2021-11-15T09:24:56-06:00 2020-12-31 PricewaterhouseCoopers LLP 2001 MARKET ST SUITE 1800 PHILADELPHIA PA 19103 990 2020-01-01 823819611 KAISER FOUNDATION FOR THE ADVANCEMENT OF INTEGRATED HEALTH CARE % CHIEF ACCOUNTING OFFICER KAIS 5102716611 ONE KAISER PLAZA 15L OAKLAND CA 94612 HONG-SZE YU ASSISTANT SECRETARY 5102716611 2021-10-14 HONG-SZE YU 999009999 ROBERT W FRIZ P00438748 2673303000 2021-10-13 2 2020 2022-09-23 18:48:47Z ANTHONY A BARRUETA ONE KAISER PLAZA 15L OAKLAND CA 94612 36623 false X N/A X 2017 CA Promote understanding of the benefits of integrated care and coverage, and support of the Kaiser Permanente model of integration through provider based health plans 2 0 0 0 0 0 0 0 0 0 380367 36623 0 0 380367 36623 0 50000 0 0 0 0 0 0 0 0 160739 0 210739 380367 -174116 15380367 15416980 0 210729 15380367 15206251 X KAISER FOUNDATION FOR THE ADVANCEMENT OF INTEGRATED HEALTH CARE IS A NONPROFIT 501(C)(4) ADVOCACY ORGANIZATION TO ENGAGE IN PROACTIVE ADVOCACY TO PROMOTE UNDERSTANDING OF THE BENEFITS OF INTEGRATED CARE AND COVERAGE, AND SUPPORT OF THE KAISER PERMANENTE MODEL OF INTEGRATION THROUGH PROVIDER BASED HEALTH PLANS. false false 210739 50000 0 Kaiser Foundation for the Advancement of Integrated Health Care is a nonprofit 501(c)(4) advocacy organization to engage in proactive advocacy to promote understanding of the benefits of integrated care and coverage, and support of the Kaiser Permanente model of integration through provider based health plans. 210739 false false false false false false false false false false false false false true false false true false false false false false false false false false true false true false false false false false false false false false false false false false true false false true 1 0 0 false false false false false false false false false false false false X 2 0 false false false false true true true true false false false true true true true true true true true false CA X X CHIEF ACCOUNTING OFFICER 5102716611 ONE KAISER PLAZA 15L OAKLAND CA 94612 X Kathryn Lancaster EVP & CFO 0.5 49.5 X 0 4540316 546340 Mark Zemelman SVP, General Counsel & Secy 0.1 49.9 X 0 2902465 214679 Anthony Barrueta Director & President 0.5 49.5 X X 0 2625176 257705 Paul Swenson Director 0.0 50.0 X 0 1740483 189239 Thomas Meier SVP, Corporate Treasurer 0.5 49.5 X 0 1595486 297294 Patrick Courneya Director 0.5 49.5 X 0 1142952 88649 Kathryn Beiser Director 0.5 49.5 X 0 892139 4170 Hong-Sze Yu VP, Brd & Corp Gov & Asst Secy 0.5 49.5 X 0 458777 251549 0 15897794 1849625 0 false true false 0 0 0 36623 36623 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 36623 36623 50000 50000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 160729 160729 0 0 0 0 0 0 0 0 0 0 0 0 0 0 STATE & LOCAL TAXES 10 10 0 0 210739 210739 0 0 0 0 15380367 15416980 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 15380367 15416980 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 210729 0 210729 X 15000000 15000000 0 0 380367 206251 15380367 15206251 15380367 15416980 -174116 X false true X true false 0 DUE TO AFFILIATED ORGANIZATIONS 210729 210729 true Naleo Educational Fund 1122 W Washington Blvd 3rd Floor Los Angeles CA 90015 521212849 501(c)(3) 50000 to promote Kaiser Permanente integrated model of healthcare financing and services to this group of elected officials from across the United States 1 SCHEDULE I, PART I, QUESTION 2 PROCEDURES