2016-11-14T10:39:29-06:00 2015-12-31 420714325 RSM US LLP 801 NICOLLET MALL SUITE 1100 MINNEAPOLIS MN 55402 990 2015-01-01 270600894 MEDICA RESEARCH INSTITUTE MEDI 9529922058 401 CARLSON PARKWAY CP330 MINNETONKA MN 55305 MARY QUIST TREASURER 9529922058 2016-11-10 1 TODD A JACKSON P00092672 6123324300 2015 2017-02-10 21:41:12Z DAVID TILFORD 401 CARLSON PARKWAY CP330 MINNETONKA MN 55305 7634911 0 X MEDICARESEARCHINSTITUTE.ORG X 2009 MN MEDICA RESEARCH INSTITUTE CONDUCTS RESEARCH TO ADVANCE KNOWLEDGE THAT INFORMS VALUE-BASED HEALTH CARE AND ACCOUNTABLE COMMUNITIES FOR HEALTH. 8 0 0 0 0 0 0 6000000 433200 368011 170178 282672 0 0 603378 6650683 120366 118462 0 0 1615930 1673635 0 0 0 891338 638639 2627634 2430736 -2024256 4219947 11319381 15216654 260718 352280 11058663 14864374 X MEDICA RESEARCH INSTITUTE CONDUCTS RESEARCH TO ADVANCE KNOWLEDGE THAT INFORMS VALUE-BASED HEALTH CARE AND ACCOUNTABLE COMMUNITIES FOR HEALTH. 0 0 1105187 118462 368011 IN 2015 THE INSTITUTE'S DOCTORAL-LEVEL INVESTIGATORS CONTINUED TO SEEK AND RECEIVE EXTRAMURAL FUNDING TO CONDUCT HEALTH SERVICES RESEARCH. AS A RESULT, COLLABORATIVE PARTNERSHIPS CONTINUED TO DEVELOP WITH REGIONAL AND NATIONAL RESEARCH INSTITUTIONS AND MAJOR RESEARCH NETWORKS. THROUGHOUT THE YEAR, INSTITUTE INVESTIGATORS DEVOTED EFFORT TO 22 DISTINCT RESEARCH STUDIES. IN ADDITION, INSTITUTE INVESTIGATORS AUTHORED 15 PUBLICATIONS. MAJOR THEMES OF THE PUBLICATIONS INCLUDED: HEALTH CARE DELIVERY, COMMUNITY HEALTH, AND HEALTH CARE USE ENGAGEMENT. IN 2015, TWO INSTITUTE INVESTIGATORS HELD ADJUNCT FACULTY APPOINTMENTS AT THE UNIVERSITY OF MINNESOTA WHERE THEY PROVIDED LECTURER ASSISTANCE FOR COURSES IN QUALITATIVE & QUANTITATIVE RESEARCH METHODS, AND HEALTH ECONOMICS & POLICY. EACH COURSE HAD AN AVERAGE CLASS SIZE OF 30 COLLEGE STUDENTS. 92199 THE INSTITUTE CONTINUED TO ADMINISTER ITS INTRAMURAL AWARDS PROGRAM (IAP) WHICH WAS INITIATED IN 2010. THE PROGRAM PROVIDED INSTITUTE INVESTIGATORS WITH AN OPPORTUNITY TO CONDUCT PILOT AND FEASIBILITY STUDIES USING INTERNAL RESOURCES AND EXTERNAL CONSULTANTS. THE INSTITUTE AWARDED FOUR IAPS IN 2015. RESEARCH TOPICS INCLUDED:* THE IMPACT OF FAMILY COMPOSITION ON THE TRANSITION FROM INPATIENT CARE * A TWO-STEP APPROACH FOR PREDICTING THE DIRECTION OF TYPE 2 DIABETES* EVALUATION OF RELATIONSHIP BETWEEN SPECIALTY MARKET CONCENTRATION AND QUALITY OUTCOME MEASURES* THE EFFECT OF MEDICAL HOMES ON HEALTH CARE UTILIZATION AND QUALITY OF CARE FOR SPECIAL NEEDS CHILDREN 1197386 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 1 0 1 3 0 1 0 0 0 0 0 0 0 0 0 0 0 X 8 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 0 0 0 MN NJ NY VA X MARY QUIST 9529922058 401 CARLSON PARKWAY CP330 MINNETONKA MN 55305 KRISTINA BLOOMQUIST EXECUTIVE DIRECTOR 32.00 X X 0 196526 34160 DAVID TILFORD CHAIR/PRESIDENT & CEO 40.00 X X 0 2294734 34907 