2025-11-17T18:46:02-06:00 2024-12-31 842953567 TRIMNERBECKHAM PLLC 1750 TYSONS BLVD SUITE 1500 MCLEAN VA 22102 990 2024-01-01 131671026 ETHICS RESOURCE CENTER INC ETHI 7036472185 PO BOX 2175 MERRIFIELD VA 221168239 RICHARD GAUDET CHIEF RESTRUCTURING OFFICER 7036472185 2025-11-17 1 0 DAVID TRIMNER P00444822 7036631756 2024 2025-03-06 01:10:19Z ETHICS RESEARCH CENTER PATRICIA J HARNED PHD PO BOX 2175 MERRIFIELD VA 221168239 1778773 0 X WWW.ETHICS.ORG X 1942 NY EMPOWERING ORGANIZATIONS TO BUILD AND SUSTAIN HIGH QUALITY ETHICS & COMPLIANCE PROGRAMS 17 17 14 17 0 0 410379 764691 1103362 869830 40 12 5942 144240 1519723 1778773 0 0 0 0 1388646 957537 0 0 74630 1183149 808777 2571795 1766314 -1052072 12459 2966206 1941903 1447187 448404 1519019 1493499 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 1163669 869830 IN 2024, ERC CONTINUED TO CONDUCT RESEARCH THROUGH THE GLOBAL BUSINESS ETHICS SURVEY, RELEASING SEVERAL REPORTS OF FINDINGS AND REGULAR COMMUNICATIONS THROUGH ETHICSSTAT EMAILS. AN ONLINE INTERACTIVE DATABASE HOUSED THE RESEARCH DATA, AND ERC ALLOWED MEMBERS OF THE PUBLIC AND OTHER STAKEHOLDERS TO ACCESS KEY FINDINGS. ERC ALSO CONTINUED TO RELEASE TALKING THE WALK, A MONTHLY CASE STUDY DESIGNED TO ENCOURAGE CONVERSATIONS ABOUT IMPORTANT ETHICS AND COMPLIANCE ISSUES. THE ORGANIZATION ALSO CONTINUED TO PROVIDE SUPPORT TO ORGANIZATIONS THROUGH FEE-FOR-SERVICE CONSULTING, INVOLVING CULTURE ASSESSMENTS, TRAINING DEVELOPMENT, AND ASSESSMENT OF ETHICS AND COMPLIANCE PROGRAMS. 1163669 1 1 0 0 0 0 0 0 0 0 1 0 0 1 0 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 29 0 14 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 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 ALEC KOCH TREASURER 1.00 1.00 X X 0 0 0 ANDREW WEISSMANN DIRECTOR 1.00 X 0 0 0 CHARLIE WHITAKER DIRECTOR 1.00 X 0 0 0 CYNTHIA PATTON DIRECTOR 1.00 X 0 0 0 DAVID HUNTLEY DIRECTOR 1.00 X 0 0 0 DAVID OGDEN DIRECTOR 1.00 X 0 0 0 HOWARD HACKER DIRECTOR 1.00 X 0 0 0 MELISSA STAPLETON-BARNES DIRECTOR 1.00 X 0 0 0 RICHARD DAVIES DIRECTOR 1.00 X 0 0 0 SALLY YATES 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 UMA AMULURU DIRECTOR 1.00 X 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 24.00 16.00 X 254358 0 24490 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 38.00 2.00 X 143220 0 7200 CAROL LEVEY VP, MARKETING 8.00 32.00 X 123655 0 13629 521233 0 45319 3 0 1 0 MTG CONSULTING SERVICES LLC 4723 N 33RD PLACE PHOENIX AZ 85018 FINANCIAL, ACCOUNTING 179119 1 764691 764691 ADVISORY SERVICE FEES 900099 869680 869680 PRODUCT SALES REVENUE 900099 150 150 869830 12 12 MEETING REIMBURSEMENT 900099 5902 5902 138338 138338 144240 1778773 869830 0 144252 X 167309 41827 111539 13943 673306 498695 146033 28578 29099 22082 5826 1191 32063 23551 7135 1377 55760 36244 16728 2788 4494 4494 407678 346527 40767 20384 98356 83602 9836 4918 6598 5608 660 330 17367 14762 1737 868 5058 4299 506 253 93352 93352 22212 22212 MEMBERSHIP/SUBSCRIPTION 101732 86472 15260 FIXED ASSET DISPOSAL 49254 49254 2676 2676 1766314 1163669 528015 74630 160107 70989 10972 30194 416848 450538 71501 35393 659550 285167 517923 374383 29 29 888136 900690 980377 2966206 1941903 422388 448404 1024799 0 1447187 448404 X 0 0 0 0 1519019 1493499 1519019 1493499 2966206 1941903 X 12459 -37979 X 0 0 0 X 691610 1508280 1060641 410379 764691 4435601 691610 1508280 1060641 410379 764691 4435601 1366999 3068602 1590 192 1028 40 12 2862 17916 35357 5942 144240 203455 4641918 4611093 0.66110 0.68170 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 67099 58622 8477 592451 226545 365906 374383 DUE FROM THE RELATED ENTITY 980377 980377 X X X 0 0 0 0 0 0 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 254358 0 0 0 0 0 13200 0 11290 0 278848 0 0 0 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 143220 0 0 0 0 0 7200 0 0 0 150420 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 19. MANAGEMENT AND GENERAL EXPENSES 2. FUNDRAISING EXPENSES 1. TOTAL EXPENSES 22. CONSULTANTS: PROGRAM SERVICE EXPENSES 263,922. MANAGEMENT AND GENERAL EXPENSES 31,050. FUNDRAISING EXPENSES 15,525. TOTAL EXPENSES 310,497. TEMP STAFFING: PROGRAM SERVICE EXPENSES 12,786. MANAGEMENT AND GENERAL EXPENSES 1,504. FUNDRAISING EXPENSES 752. TOTAL EXPENSES 15,042. OTHER CONTRACT SERVICES: PROGRAM SERVICE EXPENSES 18,261. MANAGEMENT AND GENERAL EXPENSES 2,148. FUNDRAISING EXPENSES 1,074. TOTAL EXPENSES 21,483. SURVEY SUPPORT: PROGRAM SERVICE EXPENSES 51,539. MANAGEMENT AND GENERAL EXPENSES 6,063. FUNDRAISING EXPENSES 3,032. TOTAL EXPENSES 60,634. FORM 990, PART XI, LINE 9: NET ASSET ADJUSTMENTS AS OF JANUARY 1, 2024. -37,979. 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 1370436 ETHICS AND COMPLIANCE OFFICER ASSOCIATION Q 1035000