2017-11-14T16:45:06-06:00 2016-12-31 PRICEWATERHOUSECOOPERS LLP THREE EMBARCADERO CENTER SAN FRANCISCO CA 94111 990 2016-01-01 943274043 CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION % DENNIS ESTRADA CALI 9163514400 250 OUTCROPPING WAY FOLSOM CA 95630 RYAN SEGHESIO CFO & TREASURER 9163514400 2017-11-13 true MATTHEW PETROSKI P00853132 4154985000 155.201.188.32 52580220173185000008 2017-11-14 P DE22965B7F5067B006B4A2CADF48663545A75104 DE22965B7F5067B006B4A2CADF48663545A75104 2016 2017-02-10 21:41:12Z STEPHEN BERBERICH 250 OUTCROPPING WAY FOLSOM CA 95630 254919085 false X WWW.CAISO.COM X 1997 CA CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. 5 5 648 0 0 0 0 213451976 212010716 2446071 1857826 113703 -14698 216011750 213853844 0 0 0 0 113219382 115932073 0 0 0 87865633 87313143 201085015 203245216 14926735 10608628 729768636 789254619 605037242 654751630 124731394 134502989 X CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. false false 180018930 211996018 THE ORGANIZATION SERVES AS THE SYSTEM OPERATOR OF AN INTEGRATED STATEWIDE ELECTRICITY TRANSMISSION GRID. 180018930 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 139 0 true 648 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 57750 0 0 ANGELINA GALITEVA BOARD OF GOVERNORS 7.0 0.0 X 51500 0 0 RICHARD MAULLIN CHAIRMAN, BOARD OF GOVERNORS 7.0 0.0 X 42500 0 0 DAVID OLSEN BOARD OF GOVERNORS 8.0 0.0 X 61250 0 0 MARK FERRON BOARD OF GOVERNORS 8.0 0.0 X 54250 0 0 STEPHEN BERBERICH PRESIDENT & CEO 40.0 0.0 X 1559236 0 154201 KEITH CASEY VP, MKT AND INFRASTRUCTURE DEV 40.0 0.0 X 704034 0 79229 ROGER COLLANTON VP, GEN CNSL & CHIEF COMP OFF 40.0 0.0 X 634476 0 79219 KAREN EDSON VP, POLICY AND CLIENT SERVICES 40.0 0.0 X 475056 0 35390 PETAR RISTANOVIC VP, TECHNOLOGY 40.0 0.0 X 647928 0 83282 MARK ROTHLEDER VP, MKT QTY & RENEW INTEGRTN 40.0 0.0 X 674620 0 112993 ERIC SCHMITT VP, OPERATIONS 40.0 0.0 X 692311 0 64736 RYAN SEGHESIO CFO & TREASURER 40.0 0.0 X 346312 0 58541 STACEY CROWLEY VP, REGIONAL & FEDERAL AFFAIRS 40.0 0.0 X 332813 0 59548 THOMAS DOUGHTY VP, CUSTOMER & STATE AFFAIRS 40.0 0.0 X 329718 0 83712 KHALED ABDUL-RAHMAN EXC DIR, PWR SYS&SMRT GRD TECH 40.0 0.0 X 348426 0 52250 HUGO FRECH DIR, IT INFRA ENGR & NTWK OPS 40.0 0.0 X 252305 0 48800 REBECCA REGAN EXEC DIRECTOR, HUMAN RESOURCES 40.0 0.0 X 377216 0 59797 NANCY TRAWEEK EXEC. DIR., SYSTEM OPERATIONS 40.0 0.0 X 334074 0 65252 JODI ZIEMATHIS EXEC DIRECTOR, HUMAN RESOURCES 40.0 0.0 X 249204 0 58258 JOHN ANDERS ASSISTANT GENERAL COUNSEL - LE 40.0 0.0 X 327027 0 65270 ANTHONY IVANCOVICH DEPUTY GENERAL COUNSEL - REGUL 40.0 0.0 X 351355 0 60409 SIDNEY MANNHEIM ASST GEN COUNSEL - TARIFF 40.0 0.0 X 340807 0 45524 ANNA MCKENNA ASST GEN COUNSEL - REGULATORY 40.0 0.0 X 339384 0 52026 NEIL MILLAR EXEC DIR, INFRASTRUCTURE DEV 40.0 0.0 X 346610 0 63312 MATTHEW TURNER DIR., IT ENTERPRISE/CAMPUS OPS 40.0 0.0 X 271858 0 60083 DEBORAH LE VINE DIR, INFRASTCR CNTRCTS & MGMT 40.0 0.0 X 325574 0 47854 10527594 0 1489686 469 true true false