
(i) Burial reserve funds are
deposited either on a one-time basis or through periodic deposits.
(ii) Bank statements are received at least
annually.
(iii) The bank is
notified of client address changes.
(iv) Pertinent information on the existence
of the burial reserve account is filed with the Case Management Unit and
provider offices.
(v) The client's
family is notified about the existence of the burial reserve account, if
appropriate.
(vi) For SSI
beneficiaries:
(A) The Social Security field
representative is notified of plans to establish an irrevocable burial
account.
(B) A brief memorandum is
sent to the Social Security Administration field representative stating the
client's name, referencing the initial discussion and attaching a copy of the
irrevocable burial agreement.
(C) A
standard agreement which meets the language requirements of the benefit-issuing
agency is used.
(f) Policies and procedures should include provision for safeguarding client funds. The policies and procedures should include:
(1) A monitoring system to assure
continuing eligibility of client benefits.
(2) The reporting of changes in client income
or living situations to the appropriate benefit-issuing agency.
(3) The prompt deposit of client-funds in
bank accounts. Client funds in excess of immediate financial obligations should
be deposited in interest-bearing accounts where interest is allocated to
individual client accounts on at least a quarterly basis.
(4) A monitoring system of the client's
checking account, savings account and cash on hand.
(5) Policies for client expenditures such as
personal needs, movie tickets, vacations, newspaper, toll calls, cable TV and
shared costs for fixed assets. A written rationale should be developed for
client-shared costs.
(6) The
establishment of procedures, including maintenance of an inventory, to
safeguard client personal property.
(7) The maintenance of client funds in a
secure manner.
(8) A procedure to
meet client financial obligations and assure that client charges are made
accurately and fairly.
(9) The
documentation of-by receipt, invoice or expense record-client fund
use.
(10) The maintenance, on an
ongoing basis, of client financial records including, at a minimum, account
balances, receipts, expenditures and reconciliations of client account
balances.
(i) A client financial
reconciliation should be completed monthly.
(ii) A periodic review of client funds should
be conducted at least once a year.
(11) The establishment of criteria to
determine and recommend payeeship responsibility and review individual
assignment annually or as needed.
(12) The establishment of representative
payee responsibility regarding documentation of money spent on client's behalf.
(13) The prohibition of the
commingling of client funds with agency operational funds, the borrowing of
funds between clients and staff and the use of client's money for rewards in
behavior management programs.
(14)
The establishment of procedures to be followed in the event of misappropriation
or theft of clients funds or property as defined in Subchapter D (relating to
unusual incidents and deaths).
(g) An Administrator should:
(1) Insure that Mental Retardation Bulletin #
99-87-18, issued November 23, 1987, titled "Case Management Services" is being
followed in the area of safeguarding the use of client funds.
(2) Insure that policies and procedures
specified in subsections (b)-(f) are in place and include reporting and
auditing requirements.
(3) Monitor
by random sampling at least 10% of client inventories against actual existence
of the items.
(4) Ensure that, as
part of the annual audit requirement for a provider, the system of internal
control over client funds is evaluated and that a representative sample of
individual client accounts are tested as part of the process.
Disclaimer: These regulations may not be the most recent version. Pennsylvania may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
