Finding Text
Finding 2023-006 – Case Requirements (Significant Deficiency and Non-compliance)
Information on the Federal Program: Legal Services Corporation Basic Field Grant, Award No.
09.610020
Criteria: 45 CFR Section 1611 requires that a recipient must execute a retainer agreement for each
client that receives extended services.Condition/Context: We examined 71 case files. Of those 71 cases, 13 required a signed retainer
based on the level of service provided. Of those 13 cases, 2 cases did not have the required forms
in the file.
Cause: The assigned attorney did not obtain the required documentation for the file.
Effect: The Organization did not comply with case documentation requirements.
Questioned costs: None
Recommendation: We recommend the Organization strengthen its policies and procedures
surrounding the process of opening and closing case files to ensure compliance with all required
documentation and disclosure requirements.
Views of Responsible Officials: See Management’s View and Corrective Action Plan included at
the end of the report.