2018-11-13T11:01:40-06:00 2017-12-31 PRICEWATERHOUSECOOPERS LLP THREE EMBARCADERO CENTER SAN FRANCISCO CA 94111 990 2017-01-01 943274043 CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION % DENNIS ESTRADA CALI 9163514400 250 OUTCROPPING WAY FOLSOM CA 95630 RYAN SEGHESIO VP, CFO, & TREASURER 9163514400 2018-11-08 true MATTHEW PETROSKI P00853132 4154985000 155.201.188.33 52580220183175000001 2018-11-13 P 255E9675A8480EA5318628B499FF7F34A3CC9B1D 6CFBC1E470B119DB9F0B0C745D98B714AAF1A9A1 2017 2019-02-21 02:37:17Z STEPHEN BERBERICH 250 OUTCROPPING WAY FOLSOM CA 95630 343690829 false X WWW.CAISO.COM X 1997 CA CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. 5 5 661 0 0 0 0 0 212010716 220605050 1857826 3375033 -14698 55440 213853844 224035523 0 0 0 0 115932073 118809064 0 0 0 87313143 84562881 203245216 203371945 10608628 20663578 789254619 740687564 654751630 578789780 134502989 161897784 X CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. false false 180505046 220660490 THE ORGANIZATION SERVES AS THE SYSTEM OPERATOR OF AN INTEGRATED STATEWIDE ELECTRICITY TRANSMISSION GRID. 180505046 true false false true false false false false false false true false true false true false true false false false false false false false false false false false false true true false false false false false false false false false false false false false false false true false false false true 133 0 true 661 true false false false false false false false false false false X 5 5 false false false false false true false true true false false true true true true true true true true false CA X DENNIS ESTRADA 9163512235 250 OUTCROPPING WAY FOLSOM CA 95630 ASHUTOSH BHAGWAT BOARD OF GOVERNORS 8.0 0.0 X 59500 0 0 ANGELINA GALITEVA BOARD OF GOVERNORS 8.0 0.0 X 53200 0 0 RICHARD MAULLIN CHAIRMAN, BOARD OF GOVERNORS 8.0 0.0 X 41250 0 0 DAVID OLSEN BOARD OF GOVERNORS 8.0 0.0 X 51000 0 0 MARK FERRON BOARD OF GOVERNORS 8.0 0.0 X 52250 0 0 STEPHEN BERBERICH PRESIDENT & CEO 40.0 0.0 X 1464804 0 168886 KEITH CASEY VP, MKT AND INFRASTRUCTURE DEV 40.0 0.0 X 733243 0 86966 ROGER COLLANTON VP, GEN CNSL & CHIEF COMP OFF 40.0 0.0 X 668425 0 86971 PETAR RISTANOVIC VP, TECHNOLOGY 40.0 0.0 X 680095 0 89943 MARK ROTHLEDER VP, MKT QTY & RENEW INTEGRTN 40.0 0.0 X 694149 0 118757 ERIC SCHMITT VP, OPERATIONS 40.0 0.0 X 659017 0 87110 RYAN SEGHESIO CFO & TREASURER 40.0 0.0 X 366668 0 64512 STACEY CROWLEY VP, REGIONAL & FEDERAL AFFAIRS 40.0 0.0 X 475213 0 59606 THOMAS DOUGHTY VP, CUSTOMER & STATE AFFAIRS 40.0 0.0 X 490130 0 98623 KHALED ABDUL-RAHMAN EXC DIR, PWR SYS&SMRT GRD TECH 40.0 0.0 X 363740 0 57996 HUGO FRECH DIR, IT INFRA ENGR & NTWK OPS 40.0 0.0 X 250538 0 51656 NANCY TRAWEEK EXEC. DIR., SYSTEM OPERATIONS 