JAMES P JACOBSON SECRETARY 40.00 X X 0 635112 43765 MARY QUIST TREASURER 40.00 X X 0 448513 41881 GLENN E ANDIS DIRECTOR 40.00 X 0 743529 44541 ROBERT LONGENDYKE DIRECTOR 40.00 X 0 618413 41399 TIMOTHY D THULL DIRECTOR 40.00 X 0 706984 42650 MARK WERNER MD DIRECTOR 40.00 X 0 527360 48269 DEBBY S KNUTSON DIRECTOR 40.00 X 0 584623 29526 MARK L BAIRD CFO/SVP 40.00 X 0 1119992 43204 JANA L JOHNSON SVP 40.00 X 0 663305 43604 JOHN W NAYLOR SVP 40.00 X 0 1027856 81860 DANNETTE M COLEMAN GM/VP 40.00 X 0 603174 28097 RICHARD H SYKORA GM/VP 40.00 X 0 497996 41817 BARBARA LYNCH VP 40.00 X 0 457904 34191 ANDREW E DAVIS VP 40.00 X 0 476600 37703 GEOFFREY J BARTSH VP 40.00 X 0 490395 62022 SCOTT REID VP 40.00 X 0 431221 35838 0 12524237 769434 0 0 1 0 0 6000000 6000000 RESEARCH REVENUE 900099 368011 368011 368011 247866 247866 1019034 984228 34806 34806 34806 6650683 368011 0 282672 118462 118462 1375465 836342 539123 191960 110675 81285 106210 71085 35125 18217 18217 18088 18088 90935 30270 60665 1084 1084 13447 10480 2967 19607 4800 14807 438753 438753 12438 10422 2016 15915 4810 11105 DUES, LICENSES & SUBSCR 4179 40 4139 BOARD EXPENSES 4076 0 4076 CORPORATE CONTRIBUTIONS 1750 0 1750 REGULATORY EXPENSE 150 0 150 2430736 1197386 1233350 0 1299193 1236173 47323 139921 9844 9104 9963021 13831456 11319381 15216654 248625 352280 12093 260718 352280 X 11058663 14864374 11058663 14864374 11319381 15216654 4219947 -414236 0 X 0 1 X 0 0 X X 1 MEDICA HEALTH PLANS 411242261 9 1 1197387 0 1 1197387 0 1 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 FORM 990, SCHEDULE A, SECTION A, LINE 3B MEDICA HEALTH PLANS, THE SUPPORTED PARENT ORGANIZATION, IS A 501(C)(4) ORGANIZATION. SINCE THE ENTITIES ARE RELATED ORGANIZATIONS, ANY CHANGE IN EXEMPT STATUS OR ACTIVITIES OF MEDICA HEALTH PLANS WOULD BE KNOWN BY MEDICA RESEARCH INSTITUTE. FORM 990, SCHEDULE A, SECTION A, LINE 3C MEDICA RESEARCH INSTITUTE CLOSELY MONITORS THE USE OF GRANT FUNDS THAT IT AWARDS TO EXTERNAL ORGANIZATIONS. ALL GRANTEES ARE REQUIRED TO SUBMIT PERIODIC PROGRESS REPORTS THROUGHOUT THE GRANT PERIOD. SEE SCHEDULE I, PART I, LINE 2 NARRATIVE FOR ADDITIONAL INFORMATION RELATED TO THE PROCESS USED FOR MONITORING GRANTS. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 MUTUAL FUNDS - FIXED INCOME 12515379 C MUTUAL FUNDS - EQUITY 1316077 C 13831456 X 218359 -414236 -18088 -432324 650683 6000000 6000000 6650683 2412648 -18088 -18088 2430736 0 2430736 PART X, LINE 2: AS OF DECEMBER 31, 2015 AND 2014, THERE WERE NO UNCERTAIN TAX POSITIONS TO BE RECORDED. GENERALLY THE INSTITUTE IS NO LONGER SUBJECT TO U.S. FEDERAL AND STATE INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2012. PART XI, LINE 2D - OTHER ADJUSTMENTS: INVESTMENT EXPENSE RECLASSIFIED ON FUNCTIONAL EXPENSES -18,088. PART XI, LINE 4B - OTHER ADJUSTMENTS: GRANT/EQUITY TRANSFER FROM RELATED ORGANIZATIONS 6,000,000. PART XII, LINE 2D - OTHER ADJUSTMENTS: INVESTMENT EXPENSE RECLASSIFIED ON FUNCTIONAL EXPENSES -18,088. 