Finding 1215923 (2024-003)

Material Weakness Repeat Finding
Requirement
B
Questioned Costs
-
Year
2024
Accepted
2026-05-28

AI Summary

  • Core Issue: The Legal Services Corporation's internal controls are inadequate, with only one of eleven areas properly documented, leading to significant deficiencies and non-compliance.
  • Impacted Requirements: Compliance with 45 CFR regulations and the LSC Financial Guide is not met, particularly regarding policies on fixed assets, cost allocation, and financial controls.
  • Recommended Follow-Up: Ensure the remaining policy is updated promptly and address staffing issues to maintain compliance and improve internal controls.

Finding Text

2024-003 FOLLOW UP ON THE LEGAL SERVICES CORPORATION OFFICE OF THE INSPECTOR GENERAL - AUDIT OF SELECTED INTERNAL CONTROLS Funding agency: Legal Services Corporation Title and Assistance Listing Number: Basic Field Grant 09.703068 Type of Finding: Significant Deficiency, Material Non-compliance Compliance Area: Allowable costs/cost principles Federal Award Year: 2024 Questioned Costs: None Condition The Legal Services Corporation Office of Inspector General issued a final report (OIG Report) on December 2, 2024 for its testing of internal control and operational activities and noted inadequate policies, practices, and oversight over ten of eleven areas (formalize internal controls in writing for fixed assets, cost allocation, credit cards, contracting, derivative income, general ledger and financial control, disbursements, budgeting and management reporting, payroll, and client trust funds for the period of January 1, 2022 through April 30, 2023. Given the timing of the December 2, 2024 OIG Report, certain conditions existed during the annual audit of the year-ended December 31, 2024. DNA was required to update all the policies by June 2, 2025. As of January 15, 2026, management has updated all but one policy noted in the OIG report. Criteria 45 CFR Subtitle B - Subtitle B—Regulations Relating to Public Welfare, Chapter XVI - CHAPTER XVI—LEGAL SERVICES CORPORATION, § 1600.1 - § 1600.1 as further clarified in the LSC Financial Guide. Effect As of December 31, 2024, DNA is not in compliance with Legal Services Corporation federal statutes as further clarified in the LSC Financial Guide. Cause Primarily due to turnover and short staffing in the accounting transaction cycle. Additionally, with the last update of the accounting policies in November 2019, many of the policies have not since been updated as they do not conform to the LSC’s current compliance requirements.

Corrective Action Plan

Recommendation We recommend DNA formally respond, in detail, to all deficiencies reported in the OIG Report, including Accounting Policies and other Policies such as the Vehicle Use Policy. As the Board needs to formally adopt all revised policies as noted in the OIG Report, we recommend: • DNA provide the Board a redline copy of the changes for each revised policy, • correlate each revised policy to each finding in the OIG report and • provide the Board each related policy section guidance in the LSC Financial Guide. Management Response Corrective Action As of January 15, 2026, our accounting department is short one person and we are supporting accounting staff training needs As of January 15, 2026, management has drafted updates and received acceptance by the OIG to all but one of the policies and procedures referenced in the OIG report. Updated policies, including a revised Accounting Manual and an updated Personnel Manual presented to the Board, the Board Budget & Audit Committee and the Board Executive Committee prior to the June 2, 2025 OIG response deadline. Management acknowledges that during the 2024 audit period the Legal Services Corporation Office of Inspector General (OIG) issued a final report on December 2, 2024 noting inadequate accounting policies, practices, and oversight for the period of January 1, 2022 through April 30, 2023. Also, while many of the policies noted in the OIG report have been updated, the policies mentioned in the OIG report have not been reviewed or adopted by the Board. Three primary causes contributed to the deficiencies noted during the period under review by the OIG (January 1, 2022 through April 30, 2023), and before the issuance of the final LSC OIG report in December 2024: • Staffing shortages. For most of the January 1, 2022 to April 30, 2023 review period DNA had three vacancies in our five-person accounting operation. Additionally, our Chief Financial Officer was hired during the middle of the period under review, and even though he has extensive legal services accounting experience, he just started learning about DNA’s organizational structure and accounting practices, and refamiliarizing himself with LSC accounting policies and financial guidelines. • A change in LSC accounting standards applicable to nonprofit LSC funded organizations was implemented during the period under review which made some of our policies and procedures outdated. • Management made a strategic decision to wait for the issuance of the final OIG report to ensure that updates to policies and practices would fully align with the OIG's expectations, rather than implementing piecemeal or interim measures that might have required further revision. Due Date of Completion: February 28, 2026. Responsible Person(s) Executive Director and Chief Financial Officer

Categories

Allowable Costs / Cost Principles Internal Control / Segregation of Duties

Other Findings in this Audit

  • 1215917 2024-003
    Material Weakness Repeat
  • 1215918 2024-003
    Material Weakness Repeat
  • 1215919 2024-003
    Material Weakness Repeat
  • 1215920 2024-003
    Material Weakness Repeat
  • 1215921 2024-003
    Material Weakness Repeat
  • 1215922 2024-003
    Material Weakness Repeat
  • 1215924 2024-004
    Material Weakness Repeat
  • 1215925 2024-004
    Material Weakness Repeat
  • 1215926 2024-004
    Material Weakness Repeat
  • 1215927 2024-004
    Material Weakness Repeat
  • 1215928 2024-004
    Material Weakness Repeat
  • 1215929 2024-004
    Material Weakness Repeat
  • 1215930 2024-004
    Material Weakness Repeat
  • 1215931 2024-004
    Material Weakness Repeat
  • 1215932 2024-004
    Material Weakness Repeat
  • 1215933 2024-004
    Material Weakness Repeat
  • 1215934 2024-004
    Material Weakness Repeat
  • 1215935 2024-004
    Material Weakness Repeat
  • 1215936 2024-004
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
09.703 BASIC FIELD NATIVE AMERICAN - ARIZONA $3.39M
09.703 BASIC FIELD GRANT - ARIZONA $644,904
09.703 BASIC FIELD GRANT - NEW MEXICO $300,688
21.008 LOW INCOME TAXPAYER CLINICS $186,819
09.703 Disaster Relief Grant $114,032
93.558 TEMPORARY ASSISTANCE FOR NEEDY FAMILIES $83,174
16.575 CRIME VICTIM ASSISTANCE $73,767
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $53,266
09.703 BASIC FIELD NATIVE AMERICAN - NEW MEXICO JICARILLA $11,955
09.703 BASIC FIELD GRANT - TECHNICAL IMPROVEMENT GRANT $313
09.703 Basic Field Grant - LSC Carry Forward $0