2017-10-09T14:50:03-05:00 2016-12-31 420714325 RSM US LLP 9737 WASHINGTONIAN BLVD 400 GAITHERSBURG MD 208787340 990 2016-01-01 521191985 NATIONAL COMMITTEE FOR QUALITY ASSURANCE NATI 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 SCOTT A HARTRANFT CFO/TREASURER 2029553500 2017-10-09 1 WILLIAM E TURCO CPA P00369217 3012963600 108.171.131.187 2017-10-09 15:49:49 ED P B807BA4C69A73CA6C24C1450FD5847F62F078646 C19F5D3F195EC13517A150B69ABBCB37DF598FBC 2016 2021-01-29 14:40:06Z NCQA MARGARET E O'KANE 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 63033246 0 X WWW.NCQA.ORG X 1990 DC OUR MISSION: TO IMPROVE THE QUALITY OF HEALTH CARE.OUR VISION: TO TRANSFORM HEALTH CARE QUALITY THROUGH MEASUREMENT, TRANSPARENCY AND ACCOUNTABILITY. 16 15 395 160 0 0 4129851 1735587 55449828 56882740 586232 789867 2635518 3073177 62801429 62481371 0 0 0 0 40109863 42661319 0 0 334406 15695741 15871499 55805604 58532818 6995825 3948553 51075543 60684182 17131302 21445826 33944241 39238356 OUR MISSION: TO IMPROVE THE QUALITY OF HEALTH CARE.OUR VISION: TO TRANSFORM HEALTH CARE QUALITY THROUGH MEASUREMENT, TRANSPARENCY AND ACCOUNTABILITY. 0 0 50892867 59746055 ACCREDITATION, CERTIFICATION OR RECOGNITION OF MANAGED CARE ORGANIZATIONS, ACCOUNTABLE CARE ORGANIZATIONS, MANAGED BEHAVIORAL HEALTHCARE ORGANIZATIONS, CREDENTIALS VERIFICATION ORGANIZATIONS, PHYSICIAN ORGANIZATIONS, INDIVIDUAL PHYSICIANS, HEDIS COMPLIANCE AUDITORS, SURVEY AND SOFTWARE VENDORS AND PREFERRED PROVIDER ORGANIZATIONS. PERFORMANCE MEASUREMENT - NCQA DEVELOPS AND MAINTAINS THE PRINCIPAL HEALTH CARE PERFORMANCE MEASUREMENT TOOL FOR HEALTH PLANS AND PHYSICIANS, THE HEALTH CARE EFFECTIVENESS DATA AND INFORMATION SET (HEDIS). NCQA WORKS ON A CONTRACT BASIS WITH PUBLIC AND PRIVATE ORGANIZATIONS TO DEVELOP, MANAGE, EXECUTE, OR CONSULT ON PROJECTS. NCQA ALSO DEVELOPS AND DELIVERS EDUCATION CONFERENCES, PUBLICATIONS, AND INFORMATION PRODUCTS. 3104013 NCQA IS RESPONDING TO THE RAPIDLY CHANGING HEALTH CARE MARKETPLACE BY DEVELOPING NEW PROGRAMS AND SERVICES THAT MEASURES PERFORMANCE ACROSS THE DELIVERY SYSTEM. 53996880 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 215 0 1 395 1 0 0 0 0 0 1 1 0 0 0 0 X 16 15 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DC X SCOTT A HARTRANFT CPA CFOTREASU 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 DAVID C K CHIN MD MBA CHAIRPERSON BOARD 2.30 X 0 0 0 GEORGE HALVORSON BOARD MEMBER 2.00 X 0 0 0 JEFFREY KANG MD BOARD MEMBER 2.00 X 0 0 0 DAVID KENDRICK MD MPH BOARD MEMBER 2.00 X 0 0 0 TALMADGE E KING JR MD BOARD MEMBER 2.00 X 0 0 0 LEEBA LESSIN BOARD MEMBER 2.00 X 0 0 0 ROBERT J MARGOLIS MD BOARD MEMBER UNTIL 12/31/16 2.00 