LSC Reporting Requirements

This page lists requirements for submitting reports and other information to the Legal Services Corporation.

Section Dropdown

Case Service Reporting

Case Service Reporting provides key definitions and responses to frequently asked questions regarding case management systems, reporting requirements, documentation requirements, types of case services, referrals, case definitions and closure categories, legal problem code categories and codes, private attorney involvement cases, and transitional questions.

Instructions for CSR data reporting appear in the Grant Activity Reports section of this website. 

Information about CSR reporting requirements can be found here.

TIG Reporting

Grants awarded through the Technology Initiative Grant (TIG) program require recipients to report and request payments as they complete work on their projects. Information about TIG reporting requirements can be found here.

PBIF Reporting

Pro Bono Innovation Fund grantees have additional reporting requirements that must be submitted to LSC by the due dates provided as part of the acceptance of the award. Information about these requirements can be found here.

Other Services Reporting

Other services are defined as non-case services or matters under 45 C.F.R. § 1620.2(b) and 1635.2(b). Through other services reporting, legal aid organizations collect data on legal services provided to the low-income community other than services provided as part of the work performed on accepted cases.

For reporting other services, please see page 20 of the Grant Activity Reports Guidance Document.

Receiving Offices

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

*Annual reporting requirements which must be submitted by December 31

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 a LSC Program Letter dated December 8, 1997. Report should be submitted via the GrantEase system.

 

OCE

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.

OCE

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 via the GrantEase system.

OCE

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 via the GrantEase system. 

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.

OIG

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.

ODGA

Grant Activity Reports

March 1

Grant Terms and Conditions, No. 6

See the Grant Activity Reports webpage.

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. Report should be submitted via the GrantEase system.

OCE

Case Disclosure Report

January 31 and
July 31

§1644.4(b)

§1644.4(a) enumerates types of information that the report should include. Report format is contained in Program Letter 98-5. Report should be submitted via the GrantEase system. 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.

 

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.

See general information about the grant application process.

OPP

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.  

See general information about the grant application process.

OPP

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 t be submitted through the Basic Field grant renewal process.  

See general information about the grant application process.

E. Prior Approval Requirements Applying to Certain Events

Receiving Office

Event

Action & Due Date

Authority

Remarks

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.

Modification 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. 

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 acquisition 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 Liaison.

Expenditure of over $25,000 of LSC Funds on:

LSC written approval required.

Submit request in advance of planned acquisition by at least:

§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 Liaison.

A single purchase or single lease of personal property;

30 days

 

Email OCE Director, Deputy Director and OCE Program Counsel Liaison.

A single contract for services;

30 days

 

Email OCE Director, Deputy Director and OCE Program Counsel Liaison.

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 Liaison.

Capital improvements.

30 days

 

Email OCE Director, Deputy Director and OCE Program Counsel Liaison.

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

Receiving Office

Event

Action & Due Date

Authority

Remarks

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%).

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.

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.

 

G. Reports Contingent on the Occurrence of Certain Events

Receiving Office

Event

Action & Due Date

Authority

Remarks

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.

Theft, Losses & Monetary Judgements 

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 Liaison.

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 Liaison.

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 Liaison.

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 Liaison.

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
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 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.

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

1630.18

1630.19

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.

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 Liaison.

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 

 

 

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