2019-11-14T22:18:30-06:00 2018-12-31 PRICEWATERHOUSECOOPERS LLP 2001 MARKET ST SUITE 1800 PHILADELPHIA PA 19103 990 2018-01-01 943274043 CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION % DENNIS ESTRADA CALI 9163514400 250 OUTCROPPING WAY FOLSOM CA 95630 RYAN SEGHESIO VP, CFO, & TREASURER 9163514400 2019-11-14 true LAUREN E BENNETT P01787029 2673303000 167.68.125.77 52580220193185000014 2019-11-14 P 6CFBC1E470B119DB9F0B0C745D98B714AAF1A9A1 6CFBC1E470B119DB9F0B0C745D98B714AAF1A9A1 2018 2020-03-31 21:24:44Z STEPHEN BERBERICH 250 OUTCROPPING WAY FOLSOM CA 95630 349779095 false X WWW.CAISO.COM X 1997 CA CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. 5 5 733 0 0 129622 0 0 220605050 223887912 3375033 4276539 55440 29896 224035523 228194347 0 0 0 0 118809064 128330321 0 0 0 84562881 93663547 203371945 221993868 20663578 6200479 740687564 763020969 578789780 596713501 161897784 166307468 X CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. false false 197613934 0 223917808 THE ORGANIZATION SERVES AS THE SYSTEM OPERATOR OF AN INTEGRATED STATEWIDE ELECTRICITY TRANSMISSION GRID. 197613934 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 135 0 true 733 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 DAVID OLSEN CHAIRMAN, BOARD OF GOVERNORS 8.0 0.0 X 56250 0 0 ASHUTOSH BHAGWAT BOARD OF GOVERNORS 8.0 0.0 X 71250 0 0 ANGELINA GALITEVA BOARD OF GOVERNORS 8.0 0.0 X 62750 0 0 RICHARD MAULLIN BOARD OF GOVERNORS 8.0 0.0 X 67500 0 0 MARK FERRON BOARD OF GOVERNORS 8.0 0.0 X 72000 0 0 Stephen Berberich President and CEO 40.0 0.0 X 1563176 0 177798 Keith Casey VP, MKT AND INFRASTRUCTURE DEV 40.0 0.0 X 765535 0 89635 Roger Collanton VP, GEN CNSL & CHIEF COMP OFF 40.0 0.0 X 687182 0 95704 Stacey Crowley VP, REGIONAL & FEDERAL AFFAIRS 40.0 0.0 X 526973 0 68980 Thomas Doughty VP, CUSTOMER & STATE AFFAIRS 40.0 0.0 X 401661 0 84516 Petar Ristanovic VP, Technology 40.0 0.0 X 708430 0 81733 Mark Rothleder VP, MKT QTY & RENEW INTEGRTN 40.0 0.0 X 757325 0 127699 Eric Schmitt VP, Operations 40.0 0.0 X 678518 0 91790 Ryan Seghesio VP, CFO & TREASURER 40.0 0.0 X 419761 0 85450 Jodi Ziemathis VP, Human Resources 40.0 0.0 X 364706 0 84390 Khaled Abdul-Rahman EXC DIR, PWR SYS&SMRT GRD TECH 40.0 0.0 X 365579 0 59928 Hugo Frech DIR, IT INFRA ENGR & NTWK OPS 40.0 0.0 X 243190 0 53095 Janet Morris EXEC DIR., PROGRAM MGMT OFFICE 40.0 0.0 X 299425 0 55961 Nancy Traweek EXEC. DIR., SYSTEM OPERATIONS 40.0 0.0 X 368526 0 71357 Burton Gross Deputy General Counsel - Legal 40.0 0.0 X 372654 0 62576 ANTHONY Ivancovich DEPUTY GEN. CNSL. - REGULATORY 40.0 0.0 X 381903 0 65161 Mary McDonald DIRECTOR, STATE AFFAIRS 40.0 0.0 X 490436 0 69544 Anna McKenna ASST. GEN. CNSL. - REGULATORY 40.0 0.0 X 361213 0 58222 Neil Millar EXEC DIR., INFRASTRUCTURE DEV. 40.0 0.0 X 369819 0 72164 10455762 0 1555703 485 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 80 0 GRID MANAGEMENT CHARGE 221000 199400197 199400197 LGIP REVENUES 221000 7252995 7252995 COI PATH OPERATOR FEES 221000 1999999 1999999 MSS REVENUES/FORECASTING FEES 221000 4490445 4490445 EIM REVENUES 221000 10517996 10517996 226280 226280 223887912 3699450 3699450 0 0 0 0 0 122161837 121584748 577089 577089 577089 0 0 0 0 0 0 0 0 0 MISC. NON-OPERATING INCOME 900003 26805 26805 TRAINING REVENUES 900003 3091 3091 29896 228194347 223917808 4276539 0 0 0 0 9707774 5625356 4082418 0 0 94753842 86072772 8681070 10760934 9775049 985885 6685391 6072895 612496 6422380 5833980 588400 0 1751072 1587108 163964 0 1018448 1018448 0 202176 202176 0 0 21640446 18392301 3248145 41884 41884 4509924 3604947 904977 13274798 12385232 889566 0 2384482 2182838 201644 1369622 1029528 340094 0 1196858 903131 293727 8249481 8249481 0 35337967 35337967 1914232 1914232 PROFESSIONAL AND MEMBER DUES 333610 162481 171129 TRAINING EXPENSES 438547 196692 241855 221993868 197613934 24379934 0 0 0 381816953 394828587 0 0 17678823 23732996 0 0 0 0 0 0 0 0 6713211 6624466 658256553 491176800 178897713 167079753 99400517 117274906 0 0 43880728 41736968 0 0 12299619 11743293 740687564 763020969 42886355 46987060 0 0 0 0 186137004 180758251 0 0 0 0 0 0 0 0 349766421 368968190 578789780 596713501 X 138071097 154623355 0 0 23826687 11684113 161897784 166307468 740687564 763020969 6200479 -1790795 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 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. 