Source: https://www.lsc.gov/grants-grantee-resources/grantee-guidance/lsc-reporting-requirements
Timestamp: 2019-11-17 22:04:12
Document Index: 520696920

Matched Legal Cases: ['§1620', '§1610', '§1620', '§1620', '§1612', '§1644', '§1644', '§1634', '§1614', '§1634', '§1614', '§1627', '§1627', '§1627', '§1630', '§1631', 'art 1631', '§1630', '§1628', '§1628', '§1628', '§1628', '§1614', '§1607', '§1607', '§1607', '§1607', '§1607', '§1607', '§1607', '§315', '§1006', '§1607', '§2', '§1618', '§1624', '§1619']

LSC Reporting Requirements | LSC - Legal Services Corporation: America's Partner for Equal Justice
Unless otherwise indicated, if due dates for required reports fall on a weekend or holiday the reports are due on the next business day.
OCE is Office of Compliance and Enforcement
OPP is Office of Program Performance
OIG is Office of Inspector General
OLA is Office of Legal Affairs
ODGA is Office of Data Governance and Administration
A: Required Annual Reports
B: Required Semi-Annual Reports
C: Required Quarterly Reports
D: Grant Applications and Renewals
E: Prior Approval Requirements Applying to Certain Events
F: Waivers of Requirements Applying to Certain Events
G. Reports Contingent on the Occurrence of Certain Events
A. Required Annual Reports
OCE Report on Emergency Non-Priority Cases January 31 §1620.7(b) Report format is contained in a LSC Program Letter dated December 8, 1997. Report should be submitted to annualreports@lsc.gov.
Self-Inspection March 1 Grant Terms and Conditions, No. 6 Sample forms and reporting guidance is contained in the Self-Inspections Instructions. Questions should be directed to self-inspectionquestions@lsc.gov.
Certification of Objective Integrity and Independence December 31* §1610.7(b) Report format is contained in a LSC Program Letter dated October 30, 1997. Report should be submitted to annualreports@lsc.gov.
Annual Report on Review of Priorities December 31* §1620.7(c) §1620.7(c) enumerates types of information which the annual report should include. Report should be submitted to annualreports@lsc.gov.
OIG Annual Audit Report and Summary Report Form 120 days after fiscal year-end §III-1 of the Audit Guide for Recipients and Auditors Submit a pdf version of entire audit report to audits@oig.lsc.gov. A hard-bound copy of the audit report is NOT required. Submit the Summary Report Form electronically on the OIG website, using the Input Summary Report Form link. See Audit Findings and Corrective Action Plans for additional reporting requirements.
Extension to Submit Audit Report Two weeks prior to the Audit Report due date §III-2 of the Audit Guide for Recipients and Auditors Under exceptional circumstances, an extension of the 120-day requirement may be granted. Requests not submitted in the required time frame will be granted only for unforeseen, extraordinary and compelling reasons. The extension request must address the specific reason(s) for the request. Submit the extension request by email to audits@oig.lsc.gov.
Grant Activity Reports March 1 Grant Terms and Conditions, No. 6 See the Grant Activity Reports webpage.
*Annual reporting requirements which must be submitted by December 31
B. Required Semi-Annual Reports
OCE Legislative and Rulemaking Activity Report January 31 and
July 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. Report should be submitted to semiannualreports@lsc.gov.
Case Disclosure Report February 1 and
August 1 §1644.4(b)
§1644.4(a) enumerates types of information which the report should include. Report format is contained in Program Letter 98-5. Report should be submitted to semiannualreports@lsc.gov. Numerical information is no longer a reporting requirement. See explanation here.
C. Required Quarterly Reports
Receiving Office Type of Report Due Date Authority Remarks
OPP Board Meeting Minutes Quarterly Grant Terms and Conditions, No. 10 Submission Instructions.
D. Grant Applications and Renewals
See: Our Grant Programs for more details about the application and renewal process.
OPP 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.
The RFP is posted in April on the Basic Field Grant.
View the full list of key competitive grant and grant renewal dates.
See general information about the grant application process.
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.
Grant Renewals (Application to include PAI 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 We annually publish the Grant Renewal Instructions in April. The Renewal Instructions describe information to be submitted through the Basic Field grant renewal process.
E. Prior Approval Requirements Applying to Certain Events
(1) Subgrant Agreements
OCE Formation of Subgrant Agreement using $20,000 or more of LSC funds or LSC-Funded Resources At least 45 days in advance of the proposed subgrant effective date or As part of the basic field grant application §1627.4(b) See Subgrant Agreement Guidance webpage.
Modification to a Subgrant Already Approved in Writing by LSC
Modifications to the scope or objectives, or
Increase or decrease in the amount of funding of more than 10%
LSC written approval required through LSC Grants. §1627.4(b)(5) See Subgrant Agreement Guidance webpage.
Modifcation of a Subgrant from Using LSC-Funds or LSC-Funded Resources of Less than $20,000 to Using $20,000 or More LSC written approval required through LSC Grants. §1627.4(b)(5) See Subgrant Agreement Guidance webpage.
