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."

Unless otherwise indicated, if due dates for required reports fall on a weekend or holiday the reports are due on the next business day.

Receiving Offices

  • 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: 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

A. Required Annual Reports

Receiving Office

Type of Report

Due Date

Authority

Remarks

OCE Report on Emergency Non-Priority Cases January 31 §1620.7(b) Report format is contained in an LSC Program Letter dated December 8, 1997.
Certification of Objective Integrity and Independence December 31* §1610.7(b) Report format is contained in an LSC Program Letter dated October 30, 1997.
Annual Report on Review of Priorities December 31* §1620.7(c) §1620.7(c) enumerates types of information which the annual report should include.
OIG Annual Audit Report and Summary Findings Form 120 days after fiscal year-end §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.
ODGA
Grant Activity Reports March 1 Grant Assurance 12 See the Grant Activity Reports webpage.

*Annual reporting requirements which must be submitted by December 31.

B. Required Semi-Annual Reports

Receiving Office

Type of Report

Due Date

Authority

Remarks

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.
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 in: Program Letter 98-5

 To submit numerical information click here.

 

C. Grant Applications and Renewals

Receiving Office

Submission

Due Date

Authority

Remarks

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.

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.  

 

D. Prior Approval Requirements Applying to Certain Events

Receiving Office

Event

Action & Due Date

Authority

Remarks

(1) Subgrant Agreements
OCE 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.
(2) Expenditures of LSC Funds to Acquire Property
OCE 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 Submit approval request to LSC prior to expenditure; generally, LSC has 60 days to review. §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 Submit approval request to LSC prior to expenditure; generally, LSC has 60 days to review. §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
OCE 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

Receiving Office

Event

Action & Due Date

Authority

Remarks

(1) Excess Fund Balance Requirement
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.
(2) Private Attorney Involvement Expenditure Requirement
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.

 

F. Reports Contingent on the Occurrence of Certain Events

Receiving Office

Event

Action & Due Date

Authority

Remarks

(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

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.
(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. 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 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.
Theft of Items Such as Credit Cards, Check Stock, Passwords, or Electronic Access Codes That Could Lead To A Loss of $200 or more. 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.
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 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 Submit written notification to OCE within 20 days of receipt Grant Assurance 16  
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 Assurance 16 Applies only to a court finding of harassment or malicious abuse of the legal process.
Force Majeure Event Submit written notification to OCE within 20 days of receipt Grant Assurance 16  
(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 30 days to granteeupdates@lsc.gov Grant Assurance 15 Notice should specify office location and date of change. 
Changes in Chief Executive Officer or Board Chairperson Submit email notification to LSC within 30 days to granteeupdates@lsc.gov Grant Assurance 15 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
and
§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 Submit written notification to LSC within 30 days 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
OPP Voluntary Decision to Cease to be an LSC Recipient Submit written notification to LSC 60 days prior to effective date Grant Assurance 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 Assurance 19 Grant Assurance 20 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 Assurance 19 Grant Assurance 20 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.
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   

G. Grantee Activity Reports