202176 202176 213542211 213744387 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 85807 68324 102799 202176 459106 250000 250000 250000 250000 1000000 1500000 0 0 10561100 10561100 158000435 50928305 107072130 3516387 3516387 0 31587976 24785698 6802278 454590655 411946410 42644245 167079753 INVESTMENTS - LGIP 41736968 F 41736968 0 REFUND OBLIGATIONS 1805230 EMPLOYEE BENEFIT PLAN OBLIG. 19066354 DUE TO MARKET PARTICIPANTS 345181800 Deferred OPEB Obligation 2914806 368968190 226403552 -1790795 -1790795 228194347 228194347 221993868 221993868 221993868 X X X false true false false false false false false false Stephen Berberich President and CEO 652975 0 731606 0 178595 0 139060 0 38738 0 1740974 0 96346 0 Keith Casey VP, MKT AND INFRASTRUCTURE DEV 345282 0 345338 0 74915 0 88477 0 1158 0 855170 0 49842 0 Roger Collanton VP, GEN CNSL & CHIEF COMP OFF 313678 0 313417 0 60087 0 66117 0 29587 0 782886 0 29669 0 Stacey Crowley VP, REGIONAL & FEDERAL AFFAIRS 281466 0 194952 0 50555 0 48048 0 20932 0 595953 0 28389 0 Thomas Doughty VP, CUSTOMER & STATE AFFAIRS 152658 0 207333 0 41670 0 40876 0 43640 0 486177 0 22874 0 Petar Ristanovic VP, Technology 325119 0 326831 0 56480 0 66206 0 15527 0 790163 0 31673 0 Mark Rothleder VP, MKT QTY & RENEW INTEGRTN 324043 0 335087 0 98195 0 87385 0 40314 0 885024 0 46434 0 Eric Schmitt VP, Operations 311470 0 311318 0 55730 0 65537 0 26253 0 770308 0 28545 0 Ryan Seghesio VP, CFO & TREASURER 268792 0 131125 0 19844 0 49970 0 35480 0 505211 0 0 0 Jodi Ziemathis VP, Human Resources 243980 0 102358 0 18368 0 49252 0 35138 0 449096 0 0 0 Khaled Abdul-Rahman EXC DIR, PWR SYS&SMRT GRD TECH 254573 0 106784 0 4222 0 33744 0 26184 0 425507 0 0 0 Hugo Frech DIR, IT INFRA ENGR & NTWK OPS 191743 0 50206 0 1241 0 27732 0 25363 0 296285 0 0 0 Janet Morris EXEC DIR., PROGRAM MGMT OFFICE 233571 0 64298 0 1556 0 33803 0 22158 0 355386 0 0 0 Nancy Traweek EXEC. DIR., SYSTEM OPERATIONS 260965 0 102650 0 4911 0 36500 0 34857 0 439883 0 0 0 Burton Gross Deputy General Counsel - Legal 271841 0 99514 0 1299 0 35750 0 26826 0 435230 0 0 0 ANTHONY Ivancovich DEPUTY GEN. CNSL. - REGULATORY 272956 0 101669 0 7278 0 36500 0 28661 0 447064 0 0 0 Mary McDonald DIRECTOR, STATE AFFAIRS 211094 0 85651 0 193691 0 36099 0 33445 0 559980 0 0 0 Anna McKenna ASST. GEN. CNSL. - REGULATORY 255612 0 104388 0 1213 0 36767 0 21455 0 419435 0 0 0 Neil Millar EXEC DIR., INFRASTRUCTURE DEV. 259768 0 108277 0 1774 0 35002 0 37162 0 441983 0 0 0 SCHEDULE J, PART I, LINE 4B: IN 2018, 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 $121,062 KEITH CASEY, VP, MKT & INFRASTRUCTURE DEV. $ 54,059 ROGER COLLANTON, VP, GEN CNSL & CHIEF COMPLIANCE OFFICER $ 32,471 STACEY CROWLEY, VP, REGIONAL AND FEDERAL AFFAIRS $ 28,921 THOMAS DOUGHTY, VP, CUSTOMER & STATE AFFAIRS $ 22,874 PETAR RISTANOVIC, VP, TECHNOLOGY $ 34,971 MARK ROTHLEDER, VP, MARKET QUALITY & RENEWABLE INTEGRATION $ 50,326 ERIC SCHMITT, VP, OPERATIONS $ 31,121 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 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. 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, SENIOR COUNSEL - CORPORATE, EXECUTIVE DIRECTOR, 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. 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. 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