2023-07-14T15:30:00-05:00 2022-12-31 420714325 RSM US LLP 19026 RIDGEWOOD PKWY STE 400 SAN ANTONIO TX 78259 990 2022-01-01 593771849 OPEN COMPLIANCE AND ETHICS GROUP INC OPEN 6022349278 11201 N TATUM BLVD PMB 85352 300 PHOENIX AZ 850286039 SCOTT L MITCHELL CHAIRMAN 6022349278 2023-07-13 0 SCOTT MITCHELL 999009999 0 REBECCA A RODRIGUEZ P01073764 2108286281 2023-07-13 3 AAL1 IAL1 2022 2023-04-26 12:10:37Z OCEG SCOTT L MITCHELL 11201 N TATUM BLVD PMB 85352 300 PHOENIX AZ 850286039 2504838 0 X WWW.OCEG.ORG X 2003 AZ OCEG IS A NONPROFIT ORGANIZATION THAT UNIQUELY HELPS ORGANIZATIONS DRIVE PRINCIPLED PERFORMANCE BY ENHANCING CULTURE AND INTEGRATING GOVERNANCE, RISK AND COMPLIANCE. 2 1 5 1 102993 0 1577125 1875153 673972 602595 594 1146 1886 6278 2253577 2485172 0 7000 0 0 756498 870087 0 0 0 611689 1024987 1368187 1902074 885390 583098 3101073 3685290 5895 9664 3095178 3675626 OCEG IS A NONPROFIT ORGANIZATION THAT UNIQUELY HELPS ORGANIZATIONS DRIVE PRINCIPLED PERFORMANCE BY ENHANCING CULTURE AND INTEGRATING GOVERNANCE, RISK AND COMPLIANCE. 0 0 1770172 7000 554095 OCEG DEVELOPED AND RELEASED A NUMBER OF NEW INSTALLMENTS IN OUR GRC ILLUSTRATED SERIES OF INFOGRAPHICS, OUR PLAYBOOK SERIES OF GUIDANCE, AND OUR EBOOK SERIES, ON THE TOPICS OF ESG AND DATA PRIVACY WHICH ARE TWO SUBJECTS OF PARTICULAR INTEREST TO OUR MEMBERS.A MAJOR CONTENT DEVELOPMENT WAS THE RELEASE OF THE INTEGRATED DATA PRIVACY MODEL. THROUGHOUT THE YEAR WE WORKED WITH AN EXPERT ADVISORY PANEL TO DEVELOP THE NEW MODEL AND AN ASSOCIATED NEW CERTIFICATION (INTEGRATED DATA PRIVACY PROFESSIONAL OR IDPP) AND THESE WERE RELEASED IN OCTOBER 2022. THE MODEL IS AVAILABLE AN AN OPEN SOURCE SET OF STANDARDS AND ANYONE MAY DOWNLOAD IT AFTER LOGGING ONTO THE OCEG WEBSITE. 50183 48500 IN THE AREA OF RESEARCH, OCEG ISSUED TWO SURVEY REPORTS, ONE ON GRC READINESS AND ONE ON THE IMPACT OF DIGITILIZATION. ALL OF THIS NEW CONTENT WAS MADE AVAILABLE FOR DOWNLOAD BY ANYONE LOGGED ONTO THE OCEG WEBSITE FOR FREE FOR APPROXIMATELY TWO MONTHS AFTER IT WAS POSTED TO THE OCEG RESOURCE COLLECTION, AND THEREAFTER WAS MADE AVAILABLE TO ANYONE WITH AN OCEG ALL ACCESS PASS (AAP).OCEG ALSO HELD WEBINARS EACH MONTH ON A VARIETY OF GRC TOPICS. THESE ARE AVAILABLE TO BE ATTENDED FREE BY ANYONE LOGGED ONTO THE OCEG WEBSITE AND ARCHIVES OF THE WEBINAR RECORDINGS AND THE SLIDES WERE MADE AVAILABLE TO ANYONE WITH AN AAP. 1820355 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 1 0 0 0 1 11 0 1 5 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 X 2 1 1 0 0 0 0 0 0 1 0 0 0 1 1 1 1 1 1 1 1 0 X SCOTT MITCHELL 6022349278 4144 N 44TH STREET STE 6 PHOENIX AZ 85018 JON MCCORMICK DIRECTOR 0.25 X 0 0 0 SCOTT L MITCHELL DIRECTOR / CHAIR 40.00 0.25 X X 231000 0 10895 CAROLE SWITZER PRESIDENT 40.00 X 191000 0 19167 STEPHANE LEGAY FMR DIRECTOR (UNTIL 12/31/21) / CIO 40.00 X 161000 0 41670 JEANNA LEGAY DIRECTOR OF FINANCE 40.00 X 104500 0 6021 687500 0 77753 4 0 1 0 0 1875153 1875153 GRC ED & TRAINING 611430 499602 499602 CONTENT DISTRIBUTION 611430 102993 102993 602595 1146 1146 21780 19666 2114 2114 2114 CREDIT CARD REWARD PRO 900099 2184 2184 REFUND FROM HEALTH INS 900099 1488 1488 CREDIT CARD PROCESSING 900099 492 492 4164 2485172 499602 102993 7424 X 7000 7000 656789 634186 22603 151231 109431 41800 4180 2508 1672 10525 9730 795 47362 42948 4414 20535 20535 11108 8433 2675 526627 526627 1834 1834 144658 138943 5715 169996 169110 886 18569 17641 928 48181 48181 7697 7466 231 TRAINING 43944 43944 TEAM BUILDING 17772 17772 PROJECT CONTENT 14066 14066 1902074 1820355 81719 0 1683996 1689408 1416035 1994840 1042 1042 3101073 3685290 5895 9664 5895 9664 X 0 0 0 0 3095178 3675626 3095178 3675626 3101073 3685290 X 583098 -2650 X 0 0 0 X 829851 1017637 1235901 1577125 1875153 6535667 829851 1017637 1235901 1577125 1875153 6535667 299008 6236659 278 560 3264 23192 22926 50220 3337 854 1742 3925 4164 14022 6599909 2665945 0.94500 0.70440 X 0.70440 0.00030 SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: CREDIT CARD REWARD PROGRAMS - 2018 AMOUNT: $ 3,337. 