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OPEN COMPLIANCE AND ETHICS GROUP INC

PHOENIX, AZ · EIN 593771849 · Form 990 · FY2022 · NTEE B05 · Education · Medium ($1M-$10M) · www.oceg.org
revenue
$2.5M
expenses
$1.9M
net assets
$3.7M
employees
5
volunteers
1
program ratio
96%
mission · from form 990

OCEG IS A NONPROFIT ORGANIZATION THAT UNIQUELY HELPS ORGANIZATIONS DRIVE PRINCIPLED PERFORMANCE BY ENHANCING CULTURE AND INTEGRATING GOVERNANCE, RISK AND COMPLIANCE.

profile · synthesized from sources

OPEN Compliance and Ethics Group Inc. (OCEG) is a nonprofit organization that provides resources, training, and certification to help organizations achieve effective governance, risk management, and compliance (GRC). They serve professionals across various sectors, focusing on enhancing their skills to promote principled performance. Based in Arizona, OCEG offers a range of workshops, educational materials, and standards to support GRC capabilities.

irs program accomplishments · form 990 part iii · fy2022

what they reported doing

Program narrative the organization filed with the IRS. Ordered by program spending.

  1. #1 primary $50K
    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.
named programs · 3 · from sources

what they call their work

GRC Professional Certification (GRCP)
A certification program that validates knowledge and skills in governance, risk management, and compliance.
GRC360º Strategy Lab Sessions
Facilitated sessions designed to help organizations refine their governance, risk management, and compliance strategies.
GRC360º Team Training Day
Interactive workshops providing training on GRC principles and strategic planning for teams in various departments.
activities · 4 clusters

what they do

  • Customized Professional Skills Workshops 3 activities
    • Customized GRC Training and Workshops
      Offers customized training, cohort programs, and interactive workshops for teams and organizations to upskill in GRC, develop strategic plans, and implement GRC principles, delivered both on-site and at OCEG headquarters.
    • Customized GRC Training and Workshops
      Offers customized training, cohort programs, interactive team workshops, and strategic planning sessions (e.g., GRC Launch Workshop, Talk Track Development Workshop, Strategy Lab sessions) to upskill teams and executives in GRC principles and implementation, delivered both on-site and at OCEG headquarters.
    • GRC Strategy and Design Consulting
      Conducts Strategy Lab sessions to help organizations design or refine strategies for integrating governance, management, and assurance of performance, risk, and compliance.
  • Compliance Framework Development & Support 3 activities
    • Development and Provision of Open-Source GRC Standards and Frameworks
      Provides open-source GRC standards and frameworks, including the GRC Capability Model (Red Book), GRC Assessment Framework (Burgundy Book), Policy Management Capability Model, Integrated Audit & Assurance Fundamentals, Integrated Data Privacy Capability Model, Integrated Risk Management Framework, and Integrated Compliance and Ethics Framework.
    • Development and Provision of Open-Source GRC Standards and Frameworks
      Provides open-source GRC standards and frameworks, including the GRC Capability Model (OCEG Red Book), GRC Assessment Framework (OCEG Burgundy Book), Integrated Audit & Assurance Fundamentals, Policy Management Capability Model, Integrated Data Privacy Capability Model, Integrated Risk Management Framework, and Integrated Compliance and Ethics Framework.
    • Development and Publication of GRC Standards and Frameworks
      Provides open-source GRC standards and frameworks, including the GRC Capability Model (Red Book), GRC Assessment Framework (Burgundy Book), Integrated Audit & Assurance Fundamentals, Policy Management Capability Model, Integrated Data Privacy Capability Model, Integrated Risk Management Framework, Integrated Compliance and Ethics Framework, and Integrated Artificial Intelligence Framework.
  • Member Practice Surveys 2 activities
    • GRC Research and Benchmarking
      Conducts One Minute Polls and deeper anonymous benchmarking surveys to gather information and provide analysis to its members on GRC topics.
    • GRC Research and Benchmarking
      Conducts One Minute Polls and deeper anonymous benchmarking surveys to gather information and provide analysis on GRC practices from its member base.
  • Uncategorized 7 activities
    • Custom GRC Visual Communication
      Creates custom illustrations based on its GRC Illustrated Series to help organizations visually explain GRC programs to employees.
    • Custom GRC Visual Communication
      Creates custom illustrations based on its GRC Illustrated Series to help organizations visually explain GRC programs like anti-corruption or policy management to employees.
    • Customized GRC Training and Workshops
      Offers customized training, cohort programs, and interactive workshops for teams and organizations to upskill in GRC principles, develop strategic plans, and prepare for certification, delivered both on-site and at OCEG headquarters.
    • GRC Certification Programs
      Develops and administers open-access, online certification programs in governance, risk, and compliance (GRC), including GRC Professional (GRCP) and GRC Audit (GRCA) certifications, with a Unified Certification Maintenance program for renewal.
    • GRC Certification Programs
      Develops and administers open-access, online certification programs in GRC, including GRC Professional (GRCP), GRC Audit (GRCA), and Integrated Artificial Intelligence Professional (IAIP), with flexible exam retakes and a unified maintenance program for continuing education.
    • Membership Program for GRC Professionals
      Provides a membership program to over 150,000 professionals, offering access to ideas, resources, training, and certification in governance, risk, and compliance (GRC).
    • Membership Program for GRC Professionals
      Provides a membership program to over 150,000 professionals in governance, risk, and compliance (GRC), offering access to ideas, resources, training, and certification.
financials · form 990 · fy2022

the money

revenue
Total revenue$2.49M
Contributions & grants$1.88M75%
Program service revenue$603K24%
Investment income$1K0%
Other revenue$6K
expenses
Total expenses$1.90M
Program expenses96%
Admin / overhead4%
Fundraising0%
Salaries & benefits$870K
Grants paid out$7K
Largest expense lineCompensation
balance sheet
Total assets$3.69M
Cash$3.68M
Investments$0
Liabilities$10K
Net assets$3.68M
Liquid reserves23.2 mo
3 years on record · 2020–2022 · YoY revenue +10.3%
leadership · form 990 part vii · fy2022

who runs it

paid leadership · 4
NameTitleHours/wkCompensation
SCOTT L MITCHELL DIRECTOR / CHAIR 40 $242K
CAROLE SWITZER PRESIDENT 40 $210K
STEPHANE LEGAY FMR DIRECTOR (UNTIL 12/31/21) / CIO 40 $203K
JEANNA LEGAY DIRECTOR OF FINANCE 40 $111K
board members · 1
  • JON MCCORMICK — DIRECTOR
relationships · 3

who they work with

  • All Access Pass Partner — Provides bundled access to education, certification, and maintenance resources for OCEG certifications.
  • GRC Certify Partner — Offers GRC Professional certification that OCEG's on-demand course prepares teams for.
  • OCEG Training Partners Partner — Collaborates with training partners to deliver in-person and online courses