2016-06-29T12:04:05-05:00 2015-12-31 420714325 RSM US LLP 9737 WASHINGTONIAN BLVD 400 GAITHERSBURG MD 208787340 990 2015-01-01 521191985 NATIONAL COMMITTEE FOR QUALITY ASSURANCE NATI 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 SCOTT A HARTRANFT CFO/TREASURER 2029553500 2016-06-29 1 WILLIAM E TURCO CPA P00369217 3012963600 2015 2016-09-27 15:27:22Z NCQA MARGARET E O'KANE 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 63530531 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 12 361 160 0 0 760788 4129851 56471889 55449828 -277814 586232 3020921 2635518 59975784 62801429 0 0 0 0 38327918 40109863 0 0 285124 14897489 15695741 53225407 55805604 6750377 6995825 46541905 51075543 18681032 17131302 27860873 33944241 OUR MISSION: TO IMPROVE THE QUALITY OF HEALTH CARE.OUR VISION: TO TRANSFORM HEALTH CARE QUALITY THROUGH MEASUREMENT, TRANSPARENCY AND ACCOUNTABILITY. 0 0 49381794 58126457 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. 2678398 NCQA IS RESPONDING TO THE RAPIDLY CHANGING HEALTH CARE MARKETPLACE BY DEVELOPING NEW PROGRAMS AND SERVICES THAT MEASURES PERFORMANCE ACROSS THE DELIVERY SYSTEM. 52060192 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 209 0 1 361 1 0 0 0 0 0 1 1 0 0 0 0 X 16 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 CFOTREASU 2029553500 1100 13TH ST NW SUITE 1000 WASHINGTON DC 20005 DAVID C K CHIN MD MBA CHAIRPERSON BOARD 2.00 X 0 0 0 DOLORES L MITCHELL 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 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 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 727424 0 33889 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 40.00 X 434083 0 51287 SCOTT A HARTRANFT CFO/TREASURER 40.00 X 468757 0 51180 TOM FLUEGEL CHIEF OPERATING OFFICER 40.00 X 436307 0 40430 MICHAEL BARR EXECUTIVE VICE PRESIDENT 40.00 X 434425 0 49307 PATRICIA BARRETT VP, PRODUCT DESIGN & SUPPORT 40.00 X 333286 0 41730 RICK MOORE CHIEF INFORMATION OFFICER 40.00 X 305140 0 26491 MARY BARTON VP, PERFORMANCE MEASURES 40.00 X 261396 0 39361 SARAH SCHOLLE VP, RESEARCH & ANALYSIS 40.00 X 257813 0 31755 JONATHAN COOK DEPUTY CIO 40.00 X 259206 0 21946 3917837 0 387376 130 0 1 0 FORUM ONE COMMUNICATION 15954 JACKSON CREEK PKW B374 MONUMENT CO 80132 CONSULTING - SOFTWARE REDESIGN & IMPLEME 325926 LINDER GLOBAL EVENTS 2150 WISCONSIN AVENUE NW WASHINGTON DC 20007 EVENT PLANNING & FUNDRAISING MANAGEMENT 271170 SCIGON SOLUTIONS INC 420 LAKE COOK RD STE 104 DEERFIELD IL 60015 CONSULTING - SOFTWARE TESTING 265560 AMERICAN INSTITUTES FOR RESEARCH 22 CORTLANDT STREET FLOOR 16 NEW YORK NY 100073139 CONSULTING - PUBLIC REPORTING ON HEALTH 237564 NYU PO BOX 415026 BOSTON MA 02241 SUBCONTRACTING 236797 15 620500 3509351 4129851 ACCREDITATION SERVICES 900099 27408706 27408706 FED/STATE CONTRACTS 900099 16039809 16039809 INFORMATION PRODUCTS 900099 9048008 9048008 EDUCATION CONFERENCES 900099 2953305 2953305 55449828 586232 586232 0 620500 644629 -644629 -644629 2761102 84473 2676629 2676629 OTHER INCOME 900099 603518 603518 603518 62801429 58126457 0 545121 2758895 2288340 468623 1932 26037266 21596368 4422663 18235 1813453 1504152 308031 1270 7521994 6239047 1277678 5269 1978255 1640846 336024 1385 124317 124317 97920 97920 167265 5028 162237 971270 301259 668881 1130 2188200 1780593 397902 9705 1619798 1401295 188752 29751 1409860 772319 630304 7237 1172208 1172208 383127 383127 SUBCONTRACTOR/CONSULTAN 6939038 5516117 1221578 201343 OTHER DIRECT COSTS 622738 161192 461154 392 ALLOCATED OVERHEAD 0 8853636 -8861111 7475 55805604 52060192 3460288 285124 