40.0 0.0 X 361791 0 67134 JODI ZIEMATHIS EXEC DIRECTOR, HUMAN RESOURCES 40.0 0.0 X 278806 0 62660 ANTHONY IVANCOVICH DEPUTY GENERAL COUNSEL - REGUL 40.0 0.0 X 371982 0 62213 SIDNEY MANNHEIM ASST GEN COUNSEL - TARIFF 40.0 0.0 X 347741 0 46418 ANNA MCKENNA ASST GEN COUNSEL - REGULATORY 40.0 0.0 X 371300 0 55909 NEIL MILLAR EXEC DIR, INFRASTRUCTURE DEV 40.0 0.0 X 357905 0 64943 BURTON GROSS DEPUTY GENERAL COUNSEL-LEGAL 40.0 0.0 X 352585 0 55900 MATTHEW TURNER DIR., IT ENTERPRISE/CAMPUS OPS 40.0 0.0 X 305766 0 60379 9851098 0 1446582 479 true true false TECH-NET INC 101 PARKSHORE DR SUITE 100 FOLSOM CA 95630 CONSULTING 1421521 SIEMENS INDUSTRY INC DEPT CH 14381 PALATINE IL 600554381 ENGINEERING SERVICES 8839409 CORESTAFF SERVICES PO BOX 60876 CHARLOTTE NC 282600876 TEMPORARY STAFFING 3329190 ATT PO BOX 5019 CAROL STREAM IL 601975019 TELECOMMUNICATION SE 3671467 TEKSYSTEMS INC PO BOX 198568 ATLANTA GA 30384 CONSULTING 1382788 58 0 GRID MANAGEMENT CHARGE 221000 198307263 198307263 LGIP REVENUES 221000 7778636 7778636 COI PATH OPERATOR FEES 221000 2000002 2000002 MSS REVENUES/FORECASTING FEES 221000 3984887 3984887 EIM REVENUES 221000 8253845 8253845 280417 280417 220605050 2826137 2826137 0 0 0 0 0 120091283 112919 119655306 0 435977 112919 548896 548896 0 0 0 0 0 0 0 0 0 OTHER MISCELLANEOUS REVENUE 900003 55440 55440 55440 224035523 220660490 3375033 X 0 0 0 0 8844639 5209385 3635254 0 82653172 75145768 7507404 10352625 9412294 940331 10714307 9741124 973183 6244321 5677148 567173 0 1385706 1300526 85180 921051 921051 102799 102799 0 0 21641140 18300126 3341014 0 40927 350 40577 4169346 3157022 1012324 13190092 12319283 870809 0 2236329 2038150 198179 1388510 1127473 261037 0 847585 650482 197103 8310398 8310398 0 27765081 27765081 1985511 1985511 PROFESSIONAL AND MEMBER DUES 254332 168819 85513 TRAINING EXPENSES 426872 179319 247553 LOBBYING EXEPENSES -102798 -100501 -2297 203371945 180505046 22866899 0 0 0 413902222 381816953 0 0 16914908 17678823 0 0 0 0 0 0 0 0 6234589 6713211 651466864 472569151 187171212 178897713 104798116 99400517 0 0 48317401 43880728 0 0 11916171 12299619 789254619 740687564 43980430 42886355 0 0 0 0 191392533 186137004 0 0 0 0 0 0 0 0 419378667 349766421 654751630 578789780 X 111288003 138071097 0 0 23214986 23826687 134502989 161897784 789254619 740687564 X 20663578 -102240 6833457 X false true X true false X X 1 STATE OF CALIFORNIA 680284175 6 true 0 0 1 0 0 true true false false false false false false false false false false false false false true false PART IV, SECTION A, LINE 1 SEE SCHEDULE O. PART IV, SECTION A, LINE 2 SEE SCHEDULE O. 102799 102799 203214680 203317479 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 113089 85807 68324 102799 