2014-08-11T12:01:39-05:00 2013-12-31 420714325 MCGLADREY LLP 9737 WASHINGTONIAN BLVD 400 GAITHERSBURG MD 208787340 990 2013-01-01 521191985 NATIONAL COMMITTEE FOR QUALITY ASSURANCE NATI 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 SCOTT A HARTRANFT CFO 2029553500 2014-08-11 1 WILLIAM E TURCO CPA P00369217 3012963600 2013 2015-11-30 17:44:51Z NCQA MARGARET E O'KANE 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 58383667 0 X WWW.NCQA.ORG X 1990 DC ORGANIZATION DEDICATED TO IMPROVING THE QUALITY OF HEALTH CARE. (SEE SCHEDULE O)SINCE ITS FOUNDING IN 1990, NCQA HAS BEEN A CENTRAL FIGURE IN DRIVING IMPROVEMENT THROUGHOUT THE HEALTH CARE SYSTEM, HELPING TO ELEVATE THE ISSUE OF HEALTH CARE QUALITY TO THE TOP OF THE NATIONAL AGENDA. 15 12 312 158 0 0 2072871 2582658 42191272 52680874 1286 593 1951745 3011147 46217174 58275272 0 0 0 0 31739154 34331452 32751 0 294781 12110558 13829241 43882463 48160693 2334711 10114579 26608543 38453989 16084091 17379205 10524452 21074784 OUR MISSION: TO IMPROVE THE QUALITY OF HEALTH CARE. OUR VISION: TO TRANSFORM HEALTH CARE QUALITY THROUGH MEASUREMENT, TRANSPARENCY AND ACCOUNTABILITY. 0 0 42331159 55352401 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. 1865203 NCQA IS RESPONDING TO THE RAPIDLY CHANGING HEALTH CARE MARKETPLACE BY DEVELOPING NEW PROGRAMS AND SERVICES THAT MEASURES PERFORMANCE ACROSS THE DELIVERY SYSTEM. 44196362 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 153 0 1 312 1 0 0 0 0 0 1 1 0 0 0 0 X 15 12 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 CFO 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 DOLORES L MITCHELL CHAIRPERSON BOARD 2.30 X 0 0 0 DAVID C K CHIN MD MBA BOARD MEMBER 2.00 X 0 0 0 MICHAEL DAVIS BOARD MEMBER 2.00 X 0 0 0 GEORGE HALVORSON BOARD MEMBER 2.00 X 0 0 0 PAMELA HYMEL MD MPH FACOEM BOARD MEMBER 2.00 X 0 0 0 JEFFREY KANG MD BOARD MEMBER 2.00 X 0 0 0 TALMADGE E KING JR MD BOARD MEMBER 2.00 X 0 0 0 ROBERT J MARGOLIS MD BOARD MEMBER 2.00 X 0 0 0 RALPH W MULLER BOARD MEMBER 2.00 X 0 0 0 EDWARD MURPHY MD 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 JOHN TOOKER MD MBA MACP BOARD MEMBER 2.00 X 0 0 0 MARGARET E O'KANE PRESIDENT 40.00 X X 650529 0 31001 SCOTT A HARTRANFT CFO/ TREASURER 40.00 X 445950 0 43969 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 40.00 X 432658 0 44305 TOM FLUEGEL CHIEF OPERATING OFFICER 40.00 X 288008 0 38673 KATHLEEN C MUDD VP, PRODUCT DELIVERY 40.00 X 352695 0 29680 PHYLLIS TORDA VP, QSG 40.00 X 294897 0 43038 RICK MOORE CHIEF INFORMATION OFFICER 40.00 X 281428 0 26124 PATRICIA BARRETT VP, PRODUCT DEVELOPMENT 40.00 X 262927 0 40226 SARAH THOMAS VP, PUBLIC POLICY 40.00 X 246133 0 38594 3255225 0 335610 84 0 1 0 RESEARCH INSTITUTE AT NATIONWIDE 700 CHILDRENS DRIVE COLUMBUS OH 43205 AHRQ NCINQ SUBCONTRACT 430195 INNOVALON 4321 COLLINGTON ROAD BOWIE MD 20716 CMS PERF MEASUREMENT TASK 2 226316 CHES GWINN CO CONVERGENT HEALTH LLC 6628 GAYWIND DRIVE CHARLOTTE NC 28226 EXTERNAL RELATIONS/CONSULTING 136263 APELON 100 DANBURY RD RIDGEFIELD CT 06877 DATA TERMINOLOGY SERVICE (DTS) - SUPPORT 136228 RTI 5265 CAPITAL BOULEVARD RALEIGH NC 27616 HOS SAMPLING AND TESTING 130315 6 2582658 2582658 ACCREDITATION SERVICES 900099 25743072 25743072 FED/STATE CONTRACTS 900099 15642782 15642782 INFORMATION PRODUCTS 900099 8036391 8036391 EDUCATION CONFERENCES 900099 3258629 3258629 52680874 593 593 2863639 108395 2755244 2755244 OTHER INCOME 900099 255903 255903 255903 58275272 55436118 0 256496 1979379 1634772 333233 11374 23362630 19295238 3933150 134242 1467984 1212411 247138 8435 5802787 4792533 976912 33342 1718672 1419454 289342 9876 31344 31344 81818 81818 157691 157691 1120521 507533 609062 3926 1963532 1563933 390306 9293 1298997 1141936 154017 3044 1104447 863721 235721 5005 1089599 1089599 245255 245255 SUBCONTRACTOR/CONSULTAN 5952255 5022226 910972 19057 OTHER DIRECT COSTS 782115 142398 630117 9600 BAD DEBT EXPENSE 1667 1667 ALLOCATED OVERHEAD 0 6600207 -6646127 45920 48160693 44196362 3669550 294781 3105 6205 6730532 8306738 291704 838956 