Source: http://rin.lsc.gov/grants-grantee-resources/grantee-guidance/lsc-reporting-requirements
Timestamp: 2017-03-27 18:27:19
Document Index: 39972366

Matched Legal Cases: ['§1620', '§1610', '§1620', '§1620', '§1612', '§1644', '§1644', '§1634', '§1614', '§1634', '§1614', '§1627', '§1627', '§1630', '§1630', '§1630', '§1630', '§1628', '§1628', '§1628', '§1628', '§1614', '§1607', '§1607', '§1607', '§1607', '§1607', '§1607', '§1607', '§315', '§1006', '§1607', '§2', '§1618', '§1624', '§1619']

You are hereHome>Grants & Grantee Resources>Grantee Guidance LSC Reporting Requirements This document lists requirements for submitting reports and other information to Legal Services Corporation.
All required reports and waiver requests should be submitted to Legal Services Corporation, 3333 K Street, NW, 3rd Floor, Washington DC 20007 at the office indicated under "Receiving Office."
C: Grant Applications and Renewals
D: Prior Approval Requirements Applying to Certain Events
E: Waivers of Requirements Applying to Certain Events F: Reports Contingent on the Occurrence of Certain Events
G. Grantee Updates Instruction
Report on Emergency Non-Priority Cases
§1620.7(b)
Report format is contained in an LSC Program Letter dated December 8, 1997.
Certification of Objective Integrity and Independence
§1610.8(b)
Report format is contained in an LSC Program Letter dated October 30, 1997.
Annual Report on Review of Priorities
§1620.7(c)
§1620.7(c) enumerates types of information which the annual report should include.
Annual Audit Report and Summary Findings Form
§III-1 of the Audit Guide for Recipients and Auditors
Audit Report and Summary Findings Form to be submitted to the LSC Office of Inspector General.
Grant Assurance 12
See the Grant Activity Reports webpage.
*Annual reporting requirements which must be submitted by December 31.
Legislative and Rulemaking Activity Report
January 31 andJuly 31
§1612.10(c)
Report format is contained in a Program Letter dated December 8, 1997. Report should be submitted whether or not there is legislative or rulemaking activity to report.
§1644.4(b)
§1644.4(a) enumerates types of information which the report should include. Report format in: Program Letter 98-5
To submit numerical information click here.
C. Grant Applications and Renewals
Notice of Intent to Compete
On or around the third week of May
§1634.6(a)
We annually publish a Request for Proposals (RFP) in April. The RFP describes the information required to be included in the Notice of Intent to Compete.
Competitive Grant Applications (Application to include Private Attorney Involvement Plan §1614.6(a))
On or around the first week of June for Standard Grant Applications
On or around the second week of August for Post Program Quality Visit Applications
§1634.7(a)
We annually publish the RFP in April. The RFP describes information to be submitted through the Basic Field grant application process. The RFP is posted in April on the Basic Field Grant.
Grant Renewals (Application to include PAI Plan §1614.6(a))
We annually publish the Grant Renewal Instructions in April. The Renewal Instructions describe information to be submitted through the Basic Field grant renewal process. The RFP is posted in April on the Basic Field Grant.
D. Prior Approval Requirements Applying to Certain Events
Formation of Subgrant Agreement
Submit subgrant agreement to LSC prior to effective date; generally, LSC has 45 days to review and approve.
§1627.3(a)(1)
See Subgrant Agreement Guidance webpage.
Modification of Subgrant Agreement
Submit significant modifications to LSC 45 days prior to effective date; minor changes require notification only.
§1627.3(b)(3)
Prior approval required only for changes of more than 10% in funding or substantial changes in work program.
Expenditure of over $10,000 of LSC Funds to Purchase or Lease an Individual Item of Personal Property
Submit approval request to LSC prior to expenditure; generally, LSC has 60 days to review.
§1630.5(b)(2)
LSC Program Letter 98-4 contains a list of types of information to submit with an approval request. Also see Section 3(d) of the Property Acquisition and Management Manual.
Expenditure of any Amount of LSC Funds to Purchase Real Property
§1630.5(b)(3)
LSC Program Letter 98-4 contains a list of types of information to submit with an approval request.
Also see Section 4(d) of the Property Acquisition and Management Manual.
Expenditure of over $10,000 of LSC Funds to Improve Real Property
§1630.5(b)(4)
LSC Program Letter 98-4 contains a list of types of information to submit with an approval request. Also see Section 4(f) of the Property Acquisition and Management Manual.
(3) Pre-Award, Post-Cessation & Deficit Fund Balance Costs
Expenditure of LSC Funds on Pre-Award and Post-Cessation -of- Funding Costs
Submit approval request to LSC prior to charging of cost.
§1630.5(b)(1)
LSC Program Letter 98-4 contains a list of information to submit with an approval request.
Expenditure to Liquidate LSC Fund Balance Deficit
Submit approval request to LSC within 30 days of submission of the Audit Report for the fiscal year.
§1628.5(b)
§1628.5(d) contains a list of information to submit with a deficit fund balance request.
E. Waivers of Requirements Applying to Certain Events
(1) Excess Fund Balance Requirement
LSC Fund Balance Amount Exceeds 10% of LSC Support
Submit fund balance waiver request to LSC within 30 days of submission of Audit Report for the same fiscal year
§1628.4(a)
§1628.4(a) lists types of information to include in an excess fund balance request.
