2025-11-17T18:47:00-06:00 2024-12-31 842953567 TRIMNERBECKHAM PLLC 1750 TYSONS BLVD SUITE 1500 MCLEAN VA 22102 990 2024-01-01 043259433 ETHICS & COMPLIANCE OFFICER ASSOCIATION 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 & COMPLIANCE ASSOCIATION PATRICIA J HARNED PHD PO BOX 2175 MERRIFIELD VA 221168239 1771627 0 X WWW.ETHICS.ORG X 1992 DE BRING TOGETHER ETHICS AND COMPLIANCE PROFESSIONALS WORLDWIDE TO SHARE TECHNIQUES & RESOURCES 18 18 0 15 15500 11407 0 0 1897848 1663898 0 0 0 107729 1897848 1771627 0 0 0 0 1018192 803925 0 0 0 2220622 1077288 3238814 1881213 -1340966 -109586 694913 176130 2457136 2062148 -1762223 -1886018 X ESTABLISHED IN 1922, THE ETHICS & COMPLIANCE INITIATIVE (ECI) COMPRISES THE TWO OLDEST NONPROFITS IN THE ETHICS & COMPLIANCE INDUSTRY; THE ETHICS RESOURCE CENTER (D.B.A. THE ETHICS RESEARCH CENTER) AND THE ETHICS & COMPLIANCE OFFICER ASSOCIATION (D.B.A. THE ETHICS & COMPLIANCE ASSOCIATION). AS AN ASSOCIATION, ECA BRINGS TOGETHER ETHICS & COMPLIANCE PROFESSIONALS AND ACADEMICS FROM ALL OVER THE WORLD TO SHARE TECHNIQUES, RESOURCES AND EXCITING NEW IDEAS. 0 0 CONFERENCES: ECA HOSTS A TWO-AND-A-HALF-DAY ANNUAL CONFERENCE WITH BREAKOUT SESSIONS TO BENEFIT INDUSTRY PROFESSIONALS, INCLUDING MEMBERS, SPEAKERS, VENDORS, ACADEMICS, STUDENTS AND OTHER MEMBERS OF THE PUBLIC. ECA ALSO HOSTS BEST PRACTICE FORUMS ON SPECIFIC PRACTICES THAT SERVE MEMBERS, SPEAKERS, STUDENTS, AND OTHER MEMBERS OF THE PUBLIC. ADDITIONALLY, THE ECI FELLOWS PROGRAM INCLUDES TWO MEETINGS PER YEAR WHERE SENIOR ETHICS & COMPLIANCE PROFESSIONALS GATHER TO IDENTIFY EMERGING ISSUES AND BUILD NEW KNOWLEDGE. MEMBERSHIP: THE ECA HELPS ITS MEMBERS ACHIEVE EXCELLENCE IN THEIR ROLES AS ETHICS AND COMPLIANCE OFFICERS BY PROVIDING THEM WITH INFORMATION, INCLUDING POLICIES, RESEARCH, RELEVANT PUBLICATIONS, BENCHMARKING DATA, AND SURVEY OPPORTUNITIES. EDUCATION: THE ECA OFFERS A VARIETY OF TRAINING AND EDUCATIONAL OPPORTUNITIES THAT UTILIZE A HIGHLY INTERACTIVE FORMAT THAT ENCOURAGES PEER-TO-PEER SHARING, NEW RESEARCH, AND EXPERT INSIGHTS THAT SUPPORT THE KNOWLEDGE AND SKILLS NEEDED TO BUILD AND MAINTAIN A HIGH-QUALITY ETHICS AND COMPLIANCE PROGRAM. ECA'S TRAINING AND EDUCATION OPPORTUNITIES ARE HELD IN PERSON AND VIA WEB-BASED TECHNOLOGY. 0 0 0 1 0 0 0 0 0 1 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 11 0 0 1 1 0 0 0 0 0 0 0 X 18 18 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 0 0 0 X GAUTAM GUPTA 6238266576 PO BOX 2175 MERRIFIELD VA 221168239 PAUL ZIKMUND CHAIR 1.00 1.00 X X 0 0 0 KATIE SMITH VICE CHAIR 1.00 1.00 X X 0 0 0 ALEC KOCH TREASURER 1.00 1.00 X X 0 0 0 ALICIA OLMSTEAD TRUSTEE 1.00 X 0 0 0 BLAKE WILSON TRUSTEE 1.00 X 0 0 0 GREG KEELING TRUSTEE 1.00 X 0 0 0 JAMAL AHMED TRUSTEE 1.00 X 0 0 0 JUSTIN ROSS TRUSTEE 1.00 X 0 0 0 KURT DRAKE TRUSTEE 1.00 X 0 0 0 MIKE SANTOS TRUSTEE 1.00 X 0 0 0 NINA MARTIN TRUSTEE 1.00 X 0 0 0 RICHARD DAVIES TRUSTEE 1.00 X 0 0 0 ROBB CANNING TRUSTEE 1.00 X 0 0 0 ROBERT MASCOLA TRUSTEE 1.00 X 0 0 0 SETH COHEN TRUSTEE 1.00 X 0 0 0 SUZANNE MILTON TRUSTEE 1.00 X 0 0 0 TOM MCDANIEL TRUSTEE 1.00 X 0 0 0 YAN TOUGAS TRUSTEE 1.00 X 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 16.00 24.00 X 0 254358 24490 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 2.00 38.00 X 0 143220 7200 CAROL LEVEY