FOR MONITORING THE USE OF GRANTS At the end of their funding cycle, grantees are required to submit a final report which delineates accomplishments related to stated objectives. Larger grants (typically over $100k) may require quarterly progress reports. true true false false false false false true false Kathryn Lancaster EVP & CFO 0 1209519 0 2903812 0 426985 0 530154 0 16186 0 5086656 0 0 Mark Zemelman SVP, General Counsel & Secy 0 792767 0 1820701 0 288997 0 176727 0 37952 0 3117144 0 0 Anthony Barrueta Director & President 0 506295 0 887806 0 1231075 0 234555 0 23150 0 2882881 0 1137875 Paul Swenson Director 0 743007 0 799834 0 197642 0 160737 0 28502 0 1929722 0 0 Thomas Meier SVP, Corporate Treasurer 0 535771 0 940826 0 118889 0 263145 0 34149 0 1892780 0 0 Patrick Courneya Director 0 187418 0 803817 0 151717 0 81375 0 7274 0 1231601 0 143484 Kathryn Beiser Director 0 65496 0 250000 0 576643 0 1520 0 2650 0 896309 0 122435 Hong-Sze Yu VP, Brd & Corp Gov & Asst Secy 0 286096 0 155214 0 17467 0 224875 0 26674 0 710326 0 0 SCHEDULE J, PART I, LINE 3 METHODS USED TO ESTABLISH COMPENSATION OF CEO/EXECUTIVE DIRECTOR: THE FILING ORGANIZATION RELIED ON A RELATED ORGANIZATION THAT USED ONE OR MORE OF THE METHODS DESCRIBED BELOW TO ESTABLISH THE TOP MANAGEMENT OFFICIALS' COMPENSATION: - COMPENSATION COMMITTEE - INDEPENDENT COMPENSATION CONSULTANT - FORM 990 OF OTHER ORGANIZATIONS - WRITTEN EMPLOYMENT CONTRACT - COMPENSATION SURVEY OR STUDY, AND - APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE OF A RELATED ORGANIZATION. Schedule J, Part I, line 4a SEVERANCE PAYMENTS Kathryn Beiser $ 574,000 LISTED PERSONS PARTICIPATED IN ARRANGEMENTS ENTITLING THEM TO SEVERANCE BENEFITS IN THE EVENT OF TERMINATION BY THE ORGANIZATION WITHOUT CAUSE OR DUE TO JOB ELIMINATION. DEPENDING ON POSITION LEVEL, TENURE, AND TERMINATION REASON, SEVERANCE BENEFITS PAYABLE UNDER THESE ARRANGEMENTS PROVIDE FOR PAY AND HEALTH BENEFITS CONTINUATION PLUS PAYMENT OF ACCRUED OBLIGATIONS. IN ADDITION, FOR SOME OF THE LISTED PERSONS, SEVERANCE BENEFITS PAYABLE INCLUDE PRORATED INCENTIVE AWARDS FOR PERFORMANCE PERIODS NOT YET ENDED. NONE OF THE LISTED PERSONS PARTICIPATED IN ARRANGEMENTS ENTITLING THEM TO CHANGE-OF-CONTROL PAYMENTS. Schedule J, Part I, line 4b SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PAYMENT Kathryn Lancaster $ 375,052 Mark Zemelman 232,683 Anthony Barrueta 1,186,905 Paul Swenson 141,696 Thomas Meier 74,737 SOME OF THE PARTICIPANTS LISTED IN SCHEDULE J, PART II PARTICIPATED IN NONQUALIFIED SUPPLEMENTAL RETIREMENT PLANS. UNDER THESE PLANS, THE ORGANIZATION MAKES ANNUAL CONTRIBUTIONS TO A NOTIONAL ACCOUNT ON BEHALF OF EACH PARTICIPANT. CONTRIBUTIONS VARY BY POSITION, LEVEL AND PAY, AND VEST OVER TIME BASED ON AGE AND/OR SERVICE. PARTICIPANT ACCOUNTS ARE CREDITED WITH A FIXED RATE OF INTEREST, INVESTED IN AVAILABLE MUTUAL FUNDS OR A COMBINATION OF BOTH. CERTAIN OFFICERS ACCRUE A BENEFIT THAT VESTS BASED ON AGE AND SERVICE AND TARGETS A PERCENTAGE OF FINAL AVERAGE PAY LESS PRIOR PLAN OFFSETS. UNVESTED AMOUNTS ARE SUBJECT TO RISK OF FORFEITURE. Schedule J, Part I, Line 7 NON-FIXED PAYMENTS THE ORGANIZATION PROVIDED NON-FIXED PAYMENTS TO SOME OF THE PERSONS LISTED. PAYMENTS WERE MADE UNDER DISCRETIONARY BONUS PROGRAMS AND INCENTIVE PLANS, BASED ON ATTAINMENT OF ORGANIZATIONAL PERFORMANCE GOALS AND INDIVIDUAL PERFORMANCE, DESIGNED TO SUPPORT THE ORGANIZATION'S