2024-11-08T17:42:19-06:00 2023-12-31 410746749 CLIFTONLARSONALLEN LLP 227 WEST TRADE STREET SUITE 800 CHARLOTTE NC 28202 990 2023-01-01 260811966 AUTOMATION STANDARDS COMPLIANCE INSTITUTE ASCI 9199909222 3252 SOUTH MIAMI BLVD 102 DURHAM NC 27703 CLAIRE FALLON CEO/EXECUTIVE 9199909222 2024-11-07 1 1 JOHN NORMAN P01506766 7049985200 2024-11-05 2023 2024-10-15 13:58:12Z ASCI CLAIRE FALLON 3252 SOUTH MIAMI BLVD 102 DURHAM NC 27703 868884 0 X WWW.ISA100WCI.ORG AND WWW.ISASECURE.ORG X 2006 NC TO FACILITATE PROGRAMS THAT ASSESS AUTOMATION-RELATED STANDARDS COMPLIANCE AND PROMOTION OF THE RELATED STANDARDS. 6 5 0 7 0 0 0 0 866917 816701 0 15756 25387 27370 892304 859827 0 0 0 0 96993 201157 0 0 0 816050 658790 913043 859947 -20739 -120 1309339 1239702 418418 348902 890921 890800 X THE AUTOMATION STANDARDS COMPLIANCE INSTITUTE (ASCI) WAS CREATED TO FACILITATE PROGRAMS THAT ASSESS AUTOMATION-RELATED STANDARDS COMPLIANCE. THE INSTITUTE'S CHARTER INCLUDES A WIDE RANGE OF STANDARDS COMPLIANCE ASSESSMENTS (CONTINUED ON SCHEDULE O)INCLUDING SOFTWARE OR HARDWARE PRODUCTS, IMPLEMENTATION METHODS, SOLUTIONS, COMPANIES AND INDIVIDUALS. 0 0 THE ISA SECURITY COMPLIANCE INSTITUTE (ISCI) OPERATES AN OPERATIONAL TECHNOLOGY (OT) CYBERSECURITY CONFORMITY ASSESSMENT (CA) SCHEME THAT CERTIFIES CONTROL SYSTEM PRODUCTS TO THE ISA/IEC 62443 SERIES OF STANDARDS. RELATED ACTIVITIES INCLUDE COLLABORATION WITH OTHER INDUSTRY GROUPS SUCH AS IEC, ASHRAE, NATF, NEMA, BCS AND, CABA AS WELL AS GOVERNMENT ENTITIES SUCH AS ERNCIP IN THE EU; AND NIST, US NATIONAL LABS SUCH AS INL AND NREL, AND DHS/CISA IN THE USA.ISCI HAS BEEN COLLABORATING WITH THE ISAGCA ON SEVERAL PROJECTS INCLUDING TWO STUDIES WHICH EVALUATED THE APPLICABILITY OF THE ISA/IEC 62443 STANDARDS FOR SECURING AND CERTIFYING IIOT COMPONENTS AND IIOT SOLUTIONS, RESPECTIVELY. THE RESULTS OF THE IIOT COMPONENT STUDY LED TO THE DEVELOPMENT OF AN EXPANSION OF THE ISASECURE SCOPE TO CERTIFY IIOT COMPONENTS. THE IIOT CERTIFICATION SCHEME WAS COMPLETED AND LAUNCHED IN DECEMBER 2022/JAN 2023 UNDER THE ISASECURE ICSA PRODUCT NAME. THE IIOT SYSTEM STUDY WAS COMPLETED IN 2023 AND WAS IN FINAL REVIEW FOR DISTRIBUTION IN Q1 2024. ADDITIONAL STUDIES INCLUDED THE ISA/IEC 62443 LEVEL 2 ANALYSIS AND A JOINT STUDY WITH ISAGCA ON ZERO TRUST.ISCI FINISHED THE 2023 FY WITH AN OPERATING SURPLUS. ISCI CONTINUES TO PURSUE THE BUILDING TECHNOLOGY/SMART BUILDINGS (BMS) INDUSTRY SECTOR FOR EXPANSION OF CERTIFICATION COVERAGE. THE ADDITION OF NEW ISCI MEMBERS FROM THE SMART BUILDINGS SECTOR AND