8101 7121 7034002 9838121 254331 2259654 5437702 6110873 69700 59527 433677 922704 10159067 6209726 3673736 3949341 9454665 8740882 18311809 17684882 1864182 1502438 46541905 51075543 8087437 6745630 6757313 7555401 3836282 2830271 18681032 17131302 X 27421083 31524899 439790 2419342 27860873 33944241 46541905 51075543 6995825 -912457 0 X 0 1 X 1 1 1 X 1617801 2072871 2419658 760788 4126226 10997344 1617801 2072871 2419658 760788 4126226 10997344 2855272 8142072 4533 1286 593 52 586232 592696 112187 114928 255903 569995 603518 1656531 13246571 257099620 0.61470 0.55500 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 3085018 2279545 805473 1503004 901291 601713 5571045 3028890 2542155 3949341 353,683 - DFA 1 YR FIXED INC 3635857 F 384,007 - VANGUARD S-T INVESTMT GRADED FD 4055111 F 18,352 - VANGUARD 500 INDEX FD 3458964 F 62,336 - ISHARES ETF 3389814 F 54,584 - VANGUARD TOTAL WORLD 3145136 F 17684882 DEFERRED RENT 1608353 DEFERRED COMPENSATION 1221918 2830271 X 62618074 -912457 -912457 63530531 -729102 -729102 62801429 56534706 729102 729102 55805604 0 55805604 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, 2015 AND 2014. 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, 2015. GENERALLY, NCQA IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX POSITIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2012. PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES REPORTED ON LINE 8B -644,629. COST OF GOODS SOLD REPORTED ON LINE 10B -84,473. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES REPORTED ON LINE 8B 644,629. COST OF GOODS SOLD REPORTED ON LINE 10B 84,473. X X X 1 ALBA MEDIA PARTNERS LLC 1741 VALLEY FORGE ROAD 673 WORCESTER PA 19490 FUNDRAISING CONSULTANT 0 695500 166852 528648 695500 166852 528648 25TH ANNIVERSARY GALA 620500 620500 30030 614599 620500 620500 30030 614599 644629 -644629 X X X X X 0 0 0 0 0 1 0 0 0 MARGARET E O'KANE PRESIDENT 534514 0 170780 0 22130 0 22633 0 21497 0 771554 0 0 0 SHARON KING-DONOHUE GENERAL COUNSEL/SECRETARY 306003 0 90547 0 37533 0 22633 0 35077 0 491793 0 0 0 SCOTT A HARTRANFT CFO/TREASURER 306089 0 124762 0 37906 0 22633 0 35511 0 526901 0 0 0 TOM FLUEGEL CHIEF OPERATING OFFICER 320079 0 95672 0 20556 0 22633 0 21965 0 480905 0 0 0 MICHAEL BARR EXECUTIVE VICE PRESIDENT 366739 0 63189 0 4497 0 22633 0 30685 0 487743 0 0 0 PATRICIA BARRETT VP, PRODUCT DESIGN & SUPPORT 277462 0 55357 0 467 0 22632 0 24073 0 379991 0 0 0 RICK MOORE CHIEF INFORMATION OFFICER 249615 0 55058 0 467 0 22633 0 8190 0 335963 0 0 0 MARY BARTON VP, PERFORMANCE MEASURES 193782 0 48724 0 18890 0 22632 0 25738 0 309766 0 0 0 SARAH SCHOLLE VP, RESEARCH & ANALYSIS 208752 0 46255 0 2806 0 21996 0 12811 0 292620 0 0 0 JONATHAN COOK DEPUTY CIO 229664 0 29092 0 450 0 21946 0 1620 0 282772 0 0 0 PART I, LINE 6 DISCRETIONARY INCENTIVES ARE PAID TO ALL ELIGIBLE STAFF BASED ON YEAR-END INCREASE IN UNRESTRICTED NET ASSETS, PERFORMANCE REVIEWS IN ACCORDANCE WITH THE PRE-DETERMINED PERCENTAGES. JOSEPH P NEWHOUSE PHD SERVES ON BOTH NCQA'S AND AETNA'S BOARD OF DIRECTORS 886897 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY AETNA FROM REPORTING ORGANIZATION 0 LEEBA LESSIN SERVES ON NCQA'S BOARD AND EXECUTIVE WITH ANTHEM, INC. 1322590 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY ANTHEM, INC. FROM REPORTING ORGANIZATION 0 GEORGE HALVORSON SERVES ON NCQA'S BOARD AND FORMER CEO OF KAISER 742261 PURCHASE OF ACCREDITATION AND CERTIFICATION SURVEYS BY KAISER, INC. 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 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.