X 0 0 0 DOLORES L MITCHELL BOARD MEMBER 2.00 X 0 0 0 RALPH W MULLER BOARD MEMBER 2.00 X 0 0 0 DEBRA NESS BOARD MEMBER 2.00 X 0 0 0 JOSEPH NEWHOUSE PHD BOARD MEMBER 1.00 X 0 0 0 LEN NICHOLS PHD BOARD MEMBER 2.00 X 0 0 0 J BRENT PAWLECKI MD MMM BOARD MEMBER 2.00 X 0 0 0 JOHN TOOKER MD MBA MACP BOARD MEMBER UNTIL 12/31/16 2.00 X 0 0 0 CRAIG SAMMITT MD MBA BOARD MEMBER 2.00 X 0 0 0 PAM HYMEL BOARD MEMBER UNTIL 03/31/16 2.00 X 0 0 0 MARGARET E O'KANE PRESIDENT 40.00 X X 758980 0 99053 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 40.00 X 443592 0 76079 SCOTT A HARTRANFT CFO/TREASURER 40.00 X 435238 0 88837 THOMAS FLUEGEL CHIEF OPERATING OFFICER 40.00 X 435450 0 76677 MICHAEL BARR EXECUTIVE VICE PRESIDENT 40.00 X 483550 0 40895 PATRICIA BARRETT VP, PRODUCT DESIGN & SUPPORT 40.00 X 336187 0 41839 RICK MOORE CHIEF INFORMATION OFFICER 40.00 X 313915 0 26540 MARY BARTON VP, PERFORMANCE MEASURES 40.00 X 277289 0 25411 FRANK MICCICHE VP, PUBLIC POLICY & COMM 40.00 X 273006 0 42375 SARAH SCHOLLE VP, RESEARCH & ANALYSIS 40.00 X 252693 0 34263 4009900 0 551969 128 0 1 0 NACCME LLC 104 WINDSOR CENTER DR 200 EAST WINDSOR NJ 08520 SUBCONTRACTING 760144 SCIGON SOLUTIONS INC 420 LAKE COOK RD STE 104 DEERFIELD IL 60015 CONSULTING - SOFTWARE TESTING 264763 FORUM ONE COMMUNICATION 15954 JACKSON CREEK PKW B374 MONUMENT CO 80132 CONSULTING - SOFTWARE REDESIGN & IMPLEME 238030 OPTUM INSIGHT INC PO BOX 860215 MINNEAPOLIS MN 554860215 SUBCONTRACTING 211970 TALENER GROUP LLC 2 GRAND CENTRAL TOWER 140 E 45TH S NEW YORK NY 10017 SUBCONTRACTING 189728 21 396250 1339337 1735587 ACCREDITATION SERVICES 900099 29079574 29079574 FED/STATE CONTRACTS 900099 15383452 15383452 INFORMATION PRODUCTS 900099 9926129 9926129 EDUCATION CONFERENCES 900099 2493585 2493585 56882740 789867 789867 51586 396250 480899 -429313 -429313 2934291 70976 2863315 2863315 OTHER INCOME 900099 639175 639175 639175 62481371 59746055 0 999729 2784004 2348368 430174 5462 32381225 27314267 5003431 63527 2034515 1716158 314366 3991 3240490 2733424 500709 6357 2221085 1873534 343194 4357 103167 103167 90160 90160 214868 25834 189034 898316 300832 594386 3098 2328176 1890278 427472 10426 1657636 1482925 156517 18194 1123648 753389 356621 13638 1428718 1428718 378625 378625 SUBCONTRACTOR/CONSULTAN 6677588 5326101 1169414 182073 OTHER DIRECT COSTS 970597 200887 765105 4605 ALLOCATED OVERHEAD 0 8030883 -8049561 18678 58532818 53996880 4201532 334406 7121 7271 9838121 5931930 2259654 1058947 6110873 7222621 59527 55798 922704 492724 11974822 7638443 3949341 4336379 8740882 12665152 17684882 27193535 1502438 1719825 51075543 60684182 6745630 8527597 7555401 10633389 2830271 2284840 