1 REGENTS OF THE UNIVERSITY OF MINNESOTA 200 OAK STREET SE SUITE 450 MINNEAPOLIS MN 554552070 416007513 90648 PROGRAM SUPPORT FOR RESEARCH ON: 1) THE PROCESS OF EMPLOYEE CHOICE OF HEALTH PLAN WHEN THE CHOICE SET IS LARGE AND VARIED ACROSS PLAN DESIGN; AND 2) DEVELOPING A GREATER UNDERSTANDING OF MULTIPLE SCLEROSIS PATIENT PREFERENCES IN PHARMACY THERAPY. UNIVERSITY OF SOUTHERN CALIFORNIA 3500 S FGUEROA SUITE 102 LOS ANGELES CA 900898001 951642394 501(C)(3) 18066 FUNDING FOR A TWO-YEAR FELLOWSHIP TRAINING PROGRAM IN HEALTH POLICY AND ECONOMICS RESEARCH AT THE LEONARD D. SHAEFER CENTER FOR HEALTH POLICY AND ECONOMICS. MEDICA HEALTH PLANS 401 CARLSON PARKWAY MINNETONKA MN 55305 411242261 501(C)(4) 6420 FUNDING FOR CALL CENTER SERVICES TO ASSIST IN ESTIMATING THE EFFECT OF SURVEY QUESTION CHANGES ON ACCURATE REPORTING OF HEALTH INSURANCE STATUS. 2 1 PART I, LINE 2: THE INSTITUTE REQUIRES GRANT RECIPIENTS TO REGULARLY REPORT ON THE STATUS OF ALL GRANTS. ON A QUARTERLY BASIS, GRANT RECIPIENTS ARE REQUIRED TO SUBMIT A STATUS REPORT AND AN ACCOUNTING OF THE QUARTER'S EXPENDITURES AS COMPARED TO BUDGET. 0 1 0 0 0 0 1 0 0 KRISTINA BLOOMQUIST EXECUTIVE DIRECTOR 0 151357 0 41985 0 3184 0 11226 0 23553 0 231305 0 0 DAVID TILFORD CHAIR/PRESIDENT & CEO 0 803980 0 1287906 0 202848 0 19213 0 17913 0 2331860 0 172111 JAMES P JACOBSON SECRETARY 0 280785 0 296199 0 58128 0 19213 0 26296 0 680621 0 34948 MARY QUIST TREASURER 0 248542 0 154384 0 45587 0 20538 0 22972 0 492023 0 0 GLENN E ANDIS DIRECTOR 0 326901 0 343403 0 73225 0 20538 0 25858 0 789925 0 46395 ROBERT LONGENDYKE DIRECTOR 0 286104 0 272579 0 59730 0 20538 0 22595 0 661546 0 32842 TIMOTHY D THULL DIRECTOR 0 301450 0 293235 0 112299 0 19213 0 25220 0 751417 0 53951 MARK WERNER MD DIRECTOR 0 155088 0 336465 0 35807 0 39088 0 9926 0 576374 0 0 DEBBY S KNUTSON DIRECTOR 0 271866 0 257327 0 55430 0 19213 0 12000 0 615836 0 29476 MARK L BAIRD CFO/SVP 0 393715 0 446274 0 280003 0 20538 0 25216 0 1165746 0 253153 JANA L JOHNSON SVP 0 286751 0 313106 0 63448 0 20538 0 24822 0 708665 0 38481 JOHN W NAYLOR SVP 0 369515 0 522755 0 135586 0 55054 0 28805 0 1111715 0 110669 DANNETTE M COLEMAN GM/VP 0 299239 0 248366 0 55569 0 20538 0 9313 0 633025 0 20945 RICHARD H SYKORA GM/VP 0 239971 0 211535 0 46490 0 20538 0 22884 0 541418 0 22288 BARBARA LYNCH VP 0 244155 0 167219 0 46530 0 14307 0 21506 0 493717 0 0 ANDREW E DAVIS VP 0 279992 0 176227 0 20381 0 37703 0 1695 0 515998 0 0 GEOFFREY J BARTSH VP 0 238609 0 222796 0 28990 0 36340 0 27294 0 554029 0 6278 SCOTT REID VP 0 242131 0 146626 0 42464 0 10600 0 26858 0 468679 0 0 PART I, LINE 3 MEDICA RESEARCH INSTITUTE, THE FILING ORGANZATION, DOES NOT PAY COMPENSATION. ALL COMPENSATION