2013-11-15T10:56:36-06:00 2012-12-31 PRICEWATERHOUSECOOPERS LLP 1301 K STREET NW SUITE 800W WASHINGTON DC 200053333 990 2012-01-01 943274043 CALIFORNIA INDEPENDENT SYSTEM OPERATOR CORPORATION % DENNIS ESTRADA CALI 9163514400 250 OUTCROPPING WAY Suite FOLSOM CA 95630 RYAN SEGHESIO 9163514400 2013-11-15 true 2024141000 2012 2016-02-25 16:41:14Z STEPHEN BERBERICH 250 OUTCROPPING WAY FOLSOM CA 95630 293601314 false X WWW.CAISO.COM X 1997 CA CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. 5 5 645 0 0 0 0 194579680 209051769 -3437052 3105845 470909 1028951 191613537 213186565 0 0 0 0 105256007 105570385 0 0 0 133798224 142938956 239054231 248509341 -47440694 -35322776 890553612 787476211 699435577 632366751 191118035 155109460 X CALIFORNIA ISO'S MISSION STATEMENT HAS BEEN INCLUDED ON SCHEDULE O. false false 230833281 210080720 THE ORGANIZATION ACTS AS THE SYSTEM OPERATOR OF AN INTEGRATED STATEWIDE ELECTRICITY TRANSMISSION GRID. 230833281 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 168 0 true 645 true false false false false false false false false false false 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 ASHUTOSH BHAGWAT 4.0 0.0 X 46000 0 0 ROBERT FOSTER 4.0 0.0 X 41000 0 0 ANGELINA GALITEVA 4.0 0.0 X 41500 0 0 RICHARD MAULLIN 4.0 0.0 X 35750 0 0 DAVID OLSEN 4.0 0.0 X 31450 0 0 STEPHEN BERBERICH 40.0 0.0 X 862301 0 109611 KEITH CASEY 40.0 0.0 X 550572 0 61043 KAREN EDSON 40.0 0.0 X 557288 0 58487 PETAR RISTANOVIC 40.0 0.0 X 424386 0 66908 MARK ROTHLEDER 40.0 0.0 X 324990 0 69767 NANCY SARACINO 40.0 0.0 X 606203 0 75765 ERIC SCHMITT 40.0 0.0 X 368719 0 64196 RYAN SEGHESIO 40.0 0.0 X 245841 0 34390 BRENDA THOMAS 40.0 0.0 X 458968 0 81912 KHALED ABDUL-RAHMAN 40.0 0.0 X 274851 0 40001 NANCY TRAWEEK 40.0 0.0 X 285598 0 59020 MATTHEW TURNER 40.0 0.0 X 230825 0 51034 SIDNEY DAVIES 40.0 0.0 X 276626 0 44369 ANTHONY IVANCOVICH 40.0 0.0 X 318764 0 57127 LORENZO KRISTOV 40.0 0.0 X 282637 0 50069 DEBORAH LE VINE 40.0 0.0 X 279388 0 45085 NEIL MILLAR 40.0 0.0 X 277090 0 51834 JOHN ANDERS 40.0 0.0 X 254047 0 56029 YAKOUT MANSOUR 40.0 0.0 X 477931 0 0 7552725 0 1076647 424 true true false CORESTAFF SERVICES PO BOX 60876 CHARLOTTE NC 282600876 TEMPORARY STAFFING 4971671 ALSTON BIRD LLP 1201 PEACHTREE STREET ATLANTA GA 30309 ATTORNEYS 2330575 TECH-NET INC 101 PARKSHORE DRIVE SUITE 100 FOLSOM CA 95630 IT PROFESSIONALS 1609490 ANDREWS INTERNATIONAL INC PO BOX 51018 LOS ANGELES CA 900741018 SECURITY PERSONNEL 1035009 BRIDGE ENERGY GROUP INC 313 BOSTON POST ROAD SUITE 140 MARLBOROUGH MA 01752 ENGINEERS 1024425 28 0 GRID MANAGEMENT CHARGE 221000 195149783 195149783 LGIP REVENUES 221000 10875350 10875350 COI PATH OPERATOR FEES 221000 2000000 2000000 MSS REVENUES/FORECASTING FEES 221000 774527 774527 SC APPPLICATION FEE 221000 29000 29000 223109 223109 209051769 3055589 3055589 0 0 0 0 0 80171387 293618 80414749 -243362 293618 50256 50256 0 0 0 OTHER MISCELLANEOUS INCOME 900099 1028951 1028951 1028951 213186565 210080720 3105845 0 0 0 0 6158380 4169656 1988724 0 73885065 67753132 6131933 8409033 7711143 697890 11966607 10973464 993143 5151300 4723779 427521 0 4994940 4897718 97222 952035 952035 72463 72463 0 0 22850096 20049299 2800797 0 2569383 2243220 326163 