DB3.3

CH.8

After reading Chapter 8:

And Answered the Discussion Question that:

How should managers react if representatives of an external regulatory orgnaizatin arrive at their

departments to audit their activities?

Respond to three other discussion(I’ll uploaded letter after you done the Discussion ). (Your response must

be of significance, more than just yes or no)

You will need to post your comment as respond to the comments by no more than 2-3 Complete Sentences. I

Looking on the depth, not the length of your comments

Comment to: (Please no more than 2-3 Complete Sentences.)

M. C.

When looking at how a manager should react to external agencies visiting, they should be

welcoming. Not only are these agencies being there for a reason, but these visits are inevitable. First, they

would need to see what agency it is, just so the manager can know what is going on. Fallon and McConnell

(2014) state that nothing can be accomplished if one were to be defensive or uncooperative when an external

agency visit. They also say that this can be an opportunity for the organization to see where they may need

to review some practices and see how they may improve and possibly avoid violations in the future.

Before an agency visits, Fallon and McConnell (2014) say that it is good to understand the agency’s

guidelines and policies. This will make it easier for both parties since there will not be any confusion about

why the visiting agency is looking at specific paperwork. The authors also mention that when investigating

internal complaints, as managers, we need to determine whether the complaint is valid or not. This will

make it easier when coming up with a response to the visiting agency. Fallon and McConnell (2014)

mention that if an organization is in the wrong for this complaint, there is no point in fighting it. This is

something that they should accept and cooperate with the agency. However, Fallon and McConnell (2014)

say that the external investigator usually hears one side of the story. So as managers, we need to talk with

them so they can hear both sides of the story. By doing so, we can work with this agency to take the

appropriate actions.

References

Fallon, L. F., & McConnell, C. R. (2014). Human resource management in health care; Principles and

practice (2nd edition). Jones & Bartlett Learning.

A. A.

The audit function can be divided into internal audit function or external audit function. The internal

audit function focuses more on the internal controls and compliance requirements for an organization to

assure its operations and affairs’ integrity and affairs. Many organizations must appoint an independent and

appropriately qualified external auditor to undertake the external investigation. Independence can be defined

as being free from relationships with management and the organization that can interfere with acting in its

best interests. Adequate and regular communication between the internal and the external auditor ensures

their work is coordinated and efficient use of resources.

Representatives may visit organizations to investigates employment practices for possible violations.

Department managers can become involved in providing information to determine whether an employee is

appropriately classified as exempt or nonexempt or whether time worked has been appropriately reported.

Managers should be prepared for the meeting and understand the purpose of the meeting. A considerable

part of Human Resource’s role regarding external agencies is knowing the law and an agency’s guidelines

and procedures (Fallon and McConnell, 2014) . It is also necessary to obtain information from the internal

auditor on internal control weaknesses and work to improve them. Human Resources can usually keep a

department manager’s involvement with external agency representatives to a minimum. Limit managers’

answers to comment to areas where they have first-hand knowledge and supporting documentation to avoid

issues unnecessarily growing or going to the investigators. Managers should anticipate questions related to

the documents, and they should listen carefully and understand the auditor’s question before answering.

Managers need to be thoughtful, complete, and accurate when corresponding to external investigators, even

if they think it unnecessarily forceful action.

References

Burt, I. (2016). An understanding of the differences between internal and external auditors in obtaining

information about internal control weaknesses. Journal of Management Accounting Research, 28(3), 83-

99. doi: 10.2308/jmr-51471.

Fallon L., & McConnell C. (2014). Human resource management in health care. (2nd ed). Jones & Bartlett

Publishers. Sudbury, MA. ISBN: 978-1-449-68883-7.

D. L.

Managers should comply if credentials are presented and verified. Once the credentials have been

verified, then it would be in the best interest of the manager not to be defensive or uncooperative. Being a

manager also means you should know the laws and the human resources department staff should be trained

to handle the situation by following the guidelines and procedures that are in place. The staff that are helping

the auditor should handle the situation in, again, a non-defensive and cooperative manner throughout the

investigation. If human resources has done its job well, the manager should be involved minimally with

updates throughout.

T. P.

Managers should be patient, cooperative and involved when representatives of an external regulatory

organization arrive at their departments to audit their activities. It is also important for managers to know the

law as well as an agency’s guidelines and procedures. Agents may visit organizations to examines

employment practices for conceivable infringement. Department supervisors can become included in giving

data to decide whether an worker is fittingly classified as exempt or nonexempt or whether time w orked has

been suitably detailed. Having representatives come to audit can be stressful. If it’s in a short amount of

time, there probably isn’t much you can do to improve the outcome, but there is plenty you can do to make

the process more comfortable for everyone involved. Such as preparing documents in advance, instructing

your staff to cooperate politely and by any means, don’t lie, embellish, or bury information. If by chance you

fail an audit. The correct response is to contemplate the report carefull y and develop a proactive remediation

plan immediately. Humility may save your job, but you can’t step off onto the recovery road until you admit

you have a problem. Ask for help. Operations that have been dysfunctional for years can’t be turned around

overnight. Organizational culture may inhibit a turnaround and objective, external assistance may be

required.

When I worked at a behavioral hospital, there were expectations that they expected from the employee and

how the unit should be run when I first was hired. But of course people become complacent and slake on

their duties. Whenever an external regulatory organization was expected to audit the unit, management

would become frantic and act completely different. They would be more present; helping during codes and

assisting when needed among the staff. It shouldn’t take having an external regulatory organizati on come to

an facility for duties to be done correctly.

References

Fallon L., & McConnell C. (2014). Human resource management in health care. (2nd ed). Jones & Bartlett

Publishers. Sudbury, MA. ISBN: 978-1-449-68883-7.