2013-05-15T15:22:51-07:00 2012-12-31 990 2012-01-01 710748158 SOUTHWEST POWER POOL INC SOUT 5016143200 201 Worthen Drive Little Rock AR 72223 Thomas Dunn 5016143200 2013-05-15 2012 2016-02-24 21:20:13Z X Thomas Dunn 201 Worthen Drive Little Rock AR 72223 148741726 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, energy imbalance market operations, and regional transmission expansion planning. 7 6 590 0 0 0 384000 408000 128556128 147511235 157247 148537 0 673954 129097375 148741726 0 0 0 0 65277313 76612157 0 0 0 72860477 73435463 138137790 150047620 -9040415 -1305894 246305588 339519689 275728061 370248056 -29422473 -30728367 Regional transmission organization that provides the following services to its membership: tariff administration, electric reliability coordination, regional transmission scheduling, energy imbalance market operations, and regional transmission expansion planning. 0 0 150047620 0 0 See Statement 1 0 0 0 150047620 0 0 0 1 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 63 0 1 590 1 0 0 0 0 1 1 0 X 7 6 1 0 0 0 1 1 0 1 1 0 0 0 1 1 1 0 1 1 0 0 X Thomas Dunn VP CFO 5016143200 201 Worthen Drive Little Rock AR 72223 Larry Altenbaumer 5 X 93250 0 0 Phyllis Bernard 5 X 90000 0 0 Jim Eckelberger 5 X 102500 0 0 Julian Brix 5 X 89250 0 0 Joshua Martin 5 X 76500 0 0 Harry Skilton 5 X 106250 0 0 Gerry Burrows 5 X 44000 0 0 David Christiano 5 X 44500 0 0 John Meyer 5 X 53000 0 0 Nicholas Brown 40 X X 600405 0 155064 Stacy Duckett 40 X 285165 0 74981 Thomas Dunn 40 X 305801 0 65861 Michael Desselle 40 X 309891 0 73849 Carl Monroe 40 X 484426 0 165292 Lanny Nickell 40 X 317776 0 88004 Bruce Rew 40 X 317507 0 110636 Barbara Sugg 40 X 313043 0 124751 Paul Suskie 40 X 342926 0 42162 Stacy Dochoda 40 X 203328 0 35564 John Sam Ellis 40 X 215482 0 48259 Malinda See 40 X 176484 0 98752 Ron Ciesiel 40 X 260305 0 103578 Ralph Chapman Jr 40 X 214598 0 49780 Frederick R Thornton 40 X 192836 0 49752 Don Shipley 40 X 182741 0 37773 Leonard Pat Bourne 40 X 211655 0 59784 Charles Yeung 40 X 212480 0 52493 Katherine Prewitt 40 X 205046 0 45089 Richard Dillon 40 X 202512 0 76070 Philip Bruich 40 X 209420 0 74031 6463077 0 1631525 199 0 1 0 Alstom Grid Inc PO Box 88808 Chicago IL 606951808 Consulting & Professional Services 16667863 Accenture PO Box 70629 Chicago IL 606730629 Consulting & Professional Services 14646724 Nabholz Construction Services 1718 Aldersgate Road Little Rock AR 72205 Construction of corporate facility 12433563 The Structure Group PO Box 846378 Dallas TX 752846378 Consulting & Professional Services 3584848 OATI Inc 3660 Technology Drive NE Minneapolis MN 55418 Consulting & Professional Services 2762085 48 0 408000 0 0 0 0 0 408000 Tariff Administrative Service 900099 92230355 92230355 0 0 Fees & Assessments 900099 26170027 26170027 0 0 Contract Services Revenue 900099 22686669 22686669 0 0 6424184 6424184 0 0 147511235 148537 148537 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 673954 673954 0 0 673954 148741726 148333726 0 0 0 0 0 0 6895770 52209057 8652450 4726695 4128185 3825569 124525 1145464 8878867 2765574 2244911 982529 6397548 16590006 908810 Communications Expense 4020094 FERC Fees 14976970 Consulting Services 9905294 669302 150047620 0 0 0 108076 106594 108558092 139329908 0 0 15900968 17922754 0 0 0 0 0 0 0 0 6635512 5411711 275894890 102143100 112187769 173751790 0 0 0 0 0 0 0 0 2915171 2996932 246305588 339519689 43556821 38570358 0 7450419 6286085 0 0 34903534 43914595 0 0 182163400 270957800 0 7653887 10519218 275728061 370248056 X 0 0 0 0 -29422473 -30728367 -29422473 -30728367 246305588 339519689 -1305894 0 0 0 0 0 X 0 1 X 1 0 0 0 0 408000 0 0 0 0 0 0 0 1 X 4811902 0 4811902 67377890 0 3217333 64160557 334793 0 334793 0 35305649 0 23755846 11549803 168064656 0 74835128 93229528 173751790 0 Deferred Compensation Liability, 457(b) 967970 Deferred Compensation Liability, 457(f) 975213 Derivative Liability 1857437 Accrued Pension Cost Liability 6718598 10519218 148741726 0 0 0 0 0 148741726 0 0 0 148741726 150047620 0 0 0 0 0 150047620 0 0 0 150047620 SchD_P04_S00_L02b Schedule D, Part IV, Line 2b Customers may be required to make deposits prior to the 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. SchD_P10_S00_L01 Schedule D, Part X, Line 1 Consists of liabilities associated with defined benefit retirement plan and supplemental non-qualified 457(b) and (f) plans in addition to a liability associated with the valuation of the outstanding interest rate swaps. X X 1 1 X X 0 1 0 Stacy Duckett 218822 0 65000 0 1343 0 68825 0 6156 0 360146 0 0 0 Thomas Dunn 229424 0 75000 0 1377 0 60264 0 5598 0 371663 0 0 0 Michael Desselle 233201 0 75000 0 1691 0 58783 0 15066 0 383741 0 0 0 Carl Monroe 331566 0 150000 0 2861 0 151607 0 13685 0 649719 0 0 0 Nicholas Brown 417795 0 180000 0 2611 0 145936 0 9128 0 755470 0 0 0 Lanny Nickell 231432 0 85000 0 1343 0 71182 0 16822 0 405779 0 0 0 Bruce Rew 231132 0 85000 0 1375 0 93501 0 