Overview
During our audit period, DDS complaint resolution teams (CRTs) did not consistently develop action plans within the required 30-business-day timeframe. Specifically, 17 (28%) of the 60 completed investigations in our sample had action plans that were not developed within 30 business days. On average, they were developed 71 business days after the established due dates; the most delayed report was 307 business days late. This results in a higher-than-acceptable risk of continued abuse and mistreatment.
Authoritative Guidance
According to 115 CMR 9.14(3), CRTs must develop action plans “within 30 [business] days of an assignment to the CRT coordinator” for complaints investigated by DDS.
Reasons for Issue
DDS did not have effective monitoring controls within its policies and procedures to ensure that CRTs developed action plans on time. According to DDS, there were logistical challenges in working with CRTs and ensuring that meetings occurred often enough to meet deadlines for developing action plans. DDS stated that it would improve its methods of communication with CRT members to provide more timely issuance of action plans and also generally enhance supervision and monitoring.
Recommendation
DDS should enhance its policies and procedures by implementing effective monitoring controls to ensure that action plans are developed within required timeframes.
Auditee’s Response
DDS agrees with OSA’s Finding No. 2 that “deadlines for developing Action Plans for alleged victims were not always met.” DDS notes because the investigative process requires that “protective services” be put in place to ensure the safety of the individual or alleged victim and similarly situated individuals upon the investigator’s preliminary risk assessment and recommendation, and continue in place throughout the pendency of the investigation, DDS disagrees with the OSA‘s conclusion that “[t]his [delay in action plans finalization] results in a higher-than-acceptable risk of continued abuse and mistreatment.” . . .
DDS agrees with the recommendation that it should enhance its policies and procedures by implementing effective monitoring controls to ensure that action plans are completed within required timeframes. DDS has formed a workgroup consisting of staff from the Bureau of Program Integrity, senior managers, and operations staff to develop and implement monitoring of timeframes for completion of action plans across the state and implement oversight over their completion.
Auditor’s Reply
Based on its response, DDS is taking measures to address our concerns in this area.
| Date published: | June 29, 2021 |
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