(2) Private Attorney Involvement Expenditure Requirement
PAI Expenditure Is Less Than 12.5% of the LSC Basic Field Grant Amount
Submit waiver request no later than last day of the fiscal year for which the waiver is requested
§1614.9(e)(1)
A PAI waiver may be requested for either the current year or the coming year.
Board Composition Is Not In Compliance with §1607.3
Submit waiver request when Board structure varies from requirements of §1607.3.
§1607.6
§1607.6(a) requires waivers for programs with historic non-attorney majorities; waivers in other circumstances are discretionary under §1607.6(b).
Compensation of Partner or Associate of Attorney Board Member
Submit waiver request prior to compensation of partner or associate
§1607.5(b)
§1607.6(b) requires approval of a waiver request prior to compensation of a partner or associate.
F. Reports Contingent on the Occurrence of Certain Events
Receipt of an Independent Auditor's Special Report of Non-Compliance(5-day letter)
Notify LSC in writing within 5 business days of independent auditor's special report of non-compliance
To be submitted to the LSC Office of Inspector General. Report format is contained in App. E to the Audit Guide.
Receipt of an Audit Report Requiring Corrective Action
Submit Corrective Action Plan to LSC within 30 days of submission of the audit report
§I-9.D of the Audit Guide for Recipients and Auditors
To be submitted to the LSC Office of Inspector General. §315(c) of OMB Circular A-133 specifies information a corrective action plan should include.
Receipt of Draft Audit Report issued by the OIG Requiring Corrective Action
Submit Corrective Action Plan to OIG within 30 days of receipt of the draft audit report
LSC Grantee Audit Follow-Up Process, 27 October 1997
To be submitted to the LSC Office of Inspector General.
Loss of $200 or more as a result of any: willful misrepresentation or theft of time, crime, fraud, misappropriation, embezzlement, or theft involving property, client funds, LSC funds, and/or non-LSC funds used for the provision of legal assistance.
Telephone LSC OIG within 2 working days; notify LSC OIG in writing (letter or email) within 10 calendar days
Grant Assurance 15
Once recipient determines that such reportable event has occurred, recipient is required to contact OIG prior to conducting its own investigation.
Contacting Local, State, or Federal Law Enforcement Officials About a Crime
Theft of Items Such as Credit Cards, Check Stock, Passwords, or Electronic Access Codes That Could Lead To A Loss of $200 or more.
Monetary Judgment, Sanction, or Penalty (e.g., Rule 11 Sanction, Malpractice, EEO or ADA Judgment, IRS Penalty, or Voluntary Settlement of any such action or matter)
Submit written notification to OCE within 20 days of receipt
Grant Assurance 16
Any grantee key official (executive director, chief financial officer, or other key financial official) is charged with fraud misappropriation, embezzlement, theft or similar offense, or is subjected to suspension, loss of license, or other disciplinary action or bar by other professional licensing organization
Receipt of Notice of Attorneys’ Fee Claim under §1006(f) of the LSC Act
Applies only to a court finding of harassment or malicious abuse of the legal process.
Closure or Relocation of Main or Branch Office or change in its main email address or its website address (URL)
Submit email notification to LSC within 30 days to granteeupdates@lsc.gov
Notice should specify office location and date of change. Changes in Chief Executive Officer or Board Chairperson
Notice should specify name, telephone number and email address of the Chief Executive Officer or Board Chairperson. ODGA
Adoption or Change of Articles of Incorporation or Bylaws
Submit written notification to LSC within 30 days
Grant Assurance 14
§1607.4(c)
Submission of revised document required, but LSC approval not required prior to adoption.
OIG Change in Fiscal Year End
Submit written notification to LSC prior to effective date of change
§2-4.3 of the Accounting Guide for LSC Recipients
Written notification to be submitted to LSC Office of Inspector General. Change in Auditor
Grant Assurance 5 Appendix G to the LSC Audit Guide contains a format for notifying LSC of audit firm changes. (4) Cessation of Funding, Mergers & Closeout Plans
Voluntary Decision to Cease to be an LSC Recipient
Submit written notification to LSC 60 days prior to effective date
Applies only to cessation decisions during the grant term.
Notice of Cessation of LSC Funding
Submit Closeout Plan to LSC within 15 days of cessation notice
Grant Assurance 20 lists types of information to include in a Closeout Plan.
Merger or Consolidation or other Change in Legal Identity
Grant Assurance 20 requires notice and submission of Successor in Interest Agreement.
Adoption or Change of Procedure for Public Access to Program Information
Consult with LSC prior to suspension or termination
§1618.4(b)
Applicable to violations of the LSC Act and LSC rules and regulations; other disciplinary actions are not covered.
Acquisition of New Office Space
Submit certification of accessibility prior to entering into a lease or purchase contract
§1624.5(c)
Certification of accessibility for new leases and purchases of office space only; does not apply to the renewal of an existing lease.
Submit to LSC for review and approval any newly adopted procedure or changes in procedure §1619.2 G. Grantee Activity Reports
Grantee Activity Reports Webpage
Grant AdministrationPro Bono Innovation Fund Grant AssurancesGrant AssurancesTestimony before the House Judiciary Committee Subcommittee on Commercial and Administrative Law Submitted by LSC President Helaine M. Barnett, March 31, 2004
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