13717207 13447300 269907 0 3805496 3489667 315829 1364539 1156663 207876 0 476765 386373 90392 15508451 15508451 0 73562811 73562811 1757974 1757974 TRAINING EXPENSES 499942 283068 216874 PROFESSIONAL & MEMBER DUES 414796 372675 42121 PENALTIES & FINES 200000 200000 TAXES 32399 32399 159659 159659 248509341 230833281 17676060 0 0 0 472955320 404050263 0 0 12539878 12316084 0 0 0 0 0 0 0 0 5810572 6237087 579437445 327031690 303868270 252405755 55619294 73114844 34454589 34472237 0 0 0 0 5305689 4879941 890553612 787476211 44460106 42417612 0 0 0 0 287786463 258130357 0 0 0 0 0 0 0 0 367189008 331818782 699435577 632366751 X 117631420 119473715 0 0 73486615 35635745 191118035 155109460 890553612 787476211 -35322776 -685799 X false true X true false X X X false false false STATE OF CALIFORNIA 680284175 0 false true true 0 1 0 0 72463 72463 248436878 248509341 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 17310 46794 73736 72463 210303 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 9098162 9098162 140307628 9869626 130438002 3436783 2423136 1013647 43519145 34092463 9426682 383075727 280646465 102429262 252405755 0 REFUND OBLIGATIONS 2850875 EMPLOYEE BENEFIT PLAN OBLIGATIONS 21758333 DUE TO MARKET PARTICIPANTS 307209574 331818782 212011453 -685799 -200000 -885799 212897252 289313 289313 213186565 248020028 -289313 -289313 248309341 200000 200000 248509341 PART XI, LINE 2D FINES AND PENALTIES (200,000) PART XI, LINE 4B ABANDONMENT AND LOSS ON RETIREMENT OF ASSETS 289,313 PART XII, LINE 2D ABANDONMENT AND LOSS ON RETIREMENT OF ASSETS (289,313) PART XII, LINE 4B FINES AND PENALTIES 200,000 X X X X false true false false false false false false false STEPHEN BERBERICH 408845 0 359297 0 94159 0 79883 0 29728 0 971912 0 32186 0 KEITH CASEY 268810 0 238762 0 43000 0 60527 0 516 0 611615 0 25194 0 KAREN EDSON 258814 0 259067 0 39407 0 55416 0 3071 0 615775 0 21560 0 PETAR RISTANOVIC 245290 0 163516 0 15580 0 41900 0 25008 0 491294 0 0 0 MARK ROTHLEDER 227757 0 81045 0 16188 0 40030 0 29737 0 394757 0 0 0 NANCY SARACINO 295946 0 268870 0 41387 0 60448 0 15317 0 681968 0 20486 0 ERIC SCHMITT 258897 0 45585 0 64237 0 41032 0 23164 0 432915 0 0 0 RYAN SEGHESIO 192609 0 52978 0 254 0 9865 0 24525 0 280231 0 0 0 BRENDA THOMAS 247730 0 167413 0 43825 0 50837 0 31075 0 540880 0 17381 0 KHALED ABDUL-RAHMAN 203649 0 70904 0 298 0 22746 0 17255 0 314852 0 0 0 NANCY TRAWEEK 202225 0 83088 0 285 0 29119 0 29901 0 344618 0 0 0 MATTHEW TURNER 193557 0 36514 0 754 0 25903 0 25131 0 281859 0 0 0 SIDNEY DAVIES 222930 0 52487 0 1209 0 28465 0 15904 0 320995 0 0 0 ANTHONY IVANCOVICH 230893 0 71143 0 16728 0 33000 0 24127 0 375891 0 0 0 LORENZO KRISTOV 197953 0 73424 0 11260 0 28316 0 21753 0 332706 0 0 0 DEBORAH LE VINE 224729 0 45380 0 9279 0 33000 0 12085 0 324473 0 0 0 NEIL MILLAR 216533 0 59591 0 966 0 24666 0 27168 0 328924 0 0 0 JOHN ANDERS 214782 0 38473 0 792 0 30867 0 25162 0 310076 0 0 0 YAKOUT MANSOUR 0 0 446226 0 31705 0 0 0 0 0 477931 0 31705 0 PART I, LINE 4B IN 2012, 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 $59,063 KEITH CASEY, VP, MKT & INFRASTRUCTURE DEV. $41,914 KAREN EDSON, VP, POLICY AND CLIENT SERVICES $37,252 YAKOUT MANSOUR, PRESIDENT & CEO (UNTIL 