2012-07-02T13:01:09-05:00 2011-12-31 420714325 MCGLADREY LLP 9737 WASHINGTONIAN BLVD 400 GAITHERSBURG MD 208787340 990 2011-01-01 521191985 NATIONAL COMMITTEE FOR QUALITY ASSURANCE NATI 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 SCOTT A HARTRANFT 2029553500 2012-07-02 1 WILLIAM E TURCO CPA P00369217 3012963600 2011 2016-02-24 21:20:13Z MARGARET E O'KANE 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 41773325 0 X WWW.NCQA.ORG X 1990 DC ORGANIZATION DEDICATED TO IMPROVING THE QUALITY OF HEALTH CARE. 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. 16 15 292 0 0 0 887690 1617801 29750953 37920827 94716 4533 1539101 2086276 32272460 41629437 0 0 0 0 23383165 27535438 0 72000 296684 9196157 10671143 32579322 38278581 -306862 3350856 17255647 22800701 12684933 14904009 4570714 7896692 OUR MISSION: TO IMPROVE THE QUALITY OF HEALTH CARE. OUR VISION: TO TRANSFORM HEALTH CARE QUALITY THROUGH MEASUREMENT, TRANSPARENCY AND ACCOUNTABILITY. 0 0 32845688 39894916 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. 1619472 NCQA IS RESPONDING TO THE RAPIDLY CHANGING HEALTH CARE MARKETPLACE BY DEVELOPING NEW PROGRAMS AND SERVICES THAT MEASURES PERFORMANCE ACROSS THE DELIVERY SYSTEM. 34465160 1 1 0 0 0 0 0 0 0 1 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 1 0 0 0 0 0 0 0 0 0 0 1 130 0 1 292 1 0 1 CJ 0 0 0 0 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 CFO 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 JOHN TOOKER MD MBA MACP 2.30 X 0 0 0 DAVID C K CHIN MD MBA 2.00 X 0 0 0 MICHAEL DAVIS 2.00 X 0 0 0 ELIZABETH GILBERTSON 2.00 X 0 0 0 GEORGE HALVORSON 2.00 X 0 0 0 PAMELA HYMEL MD MPH FACOEM 2.00 X 0 0 0 JEROME P KASSIRER MD 2.00 X 0 0 0 TALMADGE E KING JR MD 2.00 X 0 0 0 ROBERT J MARGOLIS MD 2.00 X 0 0 0 DOLORES L MITCHELL 2.00 X 0 0 0 RALPH W MULLER 2.00 X 0 0 0 DEBRA NESS 2.00 X 0 0 0 JOSEPH NEWHOUSE PHD 2.00 X 0 0 0 LEN NICHOLS PHD 2.00 X 0 0 0 I STEVEN UDVARHELYI MD 2.00 X 0 0 0 MARGARET E O'KANE 40.00 X X 641213 0 132013 ESTHER EMARD 40.00 X 442242 0 38783 SHARON KING-DONOHUE 40.00 X 367930 0 44497 SCOTT A HARTRANFT 40.00 X 408325 0 44325 L GREGORY PAWLSON MD 40.00 X 248156 0 24593 KATHLEEN C MUDD 40.00 X 310592 0 28449 PATRICIA BARRETT 40.00 X 236460 0 40209 RICK MOORE 40.00 X 253764 0 23939 PHYLLIS TORDA 40.00 X 263497 0 44382 3172179 0 421190 70 0 1 0 MIND OVER MACHINES 10451 MILL RUN CIRCLE 900 OWINGS MILLS MD 21117 SOFTWARE DEVELOPER/CONSULTING 615911 CHES GWINN CONVERGENT HEALTH LLC 9602 TRESANTAON DRIVE CHARLOTTE NC 28210 CONSULTING SERVICES 148913 BMGI NORTH AMERICA GROUP 1921 CORPORATE CENTER CIRCLE LONGMONT CO 80501 CONSULTING SERVICES 140153 MEDIACHASE LTD 8150 BEVERLY BLVD 102 LOS ANGELES CA 90048 SOFTWARE DEVELOPER/CONSULTING 136303 OPTUMINSIGHT 200 W MADISON STREET CHICAGO IL 606063414 CONSULTING SERVICES 121808 6 1617801 1617801 ACCREDITATION SERVICES 900099 18073388 18073388 FED/STATE CONTRACTS 900099 10675579 10675579 INFORMATION PRODUCTS 900099 6831332 6831332 EDUCATION CONFERENCES 900099 2340528 2340528 37920827 4533 4533 2117977 143888 1974089 1974089 OTHER INCOME 900099 112187 112187 112187 41629437 39894916 0 116720 2119745 1734828 372055 12862 18448437 15098449 3238049 111939 1029044 842183 180617 6244 4567509 3738110 801685 27714 1370703 1121802 240584 8317 38632 38632 100887 100887 72000 72000 153275 153275 718318 399531 316997 1790 1693937 1440963 246137 6837 1082887 919299 158883 4705 741178 575965 164085 1128 1029785 1029785 214285 214285 SUBCONTRACTOR/CONSULTAN 4267570 3640542 627028 OTHER DIRECT COSTS 616897 199062 409836 7999 BAD DEBT EXPENSE 13492 13492 ALLOCATED OVERHEAD 0 4740934 -4776083 35149 38278581 34465160 3516737 296684 5898 1975 6225471 3895361 204254 491320 3687873 4881046 108283 74055 238821 449652 7952678 4046280 3944108 3906398 1292243 2352075 1332561 6497677 216135 251142 17255647 22800701 5098126 6494750 3415348 4325508 4171459 4083751 12684933 14904009 X 4230945 7086349 339769 810343 4570714 7896692 