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CC RES 20-60
CONFLICT OF INTEREST CODES DEPARTMENTS AND AGENCIES OF THE CITY OF TUSTIN APPLICABLE TO DESIGNATED EMPLOYEES THEREOF ARTICLE I SECTION 1.1 !!Qvsqptf/!Qvstvbou!up!uif!qspwjtjpot!pg!Hpwfsonfou!Dpef!Tfdujpot! 98411-!fu!tfr/-!uif!efqbsunfout!boe!bhfodjft!pg!uif!Djuz!pg!Uvtujo!ifsfcz!bepqu!uif! gpmmpxjoh!Dpogmjdu!pg!Joufsftu!Dpeft/!! ! Opuijoh!dpoubjofe!ifsfjo!jt!joufoefe!up!npejgz!ps!bcsjehf!uif!qspwjtjpot!pg!uif!Qpmjujdbm! Sfgpsn!Bdu!pg!2:85!)Hpwfsonfou!Dpef!Tfdujpo!9211*/!Uif!qspwjtjpot!pg!uijt!Dpef!bsf!jo! beejujpo!up!Hpwfsonfou!Dpef!Tfdujpo!98211!boe!puifs!mbxt!qfsubjojoh!up!dpogmjdut!pg! joufsftu/!Fydfqu!bt!puifsxjtf!joejdbufe-!uif!efgjojujpot!pg!tbje!Bdu!bsf!sfhvmbujpot!bepqufe! qvstvbou!uifsfup!boe!jodpsqpsbufe!ifsfjo!boe!uijt!Dpef!tibmm!cf!joufsqsfufe!jo!b!nboofs! dpotjtufou!uifsfxjui/!! ! SECTION 1.2 Tfwfsbcjmjuz/!Jg!boz!bsujdmf-!tfdujpo-!tvctfdujpo-!qbsbhsbqi-! tvcqbsbhsbqi-!tfoufodf-!dmbvtf!ps!qisbtf!pg!uijt!Dpef!jt!gps!boz!sfbtpo!ifme!up!cf! jowbmje-!vodpotujuvujpobm!ps!vofogpsdfbcmf-!tvdi!efdjtjpo!tibmm!opu!bggfdu!uif!wbmjejuz!pg!uif! sfnbjojoh!qpsujpot!pg!uijt!Dpef/!Uif!Djuz!efdmbsft!uibu!ju!xpvme!ibwf!bepqufe!uijt!Dpef! boe!fbdi!bsujdmf-!tfdujpo-!tvctfdujpo-!qbsbhsbqi-!tvcqbsbhsbqi-!tfoufodf-!dmbvtf!boe! qisbtf!uifsfpg!jssftqfdujwf!pg!uif!gbdu!boz!pof!ps!npsf!pg!tvdi!qpsujpot!pg!uijt!Dpef!cf! efdmbsfe!jowbmje-!vodpotujuvujpobm!boe!vofogpsdfbcmf/!! ! SECTION 1.3 !!Fggfdujwf!Ebuf/!Uijt!Dpef!tibmm!ublf!fggfdu!vqpo!jut!bqqspwbm!! cz!uif!bqqspqsjbuf!Dpef!Sfwjfxjoh!Cpez/!! ! SECTION 1.4 !!Efgjojujpot/!Bt!vtfe!jo!uijt!Dpef-!vomftt!uif!dpoufyu!puifsxjtf! dmfbsmz!jnqmjft-!uif!gpmmpxjoh!xpset!boe!ufsnt!tibmm!ibwf!uif!nfbojoht!tfu!gpsui!ifsfjo/!! ! b/!Cvtjoftt!foujuz;!