17131302 21445826 X 31524899 38012204 2419342 1226152 33944241 39238356 51075543 60684182 3948553 1345562 0 X 0 1 X 1 1 1 X 2072871 2419658 760788 4126226 1787173 11166716 2072871 2419658 760788 4126226 1787173 11166716 3028614 8138102 1286 593 52 586232 789867 1378030 114928 255903 569995 603518 639175 2183519 14728265 276877847 0.55250 0.61470 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2012 AMOUNT: $ 114,928. 2013 AMOUNT: $ 255,903. 2014 AMOUNT: $ 569,995. 2015 AMOUNT: $ 603,518. 2016 AMOUNT: $ 639,175. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3085018 2671955 413063 3081198 924201 2156997 5808606 4042287 1766319 4336379 355,771-DFA 1 YR FIXED INC 3660879 F 459,136-VANGUARD S-T INVESTMT GRADED FD 4426068 F 39,540 - VANGUARD 500 INDEX FD 8167733 F 20,588 - ISHARES ETF 3404051 F 708,824-VANGUARD S-T GRADED FD ADMIRAL 7534804 F 27193535 DEFERRED RENT 953466 DEFERRED COMPENSATION 1331374 2284840 X 64378808 1345562 1345562 63033246 -551875 -551875 62481371 59084693 551875 551875 58532818 0 58532818 PART X, LINE 2: NCQA IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. INCOME WHICH IS NOT RELATED TO EXEMPT PURPOSES, LESS APPLICABLE DEDUCTIONS, IS SUBJECT TO FEDERAL AND STATE CORPORATE INCOME TAXES. NCQA HAD NO NET UNRELATED BUSINESS INCOME FOR THE YEARS ENDED DECEMBER 31, 2016 AND 2015. NCQA FOLLOWS THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH ADDRESSES THE DETERMINATION OF WHETHER TAX BENEFITS CLAIMED OR EXPECTED TO BE CLAIMED ON A TAX RETURN SHOULD BE RECORDED IN THE FINANCIAL STATEMENTS. UNDER THIS GUIDANCE, NCQA MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH A POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE GUIDANCE ON ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES ALSO ADDRESSES DE-RECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES ON INCOME TAXES, AND ACCOUNTING IN INTERIM PERIODS. NCQA HAD NO SUCH POSITIONS RECORDED IN THE FINANCIAL STATEMENTS AT DECEMBER 31, 2016. GENERALLY, NCQA IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX POSITIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2013. PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES REPORTED ON LINE 8B -480,899. COST OF GOODS SOLD REPORTED ON LINE 10B -70,976. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES REPORTED ON LINE 8B 480,899. COST OF GOODS SOLD REPORTED ON LINE 10B 70,976. X X X 1 ALBA MEDIA PARTNERS LLC 1741 VALLEY FORGE ROAD 673 WORCESTER PA 19490 FUNDRAISING CONSULTANT 0 681250 173775 507475 681250 173775 507475 CA DC QUALITY TALKS 447836 396250 51586 28800 452099 447836 396250 51586 28800 452099 480899 -429313 X X X X X 0 1 0 0 0 1 0 0 0 MARGARET