| Organization: | Office of the State Auditor |
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| Date published: | April 7, 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 certain activities of the Division of Administrative Law Appeals (DALA) for the period July 1, 2017 through December 31, 2019. In this performance audit, we followed up on issues identified in our Audit Report No. 2014-0345-7S, which covered the period June 1, 2009 through September 30, 2013 and was issued September 23, 2015. In the prior audit, we found that DALA did not establish formal written policies and procedures for case-management activities; meet statutory reporting requirements for filing an annual report; develop a risk assessment or complete a compliant internal control plan (ICP); adopt internal controls to address case management; have a system to use feedback to improve itself; or conduct a review to assess the potential necessity, costs, and benefits of conducting hearings at other venues.
During our current audit, we found that DALA had developed a system for obtaining feedback on its performance and conducted hearings at alternative sites. The issues that still need improvement are developing written procedures and implementing controls for case management, completing a compliant ICP, and submitting a compliant annual report to the Legislature.
We also reviewed a February 2, 2018 audit report from the US Department of Education’s Office of Special Education Programs to determine what measures DALA’s management had taken to address the issues cited in that audit report. In addition, we determined whether DALA’s Bureau of Special Education Appeals (BSEA) administered its hearings in compliance with all applicable federal and state requirements for hearing timelines, including Section 615(c)(2) of the Individuals with Disabilities Education Act, Section 300.515 of Title 34 of the Code of Federal Regulations, BSEA’s Hearing Rules for Special Education Appeals, and Section 28 of Title 603 of the Code of Massachusetts Regulations.
Below is a summary of our findings and recommendations, with links to each page listed.
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DALA does not have written policies and procedures for case-management activities. |
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DALA should develop written policies and procedures for all of its case-management activities. |
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DALA Does Not Have a Compliant ICP. |
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DALA does not include all the required elements in its annual reports. |
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BSEA hearing officers did not consistently document case postponements. |
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BSEA hearing officers did not consistently document requests and orders to add days to hearing schedules. |
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A PDF copy of the audit of the Division of Administrative Law Appeals is available here.
Table of Contents
- List of Abbreviations
- Overview of Audited Entity
- Audit Objectives, Scope, and Methodology
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- The Division of Administrative Law Appeals Does Not Have Written Policies and Procedures for Case-Management Activities.
- DALA Does Not Have a Compliant Internal Control Plan.
- DALA Does Not Include All the Required Elements in Its Annual Reports.
- Hearing Officers in the Bureau of Special Education Appeals Did Not Consistently Document Case Postponements.
- BSEA Hearing Officers Did Not Consistently Document Requests and Orders To Add Days to Hearing Schedules.
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