IS PAID BY MEDICA HEALTH PLANS, A RELATED ORGANIZATION. WHEN ESTABLISHING COMPENSATION, MEDICA HEALTH PLANS UTILIZES THE FOLLOWING: COMPENSATION COMMITTEE, INDEPENDENT COMPENSATION CONSULTANT, FORM 990 OF OTHER ORGANIZATIONS, COMPENSATION SURVEY/STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. PART I, LINE 4B THE FOLLOWING EMPLOYEES RECEIVED A SUPPLEMENT NONQUALIFIED RETIREMENT PLAN PAYMENT FROM MEDICA HEALTH PLANS, A RELATED ORGANIZATION: DAVID TILFORD $ 60,239 GLENN E ANDIS $ 16,238 ROBERT LONGENDYKE $ 11,495 JAMES P JACOBSON $ 12,232 TIMOTHY D THULL $ 41,166 MARY QUIST $ 14,936 JANA L JOHNSON $ 13,468 MARK L BAIRD $119,990 DEBBY S KNUTSON $ 10,317 RICHARD H SYKORA $ 7,801 DANNETTE M COLEMAN $ 11,975 BARBARA LYNCH $ 6,400 GEOFFREY J BARTSH $ 2,745 JOHN W NAYLOR $ 50,865 SCOTT REID $ 6,787 PART I, LINE 6 MANAGEMENT INCENTIVE COMPENSATION INCLUDES COMPONENTS RELATED TO OPERATING EARNINGS OF AFFILIATED MEDICA ENTITIES. SCHEDULE J, PART II SCHEDULE J, PART II, COLUMN (F), COMPENSATION IN COLUMN (B) REPORTED AS DEFERRED IN PRIOR FORM 990: COLUMN (F) INCLUDES AMOUNTS VESTED IN THE CURRENT YEAR, WHICH WERE PREVIOUSLY REPORTED IN COLUMN (C) OF PRIOR YEARS' 990'S, AS RETIREMENT AND DEFERRED COMPENSATION. FORM 990, PART VI, SECTION B, LINE 11 MEDICA'S TAX ADVISORS COMPLETE THE RETURN. PRIOR TO OBTAINING THE SIGNATURE OF MEDICA'S CFO, THE RETURN IS REVIEWED BY MEDICA RESEARCH INSTITUTE'S EXECUTIVE DIRECTOR AND ITS MANAGER OF FINANCIAL REPORTING & GRANTS MANAGEMENT, AS WELL AS MEDICA'S CONTROLLER. A COPY OF FORM 990 IS ALSO PRESENTED TO THE INSTITUTE'S BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C MEDICA'S GENERAL COUNSEL MONITORS THE ANNUAL COMPLETION OF ALL EMPLOYEES' CONFLICT OF INTEREST STATEMENTS. ALSO, AT THE BEGINNING OF EACH RESEARCH STUDY, THE INSTITUTE'S RESEARCH COMPLIANCE MANAGER MONITORS COMPLETION OF CONFLICT OF INTEREST STATEMENTS FOR ALL PROJECT STAFF. SANCTION CHECKS ARE CONDUCTED ANNUALLY FOR ALL CURRENT EMPLOYEES AND PRIOR TO HIRE OF ALL NEW INSTITUTE EMPLOYEES. CORRECTIVE ACTION IS TAKEN IF EMPLOYEES FAIL TO SUBMIT NECESSARY DISCLOSURES, INTENTIONALLY SUBMIT ERRONEOUS OR INACCURATE INFORMATION, OR FAIL TO ABIDE BY ANY CONFLICT OF INTEREST STRATEGIES IMPOSED BY MEDICA'S GENERAL COUNSEL OR THE INSTITUTE'S RESEARCH COMPLIANCE MANAGER. FORM 990, PART VI, SECTION B, LINE 15 MEDICA RESEARCH INSTITUTE DOES NOT HAVE ANY EMPLOYEES. ALL COMPENSATION IS PAID BY MEDICA HEALTH PLANS, A RELATED ORGANIZATION. MEDICA HEALTH PLANS USES THE FOLLOWING PROCESS TO DETERMINE COMPENSATION: THE PERSONNEL AND COMPENSATION COMMITTEE, AS DESCRIBED IN THE CHARTER, REVIEWS AND OBTAINS THE BOARD'S APPROVAL FOR TOTAL COMPENSATION FOR THE PRESIDENT/CEO. THE COMMITTEE ALSO REVIEWS AND APPROVES TOTAL COMPENSATION RECOMMENDATIONS MADE BY THE CEO FOR THE EXECUTIVE AND SENIOR VICE PRESIDENTS, AND