ESTABLISHMENT OF A COLLABORATION WITH ANOTHER CERTIFICATION ORGANIZATION (BCS) MARKED PROGRESS TOWARDS STANDING-UP AN AS-BUILT BUILDING SITE CERTIFICATION FOR THE COMMERCIAL REAL ESTATE (CRE) SECTOR. ISCI LAUNCHED THE DEVELOPMENT OF THE ASSET OWNER SITE ASSESSMENT SCHEME (ACSSA) IN Q4 2023. THIS NEW ASSESSMENT AND CERTIFICATION SCHEME HAS A PLANNED COMPLETION DATE IN THE FIRST HALF OF 2025. ISCI REVIVED AN AGGRESSIVE MEMBER RECRUITING ACTIVITY IN 2023 WHICH RESULTED IN OVER 20 NEW MEMBERS AND IS EXPECTED TO GENERATE CONTINUED MEMBERSHIP GROWTH INTO THE FUTURE. THE NEW ACSSA PROGRAM ANNOUNCED IN Q1 2023 WAS A CATALYST FOR MARKET INTEREST IN ISCI MEMBERSHIPS.ISCI NOW AVERAGES 2,000 WWW.ISASECURE.ORG WEBSITE VISITORS PER MONTH WITH OVER 6,000 PAGE VIEWS AND GROWING. ISCI PRESENTED 11 WEBINARS IN 2023 WITH A COMBINED 1000+ WEBINAR REGISTRANTS AND SPONSORED ISCI SPEAKERS AT 10+ INDUSTRY EVENTS. NEW ISCI CB AGREEMENTS ARE UP TO 12 AS OF EOY 2023. OPERATING GLOBALLY. ISCI CONTINUES ITS MISSION TO PROMOTE THE ISA/IEC 62443 FAMILY OF STANDARDS AND THE RELATED ISASECURE PRODUCT CERTIFICATION PROGRAM. THERE IS NO CHANGE IN THE ISCI SCOPE AND MISSION AND ISCI COMMENCED DEVELOPMENT OF AN ASSET-OWNER IACS ASSESSMENT SCHEME IN LATE 2023 WITH PLANS FOR AN IIOT SYSTEM CERTIFICATION IN PARTNERSHIP WITH THE CLOUD SECURITY ALLIANCE (CSA).2023 SHOWED SIGNIFICANT GROWTH IN THE DEMAND FOR FORMAL ADOPTION OF THE ISA/IEC 62443 STANDARDS BY PRODUCT SUPPLIERS AND NEW CERTIFICATIONS REFLECTED THIS GROWTH. ISCI COMPLETED: TWENTY-FIVE ADDITIONS FOR THE ISASECURE SDLA DEVELOPMENT PROCESS CERTIFICATIONS (62443-4-1); SEVEN ADDITIONS FOR ISASECURE CSA COMPONENT CERTIFICATIONS (62443-4-2). ONE ADDITION FOR ISASECURE SSA SYSTEM CERTIFICATION (62443-3-3)- THIRTY-THREE TOTAL ISASECURE CERTIFICATIONS ADDED IN 2023. THE ISA100 WIRELESS COMPLIANCE INSTITUTE OPERATES A CERTIFICATION SCHEME FOR INDUSTRIAL WIRELESS IIOT PRODUCTS BASED UPON THE ISA100.11A-2011/IEC-62734 INDUSTRIAL WIRELESS STANDARD. WCI PROMOTES THE STANDARD GLOBALLY, MANAGES INTELLECTUAL PROPERTY ASSOCIATED WITH WCI IMPLEMENTATION SPECIFICATIONS AND MAINTAINS A CERTIFICATION TEST PLATFORM FOR USE IN THE PRODUCT CONFORMITY ASSESSMENT PROGRAM. RELATED ACTIVITIES INCLUDE PERIODIC INTEROPERABILITY TESTING CAMPAIGNS AT VARIOUS GLOBAL VENUES AND COLLABORATION WITH OTHER INDUSTRY GROUPS SUCH AS FIELDCOMM GROUP AND OPC TO DEVELOP STANDARDIZED METHODS FOR INTEGRATION OF TECHNOLOGIES. THE WCI FINISHED FY 2023 WITH AN OPERATING SURPLUS. WCI INITIATED A FORMAL SPECIFICATION PROJECT