MISSION TO PROVIDE HIGH-QUALITY, AFFORDABLE CARE AND IMPROVE THE HEALTH OF ITS MEMBERS AND THE COMMUNITIES IT SERVES. THE PLANS' ORGANIZATIONAL PERFORMANCE GOALS INCLUDED: QUALITY OF CARE AND SERVICE, MEMBERSHIP GROWTH, OPERATING INCOME, PER MEMBER EXPENSE TREND, AND COMMUNITY BENEFIT. PLAN DESIGNS, PERFORMANCE, AND PAYOUT LEVELS, AS WELL AS INDIVIDUAL PAYMENTS TO CERTAIN PERSONS, WERE REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS, COMPRISED OF INDEPENDENT DIRECTORS. SCHEDULE J, PART II, COLUMN F AMOUNTS INCLUDED IN SCHEDULE J, PART II, COLUMN F INCLUDE AMOUNTS PREVIOUSLY REPORTED AS DEFERRED COMPENSATION, AS WELL AS DISTRIBUTIONS FROM A 457(B) PLAN THAT WERE PREVIOUSLY REPORTED AS REPORTABLE COMPENSATION IN ACCORDANCE WITH FORM 990 INSTRUCTIONS. FORM 990, PART VI, LINE 6 THE SOLE CORPORATE MEMBER OF THE CORPORATION IS KAISER FOUNDATION HEALTH PLAN, INC. (KFHP), A CALIFORNIA NONPROFIT CORPORATION. FORM 990, PART VI, LINE 7A & 7B KFHP INC. APPOINTS THE DIRECTORS (AND FILLS VACANCIES AND HAS AUTHORITY TO REMOVE DIRECTORS). FORM 990, PART VI, LINE 11B - FORM 990 REVIEW PROCESS - 1. KEY INFORMATION IS OBTAINED AND/OR CONFIRMED WITH INTERNAL SOURCES INCLUDING REGIONAL FINANCE AND EXECUTIVE COMPENSATION. 2. PRIOR TO FINALIZATION, THE RETURN IS REVIEWED WITH AN EXTERNAL TAX ADVISOR. 3. ONCE SIGNED BY AN EXTERNAL TAX ADVISOR, THE RETURN AND UNDERLYING DATA ARE REVIEWED BY AN OFFICER OR A MEMBER OF MANAGEMENT DESIGNATED BY AN OFFICER FOR SIGNATURE AND FILING. 4. COPIES ARE THEN PROVIDED TO BOARD MEMBERS PRIOR TO FILING. FORM 990, PART VI, LINE 12C Ethics and Compliance Ongoing Monitoring and Enforcement Activities Kaiser Permanente regularly and consistently monitors and enforces compliance with the Conflicts of Interest policy in the following ways: Reporting Conflicts of Interest Concerns - The Kaiser Permanente Ethics and Compliance Hotline or Webline is available to all employees, vendors, contractors, and agents to anonymously report actual or perceived conflicts of interest. This process is managed by a third party; however, all reported allegations are provided to Ethics and Compliance for investigation, and if required, corrective action. Employees are prohibited from retaliating against or intimidating anyone who reports concerns in good faith or refuse to participate in wrongdoing. Annual Disclosure Process - Annually, Directors, Officers, Key Employees, and other employees in roles with elevated risk are required to complete a Conflicts of Interest Questionnaire (COIQ). Responses are reviewed by Ethics and Compliance, Board Services, and / or the Governance, Accountability and Nominating Committee of the Kaiser Foundation Health Plan/Hospital Board of Directors. When actions are required, they are addressed in accordance to policies and written standards. Conflicts of interest responses and actions are maintained for tracking and reporting purposes. Ongoing Disclosure Process - In addition to the annual disclosure process and in accordance with the Conflicts of Interest policy, on an ongoing basis Ethics and Compliance receives, consults, and reports conflicts of interest matters. External Audit Review of Disclosures - Annually, as a part of the Kaiser Permanente external audit, an outside certified public accounting firm reviews the COIQ process and actions taken for Directors, Officers, and Key Employees. The results, inclusive of