the national hr audit framework presented by bonnie johansen, chairperson: sabpp western cape
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The National HR Audit framework presented by Bonnie Johansen, Chairperson: SABPP Western CapeTRANSCRIPT
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Bonnie Johansen, Chairperson: SABPP Western Cape
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• 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.
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• 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
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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
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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).
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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
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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
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• 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
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• “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.
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• Comprehensive audit manual and tools • Quality assurance and system • Auditor competency profile • Learning manual • SelecIon and development 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 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
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• ImparIality • Competence • Responsibility • Openness • ConfidenIality • Responsiveness to complaints • Professional integrity
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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
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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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• 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
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• 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
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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
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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
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• 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
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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
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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 [email protected] or call us on 011 045 5400