Data Systems, Auditing, and Other Monitoring and Accountability Mechanisms

• Author: William R. Blackburn
• Pages: 281-307

Chapter 9

Data Systems, Auditing, and Other

Monitoring and Accountability Mechanisms

“As soon as the boss decides he wants his workers to do something,

he has two problems: (getting them to) do it and monitoring what

they do.”1

—Robert Krulwich

So far your efforts have been a success. You’ve sold management on the

benefits of an SOS, created the structure to support it, and developed in-

dicators, goals, and the plans that define the way forward. You’verolled

all this out to the regions, divisions, and facilities with good deployment,

integration, and alignment. Now that this hard work is done and the SOS

has been well planted in the field, isn’t it time to sit back, drink lemonade,

and watch the plantings grow to a fruitful harvest? Is there really any-

thing left to do until you reap the benefits of the SOS at year-end?

Anyone familiar with agriculture knows that planting and harvesting

are the two seasons of intense activity,but there’s also work to be done in

the interim. Weeds must be removed; pests must be controlled. In some

places, irrigation is needed. Steps must be taken to assure the objective of

a rich bounty is fulfilled.

This is also true about an SOS. Progress in growing an SOS within an

organization must be monitored so adjustments can be made if the

growth doesn’t meet expectations. Along the way,things must be done to

encourage progress toward the objective. For an SOS, that encourage-

ment and motivation comes in the form of accountability—the clear as-

signment of responsibility and the duty to report and explain results with

meaningful rewards granted or withheld based on performance.2

While monitoring and accountability within a company can take many

different forms, each has its own challenges.

Types of Monitoring; Common Problems

Monitoring includes measuring performance versus goals as well as

other means of periodic oversight and evaluation of conditions or perfor-

mance. It may be undertaken in a variety of ways, such as through inspec-

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tions, audits, interviews, observations, or measurements. Monitoring can

be qualitative—based on good informed judgment—or quantita-

tive—based on measurement. Two qualitative evaluations that can be

important are the periodic assessments of teamwork and communication.

The greatest plans in the world go nowhere if these two things are miss-

ing. But qualitative monitoring has its drawbacks: Since it is based on

judgment, it can sometimes lead to disagreement and debate, creating re-

sentment rather than more enthusiastic support.

Quantitative monitoring—tracking things like air pollution concentra-

tions, discrimination claims, and earnings per share—can pose prob-

lems, too. Numerical measurements are not always simple, and data in-

tegrity can be particularly troubling. Instructions to the field may be

weak creating confusion about what is to be reported. A tally of the mi-

norities recently hired or hazardous waste generated will make little

sense if no one has defined what a minority and hazardous waste are.

Monitoring can also be hampered by reporters who are new to the pro-

cess or untrained, and by virus-infected reporting software. If the data is

being collected on a global basis, kilograms may be mistakenly reported

as pounds and other units of measure may become mixed. Other major

difficulties can arise simply because those who designed the data request

form didn’t understand how the data is collected in the field.

The biggest problems with measurement come from infrequent re-

porting and lack of feedback. Facilities that take a “tax-return” approach

to reporting—throwing invoices, scraps of correspondence, and other

data into a shoe box for sorting out at the end of the year—have a difficult

time recalling all the lessons learned the year before. They may not be fa-

miliar enough with the data to know what values are reasonable and

which ones may reflect an error of a slipped decimal point. Even worse,

problems with bad, incomplete, or delayed data can languish unresolved

for years if no one is tracking the problems or providing feedback to the

field on them. An investment of time to address these issues proactively

can pay big dividends in the long run. In addition, entering data quarterly

or monthly can help by keeping users familiar with the data and systems.

Data Collection and Management Systems: How Do You Know

What to Buy?

Some companies have computerized data systems with “guard rails” that

flag suspicious data and compile reports on late filers. This can signifi-

282 THE SUSTAINABILITY HANDBOOK