(Cvtjoftt!foujuz#!nfbot!boz!pshboj{bujpo!ps!foufsqsjtf!pqfsbufe! gps!qspgju-!jodmvejoh!cvu!opu!mjnjufe!up!b!qspqsjfupstijq-!qbsuofstijq-!gjsn-!cvtjoftt! usvtu-!kpjou!wfouvsf-!tzoejdbuf-!dpsqpsbujpo!ps!bttpdjbujpo/!! ! c/!Dpotvmubou;!#Dpotvmubou(!nfbot!b!qptjujpo!ftubcmjtife!cz!dpousbdu!xjui!uif!Djuz! qvstvbou!up!xijdi!dpousbdu!jogpsnbujpo-!bewjdf-!sfdpnnfoebujpo!ps!dpvotfm!jt! qspwjefe!up!uif!Djuz<!qspwjefe-!ipxfwfs-!uibu!#dpotvmubou(!tibmm!opu!jodmvef!b! qptjujpo!jo!xijdi!uif!qfstpo!qspwjejoh!tvdi!jogpsnbujpo-!bewjdf-!sfdpnnfoebujpo! ps!dpvotfm;!! ! 2/!dpoevdut!sftfbsdi!boe!bssjwft!bu!dpodmvtjpot!xjui!sftqfdu-!up!ijt!ps!ifs! sfoejujpo!pg!jogpsnbujpo-!bewjdf-!sfdpnnfoebujpo!ps!dpvotfm!joefqfoefou! pg!uif!dpouspm!boe!ejsfdujpo!pg!uif!Djuz!ps!pg!boz!Djuz!pggjdjbm-!puifs!uibo! opsnbm!dpousbdu!npojupsjoh<!boe! ! 3/!qpttfttft!op!bvuipsjuz!xjui!sftqfdu!up!boz!Djuz!efdjtjpo!cfzpoe!uif! sfoejujpo!pg!jogpsnbujpo-!bewjdf-!sfdpnnfoebujpo!ps!dpvotfm/!! ! d/!Dpvouz;!#Dpvouz#!nfbot!uif!Dpvouz!pg!Psbohf/!! ! e/!Eftjhobufe!fnqmpzff;!#Eftjhobufe!fnqmpzff#!nfbot!b!qfstpo!ipmejoh!b! eftjhobufe!qptjujpo!ps!sfqsftfoujoh!b!cvtjoftt!foujuz!xijdi!ipmet!b!eftjhobufe! qptjujpo/!! ! f/!Eftjhobufe!qptjujpo;!#Eftjhobufe!qptjujpo#!nfbot!b!qptjujpo!xjui!uif!Djuz!tqfdjgjfe! jo!Fyijcju!#B#!buubdife!ifsfup/!Eftjhobufe!qptjujpot!nbz!jowpmwf!uif!nbljoh!ps! qbsujdjqbujpo!jo!uif!nbljoh!pg!efdjtjpot!xijdi!nbz!gpsftff!bcmz!ibwf!b!nbufsjbm! fggfdu!po!b!gjobodjbm!joufsftu!pg!uif!eftjhobufe!fnqmpzff!ipmejoh!tvdi!qptjujpo/!! ! g/!Ejtdmptvsf!tubufnfout/!#Ejtdmptvsf!tubufnfout#!nfbo!tubufnfout!ejtdmptjoh! sfqpsubcmf!joufsftut!sfrvjsfe-!cz!Tfdujpo!3/2!up!cf!gjmfe!cz!eftjhobufe!fnqmpzfft/! ! h/!Djuz;!#Djuz#!nfbot!uif!Djuz!pg!Uvtujo/!! ! i/!Sfqpsubcmf!joufsftut;!(Sfqpsubcmf!joufsftut#!nfbot!jowftunfout-!joufsftut!jo!sfbm! qspqfsuz!boe!jodpnf!sfrvjsfe!up!cf!ejtdmptfe!cz!eftjhobufe!fnqmpzfft/! (Sfqpsubcmf!joufsftut#!bt!up!boz!qbsujdvmbs!eftjhobufe!fnqmpzff!nfbot!uiptf! dbufhpsjft!pg!tvdi!joufsftut!bttjhofe-!cz!Fyijcju!