SIEMENS INDUSTRY INC DEPT CH 14381 PALATINE IL 600554381 ENGINEERING SERVICES 8798783 CORESTAFF SERVICES PO BOX 60876 CHARLOTTE NC 282600876 TEMPORARY STAFFING 3317630 ATT PO BOX 5019 CAROL STREAM IL 601975019 TELECOMMUNICATION SE 3799410 THE BRATTLE GROUP ONE BEACON STREET SUITE 2600 BOSTON MA 02108 CONSULTING SERVICES 2278741 AWS TRUEPOWER LLC 463 NEW KARNER ROAD ALBANY NY 12205 FORECASTING SERVICE 1373550 171 0 GRID MANAGEMENT CHARGE 221000 193199320 193199320 LGIP REVENUES 221000 7277081 7277081 COI PATH OPERATOR FEES 221000 2000002 2000002 MSS REVENUES/FORECASTING FEES 221000 3378551 3378551 EIM REVENUES 221000 5898017 5898017 257745 257745 212010716 2718825 2718825 0 0 0 0 0 40204242 40090733 974508 113509 -974508 -860999 -860999 0 0 0 0 0 0 0 0 0 OTHER MISCELLANEOUS LOSS 900003 -14698 -14698 -14698 213853844 211996018 1857826 0 0 0 0 6798389 4062957 2735432 0 85254791 76932441 8322350 10005659 9028933 976726 7673911 6924804 749107 6199323 5594161 605162 0 1919085 1781920 137165 1011120 1011120 68414 68414 0 0 26017622 22319208 3698414 63035 3850 59185 3902371 2992621 909750 13440629 12574614 866015 0 3088476 2789676 298800 2197500 1844336 353164 0 729518 521603 207915 8492102 8492102 0 0 23749073 23749073 1977077 1977077 TRAINING 417686 173705 243981 PROFESSIONAL & MEMBER DUES 239435 164512 74923 203245216 180018930 23226286 0 0 0 378951564 413902222 0 0 18540442 16914908 0 0 0 0 0 0 0 0 6679446 6234589 641272054 454100842 175012908 187171212 98008537 104798116 0 0 40293639 48317401 0 0 12282100 11916171 729768636 789254619 42444742 43980430 0 0 0 0 196539346 191392533 0 0 0 0 0 0 0 0 366053154 419378667 605037242 654751630 X 104206148 111288003 0 0 20525246 23214986 124731394 134502989 729768636 789254619 10608628 -837033 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. 68324 68324 203149260 203217584 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 73853 113089 85807 68324 341073 250000 250000 250000 250000 1000000 1500000 0 0 0 0 10522162 10552162 160427290 39535064 120892424 3516387 3516387 0 38921215 33984714 4936501 427854800 377064675 50790125 187171212 INVESTMENTS - LGIP 48317401 F 48317401 0 REFUND OBLIGATIONS 2262206 EMPLOYEE BENEFIT PLAN OBLIGATI 21259570 DUE TO MARKET PARTICIPANTS 395856891 419378667 213016809 -837035 -837035 213853844 213853844 203245216 203245216 203245216 X true true X X X X false true false false false false false false false STEPHEN BERBERICH PRESIDENT & CEO 571635 0 880627 0 106974 0 122449 0 31752 0 1713437 0 67628 0 KEITH CASEY VP, MKT AND INFRASTRUCTURE DEV 322332 0 318404 0 63298 0 77830 0 1399 0 783263 0 39495 0 ROGER COLLANTON VP, GEN CNSL & CHIEF COMP OFF 297612 0 289011 0 47853 0 63182 0 16037 0 713695 0 25649 0 KAREN EDSON VP, POLICY AND CLIENT SERVICES 79566 0 304718 0 90772 0 35059 0 331 0 510446 0 27768 0 PETAR RISTANOVIC VP, TECHNOLOGY 298087 0 299820 0 50021 0 64499 0 18783 0 731210 0 28064 0 MARK ROTHLEDER VP, MKT QTY & RENEW INTEGRTN 294098 0 297296 0 83226 0 81272 0 31721 0 787613 0 37980 0 