any findings, are presented to the Kaiser Foundation Health Plan/ Hospital Audit and Compliance Committee of the Board of Directors. Awareness and Enforcement - Kaiser Permanente adheres to the following general awareness and enforcement guidelines: - Annually, the Conflicts of Interest and Corrective / Disciplinary Action policies are provided and reviewed as a part of the general ethics and compliance training. - Represented employees are subject to corrective/disciplinary action provisions outlined in the regional or national collective bargaining agreements and applicable policies. - In the event disciplinary action is required due to failure to comply with applicable legal and regulatory requirements, Kaiser Permanente policies and procedures, the Code of Conduct (Principles of Responsibility), unsatisfactory performance, or misconduct disciplinary action includes, but is not limited to: * verbal discussion, coaching, and/or warning by the employee's immediate supervisor or higher-level manager to correct the problem; * written notice, with or without final warning; * suspension, with or without final warning; or * termination of employment. FORM 990, PART VI, LINE 15A/B COMPENSATION DETERMINATION THE EXECUTIVE COMPENSATION PROGRAM AS ADMINISTERED BY KAISER FOUNDATION HEALTH PLAN, INC. IS DESIGNED TO RECRUIT, RETAIN AND MOTIVATE QUALIFIED SENIOR MANAGEMENT PERSONNEL. SENIOR MANAGEMENT PERSONNEL HAVE A SIGNIFICANT IMPACT ON THE STRATEGIC AND POLICY DIRECTION AND RESULTS OF THE ORGANIZATION. THEREFORE, THE EXECUTIVE COMPENSATION PROGRAM IS, TO A SIGNIFICANT DEGREE, PERFORMANCE-BASED. THE COMPENSATION PROGRAM IS REVIEWED ANNUALLY BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS AND THE MANAGEMENT COMMITTEE ON COMPENSATION. PRIOR TO PAYMENT, ALL PROGRAMS AND PAYMENTS TO THE CEO, EXECUTIVE DIRECTOR, AND TOP MANAGEMENT OFFICIALS (EXECUTIVES) ARE REVIEWED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS AND THE MANAGEMENT COMMITTEE ON COMPENSATION. BASE PAY FOR EXECUTIVE POSITIONS IS ESTABLISHED AT A LEVEL COMPARABLE TO THE RELEVANT MARKET. IN ADDITION, OTHER COMPONENTS OF THE COMPENSATION PROGRAM BEAR 'AT-RISK' FEATURES DESIGNED TO FOCUS ON STRATEGICALLY IMPORTANT PERFORMANCE GOALS AND TO ASSIST IN ATTRACTING AND RETAINING TOP PERFORMERS. THE EXECUTIVE COMPENSATION PROGRAM IS TARGETED TO BE COMPETITIVE TO THE COMPARABLE EXTERNAL MARKET IN WHICH THE ORGANIZATION COMPETES FOR EXECUTIVE LEADERSHIP. EVALUATION OF COMPARABLE PAY DATA IS PERFORMED BY AN INDEPENDENT COMPENSATION, BENEFITS & HUMAN RESOURCES CONSULTING FIRM. THE COMPENSATION PROGRAM FOCUSES ON OBJECTIVES IN THE AREAS OF QUALITY OF MEMBER CARE AND SERVICE, MEMBERSHIP GROWTH, FINANCIAL SOUNDNESS, AND THE COMMUNITY AND SOCIAL MISSION OF THE ORGANIZATION. FORM 990, PART VI, LINE 18 Forms 990 are available on www.guidestar.org. FORM 990, PART VI, LINE 19 Public Inspection GOVERNING DOCUMENTS AND THE CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST AS DISCLOSED TO OTHER REGULATORY BODIES. TO REQUEST COPIES CONTACT: NATIONAL COMMUNICATIONS - RM OPERATIONS KAISER FOUNDATION HEALTH PLAN AND HOSPITALS ONE KAISER PLAZA, 18TH FLOOR OAKLAND, CA 94612 FORM 990, PART VII, SECTION A, COLUMN B HOURS FOR RELATED ORGANIZATIONS INDIVIDUALS WHO ARE BOTH OFFICERS AND MEMBERS OF BOARDS OF DIRECTORS WORK FULL TIME AS EMPLOYEES AS WELL AS FULFILL THEIR BOARD ASSIGNMENT. ALL OFFICERS WORK FULL TIME