Section 3.08 - Funds Belonging to Residents(1)Authority. The facility director of any facility listed in 115 C MR 3.0 3 is authorized under M.G.L. c. 123B, § 12(a) to deposit in a bank those funds belonging to a resident and to use these funds for the benefit of the resident. 115 CMR 3.08 is promulgated pursuant to this authority.(2)Definition of Funds. For the purpose of 115 CMR 3.08,"funds" refer to cash, checks, negotiable instruments, or any other income or liquid personal property.(3)Scope. 115 CMR 3.08 shall apply only to the maintenance and expenditure of an individual's funds which are located within the facility or which are deposited with the facility director or designee.(4)Upon Admission and Prior to Evaluation. (a)115 CMR 3.08(4) shall apply only from the time of admission of the individual until such time as there has been an evaluation under 115 CMR 3.08(5).(b) Upon the admission of an individual to a facility, the individual shall be encouraged, but shall not be required, to temporarily deposit any funds and other valuables on his or her person with the facility director or dsignee, pending thee valuation required under 115 CMR 3.08(5). The individual shall receive a receipt for his or her funds and valuables.(c) If any funds are so deposited with the facility, an appropriate written record shall be made of the deposit. A copy of such record shall be made available to the individual or his or her conservator or guardian.(d) Upon admission of an individual and until such time as there has been an evaluation under 115 CMR 3.08(5), the individual's funds which have been deposited with the facility director or designee, shall be maintained in a safe or in a bank account, provided, however, that if the individual's funds exceed $250 the individual's funds shall be maintained in an individual interest-bearing bank account. The interest which accrues on a bank account shall be added to the individual's funds. Unless the individual has a guardian or conservator, the individual shall have an unrestricted right to manage and spend all of his or her funds in his or her sole discretion until such time as there has been an evaluation under 115 CMR 3.08(5). Availability of funds shall be governed by 115 CMR 3.08(9).(5)Evaluation. (a) Unless a guardian or conservator has been appointed, the individual's ability to manage and spend his or her funds shall be evaluated, as soon as possible after admission (but no later than 30 days after admission), and at least every 12 months thereafter or upon the individual's request.(b) The individual shall be assisted to manage and spend his or her funds consistent with his or her capabilities and the levels of support provided to him or her.(c) Depending on the outcome of the evaluation the facility shall:1. assist the individual to spend and manage his or her funds with no interference by the facility;2. develop a plan to teach or assist the individual to manage all or a portion of his or her own funds according to his or her capabilities and the levels of support provided to him or her;3. develop a plan for the necessary spending of the individual's funds in a manner that would benefit the individual and is consistent with 115 CMR 3.08, if the evaluation establishes that the individual cannot beneficially use his or her money to satisfy his or her needs and desires, even with teaching and support. Objectives of the plan developed pursuant to 115 CMR 3.08(5)(a)2. or 3. shall become incorporated into the individual's ISP as part of the facility's separate provider strategy.
