2020-11-13T18:09:23-06:00 2019-12-31 PRICEWATERHOUSECOOPERS LLP 2001 MARKET ST SUITE 1800 PHILADELPHIA PA 19103 990 2019-01-01 943274043 CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION % DENNIS ESTRADA CALI 9163514400 250 OUTCROPPING WAY FOLSOM CA 95630 RYAN SEGHESIO VP, CFO, & TREASURER 9163514400 2020-11-13 true LAUREN E BENNETT P01787029 2673303000 155.201.35.58 52580220203185000005 2020-11-13 P EF34BE2DBA454F3E856EF8C55CAC2FE9A2D6A9C4 60F598D4446C9FFAD26D0F90BC91FF0DA40E2337 2019 2021-01-29 14:40:06Z STEPHEN BERBERICH 250 OUTCROPPING WAY FOLSOM CA 95630 444248412 false X WWW.CAISO.COM X 1997 CA CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION'S (CALIFORNIA ISO) MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. 5 5 680 0 0 0 0 0 223887912 222686165 4276539 6486504 29896 4217 228194347 229176886 0 0 0 0 128330321 129444432 0 0 0 93663547 84170827 221993868 213615259 6200479 15561627 763020969 848713736 596713501 662253711 166307468 186460025 X CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. false false 188280871 0 222690382 THE ORGANIZATION SERVES AS THE SYSTEM OPERATOR OF AN INTEGRATED STATEWIDE ELECTRICITY TRANSMISSION GRID. 188280871 true false false true false false false false false false true false false 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 138 0 true 680 true false false false false false false false false false false true 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 X X Stephen Berberich President & CEO 40.0 0.0 X 1974749 0 192854 Mark Rothleder VP, MKT QTY & CA REG AFFAIRS 40.0 0.0 X 776973 0 136516 Keith Casey VP, MKT AND INFRASTRUCTURE DEV 40.0 0.0 X 796337 0 92571 Roger Collanton VP, GEN CNSL & CHIEF COMP. OFF 40.0 0.0 X 711343 0 106275 Eric Schmitt VP, Operations 40.0 0.0 X 698092 0 98759 Petar Ristanovic VP, Technology 40.0 0.0 X 695110 0 86076 Stacey Crowley VP, EXTERNAL & CUSTOMER AFF. 40.0 0.0 X 572382 0 90255 Ryan Seghesio VP, CFO & TREASURER 40.0 0.0 X 555318 0 99602 Jodi Ziemathis VP, Human Resources 40.0 0.0 X 504980 0 100440 Thomas Doughty VP, CUSTOMER & STATE AFFAIRS 40.0 0.0 X 470186 0 44597 Burton Gross Deputy General Counsel - Legal 40.0 0.0 X 416139 0 65144 Anthony Ivancovich DEPUTY GEN. CNSL. - REGULATORY 40.0 0.0 X 398258 0 75023 Nancy Traweek EXEC. DIR., SYSTEM OPERATIONS 40.0 0.0 X 375607 0 85745 John Anders ASSISTANT GEN COUNSEL - LEGAL 40.0 0.0 X 373246 0 83193 Neil Millar EXEC DIR., INFRASTRUCTURE DEV. 40.0 0.0 X 371786 0 79292 Khaled Abdul-Rahman EXC DIR, PWR SYS&SMRT GRD TECH 40.0 0.0 X 367051 0 70221 Anna McKenna ASST. GEN. CNSL. - REGULATORY 40.0 0.0 X 373003 0 54924 Janet Morris EXEC DIR., PROGRAM MGMT OFFICE 40.0 0.0 X 316479 0 62069 Hugo Frech DIR, IT IFS ENG & NETWORK OPS 40.0 0.0 X 240024 0 59769 ASHUTOSH BHAGWAT BOARD OF GOVERNORS 8.0 0.0 X 82000 0 0 ANGELINA GALITEVA VICE CHAIR, BOARD OF GOVERNORS 8.0 0.0 X 80750 0 0 DAVID OLSEN CHAIR, BOARD OF GOVERNORS 8.0 0.0 X 76750 0 0 SEVERIN BORENSTEIN BOARD OF GOVERNORS 8.0 0.0 X 72000 0 0 MARY LESLIE BOARD OF GOVERNORS 8.0 0.0 X 70000 0 0 11368563 0 1683325 513 false true false SIEMENS INDUSTRY INC DEPT CH 14381 PALATINE IL 600554381 ENGINEERING SERVICES 10961087 CORESTAFF SERVICES PO BOX 60876 CHARLOTTE NC 282600876 TEMPORARY STAFFING 3639314 ATT PO BOX 5019 CAROL STREAM