Finding 500263 (2023-003)

Significant Deficiency Repeat Finding
Requirement
P
Questioned Costs
-
Year
2023
Accepted
2024-09-30

AI Summary

  • Core Issue: A retainer agreement was not executed for one extensive service case, violating LSC regulations.
  • Impacted Requirements: Compliance with LSC Reg. #1611.9.a regarding written retainer agreements is essential for funding eligibility.
  • Recommended Follow-Up: Provide ongoing training for staff on retainer agreements to prevent future noncompliance.

Finding Text

2023-003 Retainer Agreements Legal Services Corporation ALN#09.233100 Criteria: Legal Services Corporation (LSC) Reg. #1611.9.a Financial Eligibility section 9 Retainer agreements requires that when an LSC grant recipient provides extended service to a client, the recipient shall execute a written retainer agreement with the client when representation commences or as soon thereafter as is practicable. Condition: A retainer was not executed for one (1) extensive service case. Cause: The policy related to the retainer agreement was not appropriately applied by the employee. Effect: Noncompliance with LSC regulations could impact future funding level. Context: Out of sixty (60) LSC cases selected for eligibility testing, a retainer was not executed for one (1) extensive service case. Questioned costs: There are no questioned costs noted. *This is a repeated finding from the prior year. The prior year finding # was 2022-001. Recommendation: We recommend that Legal Services NYC continue to provide relevant training to employees involved in client intake regarding the retainer agreements. Views of responsible officials: See corrective action plan.

Corrective Action Plan

The attorney responsible for failing to obtain a retainer in this case was advised that retainers must always be obtained for full representation cases, and required to review a compliance training video. Ongoing compliance trainings have been modified to emphasize the importance of completing retainers with clients, for LSC compliance purposes, professional liability protection purposes, and to ensure that clients are made aware of the scope of services that LSNYC has agreed to provide and their own responsibilities in their representation.

Categories

Eligibility

Other Findings in this Audit

  • 500264 2023-004
    Significant Deficiency Repeat
  • 500265 2023-005
    Significant Deficiency
  • 500266 2023-006
    Significant Deficiency
  • 500267 2023-007
    Significant Deficiency
  • 1076705 2023-003
    Significant Deficiency Repeat
  • 1076706 2023-004
    Significant Deficiency Repeat
  • 1076707 2023-005
    Significant Deficiency
  • 1076708 2023-006
    Significant Deficiency
  • 1076709 2023-007
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
09.223 Legal Services Corporation $16.06M
93.558 Temporary Assistance for Needy Families $8.46M
21.027 Coronavirus State and Local Fiscal Recovery Funds $5.01M
16.575 Crime Victim Assistance $2.02M
93.914 Hiv Emergency Relief Project Grants $1.10M
93.044 Special Programs for the Aging, Title Iii, Part B, Grants for Supportive Services and Senior Centers $564,516
14.418 Private Enforcement Initiatives $400,702
93.569 Community Services Block Grant $313,351
21.008 Low Income Taxpayer Clinics $265,388
93.048 Special Programs for the Aging, Title Iv, and Title Ii, Discretionary Projects $238,716
16.588 Violence Against Women Formula Grants $149,999
64.033 Va Supportive Services for Veteran Families Program $137,500
93.667 Social Services Block Grant $100,468
10.561 State Administrative Matching Grants for the Supplemental Nutrition Assistance Program $60,999
93.778 Medical Assistance Program $56,769
14.408 Fair Housing Initiatives Program $14,491
16.524 Legal Assistance for Victims $1,516