Better Business Bureau®

of Dayton/Miami Valley, Inc.

Steve BirchallDevesys Incorporated

Software Tracking/Reporting of Ethics and Legal Violations for Small Business

Wright State UniversityThird Business Integrity Breakfast

Dayton, OhioJune 15, 2005

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Devesys Product FamilyAll Reside Within Your Firewall

• TrakEnterprise® 5– Multiple Workgroups, Client-Server

• TrakBasic®

– Single Computer– Solo & Intermittent User

• TrakBasic for Ombuds– Preserves Confidentiality

• TrakWeb®

– Access via Web

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Three Components of a SOXCompliance System

• Anonymous Reporting System– Hotline, Webform

• Financial Auditing– Integrity of Financial Reports

• Case Tracking, Reporting– Effective System, Keep Records

Better Business Bureau®

of Dayton/Miami Valley, Inc.

What Companies Are Covered by SOX?

• All Publicly Traded Companies– Competitive Edge (Harris Poll)

• 60% Said SOX Protects Investment• 57% Very Unlikely to Invest

• Privately Held Companies– Morally Responsible, Not Legally

– Better-run Businesses More Profitable, Acquisitions Easier

• Not-for-Profit Groups– Donations & Govt. Grants

Better Business Bureau®

of Dayton/Miami Valley, Inc.

SOX & Related Laws

• SOX and the USSC Guidelines

• SEC Regulations• Taft-Petro Act

(Ohio)• Bill 198 (Canada)• Basel II (Banks)• HIPAA

• FDA 21 CFR Part 11

• EEO• OSHA• Environmental

Regulations• Criminal Codes

Better Business Bureau®

of Dayton/Miami Valley, Inc.

The Grunch of Giants

• "Corporations are neither physical nor metaphysical phenomena. They are socioeconomic ploys — legally enacted game-playing — agreed upon only between overwhelmingly powerful socioeconomic individuals and by them imposed upon human society and its all unwitting members.“

• From The Grunch of Giants, 1983 by Buckminster Fuller

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Strategy for Effective Compliance(From USSC Guidelines)

• Appoint an Ethics Officer• Provide an Anonymous Reporting

Capability• Keep Records of All Complaints• Maintain Training Programs from Board

Down• Create a Culture of Compliance• Assess Risk Periodically• Show That Program is Effective

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Why a Tracking System Helps

• Identifies Issues and Violations• Manages Cases to Resolution• Documents Real-World Events• Highlights Issues Needing Attention• Facilitates Detection & Prevention• Creates a Growing, Searchable Database• Analyzes Performance Over Time

Better Business Bureau®

of Dayton/Miami Valley, Inc.

TrakBasic in Daily Use

• Collects & Displays Essential Information– Add Data As You Gather It– Find Facts You’ve Forgotten

• Prompts You With Follow-up Lists– Keeps Cases Moving To Resolution– Shows You What Needs Attention

• Provides Reports for Management– Case Volumes, Types of Violations– Resolutions, Trends

Better Business Bureau®

of Dayton/Miami Valley, Inc.

TrakBasic Main Screen

Better Business Bureau®

of Dayton/Miami Valley, Inc.

New Case Entry Screen

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Full Case Report

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Browse List Showing All Open Cases

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Aging of Open Cases by Severity

Better Business Bureau®

of Dayton/Miami Valley, Inc.

Comparing Q1 to Q2 by Severity