370019 250000 250000 250000 250000 1000000 1500000 0 0 0 10561100 10561100 157848742 43464630 114384112 3516387 3516387 0 40616230 34687652 5928578 438924405 390900482 48023923 178897713 INVESTMENTS - LGIP 43880728 F 43880728 0 REFUND OBLIGATIONS 2167429 EMPLOYEE BENEFIT PLAN OBLIGATI 17217761 DUE TO MARKET PARTICIPANTS 330381231 349766421 223933283 -102240 -102240 224035523 224035523 203371945 203371945 203371945 X true true X X X false true false false false false false false false STEPHEN BERBERICH PRESIDENT & CEO 622721 0 702998 0 139085 0 132346 0 36540 0 1633690 0 87449 0 KEITH CASEY VP, MKT AND INFRASTRUCTURE DEV 335225 0 331011 0 67007 0 85842 0 1124 0 820209 0 42830 0 ROGER COLLANTON VP, GEN CNSL & CHIEF COMP OFF 307666 0 303236 0 57523 0 64769 0 22202 0 755396 0 28732 0 PETAR RISTANOVIC VP, TECHNOLOGY 309607 0 317477 0 53011 0 66773 0 23170 0 770038 0 30049 0 MARK ROTHLEDER VP, MKT QTY & RENEW INTEGRTN 311541 0 307246 0 75362 0 82434 0 36323 0 812906 0 46272 0 ERIC SCHMITT VP, OPERATIONS 302639 0 301237 0 55141 0 63645 0 23465 0 746127 0 22479 0 RYAN SEGHESIO CFO & TREASURER 241917 0 121525 0 3226 0 32164 0 32348 0 431180 0 0 0 KHALED ABDUL-RAHMAN EXC DIR, PWR SYS&SMRT GRD TECH 247555 0 100067 0 16118 0 34399 0 23597 0 421736 0 0 0 HUGO FRECH DIR, IT INFRA ENGR & NTWK OPS 189275 0 43621 0 17642 0 29489 0 22167 0 302194 0 0 0 NANCY TRAWEEK EXEC. DIR., SYSTEM OPERATIONS 254254 0 102858 0 4679 0 36000 0 31134 0 428925 0 0 0 ANTHONY IVANCOVICH DEPUTY GENERAL COUNSEL - REGUL 265144 0 94526 0 12312 0 36000 0 26213 0 434195 0 0 0 SIDNEY MANNHEIM ASST GEN COUNSEL - TARIFF 255984 0 89472 0 2285 0 36403 0 10015 0 394159 0 0 0 ANNA MCKENNA ASST GEN COUNSEL - REGULATORY 248267 0 102248 0 20785 0 36000 0 19909 0 427209 0 0 0 NEIL MILLAR EXEC DIR, INFRASTRUCTURE DEV 252670 0 103524 0 1711 0 33983 0 30960 0 422848 0 0 0 MATTHEW TURNER DIR., IT ENTERPRISE/CAMPUS OPS 221659 0 65082 0 19025 0 34334 0 26045 0 366145 0 0 0 STACEY CROWLEY VP, REGIONAL & FEDERAL AFFAIRS 273585 0 182339 0 19289 0 46262 0 13344 0 534819 0 11551 0 THOMAS DOUGHTY VP, CUSTOMER & STATE AFFAIRS 265535 0 187942 0 36653 0 58874 0 39749 0 588753 0 14946 0 JODI ZIEMATHIS EXEC DIRECTOR, HUMAN RESOURCES 218904 0 57445 0 2457 0 31416 0 31244 0 341466 0 0 0 BURTON GROSS DEPUTY GENERAL COUNSEL-LEGAL 265485 0 85856 0 1244 0 35092 0 20808 0 408485 0 0 0 PART I, LINE 1A CALIFORNIA ISO MAINTAINS A WRITTEN POLICY THAT ALLOWS FOR THE UPGRADE TO FIRST-CLASS TRAVEL UNDER CERTAIN LIMITING CONDITIONS, SUCH AS TRANSCONTINENTAL FLIGHTS, IF APPROVED BY A MANAGER. ALL EXPENSES INCURRED THAT RELATE TO FIRST CLASS-CLASS TRAVEL MUST BE SUBSTANTIATED TO THE ISO. NONE OF THE APPROVED FIRST-CLASS TRAVEL IS TREATED AS TAXABLE COMPENSATION REPORTED