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Audit Audit of the Department of Industrial Accidents

Audit examined whether DIA reported all fees, penalties, and continuances to the Workers’ Compensation Advisory Council (WCAC) within the timeframes established by Sections 7F and 11 of Chapter 152 of the General Laws and adjudicated workers’ compensation cases in accordance with Sections 10A and 11 of Chapter 152 of the General Laws for the period July 1, 2017 through June 30, 2019.

Organization: Office of the State Auditor
Date published: March 23, 2021

Executive Summary

In accordance with Section 12 of Chapter 11 of the Massachusetts General Laws, the Office of the State Auditor has conducted a performance audit of the Department of Industrial Accidents (DIA) for the period July 1, 2017 through June 30, 2019. In this performance audit, we determined whether DIA reported all fees, penalties, and continuances to the Workers’ Compensation Advisory Council1 (WCAC) within the timeframes established by Sections 7F and 11 of Chapter 152 of the General Laws and adjudicated workers’ compensation cases in accordance with Sections 10A and 11 of Chapter 152 of the General Laws. We also determined whether DIA administered its Opioid Alternative Treatment Pathway Program in accordance with its policies and procedures, its employee flextime program in accordance with the Massachusetts Human Resources Division’s “Time and Attendance Policy for 2012 and 2018,” and the parking privileges in its property lease agreements in accordance with the Division of Capital Asset Management and Maintenance’s2 best practices for parking.

Below is a summary of our findings and recommendations, with links to each page listed.

Finding 1

DIA did not report all fees, penalties, and case continuances to WCAC.

Recommendations

  1. DIA should report attorney fees, insurer penalties, and case continuances to WCAC.
  2. DIA should develop policies and procedures to establish a process for reporting attorney fees, insurer penalties, and case continuances to ensure that this information is reported to WCAC.

Finding 2

DIA did not always meet its mandated timeframes for completing certain case claim events.

Recommendation

DIA should develop policies and procedures regarding the completion of single- and group-case claim events to ensure consistency in meeting its timeframes.

Finding 3a

DIA did not retain employees’ security awareness training certificates.

Finding 3b

DIA did not have documented management approval for certain employees’ access rights in its case management system (CMS).

Finding 3c

DIA did not always immediately revoke terminated employees’ access rights in its CMS.

Finding 3d

DIA did not have a business continuity plan (BCP).

Recommendations

  1. DIA should keep security awareness training certificates in employee personnel files.
  2. DIA should develop a formal process to ensure that security awareness training certificates are collected and retained in each employee’s personnel file.
  3. DIA should develop a formal process for recording and maintaining approvals of CMS user access requests.
  4. DIA should revoke employees’ access to its CMS immediately upon termination.
  5. DIA should formally develop a BCP.

 

A PDF copy of the audit of the Department of Industrial Accidents is available here.

 

1.     WCAC oversees the workers’ compensation system in Massachusetts.

2.     According to its website, “The Division of Capital Asset Management and Maintenance . . . is responsible for capital planning, major public building construction, facilities management, and real estate services for the Commonwealth.”

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