Finding Text
U.S. Congress via Legal Services Corporation (ALN 09.U01.339080) Statement of Condition: During our audit, we noted that for one of four cases tested involving a non- citizen and sixty cases tested in total, the required supporting documentation necessary to demonstrate allowability was not available for a case involving a non- citizen. The case was charged partially to LSC sources and partially to other funding sources. Criteria: Under the Code of Federal Regulations (45 CFR §§ 1626) recipients may not use any funds to provide legal services for or on behalf of aliens. Alien status and eligibility are defined at 45 CFR 1626.5. Aliens eligible for assistance under anti – abuse laws are set out at 45 CFR 1616.4. Cause: According to LASP, initial contact with the client was online and therefore not all documentation was immediately collected. LASP expected to be able to obtain the appropriate documentation from the client allowing services for anti- abuse cases but was unable to do so. When attempts to collect the data were not successful, case time was not removed from LSC sources. Effect of the Condition: The costs charged to LSC related to the unallowable case are questioned costs in the amount of $154.61. LASP handled 263 noncitizen cases during the fiscal year of which 170 were charged to LSC funding based on LASP records. This is not a repeat finding. Recommendation: LASP should provide training to intake personnel and staff regarding acceptable documentation required for LSC when handling non- citizens cases. If the necessary information cannot be collected, a non- LSC funding stream should be charged. Views of responsible officials and planned corrective action: LASP (Legal Aid of Southeastern Pennsylvania) has a rigorous compliance protocol that includes weekly compliance team meetings, a review of multiple LegalServer reports for compliance issues, and ongoing compliance and regulatory communications with LASP’s staff. The LASP Compliance Team includes John Farrell, Grants Compliance Specialist, Carolyn Johnson, Chief Counsel, Phillip Hammond, Director of Operations, and Erika Becker, Compliance Specialist. The experienced Compliance Team is tasked with knowing and understanding the LSC (Legal Services Corporation) restrictions and the multiple regulatory obligations to all LASP’s funding sources. LASP Compliance Team provides the following compliance functions: Weekly reviews of case file openings, funding code assignments, and time allocation reports. Ongoing training of the Grants Compliance staff on the capabilities of LegalServer to meet LASP obligations to track case files, advocate time entries, and to ensure that the case time is allocated to the proper funding source. Detailed analysis of individual files noted in the weekly reports as not being properly documented. Erika Becker, Compliance Specialist, emails weekly reports to LASP advocates with links to files that need documentation to meet the assigned funding code. Erika noted during the fiscal year that the file that is the subject of this comment needed to be properly documented and contacted the advocate. The advocate appropriately documented the case file for the assigned funding code. Prompts have been added to LegalServer to alert the LASP advocates to compliance issues that need to be addressed, including directing the advocate to upload all intake documentation. LegalServer prompts require LASP advocates to note that compliance obligations have been met for the case file’s assigned funding code. As a direct response to the audit comment, LASP has implemented a monthly review of open and closed noncitizen case files and advocate time entries to ensure that time entries are allocated to an allowable funding source. LASP’s Compliance Team, with the support of the Executive Director, Shawn Boehringer, requires advocates to follow all funding source restrictions, and provides quarterly training to all LASP staff on compliance issues.