IL 601975019 TELECOMM. SERVICES 3620281 TEKSYSTEMS INC PO BOX 198568 ATLANTA GA 30384 CONSULTING 1310003 ALSTON BIRD LLP 1201 W PEACHTREE STREET ATLANTA GA 30309 LEGAL SERVICES 1238994 75 0 GRID MANAGEMENT REVENUES 221000 192669298 192669298 LGIP REVENUES 221000 7646133 7646133 COI PATH OPERATOR FEES 221000 1999999 1999999 MSS REVENUES/FORECASTING FEES 221000 5095652 5095652 EIM REVENUES 221000 9958613 9958613 5316470 5316470 222686165 5144848 5144848 0 0 0 0 0 216412182 1000 215071526 1340656 1000 1341656 0 0 0 0 0 0 0 0 0 MISC. NON-OPERATING INCOME 900003 4217 4217 4217 229176886 222690382 5144848 X 0 0 0 0 10761879 5834704 4927175 0 94577668 86657996 7919672 11575184 10605910 969274 5649275 5176220 473055 6880426 6304278 576148 0 1199144 1069894 129250 1053816 1053816 70441 70441 0 0 22271385 17762919 4508466 0 31346 31346 5134595 4277828 856767 12846700 11880889 965811 0 2391309 2211333 179976 1309453 1019673 289780 0 661091 464178 196913 8032215 8032215 0 26605343 26605343 1904978 1904978 0 PROFESSIONAL AND MEMBER DUES 317220 155779 161441 TRAINING EXPENSES 338791 151271 187520 FINES & PENALTIES 3000 3000 213615259 188280871 25334388 0 0 0 394828587 438871531 0 0 23732996 26626840 0 0 0 0 0 0 0 0 6624466 7473721 674661113 503803771 167079753 170857342 117274906 165738716 0 0 41736968 27524457 0 0 11743293 11621129 763020969 848713736 46987060 51870282 0 0 0 0 180758251 175191977 0 0 0 0 0 0 0 0 368968190 435191452 596713501 662253711 X 154623355 169717392 11684113 16742633 166307468 186460025 763020969 848713736 15561627 4590930 X false true X true false X X 1 STATE OF CALIFORNIA 680284175 6 true 0 0 1 true true false false false false false false false false false false false false false true false 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. 70441 70441 205509605 205580046 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 68324 102799 202176 70441 443740 250000 250000 250000 250000 1000000 1500000 10561100 10561100 158056830 58443461 99613369 3516387 3516387 33845114 27264563 6580551 468681682 414579360 54102322 170857342 0 REFUND OBLIGATIONS 1426080 EMPLOYEE BENEFIT PLAN OBLIGATIONS 10732935 DUE TO MARKET PARTICIPANTS 414785071 DEFERRED OPEB OBLIGATION 8247366 435191452 233767816 4590930 4590930 229176886 229176886 213615259 213615259 213615259 X X X false true false false false false false false false Stephen Berberich President & CEO 678052 1081767 214930 149760 43094 2167603 102560 Keith Casey VP, MKT AND INFRASTRUCTURE DEV 358748 359519 78070 91391 1180 888908 51977 Roger Collanton VP, GEN CNSL & CHIEF COMP. OFF 322618 324928 63797 73414 32861 817618 30367 Stacey Crowley VP, EXTERNAL & CUSTOMER AFF. 291814 238653 41915 59511 30744 662637 17798 Thomas Doughty VP, CUSTOMER & STATE AFFAIRS 70225 131983 267978 26495 18102 514783 17469 Petar Ristanovic VP, Technology 337456 301388 56266 68774 17302 781186 30456 Mark Rothleder VP, MKT QTY & CA REG AFFAIRS 335767 330843 110363 90254 46262 913489 50885 Eric Schmitt VP, Operations 321777 321672 54643 68738 30021 796851 29787 Ryan Seghesio VP, CFO & TREASURER 277562 240470 37286 56676 42926 654920 14289 Jodi Ziemathis VP, Human Resources 263588 204863 36529 57688 42752 605420 14321 Khaled Abdul-Rahman EXC DIR, PWR SYS&SMRT GRD TECH 258436 103826 