2016-08-11T12:36:32-07:00 2015-12-31 990 2015-01-01 710748158 SOUTHWEST POWER POOL INC SOUT 5016143200 201 Worthen Drive Little Rock AR 72223 Thomas Dunn VP Finance & CFO 5016143200 2016-08-11 2015 2016-09-27 15:27:22Z Thomas Dunn 201 Worthen Drive Little Rock AR 72223 180573920 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. 7 6 615 0 0 0 480000 564000 163056893 178168678 508306 1827420 116232 13822 164161431 180573920 0 0 0 0 86359909 84852499 0 0 0 124102099 136181081 210462008 221033580 -46300577 -40459660 521013485 439014044 607958159 568429185 -86944674 -129415141 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 221033580 0 178168678 See Statement 1 0 0 0 221033580 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 74 0 1 615 1 0 0 0 0 0 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 SVP Finance and CFO 5016143200 201 Worthen Drive Little Rock AR 72223 X Larry Altenbaumer Board Member 5 0 X 79500 0 0 Phyllis Bernard Board Member 5 0 X 80500 0 0 Jim Eckelberger Chairman 5 0 X 112500 0 0 Julian Brix Board Member 5 0 X 80500 0 0 Joshua Martin Board Member 5 0 X 86000 0 0 Harry Skilton Vice Chairman 5 0 X 118250 0 0 Gerry Burrows RE Trustee 5 0 X 38000 0 0 David Christiano RE Trustee 5 0 X 44000 0 0 John Meyer RE Trustee 5 0 X 38500 0 0 Nicholas Brown President and CEO 40 0 X 820747 0 340432 Carl Monroe Executive Vice President and COO 40 0 X 526398 0 324635 Paul Suskie Executive Vice President Regulatory Policy and General Counsel 40 0 X 372569 0 114958 Bruce Rew Vice President - Operations 40 0 X 342183 0 232129 Lanny Nickell Vice President - Engineering 40 0 X 334824 0 192774 Barbara Sugg Vice President - IT and Chief Security Officer 40 0 X 338295 0 202694 Michael Desselle Vice President - Process Integrity 40 0 X 318338 0 149204 Thomas Dunn Senior Vice President Finance and CFO 40 0 X 357120 0 155058 Michael Ross Senior Vice President - Government Affairs and Public Relations 40 0 X 244400 0 62312 Malinda See Vice President - Corporate Services 40 0 X 233711 0 168418 Stacy Duckett Vice President and Chief Compliance Officer 40 0 X 119289 0 -258256 Ronald Ciesiel General Manager - Regional Entity 40 0 X 370498 0 222165 Ralph Chapman Jr Director - IT Enterprise Operations 40 0 X 219349 0 72771 John Sam Ellis Director - System Operations 40 0 X 214760 0 87134 Jerome Wild Director - IT Applications 40 0 X 214858 0 30158 Jay Pearl Caspary Director - Research, Development & Tariff Services 40 0 X 203749 0 84487 Richard Dillon Director - Market Design 40 0 X 215062 0 128196 Charles Yeung Executive Director - Interregional Affairs 40 0 X 228470 0 89454 Bert Bressers Director - Operations Support 40 0 X 218853 0 124982 Leonard Pat Bourne Director - Transmission Policy 40 0 X 220837 0 113133 6792060 0 2636838 250 0 1 0 Alstom Grid Inc PO Box 88808 Chicago IL 606951808 Consulting & Professional Services 5907507 OATI Inc 3660 Technology Drive NE Minneapolis MN 55418 Consulting & Professional Services 2618606 Wright & Talisman 1200 G Street NW Suite 600 Washington DC 200053802 Legal Services 1660742 Accenture 161 North Clark Street Chicago IL 60601 Consulting & Professional Services 1607616 The Structure Group PO Box 846378 Dallas TX 752846378 Consulting and Professional Services 1302069 34 0 564000 0 0 0 0 0 564000 Tariff Administration Service 221121 143826460 143826460 0 0 Fees and Assessments 221121 27326556 27326556 0 0 Contract Services 221121 975280 975280 0 0 6040382 6040382 0 0 178168678 1827420 1827420 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 13822 13822 0 0 13822 180573920 180009920 0 0 7933619 0 59754482 6651665 5958273 4554460 0 2307166 123320 0 0 0 0 0 1135575 13925804 0 2433117 1902754 0 824731 10521556 0 59284956 1109913 FERC Fees 13938980 Consulting Services 9088548 Communication Expenses 3758419 Change in Funded Status of Retirement Plans 13730072 2096170 221033580 0 0 0 121425 151636 279698285 238769114 0 45085504 42806081 0 0 0 0 0 0 0 0 3944659 5403716 307332330 170851984 176881243 136480346 10099244 9351829 5183125 6051322 521013485 439014044 89359890 76700596 0 5895076 5318114 0 222285452 196918171 0 3546600 3341000 268713354 250884420 18157787 35266884 607958159 568429185 X 0 0 0 0 -86944674 -129415141 -86944674 -129415141 521013485 439014044 -40459660 -2010807 0 0 0 0 X 0 1 X 1 0 0 1 X 