WITH OPC IN 2019 WHICH WAS UPDATED IN 2021-2022 AND VERSION 1.0 COMPLETED IN 2023. SUPPLIER MEMBERS ARE NOW ADOPTING THE SPECIFICATION INTO PRODUCTS AND WCI WILL BE PERFORMING CONFORMANCE TESTING ON PRODUCTS USING THE OPC SPECIFICATION IN THE NEXT FEW YEARS. OPC IS AN INDUSTRY TECHNOLOGY CONSORTIUM TO CREATE AN OPEN INTERFACE SPECIFICATION FOR USE IN INTEGRATING ISA100 WIRELESS PRODUCTS WITH OTHER AUTOMATION PLATFORMS USED IN PROCESS MANUFACTURING APPLICATIONS. WCI HOSTED EIGHT WEBINARS WITH A CUMULATIVE 1000+ REGISTRANTS AND HOSTED THREE CUSTOMER EVENTS IN JAPAN. THE WCI ASIA PACIFIC TEAM HOSTED AN ISA100 WIRELESS TECHNOLOGY DISPLAY AT THE 2023 JEMIMA SHOW IN JAPAN. WCI IS NOW AVERAGING 2,000 WEBSITE VISITORS AND 6,000 PAGE VIEWS ON ITS WWW.ISA100WCI.ORGWEBSITE.THERE IS NO CHANGE IN THE WCI SCOPE AND MISSION. WCI COMPLETED THE OPC APPLICATION-LEVEL SPECIFICATION AND BLE PROVISIONING PROJECTS IN Q4 2020; SUPPLIERS DEVELOPING PRODUCTS FOR 2022-2023 RELEASE THAT USE THE NEW SPECIFICATIONS. 0 0 0 1 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 7 0 1 0 0 0 0 0 0 0 0 0 X 6 5 0 0 0 0 1 1 0 1 1 0 0 0 1 1 1 1 1 0 0 0 X X ROBERT PYTELL 9199909439 3252 SOUTH MIAMI BLVD 102 DURHAM NC 27703 HUGH WEBSTER AT-LARGE LEGAL COUNSEL 2.00 X 0 0 0 STEVE MUSTARD ISA TREASURER 2.00 X X 0 0 0 DAVID LEE VICE CHAIRMAN 2.00 X X 0 0 0 CARLOS MANDOLESI CHAIRMAN 2.00 X X 0 0 0 MICHAEL HAMM AT-LARGE COMPLIANCE EXPERT 2.00 X 0 0 0 MICHELA COBB MANAGING DIRECTOR OF FINANCE 2.00 40.00 X X 0 180041 33331 ANDRE RISTAINO MANAGING DIRECTOR 5.00 40.00 X 0 178827 38651 CLAIRE FALLON EXECUTIVE DIRECTOR 2.00 40.00 X 0 412713 44326 0 771581 116308 0 0 1 0 MICHAEL BRAZDA 1627 HOLLY HILL DRIVE DURHAM NC 27713 CONSULTING-MARKETING & OPS 125255 1 MEMBERSHIP DUES 900099 759844 759844 SECURITY INSTITUTE 541900 50100 50100 WIRELESS INSTITUTE 541900 6757 6757 816701 15756 15756 32002 9057 22945 22945 4425 4425 4425 859827 821126 0 38701 X 154221 46936 22594 422396 113792 4959 10884 20000 OVERHEAD 64165 859947 1219279 1188702 90060 0 11000 60000 20000 0 40000 1309339 1239702 19240 46762 333191 278117 65987 24023 418418 348902 X 890921 890800 890921 890800 1309339 1239702 X -120 -1 X 0 1 X 1 0 0 1 0 60000 20000 40000 40000 DUE TO AFFILATE 24023 24023 X PART X, LINE 2: ASCI IS EXEMPT FROM INCOME TAXES UNDER SECTION 501(C)(6) OF THE IRC. ASCI FILES AS TAX-EXEMPT ORGANIZATION. MANAGEMENT IS NOT AWARE OF ANY ACTIVITIES THAT WOULD JEOPARDIZE THE TAX-EXEMPT STATUS OF ASCI. MANAGEMENT IS NOT AWARE OF ANY SIGNIFICANT ACTIVITIES THAT ARE SUBJECT TO TAX ON UNRELATED BUSINESS INCOME OR EXCISE OR OTHER TAXES FOR ASCI. ASCI FOLLOWS THE GUIDANCE IN THE INCOME TAX STANDARD REGARDING THE RECOGNITION AND MEASUREMENT OF UNCERTAIN TAX POSITIONS. THIS GUIDANCE HAD NO SIGNIFICANT IMPACT ON THE FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2022. 