(d) For all evaluations, the individual shall be informed of the provisions of 115 CMR 3.08(5), shall have the right to present any information on his or her behalf, shall have the right to be assisted by a person of his or her choice, and shall be informed of the result of the evaluation. The results of the evaluation shall become a part of the individual's record.(6)Appointment of Guardian or Conservator. In accordance with M.G.L. c. 123B, § 11, if an individual has been under the care of the Department as a resident for at least six months, if the individual is not able to manage and spend any of his or her funds independently (as determined by the evaluation under 115 CMR 3.08(5)), and if the individual is not underguardianship or conservatorship, the facility director shall notify the individual's nearest living relative and recommend that the necessary steps be taken for the appointment of a conservator, or if appropriate, the appointment of a guardian.(7)Use of Independent Funds by Individual.(a)115 CMR 3.08(7) shall apply only to those funds which the individual is able to manage and spend, with or without assistance, as determined by the evaluation under 115 CMR 3.08(5). Such funds are referred to as "independent funds." The individual shall have the right to manage and spend his or her independent funds.(b) Where the evaluation establishes that the individual is able to manage and spend his or her funds without assistance or training, the individual shall be assisted to put such funds into an individual bank account within the exclusive control of the individual or, if he or she so desires, within the exclusive control of the individual and one or more other persons who shall be selected by the individual. Without losing any control over the use of the funds, the individual shall be assisted to deposit part or all of such funds in the group bank account described in 115 CMR 3.08(8)(f). No person other than the individual (and persons selected by the individual pursuant to 115 CMR 3.08(7)) shall have any control over the individual's management and expenditure of independent funds. Nothing in 115 CMR 3.08 shall in any way restrict the individual's management and expenditure of these funds.(8)Management and Expenditure of Dependent Funds. (a)Scope -- Dependent Funds. 115 CMR 3.08(8) shall apply only to those funds which the individual is unable to manage and spend, with or without assistance as determined by the evaluation under 115 CMR 3.08(5) or as determined by a court of competent jurisdiction in a guardianship or conservatorship proceeding, and those Social Security and Supplemental Security Income funds which are received by the facility director as the representative payee of the individual. Such funds are referred to as "dependent funds."(b)Facility Director. In accordance with M.G.L. c. 123B, § 12(a) and applicable federal regulations, the facility director shall bear ultimate responsibility for the management and expenditure of all dependent funds.(c)Designated Staff. In order to carry out his or her responsibility as to the proper management and expenditure of dependent funds, the facility director shall designate staff within the facility who shall be directly responsible to the facility director and who shall determine on a day-to-day basis how to best manage and spend an individual's dependent funds, consistent with 115 CMR 3.08(8). These designated staff shall have sufficient contact with the individual to have first hand knowledge of the individual and to be responsive to the individual's day-to-day needs and desires. Designated staff shall consult with an individual prior to making a purchase for that individual. The facility director shall establish a committee to make recommendations as to the expenditure of dependent funds.(d)Appropriate Expenditures. 1. Generally, dependent funds should be used to facilitate the individual's habilitation, and to help the individual live a normal and comfortable life. Where the individual has unmet current needs, continued saving of dependent funds is not in the individual's best interest unless such saving is for a foreseeable and appropriate future purpose (such as to pay for living expenses upon discharge).2. Not only should the individual's needs be considered but also his or her desires, where such expenditures are for the benefit of the individual and are consistent not only with the individual's desires but also with his or her resources and obligations. For example, clothing might be purchased which is not only functional but also stylish.3. Dependent funds shall be used only for purposes which directly benefit the individual. For example, no dependent funds shall be used for a gift to an employee. No dependent funds shall be expended for any item or service which the facility is legally obligated to supply the individual.4. Under no circumstances shall dependent funds be used to provide any item or material that a facility is legally obligated to provide for the implementation of the individual's ISP.(e)Group Purchases. Dependent funds of an individual may be used together with funds of other individuals to purchase an item or service (i.e., a group purchase) pursuant to the requirements contained in 115 CMR 3.08(8)(d).