2017-10-03T10:20:49-07:00 2016-12-31 990 2016-01-01 710748158 SOUTHWEST POWER POOL INC SOUT 5016143200 201 Worthen Drive Little Rock AR 72223 Thomas Dunn VP Finance & CFO 5016143200 2017-10-03 198.22.156.40 2016 2021-01-29 14:40:06Z Thomas Dunn 201 Worthen Drive Little Rock AR 72223 181729551 0 X www.spp.org X 1994 AR Regional transmission organization that provides the following services to its membership: tariff administration, electric reliability coordination, regional transmission scheduling, regional transmission expansion planning, day-ahead and real time markets, transmission congestion rights, reliability unit commitment, operating reserve market, and consolidated balancing authority. 9 8 624 0 0 0 564000 558000 178168678 176036691 1827420 318874 13822 4815986 180573920 181729551 0 0 0 0 84852499 91490800 0 0 0 136181081 128162858 221033580 219653658 -40459660 -37924107 439014044 480825155 568429185 647505261 -129415141 -166680106 Regional transmission organization that provides the following services to its membership: tariff administration, electric reliability coordination, regional transmission scheduling, regional transmission expansion planning, day-ahead and real time markets, transmission congestion rights, reliability unit commitment, operating reserve market, and consolidated balancing authority. 0 0 219653658 0 176036691 See Statement 1 0 0 0 219653658 0 0 0 0 0 0 0 1 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 76 0 1 624 1 0 0 0 0 0 0 X 9 8 1 0 0 0 1 1 0 1 1 0 0 0 1 1 1 0 1 1 0 0 X Thomas Dunn SVP Finance and CFO 5016143200 201 Worthen Drive Little Rock AR 72223 Larry Altenbaumer Board Member 5 X 94500 0 0 Phyllis Bernard Board Member 5 X 113500 0 0 Jim Eckelberger Chairman 5 X 130000 0 0 Julian Brix Board Member 5 X 97250 0 0 Joshua Martin Board Member 5 X 97750 0 0 Harry Skilton Vice Chairman 5 X 137000 0 0 Graham Edwards Board Member 5 X 99000 0 0 Bruce Scherr Board Member 5 X 91500 0 0 Gerry Burrows RE Trustee 5 X 53000 0 0 David Christiano RE Trustee 5 X 67000 0 0 John Meyer RE Trustee 5 X 30000 0 0 Mark Haher RE Trustee 5 X 37000 0 0 Stephen Whitley RE Trustee 5 X 35500 0 0 Nicholas Brown President and CEO 40 X 989973 0 231933 Carl Monroe Executive Vice President and COO 40 X 589330 0 218291 Paul Suskie Executive Vice President Regulatory Policy and General Counsel 40 X 434689 0 116043 Bruce Rew Vice President - Operations 40 X 367430 0 155725 Lanny Nickell Vice President - Engineering 40 X 365227 0 138686 Barbara Sugg Vice President - IT and Chief Security Officer 40 X 373240 0 153164 Michael Desselle Vice President - Process Integrity 40 X 351261 0 126615 Thomas Dunn Senior Vice President Finance and CFO 40 X 412151 0 125820 Michael Ross Senior Vice President - Government Affairs and Public Relations 40 X 368446 0 116440 Malinda See Vice President - Corporate Services 40 X 304845 0 177666 Ronald Ciesiel General Manager - Regional Entity 40 X 392367 0 164863 Ralph Chapman Jr Director - IT Enterprise Operations 40 X 236097 0 65156 John Sam Ellis Director - System Operations 40 X 223907 0 54660 Jerome Wild Director - IT Applications 40 X 238840 0 31522 Richard Dillon Director - Market Design 40 X 229542 0 85673 Charles Yeung Executive Director - Interregional Affairs 40 X 238011 0 66507 Bert Bressers Director - Operations Support 40 X 233501 0 86569 Leonard Pat Bourne Director - Transmission Policy 40 X 237030 0 51234 Matthew Morais Associate General Counsel 40 X 243707 0 7268 7912594 0 2173835 277 0 1 0 Alstom Grid LLC PO Box 88808 Chicago IL 606951808 Consulting & Professional Services 6562804 OATI Inc 3660 Technology Drive NE Minneapolis MN 55418 Consulting & Professional Services 2292569 Wright & Talisman 1200 G Street NW Suite 600 Washington DC 200053802 Legal Services 1854917 Accenture 161 North Clark Street Chicago IL 60601 Consulting & Professional Services 1070773 Nexant Inc 101 Second Street Suite 1000 San Francisco CA 94015 Consulting and Professional Services 1069242 37 0 558000 0 0 0 0 0 558000 Tariff