better business bureau® of dayton/miami valley, inc
TRANSCRIPT
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