2024-11-15T09:19:34-06:00 2023-12-31 842953567 TRIMNERBECKHAM PLLC 1750 TYSONS BLVD SUITE 1500 MCLEAN VA 22102 990 2023-01-01 131671026 ETHICS RESOURCE CENTER INC ETHI 7036472185 PO BOX 2175 MERRIFIELD VA 221168239 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 7036472185 2024-11-15 1 0 DAVID TRIMNER P00444822 7036631756 2023 2024-10-15 13:58:12Z X ETHICS RESEARCH CENTER PATRICIA J HARNED PHD PO BOX 2175 MERRIFIELD VA 221168239 1519723 0 X WWW.ETHICS.ORG X 1942 NY EMPOWERING ORGANIZATIONS TO BUILD AND SUSTAIN HIGH QUALITY ETHICS & COMPLIANCE PROGRAMS 17 17 24 25 0 0 1060641 410379 614741 1103362 1028 40 0 5942 1676410 1519723 0 0 0 0 1032158 1388646 0 0 114772 911437 1183149 1943595 2571795 -267185 -1052072 4216763 2966206 1667232 1447187 2549531 1519019 X THE ETHICS & COMPLIANCE INITIATIVE (ECI) IS A BEST-PRACTICE COMMUNITY OF ORGANIZATIONS COMMITTED TO CREATING AND SUSTAINING HIGH-QUALITY ETHICS AND COMPLIANCE PROGRAMS. ECI BRINGS TOGETHER ETHICS AND COMPLIANCE PROFESSIONALS AND ACADEMICS FROM ALL OVER THE WORLD TO SHARE TECHNIQUES, RESEARCH, AND, MOST OF ALL, EXCITING NEW IDEAS.ECI IS THE LEADING PROVIDER OF INDEPENDENT RESEARCH ABOUT WORKPLACE INTEGRITY, ETHICAL STANDARDS, AND COMPLIANCE PROCESSES AND PRACTICES IN PUBLIC AND PRIVATE INSTITUTIONS. OUR RESEARCH INCLUDES THE LONG-STANDING NATIONAL BUSINESS ETHICS SURVEY (NBES) OF WORKPLACE CONDUCT IN THE UNITED STATES AND THE RECENT GLOBAL BUSINESS ETHICS SURVEY (GBES) OF WORKPLACES IN LEADING WORLD ECONOMIES. ECI PUBLISHES RESEARCH FINDINGS BASED ON THE GBES THROUGH VARIOUS FORMATS, INCLUDING PUBLIC SUMMARY REPORTS, INFOGRAPHICS, INTERACTIVE GRAPHICS, AND PRESENTATIONS. 0 0 1804313 1103362 1) IN 2023, ERC EXPANDED THE GLOBAL BUSINESS ETHICS SURVEY TO INCLUDE 42 COUNTRIES. AN ONLINE INTERACTIVE DATABASE WITH THE DATA WAS RELEASED. ERC CONTINUED TO BUILD ITS DATABASE OF COMPANIES UTILIZING THE HIGH-QUALITY ETHICS & COMPLIANCE PROGRAM ASSESSMENT (NOW KNOWN AS THE E&C PROGRAM ASSESSMENT). ERC CONTINUED TO RELEASE TALKING THE WALK, A MONTHLY CASE STUDY DESIGNED TO ENCOURAGE CONVERSATIONS ABOUT IMPORTANT ETHICS & COMPLIANCE ISSUES AND ETHICSSTATS, A KEY LEARNING POINT FROM ERC RESEARCH THAT CAN UTILIZED BY COMPANIES IN REPORTING. ERC RELEASED RESEARCH ON BUSINESS INTEGRITY AND MADE A BUSINESS INTEGRITY LIBRARY OF RESOURCES AVAILABLE TO MEMBERS. IN 2023, ERC CONTINUE TO SUPPORT ORGANIZATIONS THROUGH FEE-FOR-SERVICE CONSULTING. 1804313 1 1 0 0 0 0 0 0 0 0 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 1 33 0 24 1 0 0 0 0 0 0 0 0 0 0 0 0 X 17 17 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NJ NY X GAUTAM GUPTA 6238266576 PO BOX 2175 MERRIFIELD VA 221168239 LARRY THOMPSON CHAIR 1.00 X 0 0 0 ASHLEY WATSON VICE CHAIR 1.00 X 0 0 0 STEVE SCARPINO DIRECTOR (LEFT 12/31/2023) 1.00 1.00 X 0 0 0 PAUL ZIKMUND ECA CHAIR 1.00 1.00 X 0 0 0 KATIE SMITH ECA VICE CHAIR 1.00 1.00 X 0 0 0 UMA AMULURU DIRECTOR 1.00 X 0 0 0 RICHARD DAVIES DIRECTOR 1.00 X 0 0 0 HOWARD HACKER DIRECTOR 1.00 X 0 0 0 DAVID HUNTLEY DIRECTOR 1.00 X 0 0 0 JULIE KANE DIRECTOR (LEFT 12/31/2023) 