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Home : Reports and Publications : Audit & Evaluation : Risk-Based Review of WD’s Project M&P; Function - Nov 2003

Appendix A: Voting Results by Risk (cont'd)

Group: Staff Management

Risk

  1. Inappropriate resource level and mix for M&P.
 

Risk Rating:

High
Risk Assessment
  • Claim processing activities are not tracked (e.g. average processing time, backlog, productivity, pending and rejected claims) to quantify workloads
  • The workload associated with increased monitoring, and project evaluation activities has not been quantified
  • The impact on workload of possibly reducing the amount of claims verification activity has not been quantified
  • Different regions are staffed differently to reflect regional volumes and procedures
Controls Ref. Description
  No department-wide, formal and current controls exist
Deficiencies Description Rec.
WD cannot assess its staffing levels or requirements until it has determined the activities M&P must perform (including monitoring and performance evaluation activities, and the extent of claim verification activities), quantified volumes and standardized procedures for M&P
 N
There is no central coordination of the M&P function
 H
M&P lacks any current and specific policies and procedures to govern its activities and processes in accordance with regulations and WD interpretations
 E
M&P lacks operating standards and measures by which it can monitor its efficiency
 I
WD has not formally assigned project evaluation and outcome tracking activities to any organizational unit
 B

 

Risk

  1. Lack of appropriate training (e.g. project evaluation, outcomes, DDR, approvals, post assessment, risk management, teamwork, etc.).
 

Risk Rating:

High
Risk Assessment
  • WD relies extensively on the knowledge and experience of its senior M&P officers
Controls Ref. Description
  No department-wide, formal and current controls exist
Deficiencies Description Rec.
There is no central coordination of the M&P function to identify and address training requirements
 H
There is no training of M&P staff on regulations and WD interpretations, including on-going training on changes
 G

 

Risk

  1. Lack of succession planning for anticipated retirements
 

Risk Rating:

High
Risk Assessment
  • WD relies extensively on the knowledge and experience of its senior M&P officers
  • Many senior M&P officers are nearing retirement
Controls Ref. Description
  No department-wide, formal and current controls exist
Deficiencies Description Rec.
There is no central coordination of the M&P function to identify and address succession issues
 H
There is no formal succession planning done in the regions
N

 

Risk

  1. Inappropriate use of contractors to perform M&P activities
 

Risk Rating:

Mod.
Risk Assessment
  • Only one region continues to use contract M&P resources on a full-time basis
Controls Ref. Description
  No department-wide, formal and current controls exist
Deficiencies Description Rec.
There is no compelling reason to use permanent and full-time contract resources to perform M&P activities performed by staff in other regions N

 

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