VP, MARKETING 32.00 8.00 X 0 123655 13629 ANDREW WESSELS SALES DIRECTOR 40.00 0.00 X 0 110269 6331 0 631502 51650 0 0 1 0 O2 LAB 1401 CHURCH ST NW STE 119 WASHINGTON DC 20005 WEBSITE, MARKETING 180500 1 MEMBERSHIP DUES 900099 1249780 1249780 CONFERENCES 900099 265485 265485 TRAINING & EDUCATION 900099 77865 77865 ADVISORY SERVICE FEES 900099 55268 55268 ADVERTISING REVENUE 541800 15500 15500 1663898 107729 107729 107729 1771627 1648398 15500 107729 X 111539 570762 7072 68579 45973 5177 327399 87693 54953 12363 14473 27819 233170 161106 14319 MEMBERSHIP/SUBSCRIPTION 108726 FIXED ASSET DISPOSAL 17294 BAD DEBT EXPENSE 10000 FEES & LICENSING 2796 1881213 296904 24197 39800 100 27975 216732 197766 64500 18966 265734 132867 694913 176130 223701 304891 956230 511533 418855 265347 858350 980377 2457136 2062148 X 0 0 0 0 -1762223 -1886018 -1762223 -1886018 694913 176130 -109586 -14209 0 X 0 0 0 0 1 0 12345 9659 2686 204387 188107 16280 18966 DUE TO THE RELATED ENTITY 980377 980377 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 1 0 PROGRAM SERVICES EUROPEAN BUSINESS ETHICS FORUM (EBEF) ANNUAL CONFERENCE 5303 1 0 0 0 1 0 5303 0 5303 0 0 0 0 0 0 0 0 0 PATRICIA J HARNED PHD CHIEF EXECUTIVE OFFICER 0 254358 0 0 0 0 0 13200 0 11290 0 278848 0 0 SEMIHA EVREN ESEN VP, RESEARCH & ANALYTICS 0 143220 0 0 0 0 0 7200 0 0 0 150420 0 0 FORM 990, SCHEDULE J, PART I: THE ECA DOES NOT DIRECTLY HIRE OR COMPENSATE EMPLOYEES. ALL EMPLOYEES ARE EMPLOYED BY THE ETHICS RESOURCE CENTER, INC. (ERC), A RELATED 501(C)(3) ORGANIZATION. COMPENSATION OF THE INDIVIDUALS LISTED ON ECA'S RETURN WAS DETERMINED UNDER ERC'S POLICIES AND PROCEDURES WHICH SATISFY THE REBUTTABLE PRESUMPTION OF REASONABLENESS. THE ECA OPERATES UNDER A COST SHARING AGREEMENT WITH ERC, APPROVED BY THE BOARD OF DIRECTORS OF EACH ORGANIZATION, UNDER WHICH ERC EMPLOYS BOTH ORGANIZATIONS' STAFF MEMBERS AND PAYS FOR GENERAL AND ADMINISTRATIVE EXPENSES. ECA REIMBURSES ERC FOR ITS SHARE OF THESE EXPENSES. FORM 990, PART VI, SECTION A, LINE 6 THE ASSOCIATION HAS SENIOR FELLOWS MEMBERS, FELLOWS MEMBERS, ORGANIZATIONAL MEMBERS AND INDIVIDUAL MEMBERS. EACH LEVEL PAYS A DIFFERENT ANNUAL MEMBERSHIP FEE AND HAS ACCESS TO EVENTS, RESOURCES, AND TOOLS TO ENABLE THEM MORE EFFECTIVELY TO BUILD AND SUSTAIN HIGH-QUALITY ETHICS & COMPLIANCE PROGRAMS. BENEFITS VARY BY LEVEL. FORM 990, PART VI, SECTION A, LINE 7A ORGANIZATIONAL MEMBERS, FELLOWS, AND SENIOR FELLOWS SHALL HAVE ONE VOTE ON ALL MATTERS THAT MAY BE PRESENTED TO THE MEMBERS OF THE ASSOCIATION. EACH IS ALSO PROVIDED THE OPPORTUNITY TO NOMINATE INDIVIDUALS TO THE ECA BOARD OF DIRECTORS. 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 ECA 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 ECA NOMINATING AND GOVERNANCE COMMITTEE DETERMINES THAT AN ECA 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 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 PR SERVICE BUREAU FEES 5,506. RECRUITING EXPENSE 22. CONSULTANTS 237,685. TEMP STAFFING 45,711. SURVEY SUPPORT 29,050. OTHER CONTRACT SERVICES 9,425. ETHICS RESOURCE CENTER INC PO BOX 2175 MERRIFIELD VA 221168239 131671026 ETHICS AND COMPLIANCE PROGRAMS NY 501(C)(3) LINE 7 N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 ETHICS RESOURCE CENTER INC O 1370436 ETHICS RESOURCE CENTER INC P 1035000