Administration Service 221121 144546322 144546322 0 0 Fees and Assessments 221121 26359542 26359542 0 0 Contract Services 221121 529044 529044 0 0 4601783 4601783 0 0 176036691 318874 318874 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Change in Funded Status of Retirement Plans 221121 3997870 3997870 0 0 818116 818116 0 0 4815986 181729551 181171551 0 0 0 0 0 0 0 0 0 0 8829260 8829260 0 0 0 0 0 0 61640472 61640472 0 0 10014823 10014823 0 0 6414331 6414331 0 0 4591914 4591914 0 0 0 0 0 0 3093743 3093743 0 0 118055 118055 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1294594 1294594 0 0 14424689 14424689 0 0 0 0 0 0 2711293 2711293 0 0 1918514 1918514 0 0 0 0 0 0 973835 973835 0 0 10686841 10686841 0 0 0 0 0 0 58024848 58024848 0 0 1108503 1108503 0 0 FERC Fees 18648208 18648208 0 0 Consulting Services 10329931 10329931 0 0 Communication Expense 3914565 3914565 0 0 915239 915239 0 0 219653658 219653658 0 0 151636 137179 238769114 299541526 0 0 42806081 66996345 0 0 0 0 0 0 0 0 5403716 5996345 309352821 216662562 136480346 92690259 9351829 10835471 6051322 4628030 439014044 480825155 76700596 121236861 0 0 5318114 5126618 0 0 196918171 223964058 0 0 3341000 3135400 250884420 258998138 35266884 35044186 568429185 647505261 X 0 0 0 0 -129415141 -166680106 -129415141 -166680106 439014044 480825155 -37924107 659142 0 0 0 0 X 0 1 X 1 0 0 1 X 4811902 0 4811902 67338010 0 16922706 50415304 0 0 0 0 51086142 0 39731547 11354595 186116767 0 160008309 26108458 92690259 0 Retiree Healthcare Liability 9425702 457(b) Deferred Compensation Liability 1924382 457(f) Deferred Compensation Liability 459601 Executive Deferred Compensation Liability 1498640 Interest Rate Swap Liability 2506083 Defined Benefit Plan Liability 19229778 35044186 182388693 659142 0 0 0 659142 181729551 0 0 0 181729551 219653658 0 0 0 0 0 219653658 0 0 0 219653658 Schedule D, Part IV, Line 2b Customers may be required to make deposits prior to performance of various services. These amounts are typically held for the duration of the service and applied to the customer's final invoice. Funds are also held in escrow for any disputed invoices until the dispute is resolved. Certain customers are required to deposit cash collateral for provision of transmission or energy market services that are also held in custodial accounts. X X X 1 1 X X 0 0 0 Nicholas Brown President and CEO 590883 0 391200 0 7890 0 217189 0 14744 0 1221906 0 20000 0 Carl Monroe Executive Vice President and COO 369979 0 212440 0 6910 0 201726 0 16565 0 807620 0 15300 0 Paul Suskie Executive Vice President Regulatory Policy and General Counsel 279635 0 153080 0 1974 0 94957 0 21086 0 550732 0 10700 0 Thomas Dunn Senior Vice President Finance and CFO 278520 0 131180 0 2450 0 118968 0 6852 0 537970 0 9200 0 Bruce Rew Vice President - Operations 250434 0 114780 0 2216 0 133948 0 21777 0 523155 0 11100 0 Barbara Sugg Vice President - IT and Chief Security Officer 252673 0 117560 0 3008 0 138028 0 15136 0 526405 0 10500 0 Lanny Nickell Vice President - Engineering 249274 0 114180 0 1772 0 115785 0 22901 0 503912 0 10500 0 Michael Desselle Vice President - Process Integrity 243082 0 105000 0 3179 0 107720 0 18896 0 477877 0 9200 0 Michael Ross Senior Vice President - Government Affairs and Public Relations 248710 0 116440 0 3296 0 92940 0 23500 0 484886 0 0 0 Malinda See Vice President - Corporate Services 217444 0 84520 0 2881 0 154417 0 23249 0 482511 0 0 0 Ronald Ciesiel General Manager - Regional Entity 269113 0 118300 0 4954 0 148611 0 16251 0 557229 0 0 0 Ralph Chapman Jr Director - IT Enterprise Operations 184423 0 49200 0 2474 0 42252 0 22904 0 301253 0 0 0 Jerome Wild Director - IT Applications 187748 0 48300 0 2793 0 29516 0 2005 0 270362 0 0 0 John Sam Ellis Director - System Operations 181147 0 41500 0 1260 0 45084 0 9576 0 278567 0 0 0 Matthew Morais Associate General Counsel 204501 0 25700 0 13507 0 -13 0 7281 0 250976 0 0 0 Charles Yeung Executive Director - Interregional Affairs 191822 0 44500 0 1689 0 44125 0 