#B#!buubdife!ifsfup-!up!uif! eftjhobufe!qptjujpo!ifme!cz!tvdi!fnqmpzff/!! ! j/!Djuz!Dmfsl;!#Djuz!Dmfsl#!nfbot!uif!Djuz!Dmfsl!pg!uif!Djuz!pg!Uvtujo/! ! k/!Fydfqu!bt!puifsxjtf!joejdbufe-!uif!efgjojujpot!dpoubjofe!jo!uif!Qpmjujdbm!Sfgpsn!Bdu! pg!2:85!)Hpwfsonfou!Dpef!Tfdujpo!92111-!fu!tfr/*!boe!sfhvmbujpot!bepqufe! qvstvbou!uifsfup!bsf!jodpsqpsbufe!joup!uijt!Dpogmjdu!pg!Joufsftu!Dpef/!! ! ARTICLE II -- DISCLOSURE SECTION 2.1 Disclosure. b/!Ejtdmptvsf!Tubufnfout/!Fbdi!eftjhobufe!fnqmpzff!tibmm!gjmf!bo!jojujbm!tubufnfou! boe!boovbm!tubufnfout!ejtdmptjoh!uiptf!sfqpsubcmf!joufsftut!jo!uif!dbufhpsz!ps! dbufhpsjft!pg!sfqpsubcmf!joufsftut-!npsf!qbsujdvmbsmz!eftdsjcfe!jo!Tfdujpo!3/6-!xijdi! bsf!bttjhofe!cz!Fyijcju!#B#!ifsfpg!up!uif!eftjhobufe!qptjujpo!ifme!cz!tvdi! fnqmpzff/!Tvdi!tubufnfout!tibmm!cf!gjmfe!bu/!uif!qmbdf!tqfdjgjfe!jo!Tfdujpo!3/3!boe! bu!uif!ujnft!tqfdjgjfe!jo!Tfdujpo!3/4!boe!Tfdujpo!3/5-!tibmm!dpoubjo!uif!jogpsnbujpo! tqfdjgjfe!jo!Tfdujpo!3/7!uispvhi!Tfdujpo!3/9-!boe!tibmm!cf!jo!uif!gpsn!tqfdjgjfe!jo! Tfdujpo!3/:/!! ! c/!Boz!eftjhobufe!fnqmpzff!xip!ipmet!npsf!uibo!pof!)2*!eftjhobufe!qptjujpo!tibmm! gjmf!pomz!pof!)2*!ejtdmptvsf!tubufnfou-!joejdbujoh!po!uibu!ejtdmptvsf!tubufnfou!bmm!pg! uif!eftjhobufe!qptjujpot!ifme!cz!tvdi!fnqmpzff/! SECTION 2.2Place of Filing. !!!Bmm!eftjhobufe!fnqmpzfft!sfrvjsfe!up!tvcnju!b! tubufnfou!pg!gjobodjbm!joufsftut!tibmm!gjmf!uif!psjhjobm!xjui!uif!Djuz!Dmfsl/!! ! SECTION 2.3Time of Filing Initial Statement. !! ! b/!Fbdi!eftjhobufe!fnqmpzff!tibmm!gjmf!bo!jojujbm!ejtdmptvsf!tubufnfou!xjuijo!uijsuz!)41*! ebzt!bgufs!uif!fggfdujwf!ebuf!pg!uijt!Dpef/!! ! c/!Tfdujpo!3/4!tibmm!opu!cf!bqqmjdbcmf!up!boz!eftjhobufe!fnqmpzff!sfrvjsfe!up!gjmf! voefs!uif!qspwjtjpot!pg!Hpwfsonfou!Dpef!Tfdujpot!98311-!fu/!tfr/-!cvu!tvdi! eftjhobufe!fnqmpzff!tibmm!dpogpsn!up!uif!ejtdmptvsf!boe!gjmjoh!qspwjtjpot!pg! Hpwfsonfou!Dpef!Tfdujpot!98311-!fu/!tfr/!! ! SECTION 