2019 AMOUNT: $ 854. 2020 AMOUNT: $ 1,742. 2021 AMOUNT: $ 3,925. 2022 AMOUNT: $ 2,184. REFUND FROM HEALTH INSURANCE - 2022 AMOUNT: $ 1,488. CREDIT CARD PROCESSING - 2022 AMOUNT: $ 492. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED SOUTH AMERICA 0 0 PROGRAM SERVICES CONTRACTORS/SOFTWARE 21314 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES CONTRACTORS/SOFTWARE 165124 NORTH AMERICA 0 0 PROGRAM SERVICES CONTRACTORS/SOFTWARE 37060 0 0 0 0 0 0 223498 0 223498 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X 0 0 0 0 0 0 0 0 0 SCOTT L MITCHELL DIRECTOR / CHAIR 156000 0 75000 0 0 0 6320 0 4575 0 241895 0 0 0 CAROLE SWITZER PRESIDENT 156000 0 35000 0 0 0 1440 0 17727 0 210167 0 0 0 STEPHANE LEGAY FMR DIRECTOR (UNTIL 12/31/21) / CIO 111000 0 50000 0 0 0 6098 0 35572 0 202670 0 0 0 PART I, LINE 3: COMPENSATION COMPARATIVE DATA FOR LOCAL MARKET ARE INDEPENDENTLY OBTAINED AND REVIEWED IN ACCORDANCE WITH OCEG EXECUTIVE COMPENSATION POLICY, WHICH IS APPROVED BY THE BOARD. THIS IS REVIEWED EVERY 2 YEARS AND WAS DONE IN 2021. SCOTT L MITCHELL >35% OWNER OF DOUBLEDRUM 81690 OCEG ENGAGED DOUBLEDRUM FOR CONSULTING SERVICES. IN BOARD MATTERS RELATED TO DECISIONS FOR CONSULTING SERVICES, SCOTT L. MITCHELL ABSTAINS FROM VOTING. 0 SCOTT L MITCHELL FAMILY MEMBER IS >35% OF LENTZ 360 27600 OCEG ENGAGED LENTZ 360 FOR CONTRACT SERVICES. IN BOARD MATTERS RELATED TO DECISIONS FOR CONTRACT SERVICES, SCOTT L. MITCHELL ABSTAINS FROM VOTING. 0 SCOTT L MITCHELL >35% OWNER OF LOOPLOGIC, LLC 36000 OCEG ENGAGED LOOPLOGIC, LLC FOR SOFTWARE SERVICES. IN BOARD MATTERS RELATED TO DECISIONS FOR SOFTWARE SERVICES, SCOTT L. MITCHELL ABSTAINS FROM VOTING. 0 STEPHANE LEGAY <35% OWNER OF LOOPLOGIC, LLC 36000 OCEG ENGAGED LOOPLOGIC, LLC FOR SOFTWARE SERVICES. IN BOARD MATTERS RELATED TO DECISIONS FOR SOFTWARE SERVICES, STEPHANE LEGAY ABSTAINS FROM VOTING. 0 FORM 990, PART VI, SECTION A, LINE 2 SCOTT MITCHELL AND STEPHANE LEGAY HAVE A BUSINESS RELATIONSHIP. STEPHANE LEGAY AND JEANNA LEGAY HAVE A FAMIILY RELATIONSHIP. FORM 990, PART VI, SECTION A, LINE 8B THE ORGANIZATION CONSISTS OF ONLY A GOVERNING BODY, AND NOT A COMMITTEE WITH AUTHORITY TO ACT ON BEHALF OF IT. FORM 990, PART VI, SECTION B, LINE 11B THE COMPLETED FORM 990 AND SCHEDULES ARE PROVIDED TO THE BOARD MEMBERS AND INDIVIDUALLY APPROVED BY THEM. FORM 990, PART VI, SECTION B, LINE 12C POTENTIAL CONFLICTS OF INTEREST ARE RAISED AND DISCUSSED WITH THE CHAIR, OR IF ON HIS PART, DISCUSSED WITH THE PRESIDENT OF THE ORGANIZATION. ADDITIONALLY, BOARD AND STAFF REVIEW AND SIGN THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION COMPARATIVE DATA FOR LOCAL MARKET ARE INDEPENDENTLY OBTAINED AND REVIEWED IN ACCORDANCE WITH OCEG EXECUTIVE COMPENSATION POLICY, WHICH IS APPROVED BY THE BOARD. FORM 990, PART VI, SECTION C, LINE 19 OCEG PROVIDES GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G PROJECT SERVICES: PROGRAM SERVICE EXPENSES 281,616. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 281,616. MARKETING/BRANDING: PROGRAM SERVICE EXPENSES 155,701. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 155,701. DATA MANAGEMENT: PROGRAM SERVICE EXPENSES 7,620. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 7,620. CONSULTING: PROGRAM SERVICE EXPENSES 81,690. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 81,690. FORM 990, PART XI, LINE 9: PENDING RECEIPTS FROM CREDIT CARD TRANSACTIONS -2,650. GRC CERTIFY 11201 N TATUM BLVD STE 300 PMB 8535 PHOENIX AZ 850286039 274664198 EDUCATION/TRAINING AZ 501(C)(4) OCEG 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0