22382 0 304518 0 0 0 Leonard Pat Bourne Director - Transmission Policy 188833 0 43700 0 4496 0 35522 0 15712 0 288263 0 0 0 Richard Dillon Director - Market Design 184024 0 43100 0 2417 0 62479 0 23194 0 315214 0 0 0 Bert Bressers Director - Operations Support 177663 0 52700 0 3138 0 73240 0 13329 0 320070 0 0 0 Schedule J, Part I, Line 1a Southwest Power Pool (SPP) executives and management level personnel periodically use private plans or charter travel for business purposes. Occasionally, Nicholas Brown (CEO and President) is accompanied by his spouse when traveling for business purposes. The costs related to this travel are paid by SPP. SPP has a travel and expense reimbursement policy in place to govern expenses incurred by employees for the benefit of the company. Also, all employees of the organization who are eligible to receive benefits are provided an insurance credit which is grossed-up for payroll purposes and reported as taxable compensation. There's no specific policy that governs the insurance gross-up payments, however it's a company-wide practice. Schedule J, Part I, Line 3 The Human Resources (HR) Committee is responsible for conducting periodic compensation surveys and determining the benchmark peers for SPP officers. The surveys are typically conducted every 2-3 years, by an outside consultant engaged by the committee. The Human Resources Committee is responsible for ensuring the critical job functions and goals of the SPP President are reviewed with the SPP President annually. The committee annually recommends compensation and benefit adjustments for the SPP President to the SPP Board of Directors. The HR Committee reviews compensation for SPP officers but does not make recommendations. All compensation decisions for the SPP officers are determined by the SPP President and CEO. Nicholas Bown President and CEO 10871 See Part V below 0 Thomoas Dunn SVP Finance & CFO 10870 See Part V below 0 Schedule L, Part IV Nicholas Brown, CEO and President and Tom Dunn, CFO are co-owners of Off We Go LLC, a corporation holding ownership of 4-seat propeller driven private aircraft that is used for business purposes. Form 990, Part VI, Section A, Line 2 Nicholas Brown, CEO and President and Tom Dunn, CFO are co-owners of Off We Go LLC, a corporation holding ownership of 4-seat propeller driven private aircraft that is used for business purposes. Form 990, Part VI, Section A, Line 6 The organization consists of members. Form 990, Part VI, Section A, Line 7a Members are responsible for electing the independent positions of Board of Directors. Form 990, Part VI, Section B, Line 11b Data is accumulated from various sources and entered in the 990 forms by accounting staff. The form is then reviewed by the Accounting Manager and the Controller prior to submission to the CFO for final concurrence. Form 990, Part VI, Section B, Line 12c All employees are required to read the code of conduct, which contains the conflict of interest policy, on an annual basis. The employee electronically confirms that he or she has read and agrees to abide by the policy. SPP monitors this process electronically. Form 990, Part VI, Section B, Line 15 The Human Resources (HR) Committee is responsible for conducting periodic compensation surveys and determining the benchmark peers for SPP officers. The surveys are typically conducted every 2-3 years, by an outside consultant engaged by the committee. The Human Resources Committee is responsible for ensuring the critical job functions and goals of the SPP President are reviewed with the SPP President annually. The committee annually recommends compensation and benefit adjustments for the SPP President to the SPP Board of Directors. The HR committee reviews compensation for SPP officers but does not make recommendations. All compensation decisions for the SPP officers are determined by the SPP President and CEO. Form 990, Part VI, Section C, Line 19 Governing documents and financial statements are available on the spp.org website.