2. SABPP BOARD
CEO
SABPP
QA SERVICES
to be provided by existing
LQA function
HR AUDITS
COUNCIL
Board Committee
FUNCTIONS
► Ensure structure and processes
are in place
► Overview audit reports
► Stimulate continuous improvement
HEAD OF AUDIT
UNIT
AUDITORS
[150]
ADMINISTRATOR
LEAD AUDITORS
[50]
FUNCTIONS
Other existing office
functions will contribute on a
matrix structure
e.g. Stakeholder Relations,
Research, and Professional
Services.
2
3. CHRP with 25 years experience as HR Generalist of which 15 years at Board level
Qualified in Strategic HR Management, Alternative Dispute Resolution, Executive
Management and Basic Teaching Skills
SABPP Board Member, Mentor and Founding Member of the SABPP Ethics Committee
Accredited Associate and Mentor of the Institute for Independent Business International
(UK)
Author and co-author of various books and articles
3
5. “THREE LINES OF RISK DEFENCE” MODEL
(ADOPTED FROM CRD IN THE UK)
5
PRESENTED BY CHRISTINE BOTHA
6. ORGANISATIONAL BOARD / AUDIT COMMITTEE
6
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
7. Resides outside the organisation
Set requirements intended to strengthen controls in an organisation
Independently and objectively assesses the whole or some part of the first, second,
and third line of defence
With effective coordination can be considered an additional line of defence
“An HR management performance audit is future orientated and can identify areas for
organisational improvement” - Abstract from Dissertation; Chris Andrews: Bond University
7
8. “HR Auditing crosses the boundaries between HR management and auditing…
it can be a suitable method for evaluating the contribution of HR activities to organisational
objectives assessed on the basis of value for money.” – Abstract from Dissertation; 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 auditing the National 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.
8
9. Preparation work for the launch of the SABPP Audit Unit commenced many months ago
Marius Meyer, Dr Penny Abbott and Dr Michael Robbins (UK)
Comprehensive audit manual and tools
Quality assurance and system
Auditor competency profile
Training manual
Selection and training of the first 48 auditors
9
10. 10
► Prepare the HR Team with
knowledge and understanding
► Brief Line Management
► Use the Assessment Tool to identify
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 meeting
► Audit report and findings
► Certification (or not)
► Improvement plans
► Continue building professional
competency
► Give case studies
PRE-AUDIT AUDIT POST AUDIT
11. Impartiality
Competence
Responsibility
Openness
Confidentiality
Responsiveness to complaints
Professional integrity
11
12. CPD
► SABPP Membership
(HRP Level and above)
► Signed Code of Ethics
for Consultants
► Lead Auditors 10 years
and Auditors 7 years
Senior HRM or Consulting
Experience
► Introduction to HR Standards
– attend workshop
► Pre-workshop Studies
► Auditing Workshop
► Observation and feedback
from Trainer on competency
demonstrated
► Demonstrate an intimate
knowledge of all 13
Standards, Definitions
and Objectives
► Written examinations
► CV
► References
► 360° Evaluations
► Participate in several
audits
► Demonstrate
competency
PRE-SELECTION
UNDERSTANDING
OF THE AUDIT KNOWLEDGE OF HR
STANDARDS BACKGROUND
CHECKS CERTIFICATION
12
14. 48 Auditors completed their stringent, comprehensive selection and training process
Some of these will act as facilitators rather than auditors
We are ready to kick off with auditing assignments
Immediate products available are:
Pre-audit consultation
Full audits of 13 standards
Work will be conducted in accordance with the highest ethical and professional standard
The SABPP Internal Audit and Quality Assurance will apply
14
15. We have a world-class product
We cannot and will not tolerate any form of mediocrity!
Confidentiality agreements will be signed by all Auditors
A complaints process is in place
Fraud prevention measures are in place
We already have a National footprint
Our aim is to work in partnership with our HR colleagues
Support YOU in achieving and entrenching the standards within your own organisation
Non-punitive
15
16. SABPP Audit Unit
confirms to Client
whether they have
passed the audit and if
their HRMS will be
certified.
Recommendations for
continuous
improvements are
made.
CONFIRM CERTIFICATION
Submit audit report
and recommendations
to the SABPP Audit
Unit.
Audit Unit confirm
findings and agree
certification or not.
SUBMIT FINDINGS TO
SABPP AUDIT UNIT
Audit Team agree
on findings.
Close out
meeting.
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
additional audit
team members.
INITIATE AUDIT
Audit Unit agree
audit scope and
timeframe with
Client.
OFFER & CONTRACT
16
17. ► All 13 elements of the Standards will be audited
► Each element must receive a score of 60%
YEARS 1 & 2
INITIAL AUDIT
RE-ASSESSMENT AUDIT
WHERE ONE ELEMENT
NEEDED RECTIFICATION
17
► COMPLIANT
► MINOR NON-COMPLIANCE
► MAJOR NON-COMPLIANCE
YEAR 3
RE-CERTIFICATION AUDIT
prior to expiration of certification
(shortened procedure)
Audit records
retained for 5 years
18. ► Audit certification may only be issued by the SABPP
► Audit registers will be maintained
► Only consultants who are qualified through the SABPP may conduct audits
► All audits must be administered by the SABPP Audit Unit
18
20. 20
► Exciting opportunities
► Partnerships
► Training more auditors
► Roll-out into Africa and other countries
► Auditing conference
21. 21
► We are ready to present to your organisation on request
► You are part of this very exciting journey
► The SABPP achieving yet another global first
► Let us show the world how it is done!