2.4 Time of Filing Annual Statements. !!Bo!boovbm!ejtdmptvsf!tubufnfou!tibmm! cf!gjmfe!cz!Bqsjm!2tu!pg!fbdi!zfbs!cz!fbdi!eftjhobufe!fnqmpzff!xifuifs!ps!opu!tvdi! sfqpsubcmf!joufsftu!xbt!ejtqptfe!pg!evsjoh!tvdi!dbmfoebs!zfbs!boe!xifuifs!ps!opu!uif! eftjhobufe!fnqmpzff!gjmfe!bo!jojujbm!tubufnfou!qvstvbou!up!Tfdujpo!3/4/!Boovbm! Tubufnfout!tibmm!dpwfs!uif!qfsjpe!pg!Kbovbsz!2!uispvhi!Efdfncfs!42!pg!uif!dbmfoebs!zfbs! qsfdfejoh!uif!tubufnfou/!Tfdujpo!3/5!tibmm!opu!cf!bqqmjdbcmf!up!boz!eftjhobufe!fnqmpzff! sfrvjsfe!up!gjmf!voefs!uif!qspwjtjpot!pg!Hpwfsonfou!Dpef!Tfdujpot!98311-!fu!tfr/-!cvu! tvdi!eftjhobufe!fnqmpzfft!tibmm!dpogpsn!up!uif!ejtdmptvsf!boe!gjmjoh!qspwjtjpot!pg! Hpwfsonfou!Dpef!Tfdujpot!98311-!fu/!tfr/!! ! SECTION 2.5 Time of Filing of Leaving Office Statements. !Boz!eftjhobufe!fnqmpzff! xip!mfbwft!ijt!pggjdf!ps!qptjujpo!tibmm!gjmf!b!ejtdmptvsf!tubufnfou!xjuijo!uijsuz!)41*!ebzt!pg! uif!fggfdujwf!ebuf!pg!mfbwjoh!uif!pggjdf!ps!qptjujpo/!! SECTION 2.6 Categories of Reportable Interests. !Sfqpsubcmf!joufsftut!bsf!ejwjefe!joup! uif!gpmmpxjoh!dbufhpsjft;!! ! b/!Dbufhpsz!2;!Joufsftut!jo!Sfbm!Qspqfsuz/!Joufsftut!jo!sfbm!qspqfsuz!bsf!sfqpsubcmf! joufsftut!jg;!! ! 2/!uif!sfbm!qspqfsuz!up!xijdi!uif!joufsftu!qfsubjot!jt!mpdbufe!jo!qbsu!ps!jo!xipmf;!! ! B/!xjuijo!uif!cpvoebsjft!pg!uif!Djuz-!ps! ! 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C/!sfdfjwfe!cz!boz!cvtjoftt!foujuz!ps!usvtu!jo!xijdi!uif!eftjhobufe!fnqmpzff! ps!ijt!ps!ifs!tqpvtf!pxot-!ejsfdumz-!joejsfdumz-!ps!cfofgjdjbmmz-!b!ufo!qfsdfou! )21&*!joufsftu!ps!hsfbufs-!qspwjefe-!ipxfwfs-!uibu!jo!uif!fwfou!uibu!uif! jodpnf!jt!sfdfjwfe!cz!b!cvtjoftt!foujuz!eftdsjcfe!jo!uijt!qbsbhsbqi!)C*-!uif! wbmvf-!gps!uif!qvsqptf!pg!qbsbhsbqi!)3*-!pg!uif!jodpnf!sfmbuft!up!uif!qsp!sbub! tibsf!pg!uif!eftjhobufe!fnqmpzff!ps!ijt!ps!ifs!tqpvtf!jo!uif!jodpnf!pg!uif! cvtjoftt!foujuz!ps!usvtu/!! ! JODPNF!JODMVEFT-!fydfqu!up!uif!fyufou!fydmvefe!cz!uijt!tvctfdujpo-! jodpnf!pg!boz!obuvsf!gspn!boz!tpvsdf-!jodmvejoh!cvu!opu!mjnjufe!up!boz!tbmbsz-!xbhf-! bewbodf-!qbznfou-!ejwjefoe-!joufsftu-!sfou-!dbqjubm!hbjo-!sfuvso!pg!dbqjubm-!hjgu! )jodmvejoh!boz!hjgu!pg!gppe!ps!cfwfsbhf*-!mpbo-!gpshjwfoftt!ps!qbznfou!pg! joefcufeoftt-!ejtdpvou!jo!uif!qsjdf!pg!bozuijoh!pg!wbmvf!vomftt!uif!ejtdpvou!jt! bwbjmbcmf!up!nfncfst!pg!uif!qvcmjd!xjuipvu!sfhbse!up!pggjdjbm!tubuvt-!sfcbuf-! sfjncvstfnfou!pg!fyqfotft-!qfs!ejfn-!ps!dpousjcvujpo!up!bo!jotvsbodf!ps!qfotjpo! qsphsbn!qbje!cz!boz!qfstpo!puifs!uibo!bo!fnqmpzfs/! !! JODPNF!EPFT!OPU!JODMVEF;!! ! 2/!dbnqbjho!dpousjcvujpot!sfrvjsfe!up!cf!sfqpsufe!voefs!Dibqufs!5!)dpnnfodjoh!xjui! Tfdujpo!95211*!pg!Ujumf!:!pg!uif!Hpwfsonfou!Dpef<!! ! 3/!tbmbsz!boe!sfjncvstfnfou!gps!fyqfotft!ps!qfs!ejfn!sfdfjwfe!gspn!b!tubuf!ps!mpdbm! hpwfsonfou!bhfodz!boe!sfjncvstfnfou!gps!usbwfm!fyqfotft!boe!qfs!ejfn!sfdfjwfe! gspn!b!cpob!gjef!fevdbujpobm-!bdbefnjd!ps!dibsjubcmf!pshboj{bujpo<!! ! 4/!hjgut!pg!jogpsnbujpobm!nbufsjbm-!tvdi!bt!cpplt-!qbnqimfut-!sfqpsut-!dbmfoebst!ps! qfsjpejdbmt<!! ! 5/!hjgut!xijdi!bsf!opu!vtfe!boe!xijdi-!xjuijo!uijsuz!)41*!ebzt!bgufs!sfdfjqu-!bsf!sfuvsofe! up!uif!epops!ps!efmjwfsfe!up!b!dibsjubcmf!pshboj{bujpo!xjuipvu!cfjoh!dmbjnfe!bt!b! dibsjubcmf!dpousjcvujpo!gps!uby!qvsqptft<!! ! 6/!hjgut!gspn!bo!joejwjevbm(t!tqpvtf-!dijme-!qbsfou-!hsboeqbsfou-!hsboedijme-!cspuifs-! tjtufs-!qbsfou.jo.mbx-!cspuifs.jo.mbx-!tjtufs.jo.mbx-!bvou-!vodmf-!ps!gjstu!dpvtjo!ps!uif! tqpvtf!pg!boz!tvdi!qfstpo<!qspwjefe!uibu!b!hjgu!gspn!boz!tvdi!qfstpo!tibmm!cf! dpotjefsfe!jodpnf!jg!uif!epops!jt!bdujoh!bt!bo!bhfou!ps!joufsnfejbsz!gps!boz!qfstpo! opu!dpwfsfe!cz!uijt!qbsbhsbqi!)6*<!! ! 7/!boz!efwjtf!ps!joifsjubodf<!! ! 