4789 37521 32700 437272 John Anders ASSISTANT GEN COUNSEL - LEGAL 259382 101829 12035 44395 38798 456439 Janet Morris EXEC DIR., PROGRAM MGMT OFFICE 249446 63568 3465 36141 25928 378548 Nancy Traweek EXEC. DIR., SYSTEM OPERATIONS 265239 105324 5044 43688 42057 461352 Burton Gross Deputy General Counsel - Legal 280596 109725 25818 36400 28744 481283 Anthony Ivancovich DEPUTY GEN. CNSL. - REGULATORY 280018 110078 8162 42000 33023 473281 Anna McKenna ASST. GEN. CNSL. - REGULATORY 268358 103173 1472 37870 17054 427927 Neil Millar EXEC DIR., INFRASTRUCTURE DEV. 265998 103954 1834 36052 43240 451078 Hugo Frech DIR, IT IFS ENG & NETWORK OPS 192481 46272 1271 30307 29462 299793 SCHEDULE J, PART I, LINE 4B: IN 2019, 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 $129,419 KEITH CASEY - VP, MKT & INFRASTRUCTURE DEV. $ 56,702 ROGER COLLANTON - VP, GEN CNSL & CHIEF COMPLIANCE OFFICER $ 33,447 STACEY CROWLEY - VP, EXTERNAL AND CUSTOMER AFFAIRS $ 18,695 THOMAS DOUGHTY - VP, CUSTOMER & STATE AFFAIRS $ 17,469 PETAR RISTANOVIC - VP, TECHNOLOGY $ 34,226 MARK ROTHLEDER - VP, MARKET QUALITY & CA REG AFFAIRS $ 55,430 ERIC SCHMITT - VP, OPERATIONS $ 32,731 RYAN SEGHESIO - VP, CHIEF FINANCIAL OFFICER & TREASURER $ 14,550 JODI ZIEMATHIS - VP, HUMAN RESOURCES $ 14,321 A CA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK 630304653 13034ADT4 2013-11-14 202378588 REFUNDING CIEDB SERIES 2009 BONDS true false false A 18305 0 202378588 0 0 200902187 1639774 0 0 0 0 0 2013 true false true true A false false false false 0.01730 0.01730 true false false true A true false false 0 false 0 false true A true FORM 990, PART I, LINE 1 & FORM 990, PART III, LINE 1: CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION'S (CALIFORNIA ISO) MISSION STATEMENT TO ENSURE EFFICIENT USE AND RELIABLE OPERATION OF THE ELECTRIC TRANSMISSION GRID OPERATED BY THE CALIFORNIA 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 CALIFORNIA 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. FORM 990, PART VI, SECTION A, LINE 7A: THE BOARD OF CALIFORNIA ISO IS COMPOSED OF MEMBERS APPOINTED BY THE CALIFORNIA GOVERNOR AND CONFIRMED BY THE CALIFORNIA STATE SENATE. FORM 990, PART VI, SECTION B, LINE 11B: THE FORM 990 IS REVIEWED BY THE VP, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, VP, CHIEF FINANCIAL OFFICER, CONTROLLER, ASST CONTROLLER, DIRECTOR OF COMMUNICATIONS, LEAD COUNSEL - CORPORATE, VP, HR. THE FORM 990 IS PROVIDED TO THE BOARD OF GOVERNORS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C: 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. LEAD COUNSEL CORPORATE REVIEWS ALL DISCLOSURES TO ENSURE THAT ANY ACTUAL OR POTENTIAL CONFLICTS ARE MITIGATED. THIS PROCESS IS REVIEWED ANNUALLY BY OUR INTERNAL AUDIT FUNCTION (AUDIT AND ADVISORY SERVICES). FORM 990, PART VI, SECTION B, LINES 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. FORM 990, PART VI, SECTION C, 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). THE DOCUMENTS ARE ALSO AVAILABLE UPON REQUEST. FORM 990 PART IX LINE 11G DESCRIPTION:CONSULTANTS TOTAL FEES:5272339 FORM 990 PART IX LINE 11G DESCRIPTION:RECRUITMENT / STAFFING TOTAL FEES:6226389 FORM 990 PART IX LINE 11G DESCRIPTION:GIP / OTHER TOTAL FEES:10772657 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