This document outlines the proposed structure and functions of the SABPP Audit Unit. Key points: - The Audit Unit will have a CEO, Head of Audit, auditors and administrators to conduct HR audits against the 13 elements of the SABPP HR Management Standards System. - Auditors will go through a rigorous selection process including experience requirements, training, and competency assessments. - A three lines of defense risk model is adopted to structure internal controls, management oversight, and independent auditing. - The audit process involves pre-audit preparation, an on-site audit, issuing an audit report, and potential certification if standards are met. Continuous improvement is encouraged.

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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.
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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
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5. “THREE LINES OF RISK DEFENCE” MODEL
(ADOPTED FROM CRD IN THE UK)
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PRESENTED BY CHRISTINE BOTHA

6. ORGANISATIONAL BOARD / AUDIT COMMITTEE
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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
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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.
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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
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► 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
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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
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13. 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
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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
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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
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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
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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
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► 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
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► Exciting opportunities
► Partnerships
► Training more auditors
► Roll-out into Africa and other countries
► Auditing conference

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► 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!

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hraudit@sabpp.co.za

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PENNY ABBOTT MICHAEL GLENSOR MMALEFU MANOTO LYNN ROUX
ELSABÉ BELL TRACY HARPER LEANNE MAREE NATASHA RUDY
LEANE BREEDT-MAREE MARIUS JACOBS SIVAAN MARIE ANTHEA SAFFY
NATASHA CARSTENS BONNIE JOHANSEN SINDISWA MASEKO KATRINA SAULS
DENNIS COETZEE MBULELO KHONJWAYO XOLANI MAWANDE MOSHEKOA SEKHUTO
FRANK DE BEER PAUL KRIGE SURAN MOODLEY SHAMILA SINGH
NIMEE DHULOO NTHABISENG LEBEA PAT NAVES-SHONGWE PAT SMYTHE
MAPHUTHA DIAZ SITHABISO MABASO SIPHIWE NDWALAZA
KATE DIKGALE FREEMAN GUGULETHU MADLALA JOHN PATERSON
LYNNE GAMSU LAMKHOSI MAGAGULA JAN PRINSLOO

24. PANEL MEMBERS
CHRISTINE BOTHA
KATE FREEMAN
MARIUS JACOBS
BONNIE JOHANSEN
DAVID SWART
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