17255647 22800701 X 3350856 -24878 X 0 1 1 X 1 1 X 4600503 4394904 2474655 887690 1617801 13975553 4600503 4394904 2474655 887690 1617801 13975553 5283651 8691902 221265 39267 10199 94716 4533 369980 183141 142167 141728 90665 112187 669888 15015421 148512946 0.57890 0.53990 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 339769 1582026 1111452 810343 1771265 885665 2317161 339769 2575147 2468675 3272557 1771265 3269042 4374104 5067999 2575147 1.00000 0 0 2463334 992159 1471175 890534 870798 19736 4598810 2183323 2415487 3906398 630,842.43 SHS PFA 1 YR FIXED INC 6497677 F 6497677 DEFERRED RENT 2646825 DEFERRED COMPENSATION 1436926 4083751 41629437 38278581 3350856 -24878 -24878 3325978 41748447 -24878 -24878 41773325 -143888 -143888 41629437 38422469 143888 143888 38278581 0 38278581 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: TEMPORARY RESTRICTED NET ASSETS AS OF DECEMBER 31, 2011 ARE AVAILABLE FOR THE FOLLOWING PURPOSES: RESEARCH & MEASUREMENT, IMMUNIZATION, RECOGNITION PROGRAMS, CONSUMER TESTING, CARDIOPULMONARY MEASURES AND PATIENT EXPERIENCES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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, 2011 AND 2010. 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 PERCENT 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 CONSOLIDATED FINANCIAL STATEMENTS AT DECEMBER 31, 2011. GENERALLY, NCQA IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX POSITIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2008. PART XII, LINE 4B - OTHER ADJUSTMENTS: COST OF GOODS SOLD REPORTED ON LINE 10B -143,888. FUND RAISING EXPENSES REPORTED ON LINE 8B PART XIII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD REPORTED ON LINE 10B 143,888. FUND RAISING EXPENSES REPORTED ON LINE 8B X X X 1 LINDER & ASSOCIATES 2150 WISCONSIN AVE NW 10 WASHINGTON DC 20007 FUNDRAISING FOR 2012 EVENT 0 0 72000 -72000 72000 -72000 CA DC ANNUAL AWARDS DINNER X X X X X 0 1 0 0 0 1 0 0 0 MARGARET E O'KANE 452493 0 170240 0 18480 0 88623 0 43390 0 773226 0 0 0 ESTHER EMARD 310389 0 130563 0 1290 0 21076 0 24479 0 487797 0 0 0 SHARON KING-DONOHUE 258570 0 78457 0 30903 0 21076 0 28083 0 417089 0 0 0 SCOTT A HARTRANFT 265731 0 111202 0 31392 0 21076 0 28461 0 457862 0 0 0 L GREGORY PAWLSON MD 157152 0 80849 0 10155 0 21076 0 4039 0 273271 0 0 0 KATHLEEN C MUDD 223947 0 68855 0 17790 0 21076 0 8417 0 340085 0 0 0 PATRICIA BARRETT 192133 0 44027 0 300 0 20632 0 20621 0 277713 0 0 0 RICK MOORE 205204 0 48110 0 450 0 21076 0 8907 0 283747 0 0 0 PHYLLIS TORDA 204479 0 57038 0 1980 0 21706 0 23720 0 308923 0 0 0 PART I, LINE 4B MARGARET E. O'KANE PARTICIPATES IN A 457(F) PLAN - $67,547. THE PURPOSE OF THE PLAN IS TO PROVIDE A SPECIAL NONQUALIFIED BENEFIT PLAN TO MARGARET O'KANE, WHO HAS BEEN DETERMINED TO BE ONE OF A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES OF THE NATIONAL COMMITTEE FOR QUALITY ASSURANCE (THE "CORPORATION"). ELIGIBILITY - IN ITS SOLE DISCRETION, THE BOARD (OR ITS DESIGNEE) SHALL DETERMINE WHETHER AN EMPLOYEE IS ELIGIBLE TO PARTICIPATE IN THE PLAN. PARTICIPATION - PLAN PARTICIPATION HEREUNDER SHALL BE LIMITED SOLELY TO MARGARET O'KANE. AN EMPLOYEE WHO BECOMES A PARTICIPANT SHALL REMAIN A PARTICIPANT UNLESS AND UNTIL THE BOARD OR ITS DESIGNEE DETERMINES THAT THE EMPLOYEE IS NO LONGER ELIGIBLE TO PARTICIPATE IN THE PLAN. PART I, LINE 6 DISCRETIONARY INCENTIVES ARE PAID BASED ON YEAR-END UNRESTRICTED NET MARGIN, PEFORMANCE REVIEWS IN ACCORDANCE WITH THE PRE-DETERMINED PERCENTAGE. GEORGE HALVORSON CHAIRMAN AND CEO KAISER FOUNDATION HEALTH PLAN & HOSPITALS 597300 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 484084 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY AETNA FROM REPORTING ORGANIZATION 0 I STEVEN UDVARHELYI MD BOARD MEMBER AND SR. VP & CMO INDEPENDENCE BLUE CROSS 429223 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY INDEPENDENCE 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -24,878.