E O'KANE PRESIDENT 571736 0 165934 0 21310 0 88632 0 12220 0 859832 0 0 0 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 305541 0 91709 0 46342 0 55786 0 22093 0 521471 0 0 0 SCOTT A HARTRANFT CFO/TREASURER 294642 0 85061 0 55535 0 55298 0 35339 0 525875 0 0 0 THOMAS FLUEGEL CHIEF OPERATING OFFICER 315028 0 94426 0 25996 0 56720 0 24319 0 516489 0 0 0 MICHAEL BARR EXECUTIVE VICE PRESIDENT 374307 0 103353 0 5890 0 22632 0 20063 0 526245 0 0 0 PATRICIA BARRETT VP, PRODUCT DESIGN & SUPPORT 264676 0 59405 0 12106 0 22632 0 21007 0 379826 0 0 0 RICK MOORE CHIEF INFORMATION OFFICER 257534 0 55691 0 690 0 22632 0 5708 0 342255 0 0 0 MARY BARTON VP, PERFORMANCE MEASURES 210832 0 48267 0 18190 0 22632 0 9578 0 309499 0 0 0 FRANK MICCICHE VP, PUBLIC POLICY & COMM 214620 0 48446 0 9940 0 22632 0 21543 0 317181 0 0 0 SARAH SCHOLLE VP, RESEARCH & ANALYSIS 206164 0 45839 0 690 0 21759 0 15565 0 290017 0 0 0 PART I, LINE 4B THE FOLLOWING EMPLOYEES PARTICIPATED IN A SUPPLEMENTAL NONQULIFIED RETIREMENT PLAN 457(F) DURING THE CALENDAR YEAR. MARGARET O'KANE $66,000 SHARON KING-DONOHUE $33,154 SCOTT HARTRANFT $32,666 THOMAS FLUEGEL $34,088 PART I, LINE 6 DISCRETIONARY INCENTIVES ARE PAID TO ALL ELIGIBLE STAFF BASED UP THE ACHIEVEMENT OF PRIORITY PROJECTS, THE BUSINESS PLAN AND THEIR INDIVIDUAL PERFORMANCE. FORM 990, PART I, PART VI, AND PART VII - BOARD COUNT A TOTAL OF SEVENTEEN PERSONS SERVED ON THE BOARD OF DIRECTORS DURING THE CALENDAR YEAR. THOSE SEVENTEEN ARE SHOWN IN PART VII OF FORM 990. AS OF DECEMBER 31, 2016 THERE WERE A TOTAL OF SIXTEEN VOTING BOARD MEMBERS SERVING THE ORGANIZATION AS DISCLOSED IN PART VI, LINES 1A, AND PART I, LINES 3. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 UNDERGOES INTERNAL REVIEW AND IS THEN EXAMINED BY THE FINANCE AND AUDIT COMMITTEE OF THE BOARD OF DIRECTORS. AT THAT TIME, CORRECTIONS ARE MADE IF NEEDED. THE FORM 990 IS THEN APPROVED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS A CONFLICT OF INTEREST POLICY GOVERNING ITS BOARD OF DIRECTORS. WRITTEN AND ORAL CONFLICT OF INTEREST DISCLOSURES ARE REQUIRED ANNUALLY. DIRECTORS ARE REQUIRED TO IDENTIFY ANY POTENTIAL CONFLICTS OF INTEREST WITH AGENDA ITEMS AT THE OUTSET OF EACH BOARD MEETING. THE GOVERNANCE COMMITTEE OF THE BOARD IS RESPONSIBLE FOR ENSURING THAT NCQA ADOPTS AND ENFORCES APPROPRIATE GOVERNANCE POLICIES INCLUDING CONFLICT OF INTEREST. THE BOARD IN CONSULTATION WITH THE GENERAL COUNSEL IS RESPONSIBLE FOR RESOLUTION OF SPECIFIC CONFLICT OF INTEREST ISSUES THAT MAY ARISE IN CONNECTION WITH THE BOARD'S ACTIVITIES. NCQA'S OPERATING COMMITTEES AND EXPERT PANELS HAVE SEPARATE CONFLICT OF INTEREST POLICIES WHICH ALSO