ON SCHEDULE J, PART II. PART I, LINE 4B IN 2017, THE INDIVIDUALS LISTED BELOW PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. CALIFORNIA ISO CONTRIBUTED THE FOLLOWING AMOUNTS TO THE PLAN WHICH ARE INCLUDED IN THE DEFERRED COMPENSATION REPORTED ON SCHEDULE J, PART II: STEPHEN BERBERICH, PRESIDENT & CEO $109,049 KEITH CASEY, VP, MKT & INFRASTRUCTURE DEV. $46,743 ROGER COLLANTON, VP, GEN CNSL & CHIEF COMPLIANCE OFFICER $31,181 THOMAS DOUGHTY, VP, CUSTOMER & STATE AFFAIRS $15,202 PETAR RISTANOVIC, VP, TECHNOLOGY $32,885 MARK ROTHLEDER, VP, MARKET QUALITY & RENEWABLE INTEGRATION $49,094 ERIC SCHMITT, VP, OPERATIONS $24,710 A CA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK 630304653 13034ADT4 2013-11-14 202378588 REFUNDING CIEDB SERIES 2009 BONDS false false false A 0 0 202378588 0 0 200902187 1639774 0 0 0 0 0 2013 true false true true A false false false false 0.01730 0.00000 0.01730 true false false true A true false false 0 false 0 false true A false PART I, LINE 1 & PART III, LINE 1 CALIFORNIA ISO'S MISSION STATEMENT: TO ENSURE EFFICIENT USE AND RELIABLE OPERATION OF THE ELECTRIC TRANSMISSION GRID OPERATED BY THE ISO, CONSISTENT WITH THE CALIFORNIA PUBLIC UTILITY CODE, CHAPTER 2.3 PART 1, DIVISION 1. THE ISO DOES NOT OWN TRANSMISSION FACILITIES, BUT IT CONTROLS THE OPERATION OF A NETWORK OF TRANSMISSION FACILITIES LOCATED THROUGHOUT MOST OF CALIFORNIA, AND ALSO CERTAIN TRANSMISSION FACILITIES LOCATED IN NEVADA, THE OWNERS OF WHICH HAVE TRANSFERRED OPERATIONAL CONTROL OF THE ISO. FOR THE BENEFIT OF OUR CUSTOMERS, WE: - OPERATE THE GRID RELIABLY AND EFFICIENTLY; - PROVIDE FAIR AND OPEN TRANSMISSION ACCESS; - PROMOTE ENVIRONMENTAL STEWARDSHIP; AND - FACILITATE EFFECTIVE MARKETS AND PROMOTE INFRASTRUCTURE DEVELOPMENT, ALL THROUGH THE PROVISION OF TIMELY AND ACCURATE INFORMATION. PART VI, LINE 7A THE BOARD OF CALIFORNIA ISO IS COMPOSED OF MEMBERS APPOINTED BY THE CALIFORNIA GOVERNOR AND CONFIRMED BY THE CALIFORNIA STATE SENATE. PART VI, LINE 11B THE FORM 990 IS REVIEWED BY THE VP, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, CFO, CONTROLLER, DIRECTOR OF COMMUNICATIONS, SENIOR COUNSEL - CORPORATE, EXECUTIVE DIRECTOR, HR. THE FORM 990 IS PROVIDED TO THE BOARD OF GOVERNORS PRIOR TO FILING. PART VI, LINE 12 ANNUALLY, EMPLOYEES ARE REQUIRED TO ATTEND THE ALL EMPLOYEE TRAINING WHICH INCLUDES: CODE OF CONDUCT, SECURITY AWARENESS, EMPLOYEE RELATIONS SAFETY AND HARASSMENT PREVENTION. EMPLOYEES ARE REQUIRED ANNUALLY TO SIGN A FORM TO DISCLOSE IF ANY POTENTIAL CONFLICT OF INTEREST EXISTS THAT MAY AFFECT THE EMPLOYEE'S ABILITY TO PERFORM HIS/HER JOB. PART VI, LINE 15A & 15B SINCE 1998, THE BOARD OF GOVERNORS OF THE ISO HAS WORKED CLOSELY WITH NATIONALLY RECOGNIZED