(2) Expenditures of LSC Funds to Acquire Property
OCE A single purchase of real estate, regardless of cost. LSC written approval required.
Submit request in advance of planned aquisition by at least 60 days. §1630.6(b)
§1631 Part 1631 sets out the process and substantive requirements for requests for prior approval, superseding LSC's Property Acquisition and Management Manual and Program Letter 98-4. Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
Expenditure of over $25,000 of LSC Funds on: LSC written approval required.
Submit request in advance of planned aquisition by at least: §1630.6(b)
A single purchase or single lease of personal property; 30 days Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
A single contract for services; 30 days Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
A single combined purchase or lease of personal property and contract for services; or 30 days Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
Capital improvements. 30 days Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
(3) Fund balance deficit
OCE Expenditure to Liquidate LSC Fund Balance Deficit from Prior Year with Current Grant Funds 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.
F. Waivers of Requirements Applying to Certain Events
(1) Fund Balance
OCE 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 depending on the amount of the balance (above or below 25%).
(2) Private Attorney Involvement Expenditure
OCE 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.
(3) Board & Policy Body Requirements
OPP 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.
(1) Auditor Findings & Corrective Action Plans
OIG 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
Public Law 104-134, Sec. 509(b)
§I-9.C of the Audit Guide for Recipients and Auditors
Submit to audits@oig.lsc.gov.
Report format is contained in App. E to the Audit Guide.
OCE 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 Submit to lacchinim@lsc.gov.
§315(c) of OMB Circular A-133 specifies information a corrective action plan should include.
(2) Theft, Losses & Monetary Judgments
OIG 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. Notify LSC OIG (800-678-8868, 202-295-1670 or email at hotline@oig.lsc.gov) within 2 business days Grant Terms and Conditions, No. 16 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 Notify LSC OIG (800-678-8868, 202-295-1670 or email at hotline@oig.lsc.gov) within 2 business days Grant Terms and Conditions, No. 16 Once recipient determines that such reportable event has occurred, recipient is required to contact OIG prior to conducting its own investigation.
Theft of Items Such as Credit Cards, Check Stock, Passwords, or Electronic Access Codes That Could Lead To A Loss of $200 or more. Notify LSC OIG (800-678-8868, 202-295-1670 or email at hotline@oig.lsc.gov) within 2 business days Grant Terms and Conditions, No. 16 Once recipient determines that such reportable event has occurred, recipient is required to contact OIG prior to conducting its own investigation.
OCE 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 Terms and Conditions, No. 6 Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
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 Submit written notification to OCE within 20 days of receipt AND Notify LSC OIG (800-678-8868, 202-295-1670 or email at hotline@oig.lsc.gov) within 2 business days
Grant Terms and Conditions, No. 6 and 16 Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
Receipt of Notice of Attorneys’ Fee Claim under §1006(f) of the LSC Act Submit written notification to OCE within 20 days of receipt Grant Terms and Conditions, No. 6 Applies only to a court finding of harassment or malicious abuse of the legal process. Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
Force Majeure Event Submit written notification to OCE within 20 days of receipt Grant Terms and Conditions, No. 6 Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
(3) Changes to Program Office Structure, Bylaws, Key Staff, or Auditor
OIT 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 15 days to granteeupdates@lsc.gov Grant Terms and Conditions, No. 6 Notice should specify office location and date of change.
Changes in Chief Executive Officer, Chief Financial Officer, or Board Chairperson Submit email notification to LSC within 15 days to granteeupdates@lsc.gov Grant Terms and Conditions, No. 6 Notice should specify name, telephone number and email address of the Chief Executive Officer, Chief Financial Officer, or Board Chairperson.
ODGA Adoption or Change of Articles of Incorporation or Bylaws Submit email notification to LSC within 15 days to granteeupdates@lsc.gov Grant Terms and Conditions, No. 6
§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 at audits@oig.lsc.gov.
Change in Auditor Submit written notification to LSC OIG within 30 days Grant Terms and Conditions, No. 7 Appendix G to the LSC Audit Guide contains a format for notifying LSC of audit firm changes. Written notification to be submitted to LSC Office of Inspector General at audits@oig.lsc.gov.
(4) Cessation of Funding, Mergers & Closeout Plans
OPP Voluntary Decision to Cease to be an LSC Recipient Submit written notification to LSC 60 days prior to effective date Grant Terms and Conditions, No. 19 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 Terms and Conditions, No. 19
Grant Terms and Conditions lists types of information to include in a Closeout Plan.
Merger or Consolidation or other Change in Legal Identity Submit written notification to LSC 60 days prior to effective date Grant Terms and Conditions, No. 5 Grant Terms and Conditions requires notice and submission of Successor in Interest Agreement.
(5) Other Recipients Policies & Procedures
OLA 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.
OCE 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. Email OCE Director, Deputy Director and OCE Program Counsel Liasion.
OLA Adoption or Change of Procedure for Public Access to Program Information Submit to LSC for review and approval any newly adopted procedure or changes in procedure §1619.2