4811902 0 4811902 66614532 0 13445972 53168560 0 0 0 0 54425043 0 42190634 12234409 181480853 0 115215378 66265475 136480346 0 Accrued retiree healthcare plan cost liability 9289317 Deferred compensation liability, 457(b) 1557179 Deferred compensation liability, exec perf comp 879606 Derivative liability 3188151 Accrued pension cost liability 20352631 35266884 178563113 -2010807 0 0 0 -2010807 180573920 0 0 0 180573920 221033580 0 0 0 0 0 221033580 0 0 0 221033580 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 496883 0 320000 0 3864 0 324187 0 16245 0 1161179 0 0 0 Carl Monroe Executive Vice President and COO 351771 0 171300 0 3327 0 308041 0 16594 0 851033 0 0 0 Paul Suskie Executive Vice President Regulatory Policy and General Counsel 265260 0 105700 0 1608 0 94347 0 20612 0 487527 0 0 0 Thomas Dunn Senior Vice President Finance and CFO 264145 0 91200 0 1774 0 148228 0 6831 0 512178 0 0 0 Bruce Rew Vice President - Operations 244492 0 96100 0 1591 0 210192 0 21937 0 574312 0 0 0 Barbara Sugg Vice President - IT and Chief Security Officer 246155 0 90500 0 1640 0 186911 0 15783 0 540989 0 0 0 Lanny Nickell Vice President - Engineering 242783 0 90500 0 1541 0 169163 0 23611 0 527598 0 0 0 Michael Desselle Vice President - Process Integrity 237332 0 79200 0 1806 0 130145 0 19059 0 467542 0 0 0 Michael Ross Senior Vice President - Government Affairs and Public Relations 242783 0 0 0 1617 0 38702 0 23609 0 306711 0 0 0 Malinda See Vice President - Corporate Services 204519 0 28000 0 1192 0 144998 0 23420 0 402129 0 0 0 Stacy Duckett Vice President and Chief Compliance Officer 51380 0 58800 0 9109 0 -260477 0 2221 0 -138967 0 0 0 Ronald Ciesiel General Manager - Regional Entity 261113 0 106950 0 2435 0 204298 0 17867 0 592663 0 0 0 Ralph Chapman Jr Director - IT Enterprise Operations 179423 0 38500 0 1426 0 49684 0 23087 0 292120 0 0 0 Jerome Wild Director - IT Applications 182848 0 29600 0 2410 0 27968 0 2190 0 245016 0 0 0 John Sam Ellis Director - System Operations 176447 0 37200 0 1113 0 77557 0 9577 0 301894 0 0 0 Charles Yeung Executive Director - Interregional Affairs 187243 0 40000 0 1227 0 67092 0 22362 0 317924 0 0 0 Leonard Pat Bourne Director - Transmission Policy 184633 0 33700 0 2504 0 96076 0 17057 0 333970 0 0 0 Bert Bressers Director - Operations Support 172363 0 44900 0 1590 0 110004 0 14978 0 343835 0 0 0 Richard Dillon Director - Market Design 180383 0 33300 0 1379 0 104819 0 23377 0 343258 0 0 0 Jay Pearl Caspary Director - Research, Development & Tariff Services 175492 0 26900 0 1357 0 62816 0 21671 0 288236 0 0 0 Schedule J, Part I, Line 1a 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 Southwest Power Pool. 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 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 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, reviews the recommendations and documentation and approves any compensation adjustments for the SPP President. This annual review is conducted every January. Schedule J, Part II On March 20, 2015, Stacy L. Duckett, Vice President and Chief Compliance Officer, passed away. In accordance with SPP Pension Plan provisions regarding eligibility of beneficiaries, the benefit that she had accumulated during her employment was forfeited, resulting in a negative amount in column (C) - Retirement and other deferred compensation. Thomas Dunn SVP Finance & CFO 10278 See Part V below 0 Nicholas Brown President & CEO 10279 See Part V below 0 Leslie E Dillahunty Former Officer 52435 Consulting services 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 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 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, reviews 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. Form 990, Part VI, Section C, Line 19 Governing documents and financial statements are available on the spp.org website. Form 990, Part VII, Section A, Line 1a On March 20, 2015, Stacy L. Duckett, Vice President and Chief Compliance Officer, passed away. In accordance with SPP Pension Plan provisions regarding eligibility of beneficiaries, the benefit that she had accumulated during her employment was forfeited, resulting in a negative amount in column (F) - Estimated amount of other compensation from the organization and related organizations.