1.00 1.00 X 0 0 0 ALEC KOCH TREASURER 1.00 1.00 X X 0 0 0 EMMANUEL LULIN DIRECTOR (LEFT 12/31/2023) 1.00 X 0 0 0 DAVID OGDEN DIRECTOR 1.00 X 0 0 0 JEFF PARAVANO DIRECTOR (LEFT 12/31/2023) 1.00 X 0 0 0 CYNTHIA PATTON DIRECTOR 1.00 X 0 0 0 TAMEIKA POPE DIRECTOR 1.00 X 0 0 0 TONYA ROBINSON DIRECTOR 1.00 X 0 0 0 AL ROSA DIRECTOR (LEFT 12/31/2023) 1.00 X 0 0 0 JILL SOMMERS DIRECTOR (LEFT 12/31/2023) 1.00 X 0 0 0 MELISSA STAPLETON-BARNES DIRECTOR 1.00 X 0 0 0 GLENN STATSNY DIRECTOR (LEFT 12/31/2023) 1.00 X 0 0 0 ANDREW WEISSMANN DIRECTOR 1.00 X 0 0 0 CHARLIE WHITAKER DIRECTOR 1.00 X 0 0 0 SALLY YATES DIRECTOR 1.00 X 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 32.00 8.00 X 335631 0 28242 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 37.00 3.00 X 158814 0 20542 CAROL LEVEY VP, MARKETING 20.00 20.00 X 121032 0 11198 615477 0 59982 3 0 1 0 0 410379 410379 ADVISORY SERVICE FEES 900099 1103362 1103362 1103362 40 40 5942 5942 5942 1519723 1103362 0 5982 X 531933 242440 271287 18206 700439 552922 105117 42400 17050 15139 666 1245 58093 39383 15185 3525 81131 52735 24339 4057 6196 6196 12479 12479 673896 584155 59827 29914 13731 11671 1373 687 114765 97549 11478 5738 26306 22360 2631 1315 9962 8468 996 498 42410 36048 4242 2120 101334 86134 10133 5067 87 87 71955 71955 28439 28439 MEMBERSHIP/SUBSCRIPTION 65069 55309 9760 FEES & LICENSING 9152 9152 PROFESSIONAL DEVELOPMEN 7246 7246 122 122 2571795 1804313 652710 114772 215 160107 588044 10972 832101 206794 416848 70489 71501 945965 428042 570135 517923 29 29 1061810 888136 887146 900690 4216763 2966206 455335 422388 1000 1210897 1024799 1667232 1447187 X 0 0 0 0 2549531 1519019 2549531 1519019 4216763 2966206 X -1052072 21560 X 0 0 0 X 524758 691610 1508280 1060641 410379 4195668 524758 691610 1508280 1060641 410379 4195668 1248765 2946903 2572 1590 192 1028 40 5422 62618 17916 35357 5942 121833 4322923 5445548 0.68170 0.71380 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 29961 15251 14710 136977 106528 30449 779027 306263 472764 517923 DUE FROM THE RELATED ENTITY 858350 DEPOSITS 42340 900690 CAPITAL LEASE LIABILITY 1024799 1024799 X X X 0 0 0 0 0 0 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 335631 0 0 0 0 0 15117 0 13125 0 363873 0 0 0 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 158814 0 0 0 0 0 8000 0 12542 0 179356 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE RETURN WAS PREPARED BY AN INDEPENDENT ACCOUNTING FIRM AND THEN REVIEWED AND APPROVED BY THE ORGANIZATION'S OFFICERS. ONCE THAT IS COMPLETED, EVERY MEMBER OF THE BOARD WAS PROVIDED WITH A COPY OF THE 990 AND ACKNOWLEDGED RECEIPT. FORM 990, PART VI, SECTION B, LINE 12C ERC DIRECTORS MUST OPENLY DISCLOSE ANY ACTUAL, POTENTIAL, OR PERCEIVED CONFLICTS OF INTEREST TO THE ECI ETHICS OFFICER AS SOON AS THEY ARISE AND BEFORE THE ERC BOARD OR ITS COMMITTEES MAKE ANY DECISIONS THAT INVOLVE A POTENTIAL CONFLICT. THE ETHICS OFFICER SHALL INFORM THE CHAIR OF THE NOMINATING AND GOVERNANCE COMMITTEE OF ANY CONFLICTS THAT HAVE BEEN DISCLOSED AND WORK WITH THE CHAIR AND THE INTERESTED