HUMAN RESOURCES AND EXECUTIVE COMPENSATION ADVISORY FIRMS TO DEVELOP AN APPROPRIATE COMPENSATION PROGRAM FOR THE EXECUTIVES OF THE ISO. COMPETITIVE COMPENSATION FOR ALL NON-OFFICER EMPLOYEES IS ALSO ESTABLISHED BY ANNUAL THIRD-PARTY COMPENSATION SURVEYS. THESE FIRMS HELPED THE BOARD OF GOVERNORS DETERMINE THE APPROPRIATE LEVELS OF EXECUTIVE COMPENSATION BY COMPILING EXTENSIVE MARKET DATA CONCERNING EXECUTIVE COMPENSATION FOR POSITIONS SIMILAR TO EXECUTIVE POSITIONS AT THE ISO. THESE FIRMS HISTORICALLY HAVE MET WITH THE BOARD OF GOVERNORS AT LEAST ANNUALLY TO PRESENT EXECUTIVE COMPENSATION MARKET DATA, MAKE RECOMMENDATIONS AND OTHERWISE DISCUSS EXECUTIVE COMPENSATION ISSUES. THE BOARD RELIED ON THE COMPARABILITY DATA TO DETERMINE THE APPROPRIATE COMPENSATION, APPROVED THE COMPENSATION, AND DOCUMENTED THE APPROVAL IN ITS MINUTES. PART VI, LINE 19 THE ORGANIZATION MAKES AVAILABLE ON ITS WEBSITE (ACCESSIBLE BY THE PUBLIC) THE FINANCIAL STATEMENTS, THE CODE OF CONDUCT POLICY, THE TARIFF (RULES OF THE ISO MARKET), THE ARTICLES OF INCORPORATION (AND ALL AMENDMENTS), THE CORPORATE BY-LAWS AND THE MINUTES OF THE BOARD OF GOVERNORS' MEETINGS (EXCEPT FOR THE EXECUTIVE SESSIONS). PART XI, LINE 9 OTHER POST-RETIREMENT BENEFITS ADJUSTMENT IN 2016 AND 2017: $6,833,457 SCHEDULE A, PART IV, SECTION A, LINE 1 THE CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION ("CAL ISO") WAS CREATED PURSUANT TO SPECIFIC LEGISLATION (ASSEMBLY BILL 1890 - CHAPTER 854, CALIFORNIA STATUTES OF 1996) IN WHICH THE STATE OF CALIFORNIA ASSUMED A SUBSTANTIALLY INCREASED ROLE IN PROMOTING COMPETITION IN THE SUPPLY OF ELECTRICITY IN CALIFORNIA IN ORDER TO ACCOMPLISH A MEANINGFUL IMMEDIATE REDUCTION IN THE OVERALL PRICE OF ELECTRIC SERVICE TO THE GENERAL PUBLIC THROUGHOUT CALIFORNIA. THE BOARD OF CAL ISO IS COMPOSED OF MEMBERS APPOINTED BY THE CALIFORNIA GOVERNOR AND CONFIRMED BY THE CALIFORNIA STATE SENATE. SCHEDULE A, PART IV, SECTION A, LINE 2 AS A GOVERNMENTAL UNIT, THE STATE OF CALIFORNIA DOES NOT HAVE AN IRS DETERMINATION LETTER CLASSIFYING IT AS A PUBLIC CHARITY UNDER SECTION 509(A)(1) OR (2) OF THE INTERNAL REVENUE CODE. THE STATE OF CALIFORNIA QUALIFIES AS A PUBLIC CHARITY UNDER SECTION 509(A)(1) BECAUSE IT QUALIFIES AS A GOVERNMENTAL UNIT. FORM 990 PART IX LINE 11G DESCRIPTION:GIP/OTHER CONTRACTS TOTAL FEES:10847821 FORM 990 PART IX LINE 11G DESCRIPTION:TEMPORARY STAFFING TOTAL FEES:6221927 FORM 990 PART IX LINE 11G DESCRIPTION:CONSULTANT EXPENSES TOTAL FEES:4465753 FORM 990 PART IX LINE 11G DESCRIPTION:RECRUITMENT EXPENSES TOTAL FEES:105639 STATE OF CALIFORNIA 680284175 GOVERNMENT CA NA false false false false false false false false false false false false false false false false false false false false