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ARCHIVED - Audit of the Management of the Public Service Disability Insurance Plan

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4.  Overall Conclusion

A number of management control framework elements are in place to support the Secretariat's accountabilities in managing the DI Plan. Further improvements are required in order to:

  • clarify and update roles, responsibilities, accountabilities and authorities;
  • ensure that monitoring, reporting, and risk management processes are formal, systematic, and comprehensive; and
  • enhance and formalize recruitment and succession planning processes.

The assurance statement presented at the outset of this report reiterates this conclusion and provides details regarding the level of assurance and methodology.

5.  Recommendations

The following recommendations are directed to the Assistant Deputy Minister of the Pensions and Benefits Sector:

  1. Roles, responsibilities, accountabilities and authorities for the Secretariat and its DI Plan delivery stakeholders should be reviewed, clarified, adjusted where necessary, and summarized in a consolidated manner.
  2. Existing monitoring and reporting activities should be enhanced and formally defined to support DI Plan management. The monitoring aspect of such a framework should include the following:
    1. Definition of monitoring objectives, key activities and related responsibilities;
    2. Analysis of the accuracy and completeness of information provided by delivery stakeholders;
    3. Verification of payments related to the DI Plan;
    4. Measures to assess performance; and
    5. Documentation and retention requirements relating to DI Plan activities.
  3. Existing risk management activities in support of DI Plan management should be enhanced, formally defined, and implemented to ensure that risks are regularly identified, assessed, and mitigated in a comprehensive and systematic manner.
  4. Recruitment and succession planning processes should be enhanced and formalized to ensure that the necessary knowledge and skills related to insurance benefits programs are maintained.

A management response and action plan has been developed by the Secretariat and is presented in Appendix 3.