REVIEWS ALL OFFICER COMPENSATION AND ANNUAL PERFORMANCE GOALS APPROVED BY THE CEO. THE COMMITTEE REVIEWS AND MAKES RECOMMENDATIONS TO THE BOARD REGARDING OFFICER AND NON-OFFICER COMPENSATION GUIDELINES FOR MEDICA AND ITS SUBSIDIARIES, PERIODICALLY REVIEWING MARKET DATA TO ASSESS MEDICA'S COMPETITIVE POSITION. OUTSIDE THE CHARTER, THE PERSONNEL AND COMPENSATION COMMITTEE WORKS WITH AN OUTSIDE CONSULTANT TO REVIEW MARKET DATA THAT AIDS IN SETTING THE COMPENSATION FOR THE OFFICERS AND KEY EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 AS MEDICA RESEARCH INSTITUTE DOES NOT CONSIDER ITS CONFLICT OF INTEREST POLICY TO BE A CONFIDENTIAL OR PROPRIETARY DOCUMENT, IT HAS POSTED THE DOCUMENT ON ITS WEBSITE AND WILL MAKE IT AVAILABLE TO ANYONE WHO REQUESTS IT. ARTICLES, BYLAWS, AND FORM 990 TAX RETURNS ARE ALSO AVAILABLE UPON REQUEST FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN SECTION 6104(D). FORM 990, PART VII, COLUMN B CERTAIN INDIVIDUALS REPORTED ON FORM 990, PART VII SPLIT THEIR TIME BETWEEN SEVERAL OF THE MEDICA ENTITIES (MEDICA HEALTH PLANS, MEDICA HEALTH PLANS WI, MEDICA FOUNDATION, MEDICA RESEARCH INSTITUTE, MEDICA AFFILIATED SERVICES, MEDICA INSURANCE, MEDICA SELF-INSURED, AND MEDICA HEALTH MANAGEMENT). THE AVERAGE HOURS PER WEEK REPORTED IN PART VII ARE THE TOTAL HOURS PER WEEK FOR ALL MEDICA ORGANIZATIONS. FORM 990, PART XII, LINE 2C MEDICA RESEARCH INSTITUTE DOES NOT HAVE A FORMAL AUDIT COMMITTEE. MEDICA HEALTH PLANS' FULL BOARD ASSUMES RESPONSIBILITY FOR AUDIT OVERSIGHT AND SELECTION OF AN INDEPENDENT ACCOUNTANT. MEDICA FOUNDATION 401 CARLSON PARKWAY MINNETONKA MN 55305 411812461 FOUNDATION MN 501(C)(3) TYPE II SUPORT ORG MEDICA HOLDING COMPANY 0 MEDICA HEALTH PLANS OF WI 401 CARLSON PARKWAY MINNETONKA MN 55305 411843804 HEALTH COVERAGE MN 501(C)(4) MEDICA HOLDING COMPANY 0 MEDICA HOLDING COMPANY 401 CARLSON PARKWAY MINNETONKA MN 55305 010571840 HOLDING CO/NO ACTIVITY MN 501(C)(4) N/A 0 MEDICA HEALTH PLANS 401 CARLSON PARKWAY MINNETONKA MN 55305 411242261 HEALTH COVERAGE MN 501(C)(4) MEDICA HOLDING COMPANY 0 MEDICA INSURANCE COMPANY 401 CARLSON PARKWAY MINNETONKA MN 55305 411490988 HEALTH INSURANCE MN MEDICA AFFILIATED SERVICES C 0 MEDICA SELF-INSURED 401 CARLSON PARKWAY MINNETONKA MN 55305 411479417 3RD PARTY ADMINISTRATOR MN MEDICA AFFILIATED SERVICES C 0 MEDICA AFFILIATED SERVICES 401 CARLSON PARKWAY MINNETONKA MN 55305 411716415 HOLDING COMPANY MN MEDICA HOLDING COMPANY C 0 MEDICA HEALTH MANAGEMENT 401 CARLSON PARKWAY MINNETONKA MN 55305 208005519 HEALTH MANAGEMENT MN MEDICA AFFILIATED SERVICES C 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 MEDICA HEALTH PLANS C 3000000 ACTUAL AMOUNT MEDICA INSURANCE COMPANY C 3000000 ACTUAL AMOUNT MEDICA HEALTH PLANS N 620550 ACTUAL AMOUNT MEDICA HEALTH PLANS O 1673635 ACTUAL AMOUNT MEDICA HEALTH PLANS P 438753 ACTUAL AMOUNT