Understanding Personnel Accountability to Improve Personal Responsibility

Brief Background

The concept of accountability in corporate governance has evolved in recent decades. It used to be synonymous with negative consequences when assigned tasks were delayed or uncompleted. Rather than just following orders from the top, it has become more about taking initiative, problem-solving, and actively contributing to organizational goals.

What is the purpose of a personnel accountability system?

Accountability, a cornerstone of discipline in the military and first responders for years, has become the basis of clear chains of command, well-defined roles, and strict adherence to rules. Organizations outside of the military establishment recognized the importance of instituting a personnel accountability system to improve efficiency and productivity. Many integrated Frederick Winslow Taylor’s principles of scientific management into the system to promote the following:

• Clear roles and responsibilities
• Performance and results evaluations
• Targeted training and development
• Operational planning and oversight
• Accessible feedback mechanisms

Who is responsible for managing the personnel accountability system?

The management of personnel accountability is a shared responsibility. Here are some specifics:

• Senior management provides the overall leadership, Governance, Risk, and Compliance (GRC) objectives, and support for the system.
• Human resources (HR) teams develop, implement, and maintain the system.
• Supervisors or line managers conduct regular performance reviews, provide feedback, and address any issues.
• Frontliners should adhere to the policies and procedures and actively participate in relevant processes (e.g., training, performance reviews, etc.)

What are the benefits of having personnel accountability?

Many factors contribute to the company’s success, but experts agree that personnel accountability has a considerable impact on the following:

• Streamlined operations minimize operational risks and increase productivity.
• Enhanced employee engagement enables better collaboration.
• Improved decision-making drives better organizational performance.

7 Principles

Building a culture of accountability across the organization isn’t easy. When integrating this into the company’s broad GRC framework, top leadership should highlight the following:

1. Clear expectations are derived from well-defined roles, responsibilities, and performance standards, ensuring team actions directly support organizational goals.
2. Open and honest communication should be encouraged between leaders and frontline workers to create a culture of transparency.
3. Fairness and consistency should be applied, particularly in evaluating processes, assessing individual performance, and applying disciplinary actions.
4. Continuous improvement should be the goal of the personnel accountability system. Focusing on punishments isn’t constructive.
5. Employee empowerment means including employees at all levels in the decision-making process and providing them autonomy and resources needed to succeed.
6. Transparency and trust, foundational to successful programs, build confidence among stakeholders and encourage a proactive attitude in accomplishing tasks.
7. Continuous learning and development ensure employees have the knowledge and skills to complete their assignments. It also helps them advance their careers in the organization.

Challenges

Organizations face numerous obstacles beyond their control. However, understanding every challenge is vital to effectively managing them:

• Resistance to change stems from fear of change, concerns about job security, or a lack of understanding of the new system. Influenced by individual personalities and past experiences, GRC managers may find it hard to curb their anxieties.
• Cultural barriers hinder the implementation of accountability systems because it takes time to shift deep-rooted beliefs and norms.
• External economic factors, such as economic downturns, high unemployment rates, and increased competition may worsen employees’ fears, negatively impacting their morale and willingness to cooperate.
• Technological limitations impede the company’s efforts, especially in today’s highly interconnected world, where everyone heavily relies on technology for data gathering and communication.
• Rapid industry changes, particularly in tech, customer demands, and market conditions, complicate risk controls, compliance efforts, and accountability.

How Organizations Can Promote Personnel Accountability

Establishing effective personnel accountability involves several key steps that help organizations promote responsibility among employees, minimize the challenges presented above, and ensure alignment with GRC objectives. Here’s a practical, easy-to-follow guide with best practices:

Step 1. Establish clear policies and procedures.

Essential for defining expectations, roles, and responsibilities, clear policies on attendance, punctuality, and acceptable work behavior provide a framework for accountability.

• Include the accountability process in policy manuals.
• Explain the policies during training and onboarding sessions.
• Regularly review and update procedures.

Step 2. Set goals and performance metrics.

Foundational in the personnel accountability system, this step involves identifying and tracking key metrics to measure employee performance and progress toward goals. These are some Key Performance Indicators (KPIs) to take note of:

• On-time project completion rates
• Customer satisfaction scores
• Number of compliance violations
• Employee engagement scores
• Productivity levels
• Sales targets
• Cost reduction targets

Step 3. Implement a real-time tracking system.

Develop a reliable system that not only tracks employee presence and their activities in real time but also dives into the potential root causes of certain issues. Utilize methods appropriate for your organization’s size and operations. These are the most effective solutions:

• Project management tools help assign tasks, monitor deadlines, and track progress.
• Time-tracking apps monitor time spent on specific tasks and generate detailed reports.
• GPS tracking devices locate employees in real time. This is especially helpful for field workers and remote teams.

Step 4. Utilize real-time communication tools.

Facilitate communication to enable timely updates and coordination. This encourages open dialogue, active listening, and a safe environment for employees to raise concerns or report issues. Here are some tools that can be used to engage employees.

• Performance dashboards apprise employees about their accomplishments, helping them recognize areas for improvement.
• Instant feedback systems let everyone know the progress of projects.
• Implement GRC training systems to remind workers of the company’s objectives and accompanying internal policies, external regulations, and operating procedures.

Step 5. Monitor and audit accountability processes.

Regularly review and analyze attendance data, performance reviews, and other relevant information to identify and rectify gaps. Remember that personnel accountability systems are built for continuous improvements and constant monitoring is the most effective way to drive that.

• Conduct performance reviews to identify inconsistencies in application and, more importantly, areas of improvement.
• Assess the effectiveness of internal controls, such as Segregation of Duties (SoD), access, and approval processes.
• Document findings thoroughly, including evidence, root cause analysis, and corrective action plans.