Overview
During our audit period, the Department of Developmental Services (DDS) did not always issue decision letters for its investigations within required timeframes. Specifically, for 19 (38%) of the 50 investigations in our sample, the decision letter about the results of the investigation was not completed within the required 45-business-day timeframe. These 19 investigations were completed, on average, 42 business days after the 45 business days allowed; they were 6 to 122 business days late.
When investigations are not completed within the required timeframes, there is a higher-than-acceptable chance that DDS clients may be subject to safety risks.
Authoritative Guidance
Section 9.13(1)(d) of Title 115 of the Code of Massachusetts Regulations (CMR) states,
The results of the investigation shall be reported and a decision letter delivered to the regional director or designee within 45 [business] days of the investigator's assignment.
Also, 115 CMR 9.10(5) states,
The senior investigator or investigator may submit a request for an extension of a time limit set forth in 115 CMR 9.00 upon a showing of necessity and that the delay will not pose a threat to the safety of the individual involved.
Reasons for Issue
DDS did not have formal policies and procedures in place that required regional senior investigators to monitor investigations for timeliness and ensure that any necessary extensions were properly requested, documented, and approved.
DDS management stated that the delays in finalization of investigations and the issuance of decision letters for 5 of these 19 investigations were due to delays in the Disabled Persons Protection Commission’s (DPPC’s) review and approval of DDS’s investigations.
DDS management also stated that an increase in complaints, along with limited staffing resources, had contributed to delays in meeting deadlines.
Recommendations
- DDS should work with DPPC to complete investigations and issue decision letters within 45 business days.
- DDS should formalize the necessary policies and procedures to require that regional senior investigators monitor investigations for timeliness and ensure that any necessary extensions are properly requested, documented, and approved.
- If DDS believes that inadequate staffing is contributing to this issue, it should determine the staffing level it would need to meet the required timeframes and seek funding to reach that level.
Auditee’s Response
With respect to the finding that “DDS did not always issue decision letters for its investigations within required timeframes,” DDS agrees that a percentage of the sampled Investigation Reports, and thus Decision Letters, was not issued within the 45-day time prescribed by DDS regulations. 115 CMR 9.13(1)(d).
The Auditor also correctly notes that the investigator in each of the cases that went beyond the 45-day deadline could have sought an extension of time to complete the investigation but did not. 115 CMR 9.10(5) (“The senior investigator or investigator may submit a request for an extension of a time limit set forth in 115 CMR 9.00 upon a showing of necessity and that the delay will not pose a threat to the safety of the individual involved.”)
An extension to complete an investigation may be necessary when critical information relevant to the investigation is in the hands of a third-party, such as medical records or interviews with the alleged victim’s physician or hospital treating staff, which cannot be accessed within the 45-day time period. The same may be true when a case is referred to law enforcement, or is awaiting approval by DPPC, resulting in significant delays in the issuance of a decision letter. In such cases, it is appropriate for an investigator to seek an extension to ensure the quality and accuracy of the investigation report, so long as delay will not threaten the safety of the alleged victim.
DDS further notes that because the investigative process requires that every intake (case) receives a risk assessment by a senior investigator and, if necessary, that “protective services” be put in place to ensure the safety of the individual or alleged victim or similarly situated individuals, and that protective services continue in place throughout the pendency of the investigation, DDS disagrees with the [Office of the State Auditor’s, or] OSA’s conclusion that “when investigations are not completed within the required timeframes, there is a higher-than-acceptable chance that DDS clients may be subject to safety risks.” . . .
Nevertheless, DDS agrees that decision letters, resulting from completed investigation reports, should be completed within required timeframes and, where they cannot be completed due to factors described above, an extension request should be filed and recorded in [the Home and Community Services Information System, or HCSIS]. . . .
DDS agrees with the OSA recommendation that DDS should work with the DPPC to ensure that investigations are completed, and decision letters approved and issued within 45 days, or that extension requests are filed where appropriate.
In response to the OSA’s recommendation that “DDS should formalize the necessary policies and procedures to require that regional senior investigators monitor investigations for timeliness and ensure that any necessary extensions are properly requested, documented, and approved,” DDS responds that senior investigators meet individually with investigators, and as a team, every two weeks to review case status, and will continue to do this to monitor timeframes for completion and whether requests for extension(s) have been or should be made. DDS will formalize this process in writing in an updated version of the DDS Investigations Manual. Further, DDS has directed that in all cases where decision letters are awaiting approval by DPPC or are referred to law enforcement and are therefore pending, the senior investigator or investigator shall submit an extension request pursuant to 115 CMR 9.10(5), consistent with the OSA recommendation.
In response to the OSA’s recommendation regarding the adequacy of staff to complete investigations timely, DDS notes that since the Audit Period, the Investigations Unit has added eight (8) full-time employees: 4 investigators, 1 senior investigator, and 3 administrative support staff. DDS does not believe that further resources are necessary at this time.
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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