17135 0 428143 0 0 0 Barbara Sugg 226700 0 85000 0 1343 0 108295 0 16456 0 437794 0 0 0 Paul Suskie 241628 0 100000 0 1298 0 25517 0 16646 0 385089 0 0 0 Stacy Dochoda 90043 0 89000 0 24285 0 29055 0 6508 0 238891 0 0 0 John Sam Ellis 166005 0 48700 0 777 0 42257 0 6002 0 263741 0 0 0 Malinda See 149400 0 26300 0 784 0 81161 0 17591 0 275236 0 0 0 Ron Ciesiel 206413 0 52126 0 1766 0 88647 0 14931 0 363883 0 0 0 Ralph Chapman Jr 166496 0 42100 0 6002 0 28315 0 21465 0 264378 0 0 0 Frederick R Thornton 157632 0 33300 0 1905 0 33999 0 15753 0 242589 0 0 0 Don Shipley 151723 0 30100 0 918 0 32048 0 5725 0 220514 0 0 0 Leonard Pat Bourne 172830 0 36800 0 2025 0 41499 0 18285 0 271439 0 0 0 Charles Yeung 179396 0 32000 0 1084 0 36439 0 16054 0 264973 0 0 0 Katherine Prewitt 157751 0 46500 0 795 0 35723 0 9366 0 250135 0 0 0 Richard Dillon 171896 0 29600 0 1016 0 56857 0 19214 0 278583 0 0 0 Philip Bruich 160716 0 47900 0 804 0 57903 0 16128 0 283451 0 0 0 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a Tom Dunn, CFO and Nicholas Brown, President are co-owners of Off We Go, LLC, a corporation holding ownership of one 4-seat propellor driven private aircraft that is used for business purposes. Occasionally, Nicholas Brown, President is accompanied by his spouse when traveling for business purposes. The costs related to this travel is paid by Southwest Power Pool. SchJ_P01_S00_L03 Schedule J, Part I, Line 3 The Human Resources Committee is responsible for ensuring the critical job functions and goals of the SPP President are documented and communicated to the SPP President annually. Included in this annual review, the committee ensures the SPP President receives a documented review of performance against the stated critical job functions and goals. The committee recommends compensation and benefit adjustments for the SPP President during their annual review. The chair of the SPP Human Resources Committee, in conjunction with the chair of the SPP Board of Directors, reviews the recommendations and documentation and approves any compensation adjustments for the SPP President. This annual review is conducted in January. SchJ_P01_S00_L04 Schedule J, Part I, Line 4 A non-qualified 457(f) tax deferred compensation plan was established for select members (Nick Brown, President/CEO and Carl Monroe, Executive Vice President/COO) of executive management in 2009. The plan is intended to be exempt from the participation, vesting, funding and fiduciary requirements of Title I of ERISA and serves to further supplement benefits lost due to IRS limitations on compensation and benefits. Thomas Dunn VP Finance/CFO 14585 See Part V for description 0 Nicholas Brown President/CEO 14585 See Part V for description 0 SchL_P04_S00_L00 Schedule L, Part IV Thomas Dunn, VP Finance/CFO and Nicholas Brown, President/CEO are co-owners of Off We Go, LLC, a corporation holding ownership of one 4-seat propeller driven private aircraft that is used for business purposes. F990_P06_S0A_L02 Form 990, Part VI, Section A, Line 2 Thomas Dunn, VP Finance/CFO and Nicholas Brown, President/CEO are co-owners of Off We Go, LLC, a corporation holding ownership of one 4-seat propeller driven private aircraft that is used for business purposes. F990_P06_S0A_L06 Form 990, Part VI, Section A, Line 6 The organization consists of members. F990_P06_S0A_L07a Form 990, Part VI, Section A, Line 7a Members are responsible for electing the independent positions of Board of Directors. F990_P06_S0B_L11b Form 990, Part VI, Section B, Line 11b Data is accumulated from various sources and entered in the 990 forms by the senior accountant. The form is then reviewed by the accounting manager and controller prior to submission to the CFO for final concurrence. F990_P06_S0B_L12c 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 annual basis. The employee signs the Code of Conduct electronically to confirm that the policy has been read. SPP monitors this electronically. F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 The HR committee is responsible for ensuring critical job functions and goals of the SPP President are documented and communicated to the SPP President annually. Included in this annual review, the committee ensures the SPP President receives a documented review of performance against the state critical job functions and goals. The committee recommends compensation and benefit adjustments for the SPP President during their annual review. The Chair of the HR Committee, in conjunction with the chair of the SPP Board of Directors, revieews the recommendations and documentation and approves any compensation adjustments for the SPP President. This annual review is conducted every January. 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. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 Governing documents, conflict of interest policy, and financial statements are available for viewing on the spp.org web site.