Finding 1138068 (2024-001)

Significant Deficiency
Requirement
E
Questioned Costs
-
Year
2024
Accepted
2025-05-27
Audit: 357233
Organization: Legal Aid of Wyoming, Inc. (WY)

AI Summary

  • Core Issue: A signed retainer agreement was missing from one client file out of sixty, violating the requirement under 45 CFR 1611.9(a).
  • Impacted Requirements: The absence of the retainer agreement indicates a lack of compliance with documentation standards for client representation.
  • Recommended Follow-Up: Review and improve processes for record retention and document completeness to prevent future issues.

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.

Categories

Eligibility Significant Deficiency

Other Findings in this Audit

  • 561625 2024-001
    Significant Deficiency
  • 561626 2024-001
    Significant Deficiency
  • 561627 2024-001
    Significant Deficiency
  • 561628 2024-002
    Significant Deficiency
  • 561629 2024-002
    Significant Deficiency
  • 561630 2024-002
    Significant Deficiency
  • 1138067 2024-001
    Significant Deficiency
  • 1138069 2024-001
    Significant Deficiency
  • 1138070 2024-002
    Significant Deficiency
  • 1138071 2024-002
    Significant Deficiency
  • 1138072 2024-002
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
09.951 Legal Services Corporation - Basic $694,955
09.951 Legal Services Corporation - Native American $198,324
64.056 Legal Services for Veterans Grants $174,321
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $131,317
16.815 Tribal Civil and Criminal Legal Assistance Grants, Training and Technical Assistance $15,058
09.951 Legal Services Corporation - Technology Initiative Grant $14,269
21.027 Coronavirus State and Local Fiscal Recovery Funds $5,223