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SOUTH AFRICAN QUALIFICATIONS AUTHORITY 
REGISTERED UNIT STANDARD THAT HAS PASSED THE END DATE: 

Manage Human Resources Risks in a banking environment 
SAQA US ID UNIT STANDARD TITLE
7341  Manage Human Resources Risks in a banking environment 
ORIGINATOR
SGB Banking and Micro Finance 
PRIMARY OR DELEGATED QUALITY ASSURANCE FUNCTIONARY
BANKSETA - Banking Sector Education and Training Authority 
FIELD SUBFIELD
Field 03 - Business, Commerce and Management Studies Finance, Economics and Accounting 
ABET BAND UNIT STANDARD TYPE PRE-2009 NQF LEVEL NQF LEVEL CREDITS
Undefined  Regular  Level 5  Level TBA: Pre-2009 was L5  25 
REGISTRATION STATUS REGISTRATION START DATE REGISTRATION END DATE SAQA DECISION NUMBER
Passed the End Date -
Status was "Reregistered" 		 2018-07-01  2023-06-30  SAQA 06120/18 
LAST DATE FOR ENROLMENT LAST DATE FOR ACHIEVEMENT
2026-06-30   2029-06-30  

In all of the tables in this document, both the pre-2009 NQF Level and the NQF Level is shown. In the text (purpose statements, qualification rules, etc), any references to NQF Levels are to the pre-2009 levels unless specifically stated otherwise.  

This unit standard does not replace any other unit standard and is not replaced by any other unit standard. 

PURPOSE OF THE UNIT STANDARD 
This unit standard is intended for people who are responsible for the management of staff in their respective business unit.

Persons credited with this unit standard will be able to identify human resources risks, manage the risk and implement processes and procedures to control the risks. 

LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING 
Persons attempting this unit standard should have managerial, problem solving, situational analysis, decision making and communication skills. 

UNIT STANDARD OUTCOME HEADER 
Identify potential human resources risks 

Specific Outcomes and Assessment Criteria: 

SPECIFIC OUTCOME 1 
Identify potential human resources risks. 
OUTCOME RANGE 
Human resources risks include but are not limited to employee relations, capacity, conformity, regulatory requirements, fraud, misconduct. 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. Non-performance of staff is identified and action taken as per company specific requirements. 
ASSESSMENT CRITERION RANGE 
Non-performance includes but is not limited to, absenteeism, and late comers.
 

ASSESSMENT CRITERION 2 
2. The misuse of systems and processes are identified and followed up as per company specific guidelines. 

ASSESSMENT CRITERION 3 
3. Discrepancies between existing procedures and staff behaviours are detected as per company specific requirements. 

ASSESSMENT CRITERION 4 
4. Identified risks are escalated for action to the appropriate authorities as per company specific requirements. 

ASSESSMENT CRITERION 5 
5. The capacity for defrauding systems are identified and actioned as per company specific requirements. 

SPECIFIC OUTCOME 2 
Implement processes and procedures to minimise human resources risks. 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
3. Performances of staff are monitored and action taken as per company specific guidelines. 
ASSESSMENT CRITERION RANGE 
Performance of staff include but are not limited to non-performers, over performance.
 

ASSESSMENT CRITERION 2 
1. Processes and procedures to control human resources risks are communicated and applied to all staff as per company specific requirements. 

ASSESSMENT CRITERION 3 
2. All processes, procedures, manuals and reporting structures are made known and understood by all staff. 

ASSESSMENT CRITERION 4 
4. All new staff members are subject to an induction process within the organisation. 

ASSESSMENT CRITERION 5 
5. Disciplinary procedures are known and understood by all staff as per company specific guidelines. 

ASSESSMENT CRITERION 6 
6. Staff appraisals are conducted on a regular basis according to company specific requirements. 

SPECIFIC OUTCOME 3 
Monitor Human Resources Risks. 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. Employee well being is continuously monitored to ensure early detection of possible losses. 
ASSESSMENT CRITERION RANGE 
Employee well being includes but is not limited to personal problems, stress.
 

ASSESSMENT CRITERION 2 
2. Staff relationships are monitored according to company specific requirements. 

ASSESSMENT CRITERION 3 
3. Company strategies as per the development of staff are implemented and managed according to company specific requirements. 

ASSESSMENT CRITERION 4 
4. Exit interviews with staff leaving the company are performed as per company specific requirements. 


UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS 
1. Anyone assessing a learner against this unit standard must be registered as an assessor with the relevant ETQA.

2. Any institution offering learning that will enable achievement of this unit standard or assessing this unit standard must be accredited as a provider with the relevant ETQA.

3. Moderation of assessment will be overseen by the relevant ETQA according to the moderation guidelines in the relevant qualification and the agreed ETQA procedures.

Therefore anyone wishing to be assessed against this unit standard may apply to be assessed by any assessment agency, assessor or provider institution which is accredited by the relevant ETQA. 

UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE 
  • Have knowledge and understanding of the Employment Equity Act
  • Have knowledge and understanding of the Skills Development Act
  • Have knowledge and understanding of the Company's Fraud policy
  • Have knowledge of the basic elements of risk pertaining to human resources. 
    		•


    Critical Cross-field Outcomes (CCFO): 

    UNIT STANDARD CCFO IDENTIFYING 
    The learner is able to identify and solve problems when monitoring performance of staff so that discrepancies between staff behaviour and existing procedures can be detected early and appropriate action can be taken to manage potential human resources risks. 

    UNIT STANDARD CCFO WORKING 
    The learner is able to work effectively with others when proposing new procedures to control human resources risks to the relevant internal authority, ensuring all parties understand their own and other's responsibility in relation to controlling human resources risks. 

    UNIT STANDARD CCFO ORGANISING 
    The learner is able to organise and manage his/her own activities to allow sufficient time for monitoring and facilitating employee well being, ensuring personal problems or other factors causing stress and low productivity can be detected timeously and action taken to minimise potential losses due to non-performance. 

    UNIT STANDARD CCFO COLLECTING 
    The learner is able to collect, analyse, organise and critically evaluate information when determining acceptability of new processes and procedures to minimise human resources risks so that decisions taken and actions initiated are aligned with other risk strategies of the bank. 

    UNIT STANDARD CCFO COMMUNICATING 
    The learner is able to communicate effectively both verbally and in writing when conducting staff appraisals and exit interviews, and when explaining processes and procedures to minimise human resources risks, so that staff understand and are able to utilise all relevant processes, procedures, manuals and reporting structures. 

    UNIT STANDARD CCFO SCIENCE 
    The learner is able to use science and technology effectively when processing attendance figures and results of performance appraisals and exit interviews so that complete and accurate information is reflected on computer systems and well-informed decisions on controlling human resources risks can be made. 

    UNIT STANDARD CCFO DEMONSTRATING 
    The learner is able to understand the relationship between employee well being, misconduct, fraud and the influence of all these, and other factors, on the nature of and extent of human resources risks. 

    REREGISTRATION HISTORY 
    As per the SAQA Board decision/s at that time, this unit standard was Reregistered in 2012; 2015. 

    QUALIFICATIONS UTILISING THIS UNIT STANDARD: 
      ID QUALIFICATION TITLE PRE-2009 NQF LEVEL NQF LEVEL STATUS END DATE PRIMARY OR DELEGATED QA FUNCTIONARY
    Elective  61589   National Certificate: Banking  Level 5  Level TBA: Pre-2009 was L5  Passed the End Date -
    Status was "Reregistered"     		 2023-06-30  As per Learning Programmes recorded against this Qual 


    PROVIDERS CURRENTLY ACCREDITED TO OFFER THIS UNIT STANDARD: 
    This information shows the current accreditations (i.e. those not past their accreditation end dates), and is the most complete record available to SAQA as of today. Some Primary or Delegated Quality Assurance Functionaries have a lag in their recording systems for provider accreditation, in turn leading to a lag in notifying SAQA of all the providers that they have accredited to offer qualifications and unit standards, as well as any extensions to accreditation end dates. The relevant Primary or Delegated Quality Assurance Functionary should be notified if a record appears to be missing from here.
     
    1. Absa Learning & Development 
    2. AFRICAN BANK LTD 
    3. Chartall Business College 
    4. Plumb Line Risk Alignment 
    5. Riverwalk Trading 151 CC trading as Culhane Consulting 
    6. Standard Bank Personal and Business Banking 
    7. The Institute of Literacy Advancement 
    8. THE SHERQ CENTRE OF EXCELLENCE PTY LTD 


    All qualifications and part qualifications registered on the National Qualifications Framework are public property. Thus the only payment that can be made for them is for service and reproduction. It is illegal to sell this material for profit. If the material is reproduced or quoted, the South African Qualifications Authority (SAQA) should be acknowledged as the source.