1 0 0 0 CLAIRE FALLON EXECUTIVE DIRECTOR 0 338346 0 71400 0 2967 0 27283 0 17043 0 457039 0 0 ANDRE RISTAINO MANAGING DIRECTOR 0 142286 0 31786 0 4755 0 22282 0 16369 0 217478 0 0 MICHELA COBB MANAGING DIRECTOR OF FINANCE 0 158798 0 15984 0 5259 0 16009 0 17322 0 213372 0 0 PART I, LINE 3 THE COMPENSATION COMMITTEE OF INTERNATIONAL SOCIETY OF AUTOMATION, WHICH REPRESENTS THE EXECUTIVE BOARD, REVIEWS THE PERFORMANCE AND COMPENSATION OF THE EXECUTIVE DIRECTOR/CEO ANNUALLY. A FORMAL WRITTEN PERFORMANCE APPRAISAL IS COMPLETED AND A FACE TO FACE MEETING IS HELD BETWEEN THE COMPENSATION COMMITTEE AND EXECUTIVE DIRECTOR/CEO. EACH YEAR, EXECUTIVE COMPENSATION IS REVIEWED AGAINST INDUSTRY DATA PROVIDED BY SALARY SURVEYS CONDUCTED BY ASAE (AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES), CESSE (COUNCIL OF ENGINEERING AND SCIENTIFIC SOCIETY EXECUTIVES), AND CAPITAL ASSOCIATE INDUSTRIES TO CONFIRM THAT EXECUTIVE COMPENSATION FALLS WITHIN INDUSTRY NORMS. FORM 990, PART VI, SECTION A, LINE 6 THE COMPANY OR ORGANIZATION THAT HAS JOINED ASCI TO PARTICIPATE IN THE FORUMS THROUGH EXECUTION OF THE MEMBERSHIP AGREEMENT. ASCI FORUMS (INTEREST GROUPS) WILL CREATE MEMBERSHIP LEVELS AND ENTITLEMENTS ACCORDING TO THE NEEDS OF THE FORUM. FEES AND MEMBERSHIP CATEGORIES WILL VARY AMONG THE FORUMS AND ARE DETERMINED BY THE FORUM'S FOUNDING LEADERS AND ULTIMATELY THE ESTABLISHED BOARD OF GOVERNANCE FOR EACH FORUM. ISA SECURITY COMPLIANCE INSTITUTE MEMBER CLASSES ARE STRATEGIC MEMBER, TECHNICAL MEMBER, ASSOCIATE MEMBER, GOVERNMENT MEMBER, AND ADOPTER/SUPPORTER MEMBER. ISA100 WIRELESS COMPLIANCE INSTITUTE MEMBER CLASSES ARE BOARD MEMBER, SUPPLIER MEMBER, AND NON-SUPPLIER MEMBER. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD IS COMPRISED OF MEMBERS ELECTED AS DELEGATES BY OTHER VOTING MEMBERS OF THE ORGANIZATION. THOSE DELEGATES ALSO HAVE THE POWER TO APPOINT CERTAIN EX OFFICIO DIRECTORS FROM OUTSIDE THE MEMBERSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE DOCUMENTS ARE REVIEWED BY INTERNAL STAFF AS WELL AS THE EXECUTIVE DIRECTOR AND TREASURER. FORM 990 IS REVIEWED BY MY MANAGAMENT AND THE SOCIETY-ELECTED TREASURER EITHER BEFORE OR AFTER THE FILING. FORM 990, PART VI, SECTION B, LINE 12C AN ASCI INSTITUTE