(f)Individual Savings Accounts and Group Bank Account.1. A "group bank account" is a single bank account for some or all individuals in the facility and is used to allow the Facility Director or designee easy access to funds which are needed by individuals for daily or weekly expenses.2. If the individual's dependent funds at any time exceed $250, no more than $200 of such funds shall be maintained in a group bank account, and the balance of funds exceeding $200 shall be maintained in an individual savings account in the name of the individual, but under the control of the Facility Director or designee. So long as the individual's dependent funds do not exceed $250, all such funds may be maintained in a group bank account. An individual, who has independent funds pursuant to 115 CMR 3.08(7), may, in his or her discretion, deposit part or all of such funds in the group bank account without losing any control over the use of such funds. Any interest which accrues on that individual's share of the group bank account shall be added to the individual's funds and accounted for accordingly.(9)Availability of Funds.(a) Consistent with 115 CMR 3.08(4), 3.08(7) and 3.08(8), the Facility Director or designee shall make withdrawals and deposits, write checks payable to the individual (or to the ultimate recipient of the funds), and disburse cash to the individual or staff designated pursuant to 115 CMR 3.08(8)(c). It shall not be necessary for the individual to sign a requisition for the release of dependent funds.(b) At any time when emergency funds are needed and for at least two hours a day during at least five days each week, the Facility Director or designee shall be available to disburse cash and write checks pursuant to 115 CMR 3.08(9)(a).(10)Record of Funds. All funds received from the individual or on his or her behalf and all funds disbursed shall be accounted for and a permanent record made showing the amount of funds received, date received and source of funds. All funds disbursed shall be accounted for and a permanent record made of the person receiving funds, purpose of disbursement, amount of the disbursement, and date of disbursement.(11)Accounting for Funds. The following persons shall be provided a complete written account of all funds of the individual, and a written statement of the current balance of funds of the individual: (b) in the event the individual is determined unable to manage or spend his or her funds, the staff designated as responsible for expenditures for the individual under 115 CMR 3.08(8)(c);(c) the individual's guardian or conservator;(d) those persons responsible for evaluation of the individual pursuant to 115 CMR 3.08(5); and(e) in the event the facility director is the representative payee of the individual, the District Office of the Social Security Administration.(12)Endorsement of Checks. A check made payable to an individual may be endorsed by the Facility Director for deposit to the individual's account only when (a) the check does not exceed $500;(b) the individual is unable or refuses to endorse the check for the purpose of depositing it; and(c) pursuant to 115 CMR 3.08(5) the individual is found unable to manage and spend the funds represented by the check. In the event one or more of the above circumstances is not met, a check must be endorsed by the individual prior to its being deposited in his or her account.
(13)Training Individuals to Manage Own Funds. A high priority shall be given to the training of individuals in the management and use of their own money.(14)Regulation of Social Security Income.(a) Federal regulations govern the use of Social Security funds and Supplemental Security Income. Accordingly, the facility must comply with any regulations, policy directives or letters from the Social Security Administration in regard to the use of these funds and income. In the event of a conflict between 115 CMR 3.00 and the federal requirements, the federal requirements shall govern.(b) When the facility director is designated by the Social Security Administration as the representative payee of an individual, the facility director must notify the District Office of Social Security whenever there is a change in status of the individual which could affect the amount of income for which the individual or the person to whom the income is paid is eligible.(c) The facility director shall immediately notify the District Office of the Social Security Administration upon the appointment of a guardianor conservator for an individual who is receiving Social Security funds or Supplemental Security Income.(d) Whenever the facility receives a request from the Social Security Administration regarding the ability of an individual to manage and spend his or her funds, the most recent evaluation under 115 CMR 3.08(5) shall be determinative of the facility's response.(15)Separation of the Individual from the Facility.(a) The facility director shall immediately notify the District Office of the Social Security Administration upon the temporary or permanent separation from the facility of an individual receiving Social Security funds or Supplemental Security Income. When separation is being planned, the facility director shall give the District Office advance notification.(b) Upon the individual's formal discharge from the facility, all funds shall be immediately paid to the individual or to his or her guardian or conservator, or successor representative payee if applicable, except that if the individual is being transferred to another facility, any dependent funds as defined in 115 CMR 3.08(8)(a), shall be transferred to the facility director of such other facility. Upon discharge or transfer, a written accounting of the individual's funds shall be rendered to the person receiving the funds.(16)Burial Expenses. Upon the death of an individual, all of the individual's funds become a part of his or her estate, to be administered by an executor or administrator. Thus, when an individual dies, the facility may not use his or her funds for any purpose, including burial expenses, unless otherwise allowed by law.