5642079 5453381 77769 88742 713988 540039 9924251 6039088 4523323 3885163 3074286 5353441 4293383 12403032 1258374 1578292 26608543 38453989 7878889 8787461 4408269 4743149 3796933 3848595 16084091 17379205 X 9414629 19574875 1109823 1499909 10524452 21074784 26608543 38453989 10114579 435753 0 X 0 1 X 1 1 1 X 2474655 887690 1617801 2072871 2419658 9472675 2474655 887690 1617801 2072871 2419658 9472675 3150139 6322536 10199 94716 4533 1286 593 111327 141728 90665 112187 114928 255903 715411 10299413 199682851 0.61390 0.65240 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2009 AMOUNT: $ 141,728. 2010 AMOUNT: $ 90,665. 2011 AMOUNT: $ 112,187. 2012 AMOUNT: $ 114,928. 2013 AMOUNT: $ 255,903. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 2836858 1576430 1260428 890534 874767 15767 6196859 3587891 2608968 3885163 612,194.2680 SHS DFA 1 YR FIXED INC 6311723 F 369,099.9350 SHS PIMCO LOW DURATION FUND 3812803 F 174,064.6520 SHS TEMPLETON GLOBAL BOND 2278506 F 12403032 DEFERRED RENT 2550823 DEFERRED COMPENSATION 1297772 3848595 X 58819420 435753 435753 58383667 -108395 -108395 58275272 48269088 108395 108395 48160693 0 48160693 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, 2013 AND 2012. 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, 2013. GENERALLY, NCQA IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX POSITIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2010. PART XI, LINE 4B - OTHER ADJUSTMENTS: COST OF GOODS SOLD REPORTED ON LINE 10B -108,395. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD REPORTED ON LINE 10B 108,395. X X X X X 0 1 0 0 0 1 0 0 0 MARGARET E O'KANE PRESIDENT 452245 0 176974 0 21310 0 21797 0 15946 0 688272 0 0 0 SCOTT A HARTRANFT CFO/ TREASURER 340578 0 87182 0 18190 0 21797 0 29319 0 497066 0 0 0 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 324263 0 90205 0 18190 0 21797 0 27242 0 481697 0 0 0 TOM FLUEGEL CHIEF OPERATING OFFICER 270058 0 0 0 17950 0 14225 0 25494 0 327727 0 0 0 KATHLEEN C MUDD VP, PRODUCT DELIVERY 253916 0 80299 0 18480 0 21797 0 9599 0 384091 0 0 0 PHYLLIS TORDA VP, QSG 227049 0 65868 0 1980 0 21797 0 22357 0 339051 0 0 0 RICK MOORE CHIEF INFORMATION OFFICER 226435 0 54543 0 450 0 21797 0 9104 0 312329 0 0 0 PATRICIA BARRETT VP, PRODUCT DEVELOPMENT 213040 0 49587 0 300 0 21797 0 19545 0 304269 0 0 0 SARAH THOMAS VP, PUBLIC POLICY 183874 0 47319 0 14940 0 21357 0 19193 0 286683 0 0 0 PART I, LINE 4B NCQA HAS ESTABLISHED A PLAN TO PROVIDE MARGARET E. O'KANE, PRESIDENT WITH SUPPLEMENTAL NONQUALIFIED RETIREMENT BENEFITS. THE SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN IS A PLAN DESCRIBE IN 457(F) OF THE INTERNAL REVENUE CODE. PART I, LINE 6 DISCRETIONARY INCENTIVES ARE PAID BASED ON ACHIEVEMENT OF AN INCREASE IN YEAR-END UNRESTRICTED NET ASSETS AND PERFORMANCE REVIEWS, IN ACCORDANCE WITH THE PRE-DETERMINED PERCENTAGE. GEORGE HALVORSON FORMER CHAIRMAN AND CEO KAISER FOUNDATION HEALTH PLAN & HOSPITALS 1279926 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY KAISER FOUNDATION HEALTH PLAN & HOSPITALS FROM REPORTING ORGANIZATION 0 JOSEPH P NEWHOUSE PHD SERVES ON BOTH NCQA'S AND AETNA'S BOARD OF DIRECTORS 1615032 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY AETNA FROM REPORTING ORGANIZATION 0 I STEVEN UDVARHELYI MD FORMER BOARD MEMBER AND A KEY EMPLOYEE OF INDEPENDENT BLUE 170427 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY INDEPENDENT BLUE CROSS FROM REPORTING ORGANIZATION 0 FORM 990, PART VI, SECTION B, LINE 11 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 COMMITTEE AND THE RECONSIDERATION COMMITTEE (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. THE ORGANIZATION'S PRESIDENT UTILIZES THE SAME PROCESS TO DETERMINE THE SALARY AND BENEFITS FOR THE OFFICER'S OF NCQA (COO, CFO AND TREASURER, GENERAL COUNSEL AND SECRETARY). THE PRESIDENT PRESENTS THE INFORMATION REGARDING THE OFFICER'S COMPENSATION TO THE CHAIR OF THE EXECUTIVE & COMPENSATION COMMITTEE FOR DISCUSSION AND REVIEW. 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.