LEADER HAS AN OBLIGATION TO BE ALERT TO ANY ACTUAL OR POTENTIAL CONFLICTS OF INTEREST. IF A TRANSACTION IS OR MAY BE SUBJECT TO REVIEW BY AN ASCI GOVERNING BODY, AN INTERESTED ASCI INSTITUTE LEADER WILL PROMPTLY DISCLOSE ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST TO, AND ABSTAIN FROM ANY PARTICIPATION IN THE DISCUSSION OR DECISION OF, THE RESPECTIVE GOVERNING BODY WITH RESPECT TO THAT TRANSACTION. AFTER DISCLOSURE OF THE ACTUAL OR POTENTIAL CONFLICT OF INTEREST, THE INTERESTED ASCI INSTITUTE LEADER SHALL LEAVE THE MEETING AND THE REMAINING MEMBERS SHALL DETERMINE IF A CONFLICT OF INTEREST ACTUALLY EXISTS. THE DISCLOSURE SHALL BE COMMUNICATED BY THE INTERESTED ASCI INSTITUTE LEADER IN A NEUTRAL CONTEXT; THAT IS, THE INTERESTED ASCI INSTITUTE LEADER WILL NOT STATE ANY POSITION OR ADVOCATE THE ADOPTION OF ANY POSITION ON THE TRANSACTION IN HIS OR HER INITIAL DISCLOSURE CONCERNING THE ACTUAL OR POTENTIAL CONFLICT OF INTEREST. THEREAFTER, IF AN ACTUAL CONFLICT OF INTEREST IS DETERMINED TO EXIST, THE INTERESTED ASCI INSTITUTE LEADER WILL REFRAIN FROM INITIATING ANY DISCUSSIONS, PUBLICLY AND PRIVATELY, REGARDING THE TRANSACTION WITH OTHER MEMBERS OF THE GOVERNING BODY THAT WILL MAKE ANY DECISION CONCERNING THE TRANSACTION. THE GOVERNING BODY WILL GIVE THE INTERESTED ASCI INSTITUTE LEADER A FAIR AND APPROPRIATE OPPORTUNITY TO SUBMIT A WRITTEN POSITION STATEMENT REGARDING THE TRANSACTION TO THE GOVERNING BODY BEFORE CONSIDERATION OF THE TRANSACTION IS CONCLUDED, BUT THE INTERESTED ASCI INSTITUTE LEADER SHALL INITIATE NO OTHER DISCUSSIONS OR PARTICIPATION IN THE DECISION MAKING PROCESS. THE GOVERNING BODY SHALL HAVE COMPLETE AUTHORITY TO ASCRIBE WHATEVER WEIGHT IT DEEMS APPROPRIATE TO THE INTERESTED ASCI INSTITUTE LEADER'S WRITTEN STATEMENT IN LIGHT OF THE DISCLOSED CONFLICT OF INTEREST. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G SECURITY SERVICES 50,802. COMPLIANCE SERVICES 87,886. TECHNICAL SUPPORT SERVICES 67,101. OTHER PROFESSIONAL FEES 216,607. FORM 990, PART XI, LINE 9: MISCELLANEOUS -1. INTERNATIONAL SOCIETY OF AUTOMATION 3252 SOUTH MIAMI BLVD STE 102 DURHAM NC 27703 250921042 TRAINING AND CERTIFICATION NC 501(C)(3) LINE 10 0 ISA EUROPE FOUNDATION LUCHTHAVENWEG 54 EINDHOVEN NL 5657EB TRAINING SERVICE NL N/A N/A INTERNATIONAL ASSOCIATION OF AUTOMATION 0 THE AUTOMATION FEDERATION 3252 SOUTH MIAMI BLVD STE 102 DURHAM NC 27703 AUTOMATION AWARENESS AND PROGRAMS NC 501(C)(3) LINE 10 INTERNATIONAL ASSOCIATION OF AUTOMATION 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0