Legal Services Corporation
FFAL #09-742018 Legal Services Corporation - Basic Field - General
FFAL #09-742018 Legal Services Corporation - Basic Field - Native American
Eligibility
Significant Deficiency in Internal Control over Compliance and Noncompliance
Condition: The auditor's testing detected two instances in which U.S. Citizen Attestation was not retained.
Management's Response: All employees have received additional training on compliance procedures, and new employees will receive the same. All files being closed are now reviewed first for accuracy by the case handler of that file. The files are double checked by the office secretary. At the end of the quarter, all files are sent to compliance for a third review. Any needed corrections are noted by compliance and the file is then sent back to the office where it originated from to be corrected. Then the corrections to the file are reported back to compliance to verify that they have been made. All Legal Secretary staff have just completed a mandatory two-day in-person training session, which in large part covered this and other compliance related issues. By the end of June 2024, all case handlers will receive in-person training on compliance issues. The program has also started a new procedure where any client coming into an office is asked to complete an attestation statement which can be added to the client file if needed.
Responsible Individuals: Dawn Marshall, Co-Compliance Officer, Kaeleigh Lundberg, Co-Compliance Officer, Tom Mortland, Executive Director, Lori Stanford, Deputy Director.
Anticipated Completion Date: July 31, 2024.