IN THEIR EMPLOYEE CAPACITY. FULL TIME WORK MAY REQUIRE IN EXCESS OF THE TRADITIONAL 40 HOUR WEEK. GIVEN THE INTEGRATED NATURE OF OUR ORGANIZATION, EMPLOYEES MAY PROVIDE SUPPORT FOR VARIOUS KAISER PERMANENTE COMPANIES. THE AVERAGE HOURS PER WEEK REPORTED FOR THE FILING ORGANIZATION AND RELATED ORGANIZATIONS WAS ESTIMATED. FORM 990 PART IX LINE 11G DESCRIPTION:CONSULTING FEES TOTAL FEES:41229 FORM 990 PART IX LINE 11G DESCRIPTION:PURCH'D SVCS-OTHER NON-MEDICAL TOTAL FEES:119500 KAISER FOUNDATION HOSPITALS ONE KAISER PLAZA 15L OAKLAND CA 94612 941105628 HEALTH CARE CA 501(C)(3) 3 NA false KAISER FOUNDATION HEALTH PLAN INC ONE KAISER PLAZA 15L OAKLAND CA 94612 941340523 HEALTH CARE CA 501(C)(3) 10 NA false KAISER FOUNDATION HEALTH PLAN OF CO ONE KAISER PLAZA 15L OAKLAND CA 94612 840591617 HEALTH CARE CO 501(C)(3) 10 KFHP INC false KAISER FOUNDATION HEALTH PLAN OF GA INC ONE KAISER PLAZA 15L OAKLAND CA 94612 581592076 HEALTH CARE GA 501(C)(3) 10 KFHP INC false KAISER FOUNDATION HEALTH PLAN OF THE MAS ONE KAISER PLAZA 15L OAKLAND CA 94612 520954463 HEALTH CARE MD 501(C)(3) 10 KFHP INC false KAISER FOUNDATION HEALTH PLAN OF THE NW ONE KAISER PLAZA 15L OAKLAND CA 94612 930798039 HEALTH CARE OR 501(C)(3) 10 KFHP INC false KAISER FDN HEALTH PLAN OF WASHINGTON ONE KAISER PLAZA 15L OAKLAND CA 94612 910511770 HEALTH CARE WA 501(C)(3) 3 KFHPW HLDING false KAISER HOSPITAL ASSET MANAGEMENT INC ONE KAISER PLAZA 15L OAKLAND CA 94612 943299125 ASSET MGMT CA 501(C)(3) 12-I KFH false KAISER HEALTH PLAN ASSET MANAGEMENT INC ONE KAISER PLAZA 15L OAKLAND CA 94612 943299124 ASSET MGMT CA 501(C)(3) 12-I KFHP INC false CAMP BOWIE SERVICE CENTER ONE KAISER PLAZA 15L OAKLAND CA 94612 943299123 ADMIN CA 501(C)(3) 12-I KFHP INC false LOKAHI ASSURANCE LTD ONE KAISER PLAZA 15L OAKLAND CA 94612 912171891 WC PLACEMENT HI 501(C)(3) 12-I KFHP INC false 1800 HARRISON FOUNDATION ONE KAISER PLAZA 15L OAKLAND CA 94612 943317484 FINANCING CA 501(C)(3) 12-I KFHP INC false KAISER HOSPITAL ASSISTANCE CORPORATION ONE KAISER PLAZA 15L OAKLAND CA 94612 311779500 FINANCING CA 501(C)(3) 12-I KFH false KAISER HEALTH ALTERNATIVES ONE KAISER PLAZA 15L OAKLAND CA 94612 930954562 HEALTH CARE OR 501(C)(3) 10 KFHP INC false KP BERNARD J TYSON SCHOOL OF MEDICINE ONE KAISER PLAZA 15L OAKLAND CA 94612 814053028 MEDICAL EDU CA 501(C)(3) 2 KFH false KFHPW HOLDINGS ONE KAISER PLAZA 15L OAKLAND CA 94612 930480268 HEALTH CARE WA 501(C)(3) 12-I KFHP INC false GROUP HEALTH NORTHWEST ONE KAISER PLAZA 15L OAKLAND CA 94612 911216856 INACTIVE WA 501(C)(3) 12-I KFHP OF WA false GROUP HEALTH OF WASHINGTON ONE KAISER PLAZA 15L OAKLAND CA 94612 911314907 INACTIVE WA 501(C)(3) 12-I KFHP OF WA false NXT CAP SR FD ILLC 191 N Wacker Dr 1200 CHICAGO IL 60606 371651297 INVESTMENT DE NA N/A 0 0 0 0.00000 OAK TREE ASSURANCE LTD ONE KAISER PLAZA 15L OAKLAND CA 94612 030329760 INSURANCE VT NA C CORP false KAISER PERMANENTE INSURANCE COMPANY ONE KAISER PLAZA 15L OAKLAND CA 94612 943203402 INSURANCE CA NA C CORP false KAISER PERMANENTE INTERNATIONAL ONE KAISER PLAZA 15L OAKLAND CA 94612 943245176 CONSULTING CA NA C CORP false GROUP HEALTH SERVICES INC ONE KAISER PLAZA 15L OAKLAND CA 94612 911392222 INACTIVE WA NA C CORP false KFHP OF WASHINGTON OPTIONS INC ONE KAISER PLAZA 15L OAKLAND CA 94612 911467158 INSURANCE WA NA C CORP false false false false false false false false false false false false false true true false false false false