Division of Administrative Law Appeals

This is a Massachusetts State Auditor performance audit of the Division of Administrative Law Appeals, covering June 1, 2009 through September 30, 2013.

“This report details the audit objectives, scope, methodology, findings, and recommendations for the audit period, June 1, 2009 through September 30, 2013.”

The auditor checked whether DALA fixed problems found in an earlier audit and whether those fixes were enough.

“The objective of our audit was to follow up on the issues identified in our prior audit report (No. 2009-0345-3O) to determine what measures, if any, DALA had taken to address those issues as well as the adequacy of those measures.”

DALA handles hearings for disputes involving state agencies, so weak tracking and unclear procedures can delay decisions and make it harder to know whether cases are being handled fairly and efficiently.

“Without formal written case-management policies and procedures, DALA does not have adequate controls in place to ensure that case-management activities are being performed in a consistent, effective, and efficient manner and in compliance with applicable laws and regulations.”

If you are involved in a state-agency dispute, this office may affect how quickly and clearly your case moves through the process.

“Typical issues heard by DALA include pension eligibility, disciplinary actions against physicians, child protection, standards of care in eldercare facilities, allegations of patient abuse by licensed healthcare professionals, environmental protection and permitting decisions, and allegations of misconduct by public employees.”

The auditor’s bottom line was that DALA needs stronger controls, better case-tracking software or practices, written procedures, accurate reporting, and continued work on the backlog.

“DALA should continue its efforts to establish and improve internal controls over case management.”

After the audit work ended, DALA sought help from the State Comptroller’s office on risk assessment and internal controls, and the report says DALA planned further policy review.

“After we finished our audit fieldwork, DALA met with OSC to seek guidance on conducting a comprehensive risk assessment and on preparing or updating an ICP for fiscal year 2014 to meet the requirements of OSC’s Internal Control Guide.”

This matters because legislators and oversight officials need accurate information to judge whether DALA is keeping up with cases and following the law.

“Thus, DALA did not provide these entities with the information necessary for them to effectively assess the current status of cases being handled by DALA.”