Bonnie  Johansen,  Chairperson:  SABPP  Western  Cape  

2  

•  We need to improve the quality of HR practice.

•  HR will not be seen as a true profession without standards.

•  Inconsistencies – practices, sites, business units, companies, industries.

•  Too many bad examples of things going wrong – Marikana, Medupi.

•  Raising the bar for the HR profession and business impact.

3  

•  Impose an onerous compliance regime

•  Duplicate best practices

•  Our company is so unique syndrome

•  Standards stifle innovation

•  Take flexibility away

•  Ignore industry differences

•  Too practical, not based on theory/research

•  Standards are cast in stone

BUSINESS    STRATEGY  –  HR  BUSINESS  ALIGNMENT          

Strategic  HRM  

Talent  Management  

HR  Risk  Management  

FUNCTIONAL  &  CROSS  FUNCTIONAL  HR  VALUE  CHAIN          

HR  VALUE  &    DELIVERY  PLATFORM  

Work-­‐  force  

planning  Learning   Perfor-­‐  

mance   Reward   Well-­‐  ness   ERM   OD  

HR  Service  Delivery  

HR  Technology  (HRIS)  

Prepare  

Imple-­‐  ment  

Review   Improve  MEASURING  HR  SUCCESS  HR  Audit:  Standards  &  Metrics  

H  R        C  O  M

 P  E  T  E  N  C  I  E  S  

SABPP  BOARD   CEO    SABPP   QA  SERVICES  

to be provided by existing LQA function

HR  AUDITS  COUNCIL  

Board  Commi2ee  

FUNCTIONS  

 Ensure  structure  and  processes    are  in  place   Overview  audit  reports   SUmulate  conUnuous  improvement  

   

HEAD  OF  AUDIT  UNIT  

AUDITORS  [150]  

ADMINISTRATOR  LEAD  

AUDITORS  [50]  

FUNCTIONS

Other  exisUng  office  funcUons  will  contribute  on  a  matrix  structure  (e.g.  Stakeholder  RelaUons,  Research,  and  Professional  Services).    

ORGANISATIONAL  BOARD  /  AUDIT  COMMITTEE  

   

MANAGEMENT  CONTROL  

   

INTERNAL  CONTROL  MEASURES  

   ►  FINANCIAL  CONTROL  

►  SECURITY  

►  RISK  MANAGEMENT  

►  QUALITY  

►  INSPECTION  

►  COMPLIANCE  

   

INTERNAL  AUDIT  

SENIOR  MANAGEMENT  

1ST  LINE    OF  DEFENCE  

2ND  LINE    OF  DEFENCE  

3RD  LINE    OF  DEFENCE  

ORGANISATIONAL  BOARD  /  AUDIT  COMMITTEE  

SENIOR  MANAGEMENT  

1ST  LINE    OF  DEFENCE  

2ND  LINE    OF  DEFENCE  

3RD  LINE    OF  DEFENCE  

4TH  LINE    OF  DEFENCE  

SABPP  AUDIT  UNIT  

INTERNAL  AUDIT  

 FINANCIAL  CONTROL   SECURITY   RISK  MANAGEMENT   QUALITY   INSPECTION   COMPLIANCE  

INTERNAL  CONTROL  MEASURES  

MANAGEMENT  CONTROL  

•  Resides  outside  the  organisaIon  

•  Set  requirements  intended  to  strengthen  controls  in  an  organisaIon  

•  Independently  and  objecUvely  assesses  the  whole  or  some  part  of  the  first,  second,  and  third  line  of  defence  

•  With  effecUve  coordinaUon  can  be  considered  an  addiUonal  line  of  defence  

•  “An  HR  management  performance  audit  is  future  orientated  and  can  idenUfy  areas  for  organisaUonal  improvement”    -­‐  Abstract  from  Disserta8on;  Chris  Andrews:  Bond  University  

•  “HR  AudiUng  crosses  the  boundaries  between  HR  management  and  audiUng…  it  can  be  a  suitable  method  for  evaluaUng  the  contribuUon  of  HR  acUviUes  to  organisaIonal  objecIves  assessed  on  the  basis  of  value  for  money.”  –  Abstract  from  Disserta8on;  Chris  Andrews:  Bond  University.  

•  This  model  provides  HR  Professionals  with  a  robust,  risk-­‐based  framework  to  ensure  an  integrated,  aligned  and  well-­‐governed  approach  to  audiIng  the  NaIonal  HR  Standards.  

•  Ensures  that  HR  controls  quality  and  consistency  in  accordance  with  the  spirit  of  good  governance  as  documented  in  King  III.  

•  Focus  on  strengthening  the  HR  Business  Partner  philosophy  without  compromising  the  principles  of  quality  and  independence.  

•  Comprehensive  audit  manual  and  tools  •  Quality  assurance  and  system  •  Auditor  competency  profile  •  Learning  manual  •  SelecIon  and  development  of  the  first  48  auditors  

Prepare  the  HR  Team  

 with  knowledge  and  understanding  

Brief  Line  Management  

Use  the  Assessment  Tool  to  idenIfy  gaps  

Plan  and  implement  to  address  gaps  

Build  competencies  where  required  

Assign  audit  team  

Conduct  audit  against  the  13  elements  of  the  SABPP  HRMSS  

Close  out  meeIng  

Audit  report  and  findings  

CerIficaIon  (or  not)  

Improvement  plans  

ConInue  building  professional  competency  

Give  case  studies  

AUDIT POST AUDIT PRE-AUDIT

•  ImparIality  •  Competence  •  Responsibility  •  Openness  •  ConfidenIality  •  Responsiveness  to  complaints  •  Professional  integrity  

CP

D

► SABPP  Membership  (HRA  Level  and  above)  