REQUIRE ANNUAL WRITTEN DISCLOSURE OF POTENTIAL CONFLICTS OF INTEREST. COMMITTEE MEMBERS AND PANEL PARTICIPANTS ARE REQUIRED TO DISCLOSE POTENTIAL CONFLICTS OF INTEREST AT THE OUTSET OF EACH MEETING OR PRIOR TO DELIBERATIONS OR A VOTE ON ANY MATTER FOR WHICH A MEMBER MIGHT HAVE A CONFLICT. THE COMMITTEE CHAIR OR EXPERT PANEL CHAIR IN CONSULTATION WITH THE GENERAL COUNSEL OVERSEES ENFORCEMENT OF THE POLICIES. THE REVIEW OVERSIGHT COMMITTEES AND THE RECONSIDERATION COMMITTEES (THESE ARE PEER REVIEW COMMITTEES THAT RENDER THE ACCREDITATION, CERTIFICATION OR RECOGNITION DECISIONS) HAVE SEPARATE CONFLICT OF INTEREST POLICIES THAT REQUIRE DISCLOSURE OF SPECIFIC CONFLICTS OF INTEREST RELATED TO ANY ORGANIZATION OR INDIVIDIUAL BEING REVIEWED FOR ACCREDITATION, CERTIFICATION OR RECOGNITION. THE ACCREDITATION STAFF ARE RESPONSIBLE FOR ADMINISTERING THESE CONFLICT OF INTEREST POLICIES AND CONSULT WITH THE GENERAL COUNSEL WHEN ISSUES OF POTENTIAL CONFLICTS ARE DECLARED. IN ADDITION, THE ORGANIZATIONS BEING REVIEWED FOR ACCREDITAITON, CERTIFICATION OR RECOGNITION ARE REQUIRED TO DECLARE POTENTIAL CONFLICTS THEY MAY HAVE WITH COMMITTEE MEMBERS AND REVIEWERS. NCQA SENIOR STAFF COMPLETE A WRITTEN AND ORAL CONFLICT OF INTEREST DISCLOSURE ANNUALLY. STAFF ARE REQUIRED TO UPDATE THEIR DISCLOSURES IF ANYTHING CHANGES DURING THE YEAR. THE DISCLOSURE PROCESS AND RESOLUTION OF POTENTIAL CONFLICTS IS OVERSEEN BY THE GENERAL COUNSEL. ALL NCQA STAFF ARE SUBJECT TO A POLICY PROHIBITING INSIDER TRADING WHICH SPECIFIES THAT NCQA STAFF CANNOT OWN A DIRECT INTEREST (MUTUAL FUNDS ARE EXCLUDED) IN ANY ORGANIZATION NCQA ACCREDITS, CERTIFIES OR RECOGNIZES. FORM 990, PART VI, SECTION B, LINE 15 FOR THE PRESIDENT, THE EXECUTIVE & COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS DECIDES ON A NUMERICAL RATING FOR PRESIDENT'S PERFORMANCE MANAGEMENT PLAN, AND A NUMERICAL RATING FOR THE ORGANIZATION PERFORMANCE. REFLECTING ON THESE RATINGS, CONSIDERING COMPARABLE MARKET DATA COLLECTED BY AN EXTERNAL COMPENSATION CONSULTANT, THE EXECUTIVE & COMPENSATION COMMITTEE DETERMINES THE SALARY OF THE PRESIDENT, WHICH IS THEN DOCUMENTED IN THE PRESIDENT'S WRITTEN EMPLOYMENT CONTRACT. THE ORGANIZATION'S PRESIDENT UTILIZES THE SAME PROCESS TO DETERMINE THE SALARY FOR THE FIVE MOST HIGHLY COMPENSATED LEADERSHIP TEAM MEMBERS. THE PRESIDENT PRESENTS THIS INFORMATION TO THE EXECUTIVE & COMPENSATION COMMITTEE FOR DISCUSSION AND APPROVAL. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION POSTS ON ITS COMPANY'S WEBSITE THE CONFLICT OF INTEREST POLICY. THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS AND AUDITED FINANCIAL STATEMENTS AVAILABLE UPON REQUEST.