(a) Transactions.
  (1) The facility must keep records of all trust fund transactions.
  (2) Facility staff must record on the client's trust-fund ledger or deposit/withdrawal document at least the following:
    (A) the date and amount of each deposit;
    (B) the source of each deposit;
    (C) the date and amount of each withdrawal;
    (D) the reason for each withdrawal;
    (E) the name of the person or entity who accepted the withdrawn funds; and
    (F) the balance after each transaction.
  (3) The client or the client's representative must sign for each withdrawal transaction at the time of the transaction.
    (A) The signature must be on the trust-fund ledger, deposit/withdrawal document, or trust fund receipt.
    (B) At least one witness must sign for each withdrawal transaction if the client or the client's representative cannot sign.
    (C) A signature is not required if the payment meets the definition of a recurring payment as described in subsection (c) of this section.
  (4) The facility must record transactions within 14 days of occurrence.
(b) Bulk purchases. The facility may make bulk purchases for items used by multiple clients.
  (1) The bulk purchase must be traceable to individual clients.
  (2) The receipt for the bulk purchase must show the following:
    (A) the names of the clients for whom the purchase was made; and
    (B) the portion of the total price charged to each client.
  (3) The facility must not charge the client or the client's representative more than the actual cost of the client's portion of items that are purchased in bulk.
(c) Recurring payments.
  (1) The facility must obtain the client's or the client's representative's written request and authorization to make recurring payments on behalf of the client. The written authorization must include the:
    (A) name of the business or entity to which the recurring payment is made;
    (B) amount of the recurring payment. If the recurring payment is not a set amount, the authorization must include the method for determining the amount of the recurring payment;
    (C) date the payment will begin; and
    (D) signature and signature date of the client or the client's representative.
  (2) The client or the client's representative must request and authorize the facility to stop recurring payments on behalf of the client.
    (A) The authorization may be oral or written.
    (B) The facility must document the request, including the:
      (i) name of the business or entity to which the recurring payment is made; and
      (ii) date the payment will stop.
  (3) The facility is not required to have a receipt for recurring payments made on behalf of the client.
(d) Petty cash fund.
  (1) A petty cash fund is part of the pooled checking account trust fund kept on hand in cash by the facility. The petty cash fund is used for disbursement to clients for the purchase of minor items.
  (2) The facility must keep the petty cash fund locked.
  (3) The facility must set a dollar limit for petty cash transactions.
    (A) The facility must document:
      (i) the dollar limit of petty cash transactions; and
      (ii) a list of any exceptions to the petty cash transaction limit, if applicable.
    (B) The facility must follow the procedures in subsection (a) of this section for withdrawals that exceed the petty cash transaction limit.
  (4) The facility must keep records of all petty cash fund transactions. The petty cash fund record must be a:
    (A) petty cash fund ledger; or
    (B) petty cash fund receipt.
  (5) A petty cash fund ledger or receipt must include the:
    (A) name of the client;
    (B) date of the withdrawal;
    (C) amount of the withdrawal; and
    (D) signature of client or the client's representative, or at least one witness if the client or the client's representative cannot sign.
  (6) The facility must use the following guidelines to replenish the petty cash fund:
    (A) Count the money in the petty cash fund.
    (B) Determine the difference between amount in the petty cash fund and the amount needed in the petty cash fund.
    (C) Cash a check for the difference between the amount in the petty cash fund and the amount needed in the petty cash fund.
      (i) Write the check for cash on the appropriate checking account, either the:
        (I) pooled trust fund checking account; or
        (II) individual client trust fund checking account.
      (ii) Indicate "petty cash fund" in the "memo" line of the check.
    (D) Put the cash in the petty cash fund.
  (7) The facility must reconcile the petty cash fund at least monthly.
  (8) The facility must follow the requirements for transactions in subsection (a) of this section to post petty cash fund transactions to the trust fund ledger. However, the client's or the client's representative's signature is not required on the trust fund ledger or trust fund receipt if the client's or the client's representative's signature is on the petty cash fund ledger or receipt.
(e) Receipts.
  (1) A trust fund receipt is required when a direct payment is made from the client's trust fund. The facility may use printed receipts from vendors as trust fund receipts only if:
    (A) all elements from paragraph (4) of this subsection are present; or
    (B) any missing elements from paragraph (4) of this subsection are added.
  (2) A trust fund receipt is required when a payment is received by the facility on behalf of a client. This is not applicable to funds direct-deposited to the trust fund account.
  (3) A trust fund receipt is not required when the client or the client's representative makes a direct purchase with funds withdrawn from the trust fund. The withdrawn funds must meet the requirements listed in subsection (a) of this section.
  (4) A trust fund receipt must contain the:
    (A) name of the client;
    (B) month, day, and year the receipt was written or created;
    (C) total amount of money spent or received for the client;
    (D) specific item(s) purchased; and
    (E) name of the business or entity from which the purchase was made or the payment received.
  (5) A trust fund receipt may contain the signature of the client or the client's representative for payments made from the trust fund. At least one witness must sign for each payment made if the client or the client's representative cannot sign.
(f) Limitations on withdrawals. The facility must not use the client's personal funds to purchase any item or service that the Texas Department of Human Services requires the facility to provide. The facility must purchase additional items or service with the client's personal funds only as described in §46.15 of this chapter (relating to Additional Services and Fees).

Source Note: The provisions of this §46.65 adopted to be effective September 1, 2003, 28 TexReg 6941