Finding Text
Signed Retainer Agreement (Significant Deficiency) Criteria: Under the requriements 45 CFR 1611.9(a) Financial Eligibility, the Organization is required to execute a retainer agreement with each client when extended service representation commences or as soon thereafter as is practicable. Conditions/Context: In one instance out of sixty files tested it was noted that the signed retainer agreement was not included in the client file as required. Cause: The retainer agreement was not included in the electronic records for the file tested. It appears to be have resulted from limited internal checks to verify document completeness prior to filing and turnover in the administrative assistant position. Effect: The missing document did not have any effect on the eligibility of the client and did not impact services provided to the client. Recommendation: We recommen the Organization review its processes around record retention and the preservation of documnets related to client services. Views of Responsible Officials: The recipient agrees with the audit findings and is implementing procedures to prevent non-compliance in the future.