PERSON ON A PROPOSED RESOLUTION. THE ETHICS OFFICER AND CHAIR OF THE NOMINATING AND GOVERNANCE COMMITTEE SHALL PUT FORWARD TO THE FULL COMMITTEE ANY MATTER THAT MAY RESULT IN THE DISQUALIFICATION, RESIGNATION, OR REMOVAL OF A DIRECTOR; ANY MATTER THAT INVOLVES NON-ROUTINE POLICY INTERPRETATIONS; OR ANY MATTER WITH A PROPOSED OUTCOME THAT WOULD CONSTITUTE AN AMENDMENT OR WAIVER TO THIS POLICY. IF THE MATTER IS PRESENTED TO THE NOMINATING AND GOVERNANCE COMMITTEE ("N&G COMMITTEE") FOR RESOLUTION, THE INTERESTED PERSON WILL BE GIVEN THE OPPORTUNITY TO DISCUSS THE MATTER WITH THE COMMITTEE. FOLLOWING THAT DISCUSSION, THE INTERESTED PERSON SHALL LEAVE THE MEETING TO ALLOW THE N&C COMMITTEE TO DELIBERATE. THE N&G COMMITTEE MEMBERS SHALL DECIDE BY A MAJORITY VOTE IF A CONFLICT OF INTEREST EXISTS AND WHAT MITIGATION ACTIONS, IF ANY, ARE REQUIRED TO BE TAKEN. THE MINUTES OF A MEETING IN WHICH A POTENTIAL CONFLICT OF INTEREST IS DISCLOSED AND DISCUSSED SHALL REFLECT, IF TRUE, THAT A DISCLOSURE WAS MADE AND THAT THE INTERESTED PERSON ABSTAINED FROM VOTING. IF THE ERC NOMINATING AND GOVERNANCE COMMITTEE DETERMINES THAT AN ERC DIRECTOR HAS FAILED TO DISCLOSE AN ACTUAL, POTENTIAL, OR PERCEIVED CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. FORM 990, PART VI, SECTION B, LINE 15 THE TERMS OF THE CHIEF EXECUTIVE OFFICER'S EMPLOYMENT ARE DETERMINED BY THE EXECUTIVE COMMITTEE OF THE ERC BOARD OF DIRECTORS. THE ERC IS THE EMPLOYING ENTITY FOR ALL STAFF. THE CEO PROVIDES THE ERC EXECUTIVE COMMITTEE A WRITTEN SELF-EVALUATION EACH YEAR, AND THE EXECUTIVE COMMITTEE CONDUCTS AN ANNUAL PERFORMANCE REVIEW, SEEKING INPUT FROM DIRECTORS ON BOTH THE ERC AND ECA BOARDS AS NEEDED. FOR OTHER OFFICERS AND EMPLOYEES, BEFORE ANY CHANGES TO COMPENSATION ARE MADE, THE INDEPENDENT BOARD REVIEWS COMPENSATION BASED ON COMPARABILITY DATA FROM OTHER SIMILAR ORGANIZATIONS. CHANGES TO COMPENSATION, IF ANY, ARE THEN APPROVED BY THE BOARD AND DOCUMENTED IN MEETING MINUTES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G RECRUITING EXPENSE: PROGRAM SERVICE EXPENSES 12,268. MANAGEMENT AND GENERAL EXPENSES 1,443. FUNDRAISING EXPENSES 722. TOTAL EXPENSES 14,433. CONSULTANTS: PROGRAM SERVICE EXPENSES 446,596. MANAGEMENT AND GENERAL EXPENSES 52,541. FUNDRAISING EXPENSES 26,270. TOTAL EXPENSES 525,407. TEMP STAFFING: PROGRAM SERVICE EXPENSES 13,830. MANAGEMENT AND GENERAL EXPENSES 1,627. FUNDRAISING EXPENSES 814. TOTAL EXPENSES 16,271. OTHER CONTRACT SERVICES: PROGRAM SERVICE EXPENSES 35,840. MANAGEMENT AND GENERAL EXPENSES 4,216. FUNDRAISING EXPENSES 2,108. TOTAL EXPENSES 42,164. SURVEY SUPPORT: PROGRAM SERVICE EXPENSES 75,621. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 75,621. FORM 990, PART XI, LINE 9: NET ASSET ADJUSTMENTS AS OF JANUARY 1, 2023. 21,560. ETHICS AND COMPLIANCE OFFICER ASSOCIATION PO BOX 2175 MERRIFIELD VA 22116 043259433 CONFERENCES AND MEMBERSHIP DE 501(C)(6) N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 1 0 1 ETHICS AND COMPLIANCE OFFICER ASSOCIATION O 1796618 ETHICS AND COMPLIANCE OFFICER ASSOCIATION Q 1739500