► Signed  Code  of  Ethics  for  Consultants  

► Lead  Auditors  10  years    and  Auditors  7  years    Senior  HRM  or  ConsulIng  Experience  

► IntroducIon  to  HR  Standards    –  a2end  workshop  

► Pre-­‐workshop  Studies  

► AudiIng  Workshop  

► ObservaIon  and  feedback  from  Trainer  on  competency  demonstrated  

► Demonstrate  an  inImate  knowledge  of  all  13  Standards,  DefiniIons  and  ObjecIves  

► Wri2en  examinaIons  

► CV  ► References  ► 360°  EvaluaIons  

► ParIcipate  in  several  audits  ► Demonstrate  competency  

 

PRE-SELECTION UNDERSTANDING

OF THE AUDIT KNOWLEDGE OF HR STANDARDS BACKGROUND

CHECKS CERTIFICATION

AUDITOR  COMPETENCIES  

KNOWLEDGE  OF  HR  

KNOWLEDGE OF HRMSS

KNOWLEDGE  OF  AUDITING  

VERBAL & WRITTEN COMMUNICATION

LOGICAL JUDGEMENT

RESPECTFUL  ANALYTICAL  DECISIVE  &  SELF  RELIANT  

VERSATILE  &  TENACIOUS  

OBSERVANT & PERCEPTIVE

PROFESSIONAL  

OPEN-­‐MINDED    &  DIPLOMATIC  

ETHICAL  

•  Now  66  Auditors  completed  their  stringent,  comprehensive  selecIon  and  training  process  

•  Some  of  these  will  act  as  facilitators  rather  than  auditors  

•  Immediate  products  available  are:  

–  Pre-­‐audit  consultaIon  

–  Full  audits  of  13  standards  

–  Single  standard  audit  with  provisional  credit  

•  Work  will  be  conducted  in  accordance  with  the  highest  ethical  and  professional  standard  

•  SABPP  Internal  Audit  and  Quality  Assurance  will  apply  

•  We  have  a  world-­‐class  product  •  We  cannot  and  will  not  tolerate  any  form  of  mediocrity!  •  ConfidenUality  agreements  will  be  signed  by  all  Auditors  •  A  complaints  process  is  in  place  •  Fraud  prevenUon  measures  are  in  place  •  We  already  have  a  NaUonal  footprint  •  Our  aim  is  to  work  in  partnership  with  our  HR  colleagues  •  Support  YOU  in  achieving  entrenching  the  standards  within  your  own  organisaIon  

•  Non-­‐puniUve  

SABPP  Audit  Unit  confirms  to  Client  whether  they  have  passed  the  audit  and  if  their  HRMS  will  be  cerIfied.  RecommendaIons  for  conInuous  improvements  are  made.  

CONFIRM CERTIFICATION

Submit  audit  report  and  recommendaIons  to  the  SABPP  Audit  Unit.  Audit  Unit  confirm  findings  and  agree  cerIficaIon  or  not.  

SUBMIT FINDINGS TO SABPP AUDIT UNIT

Audit  Team    agree  on  findings.  

Close  out  meeIng.  

PREPARE, APPROVE AND DISTRIBUTE AUDIT REPORT

Review  Client  HR  Management  System  against  the  13  elements  of  the  SABPP        HRMSS.  

CONDUCT ON-SITE ACTIVITIES

 

Agree  audit  plan  with  Client  and        brief  Audit  Team.  

PREPARE FOR ON-SITE ACTIVITIES

 

Select  Lead  Auditor.  

If  required  select  addiIonal  audit    team  members.  

INITIATE AUDIT

 Audit  Unit  agree  audit  scope  and  Imeframe  with  Client.  

OFFER AND CONTRACT

All  13  elements  of  the  Standards  will  be  audited  

Each  element  must  receive  a  score  of  60%  

YEARS  1  AND  2  

INITIAL AUDIT

REASSESSMENT AUDIT (where  one  element  needed  recIficaIon)  

► COMPLIANT ► MINOR NON-COMPLIANCE ► MAJOR NON-COMPLIANCE

YEAR  3  RECERTIFICATION AUDIT

prior  to  expiraIon  of  cerIficaIon  (shortened  procedure)   AUDIT RECORDS RETAINED

FOR FIVE YEARS

•  Audit  cerIficaIon  may  only  be  issued  by  the  SABPP  

•  Audit  registers  will  be  maintained  •  Only  auditors  who  are  qualified  through  the  SABPP  may  conduct  audits  

•  All  audits  must  be  administered  by  the  SABPP  Audit  Unit  

PENNY ABBOTT ELSABÉ BELL CHRISTINE BOTHA NATASHA CARSTENS DENNIS COETZEE NIMEE DHULOO MAPHUTHA DIAZ FRANK DE BEER KATE DIKGALE FREEMAN LYNNE GAMSU MICHAEL GLENSOR TRACY HARPER MARIUS JACOBS BONNIE JOHANSEN MBULELO KHONJWAYO PAUL KRIGE NTHABISENG LEBEA SITHABISO MABASO GUGULETHU MADLALA LOMKHOSI MAGAGULA  

MMALEFU MANOTO LEANNE MAREE LEANE BREEDT-MAREE SIVAAN MARIE SINDISWA MASEKO XOLANI MAWANDE SURAN MOODLEY SIPHIWE NDWALAZA JOHN PATERSON JAN PRINSLOO LYNN ROUX NATASHA RUDY ANTHEA SAFFY KATRINA SAULS MOSHEKOA SEKHUTO SHAMILA SINGH PAT NAVES-SHONGWE PAT SMYTHE  

For regular updates on HR Standards & Audits visit www.sabpp.co.za or the blog hrtoday.me or follow us on twitter @SABPP1 or contact Christine at hraudit@sabpp.co.za or call us on 011 045 5400