5/2011) $31,705 PETAR RISTANOVIC, VP TECHNOLOGY $14,546 NANCY SARACINO, VP, GEN COUNSEL & CHIEF ADMIN OFFICER $40,458 BRENDA THOMAS, VP, HUMAN RESOURCES $32,471 ERIC SCHMITT, VP, OPERATIONS $15,370 MARK ROTHLEDER, VP, MARKET QUALITY & RENEWABLE INTEGRATION $2,207 A CA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK 630304653 13033W2W2 2009-07-22 201998064 FINANCE, DESIGN & CONSTR OF NEW HQ false false false B CA INFRASTRUCTURE AND ECONOMIC DEVELOPMENT BANK 630304653 13033WM67 2008-06-19 206158489 COMPUTER HARDWARE/SOFTWARE SYSTEMS false false false A 0 0 208038772 14775188 11141374 0 2130086 0 0 165709451 8241966 0 2010 false false true true B 112350000 0 210909521 19697000 1171502 140321639 1610587 0 0 41532761 1825000 0 2009 true false true true A false false true false false 0.01730 0.01730 true false false true B false false false false 0 true true 0.00090 true true A true false false 0 false 0 false true B true false false 0 true MORGAN STANLEY 6. true false true A false B false PART II, LINE 3 0 THE DIFFERENCE BETWEEN THE TOTAL PROCEEDS OF ISSUE REPORTED IN PART II, LINE 3 AND THE ISSUE PRICE LISTED IN PART I, COLUMN (E) REPRESENTS INVESTMENT EARNINGS. PART III, LINE 3B 0 THE CORPORATION ROUTINELY SEEKS ADVICE FROM BOTH IN-HOUSE AND OUTSIDE COUNSEL ON MATTERS RELATED TO PRESERVING THE TAX-EXEMPT STATUS OF BONDS ISSUED FOR THE BENEFIT OF THE CORPORATION. IN 2010, THE CORPORATION ENTERED INTO A 5-YEAR FOOD SERVICE AGREEMENT WITH A PRIVATE BUSINESS ENTITY TO OPERATE THE CAFETERIA, DINING ROOM AND KITCHEN EQUIPMENT AT THE CORPORATION'S HEADQUARTERS FACILITY, A PORTION OF THE COST OF WHICH WAS FINANCED BY TAX-EXEMPT BONDS. BECAUSE THAT INITIAL CONTRACT CALLED FOR A PRIVATE PARTY TO OPERATE ONLY A RELATIVELY SMALL PORTION OF THE HEADQUARTERS FACILITY (PROVIDING ONLY ANCILLARY SUPPORT TO THE CORE FUNCTION OF THE HEADQUARTERS FACILITY) AND WAS FOR A TERM OF ONLY 5 YEARS, THE CORPORATION SOUGHT ADVICE ON THE INITIAL CONTRACT ONLY FROM IN-HOUSE COUNSEL. DURING 2013, THE CORPORATION ENGAGED OUTSIDE COUNSEL TO REVIEW THE CONTRACT. PART I, 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 NEIGHBORING STATES, CANADA AND MEXICO, THE OWNERS OF WHICH HAVE TRANSFERRED OPERATIONAL CONTROL TO 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. PART VI, LINE 7 THE BOARD OF CALIFORNIA ISO IS COMPOSED OF MEMBERS APPOINTED BY THE CALIFORNIA GOVERNOR AND CONFIRMED BY THE CALIFORNIA STATE SENATE. PART VI, LINE 11B THE FORM 990 IS REVIEWED BY THE VP, GENERAL COUNSEL AND CHIEF ADMINISTRATIVE OFFICER, CFO, CONTROLLER, DIRECTOR OF COMMUNICATIONS, SENIOR COUNSEL - CORPORATE, MANAGER OF COMPENSATION AND BENEFITS. THE FORM 990 IS PROVIDED TO THE BOARD OF GOVENORS FOR THEIR REVIEW PRIOR TO FILING. PART VI, LINE 12 ANNUALLY, EMPLOYEES ARE REQUIRED TO ATTEND THE ANNUAL ALL EMPLOYEE TRAINING, WHICH INCLUDE: CONFLICT OF INTEREST, 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. PART VI, LINE 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. PART VI, 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). STATE OF CALIFORNIA 680284175 GOVERNMENT CA 6 N/A NA false false false false false false false false false false false false false false false false false false false