ERIC SCHMITT VP, OPERATIONS 294039 0 281515 0 116757 0 51629 0 13107 0 757047 0 20915 0 RYAN SEGHESIO CFO & TREASURER 232625 0 113350 0 337 0 30927 0 27614 0 404853 0 0 0 KHALED ABDUL-RAHMAN EXC DIR, PWR SYS&SMRT GRD TECH 243297 0 104584 0 545 0 32119 0 20131 0 400676 0 0 0 HUGO FRECH DIR, IT INFRA ENGR & NTWK OPS 186625 0 48275 0 17405 0 28911 0 19889 0 301105 0 0 0 REBECCA REGAN EXEC DIRECTOR, HUMAN RESOURCES 247666 0 104934 0 24616 0 34450 0 25347 0 437013 0 0 0 NANCY TRAWEEK EXEC. DIR., SYSTEM OPERATIONS 243893 0 89628 0 553 0 35000 0 30252 0 399326 0 0 0 JOHN ANDERS ASSISTANT GENERAL COUNSEL - LE 234346 0 91425 0 1256 0 35000 0 30270 0 392297 0 0 0 ANTHONY IVANCOVICH DEPUTY GENERAL COUNSEL - REGUL 257288 0 92162 0 1905 0 35000 0 25409 0 411764 0 0 0 SIDNEY MANNHEIM ASST GEN COUNSEL - TARIFF 250531 0 88461 0 1815 0 35602 0 9922 0 386331 0 0 0 ANNA MCKENNA ASST GEN COUNSEL - REGULATORY 242309 0 96531 0 544 0 34657 0 17369 0 391410 0 0 0 NEIL MILLAR EXEC DIR, INFRASTRUCTURE DEV 245969 0 98832 0 1809 0 32993 0 30319 0 409922 0 0 0 DEBORAH LE VINE DIR, INFRASTCR CNTRCTS & MGMT 234497 0 75607 0 15470 0 35000 0 12854 0 373428 0 0 0 MATTHEW TURNER DIR., IT ENTERPRISE/CAMPUS OPS 214322 0 56401 0 1135 0 30953 0 29130 0 331941 0 0 0 STACEY CROWLEY VP, REGIONAL & FEDERAL AFFAIRS 256598 0 62052 0 14163 0 40017 0 19531 0 392361 0 0 0 THOMAS DOUGHTY VP, CUSTOMER & STATE AFFAIRS 249309 0 65108 0 15301 0 49946 0 33766 0 413430 0 0 0 JODI ZIEMATHIS EXEC DIRECTOR, HUMAN RESOURCES 181682 0 54692 0 12830 0 28201 0 30057 0 307462 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 2016, 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 $86,470 KEITH CASEY, VP, MKT & INFRASTRUCTURE DEV. $42,935 ROGER COLLANTON, VP, GEN CNSL & CHIEF COMPLIANCE OFFICER $27,767 KAREN EDSON, VP, POLICY AND CLIENT SERVICES $27,768 PETAR RISTANOVIC, VP, TECHNOLOGY $30,294 MARK ROTHLEDER, VP, MARKET QUALITY & RENEWABLE INTEGRATION $40,894 ERIC SCHMITT, VP, OPERATIONS $97,493 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 false true false true A false false true true false 0.01730 0.01730 true false false false A true false false 0 false 0 false true A false PART III, LINE 3B THE CORPORATION ROUTINELY SEEKS ADVICE FROM BOTH IN-HOUSE AND OUTSIDE COUNSEL ON MATTERS RELATED TO PRESERVING THE TAX-EXEMPT STATUS OF BONDS ISSUED FOR THE BENEFIT OF THE CORPORATION. IN 2010, THE CORPORATION ENTERED INTO A 5-YEAR FOOD SERVICE AGREEMENT WITH A PRIVATE BUSINESS ENTITY TO OPERATE THE CAFETERIA, DINING ROOM AND KITCHEN EQUIPMENT AT THE CORPORATION'S HEADQUARTERS FACILITY, A PORTION OF THE COST OF WHICH WAS FINANCED BY TAX-EXEMPT BONDS. BECAUSE THAT 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). 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:CONSULTANTS TOTAL FEES:9330487 FORM 990 PART IX LINE 11G DESCRIPTION:RECRUITMENT/TEMPORARY STAFFING TOTAL FEES:6243213 FORM 990 PART IX LINE 11G DESCRIPTION:GIP/OTHER CONTRACTS TOTAL FEES:10443922 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