hr audits go live! slides by christine botha: head of sabpp audit unit
Post on 17-Jul-2015
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Audit Unit structure
SABPP Board SABPP CEO
Head of Audit Unit
Lead Auditors (50) Auditors (150)
Audit Unit Officer
QA SERVICES (To be provided by
existing LQA function)
FUNCTIONS • Oversees structure and processes
• Overview audit reports • S3mulate con3nuous improvement
FUNCTIONS Offer exis3ng office func3ons & will contribute on a matrix structure (e.g. Stakeholder Rela3ons, Research and Professional Services
HR Audits Council (Board
committee)
Three Lines of Defence (adapted from ECMA/FERMA guidance on the 8th EU Company Law Directive, Article 41)
Management Control
Internal Control Measures
Internal Audit
1ST LINE OF DEFENCE
2ND LINE OF DEFENCE
3RD LINE OF DEFENCE
Ø Financial Control Ø Security Ø Risk Management Ø Quality Ø Inspec3on Ø Compliance
ORGANISATIONAL BOARD / AUDIT COMMITTEE
SENIOR MANAGEMENT
Three Lines of Defence (adapted from ECMA/FERMA guidance on the 8th EU Company Law Directive, Article 41)
Management Control
Internal Control Measures
Internal Audit
1st line of defence
2nd line of defence
3rd line of defence
Ø Financial Control Ø Security Ø Risk Management Ø Quality Ø Inspection Ø Compliance
ORGANISATIONAL BOARD / AUDIT COMMITTEE
SENIOR MANAGEMENT
SABPP HR Audit
4th line of defence
Ø Team of experts looking in from the outside Ø Set requirements intended to strengthen controls in an
organisation Ø Independently and objectively assesses the whole or some part
of the first, second, and third line of defence Ø “An HR management performance audit is future orientated
and can identify areas for organisational improvement” - Abstract from Dissertation; Chris Andrews: Bond University
External Auditing
Ø “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.
Ø 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.
Ø Ensures that HR controls quality and consistency in accordance with the spirit of good governance as documented in King III.
Ø Focus on strengthening the HR Business Partner philosophy without compromising the principles of quality and independence.
Why HR Standard Auditing?
Ø Comprehensive audit manual and tools Ø Quality assurance and system Ø Auditor competency profile Ø Training manual Ø Selection and training auditors
Progress
Achieving Certification is a Milestone on a Journey
Improvement Plans
CPD
Case studies
Post Audit
Assign audit team
Conduct audit
Close out meeting
Audit report and findings
Certification (or not)
Audit
Prepare HR Team
Brief Line Management
Self-Assessment Tool
Address gaps
Build competencies
Pre-audit
Ø Impartiality Ø Competence Ø Responsibility Ø Openness Ø Confidentiality Ø Responsiveness to complaints Ø Professional integrity
Core Values of the SABPP Audit Brand
Certification Process for Auditors
CP
D
Pre-selection Criteria
Training and Exams
Reference Checks & 360° Evaluation
Participate in Audits &
Certification
SABPP Audit Unit
Ø 76 Auditors completed their stringent, comprehensive selection and training process.
Ø Some of these will act as facilitators rather than auditors Ø Immediate products available are:
Ø Pre-audit consultation Ø Full audits of 13 standards Ø Single standard audit with provisional credit
Ø Work will be conducted in accordance with the highest ethical and professional standard
Ø The SABPP Internal Audit and Quality Assurance will apply
Ø We have a world-class product Ø We cannot and will not tolerate any form of mediocrity! Ø Confidentiality agreements will be signed by all Auditors Ø A complaints process is in place Ø Fraud prevention measures are in place Ø We already have a National footprint Ø Our aim is to work in partnership with our HR colleagues Ø Support YOU in achieving entrenching the standards within your
own organisation Ø Non-punitive
SABPP Audit Unit
Our Auditors Alicia Singh Jan Prinsloo Marlain Polovin Penny AbbottAnthea Saffy Joan Stanbridge Marsha Pieterse Raun SmytheAt Strydom John Nkwana Mbulelo Khonjwayo Sabelo PlaatjieBonnie Johansen John Paterson Michael Glensor Sandy Lana Ho HipBrett Walker Judy Norris Mmalefu Manoto Shamila SinghChristine Botha Kate Dikgale Freeman Moleko Rannona Sindiswa MasekoCorlia Peters Katrina Sauls Moshekoa Sekhuto Siphiwe NdwalazaDanie Swanepoel Kgomotso Mphahlele Natasha Carstens Sithabiso MabasoDawid Swart Leane Breedt-‐Maree Natasha Rudy Sivaan MarieDennis Coetzee Leanne Maree Nico Teledimo Sivapragasen ChettyDewald van der Schyff Lomkhosi Magagula Nimee Dhuloo Suran MoodleyElizabeth Warren Lucas Bornman Nombasa Mhlati-‐Musene Thapelo MotloungElsabé Bell Lynn Roux Nthabiseng Lebea Thys ViljoenFienie van Rensburg Lynne Gamsu Pat Naves-‐Shongwe Tracy HarperFrank de Beer Manie Roodt Pat Smythe Xolani MawandeGugulethu Madlala Maphutha Diaz Paul Krige Yendor R FelgateHazel Hall Marius Jacobs Paula Teigao Zamasishi Madlala
Audit Process
Offer and contract
Initiate audit & prepare on-site activities
Conduct audit, agree on findings, conduct close-out meeting and submit report to Audit Unit
Audit Unit confirms findings, certification status and recommend continuous improvements
Three Year Certification Cycle 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 rectification)
Ø Compliant Ø Minor Non-Compliance Ø Major Non-Compliance
YEAR 3 RECERTIFICATION AUDIT
prior to expiration of certification (shortened procedure)
Audit records retained for five years
► Audit certification 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
Certification
► Standards Training (in-house) R15,000 ► Full audit (one site) R98,000 ► Additional sites R70,000 per site ► Single standard audits R49,000 ► SMMEs and smaller municipalities Per quotation
► 1 x Lead Auditor ► 3 x Auditors ► Full audit report with recommendations for continuous improvement
*VAT, travel and accommodation (where needed) excluded
Cost of an HR Audit
Current reality
Ø HR Professionals are nervous about being audited Ø HR Professionals realise that their house is not 100% in order Ø HR are overburdened with administrative and transactional activities
rather than being strategically focused Ø Some companies still do not understand the role of HR Ø HR still does not have a place in the boardroom Ø Companies invest more in IT and other activities than in HR
Telesure – message from Dawid Swart
Ø Telesure started transforming HR during 1997 when Leon Vermaak read Dave Ulrich’s book Human Resource Champions
Ø Most existing HR strategies dovetail quite easily with the HR Standard, and no wonder, the HR Standard was developed by the HR fraternity of SA
Ø The National HR standard challenge organisation to fast-track implementation, to be audited and make Certification part of the Employee Value Proposition
Ø The National HR standard is what organisations and employees expect from their HR Department. Full implementation must happen now, it cannot be placed on a three year plan
Ø Treat implementation as a proper project with clear timelines, responsibilities and milestones and do not forget your Change Management plan otherwise resistance will kick in which will slow down progress
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