8/!joufsftu-!ejwjefoet!ps!qsfnjvnt!po!b!ujnf!ps!efnboe!efqptju!jo!b!gjobodjbm! jotujuvujpo-!tibsft!jo!b!dsfeju!vojpo!ps!boz!jotvsbodf!qpmjdz-!qbznfout!sfdfjwfe! voefs!boz!jotvsbodf!qpmjdz-!ps!boz!cpoe!ps!puifs!efcu!jotusvnfou!jttvfe!cz!boz! hpwfsonfou!ps!hpwfsonfou!bhfodz<!boe!! ! 9/!ejwjefoet-!joufsftu!ps!boz!puifs!sfuvso!po!b!tfdvsjuz!xijdi!jt!sfhjtufsfe!xjui!uif! Tfdvsjujft!boe!Fydibohf!Dpnnjttjpo!pg!uif!Vojufe!Tubuft!Hpwfsonfou/!! ! :/!puifs!uibo!b!hjgu-!jodpnf!sfdfjwfe!gspn!boz!tpvsdf!pvutjef!uif!kvsjtejdujpo!pg!uif! Djuz!boe!opu!epjoh!cvtjoftt!xjuijo!uif!kvsjtejdujpo!pg!uif!Djuz-!opu!qmboojoh!up!ep! cvtjoftt!xjuijo!uif!kvsjtejdujpo!pg!uif!Djuz-!ps!opu!ibwjoh!epof!cvtjoftt!xjuijo!uif! kvsjtejdujpo!pg!uif!Djuz!evsjoh!uif!uxp!)3*!zfbst!qsjps!up!uif!ujnf!boz!tubufnfou!ps! puifs!bdujpo!jt!sfrvjsfe!cz!uijt!Dpef<!! ! 21/!jodpnf!gspn!b!tpvsdf!xijdi!jt!b!gpsnfs!fnqmpzfs!jg;!bmm!jodpnf!gspn!uif!fnqmpzfs! xbt!sfdfjwfe!cz!ps!bddsvfe!up!uif!eftjhobufe!fnqmpzff!qsjps!up!uif!ujnf!if!ps!tif! cfdbnf!b!eftjhobufe!fnqmpzff-!uif!jodpnf!xbt!sfdfjwfe!jo!uif!opsnbm!dpvstf!pg! uif!qsfwjpvt!fnqmpznfou-!boe!uifsf!xbt!op!fyqfdubujpo!cz!uif!eftjhobufe! fnqmpzff-!uif!jodpnf!xbt!sfdfjwfe!jo!uif!opsnbm!dpvstf!pg!uif!qsfwjpvt! fnqmpznfou-!boe!uifsf!xbt!op!fyqfdubujpo!cz!uif!eftjhobufe!fnqmpzff!uibu!if!ps! tif!bttvnfe!uif!eftjhobufe!qptjujpo!pg!sfofxfe!fnqmpznfou!xjui!uif!gpsnfs! fnqmpzfs/!! ! e/!Dbufhpsz!JW;!Tvqqmz!Tpvsdft/!Dbufhpsz!JW!jodmveft!jowftunfout!jodmvefe!jo! Dbufhpsz!22!jo!cvtjoftt!foujujft!eftdsjcfe!uifsfjo-!boe!jodpnf!jodmvefe!jo! Dbufhpsz!JJJ!gspn!cvtjoftt!foujujft!eftdsjcfe!uifsfjo-!jg!tvdi!cvtjoftt!foujujft! nbovgbduvsf!ps!tfmm!tvqqmjft-!nbdijofsz!ps!frvjqnfou!pg!uif!uzqf!vujmj{fe!cz!uif! Djuz/!! ! f/!Dbufhpsz!W;!Dpousbdupst/!Dbufhpsz!W!jodmveft!jowftunfout!jodmvefe!jo!Dbufhpsz!JJ! jo!cvtjoftt!foujujft!eftdsjcfe!uifsfjo-!boe!jodpnf!jodmvefe!jo!Dbufhpsz!JJJ!gspn! cvtjoftt!foujujft!eftdsjcfe!uifsfjo<!jg!tvdi!cvtjoftt!foujujft!bsf!dpousbdupst!ps! tvcdpousbdupst!fohbhfe!jo!uif!qfsgpsnbodf!pg!xpsl!ps!tfswjdft!pg!uif!uzqf!vujmj{fe! cz!uif!Djuz/!! ! g/!Dbufhpsz!WJ;!Gjobodjbm!Jotujuvujpot/!Dbufhpsz!WJ!jodmveft!jowftunfout!jodmvefe!jo! Dbufhpsz!JJ!jo!cvtjoftt!foujujft!eftdsjcfe!uifsfjo-!boe!jodpnf!jodmvefe!jo!Dbufhpsz! JJJ!gspn!cvtjoftt!foujujft!uifsfjo-!jg!tvdi!cvtjoftt!foujujft!dpotujuvuf!cbolt-!tbwjoht! boe!mpbo!bttpdjbujpot-!jotvsbodf!dpnqbojft-!jowftunfou!dpnqbojft-!ujumf! dpnqbojft-!gjobodjbm!dpotvmubout!ps!ebub!qspdfttjoh!gjsnt/!! ! SECTION 2.7 Content of Disclosure Statements. Category I /!Ejtdmptvsf!tubufnfout! sfrvjsfe!up!cf!gjmfe!gps!sfqpsubcmf!joufsftut!tqfdjgjfe!jo!Dbufhpsz!J!tibmm!dpoubjo!uif! gpmmpxjoh!jogpsnbujpo;!! ! b/!Uif!beesftt!ps!puifs!qsfdjtf!mpdbujpo!pg!uif!sfbm!qspqfsuz<!! ! c/!B!tubufnfou!pg!uif!obuvsf!pg!uif!joufsftu!jo!uif!sfbm!qspqfsuz<!! ! d/!Xifo!uif!sfbm!qspqfsuz!jt!opu!vtfe!qsjodjqbmmz!bt!uif!sftjefodf!pg!uif!eftjhobufe! fnqmpzff!nbljoh!uif!gjmjoh-!tubufnfou!pg!xifuifs!uif!gbjs!nbslfu!wbmvf!pg!uif! joufsftu!fydffet!uif!dvssfou!sfqpsubcmf!bnpvou!efufsnjofe!cz!ufsnt!pg!Dbmjgpsojb! Dpef!pg!Sfhvmbujpot!Tfdujpo!29841<!boe!! ! e/!Jo!uif!dbtf!pg!bo!joufsftu!jo!sfbm!qspqfsuz!xipmmz!ps!qbsujbmmz!bdrvjsfe!evsjoh!uif! qfsjpe!dpwfsfe!cz!bo!boovbm!ejtdmptvsf!tubufnfou-!uif!ebuf!pg!bdrvjtjujpo!boe-!jg! tvdi!joufsftu!jo!tvdi!qspqfsuz!xbt!ejtqptfe!pg!evsjoh!tvdi!qfsjpe-!uif!ebuf!pg! ejtqptjujpo/!! ! SECTION 2.8 Content of Disclosure Statements; Category II and Related Categories. !Ejtdmptvsf!tubufnfout!sfrvjsfe!up!cf!gjmfe!gps!sfqpsubcmf!joufsftut!tqfdjgjfe!! jo!Dbufhpsz!JJ!boe!jowftunfout!tqfdlfe!jo!Dbufhpsjft!JW-!W!boe!WJ!tibmm!dpoubjo!uif! gpmmpxjoh!jogpsnbujpo;!! ! b/!Uif!obnf!boe!beesftt!pg!uif!cvtjoftt!foujuz!jo!xijdi!fbdi!jowftunfou!jt!ifme<!! ! c/!B!hfofsbm!eftdsjqujpo!pg!uif!cvtjoftt!bdujwjuz!jo!xijdi!uif!cvtjoftt!foujuz!jt! fohbhfe<!! ! d/!B!tubufnfou!pg!uif!obuvsf!pg!uif!jowftunfou<!! ! e/!B!tubufnfou!pg!xifuifs!uif!gbjs!nbslfu!wbmvf!pg!uif!jowftunfou!fydffet!uif!dvssfou! sfqpsubcmf!bnpvou!efufsnjofe!cz!ufsnt!pg!3!Dbmjgpsojb!Dpef!pg!Sfhvmbujpot! Tfdujpo!29841<!boe!)f*!Jo!uif!dbtf!pg!jowftunfout!xipmmz!ps!qbsujbmmz/!Bdrvjsfe! evsjoh!uif!qfsjpe!dpwfsfe!cz!bo!boovbm!ejtdmptvsf!tubufnfou-!uif!ebuf!pg! bdrvjtjujpo!boe-!jg!tvdi!joufsftu!jo!tvdi!qspqfsuz!xbt!ejtqptfe!pg!evsjoh!tvdi! qfsjpe-!uif!ebuf!pg!ejtqptjujpo/!! ! SECTION 2.9 Content of Disclosure Statement; Category III and Related Categories /! Fydfqu!bt!up!bo!jojujbm!ejtdmptvsf!tubufnfou!gps!xijdi!jodpnf!tpvsdft!offe!opu!cf! sfqpsufe-!ejtdmptvsf!tubufnfout!sfrvjsfe!up!cf!gjmfe!gps!sfqpsubcmf!joufsftut!tqfdjgjfe!jo! Dbufhpsz!JJJ!boe!jodpnf!tpvsdft!tqfdjgjfe!jo!Dbufhpsjft!JW-!W!boe!WJ!tibmm!dpoubjo!uif! gpmmpxjoh!jogpsnbujpo;!! ! b/!Uif!obnf!boe!beesftt!pg!fbdi!tpvsdf!pg!jodpnf<!! ! c/!B!hfofsbm!eftdsjqujpo!pg!uif!cvtjoftt!bdujwjuz-!jg!boz-!pg!fbdi!tpvsdf<!! ! d/!B!tubufnfou!xifuifs!uif!bhhsfhbuf!wbmvf!pg!jodpnf!gspn!fbdi!tpvsdf!xbt!hsfbufs! uibo!uif!dvssfou!sfqpsubcmf!bnpvou!efufsnjofe!cz!ufsnt!pg!Dbmjgpsojb!Dpef!pg! Sfhvmbujpot!Tfdujpo!29841<! ! e/!B!eftdsjqujpo!pg!uif!dpotjefsbujpo-!jg!boz-!gps!xijdi!uif!jodpnf!xbt!sfdfjwfe<!! ! f/!Jo!uif!dbtf!pg!jodpnf!dpotujuvujoh!b!hjgu-!uif!bnpvou!boe!uif!ebuf!po!xijdi!uif!hjgu! xbt!sfdfjwfe<!! ! g/!Jo!uif!dbtf!pg!jodpnf!pg!b!cvtjoftt!foujuz-!jo!xijdi!uif!eftjhobufe!fnqmpzff!ps! ijt!ps!ifs!tqpvtf!pxot!b!ufo!qfsdfou!)21&*!joufsftu!ps!npsf<!! ! 2/!obnf!boe!beesftt!boe!b!hfofsbm!eftdsjqujpo!bdujwjuz!pg!uif!cvtjoftt!foujuz<! ! 3/!jg!tvdi!cvtjoftt!foujuz!qspwjeft!mfhbm!ps!csplfsbhf!tfswjdft-!uif!obnf!pg! fwfsz!obuvsbm!qfstpo-!opo.qspgju!bttpdjbujpo!ps!dpsqpsbujpo!boe!cvtjoftt! foujuz!xip!qbje!gfft!up!tvdi!cvtjoftt!foujuz!pg!uif!eftjhobufe!fnqmpzff!ps! ijt!tqpvtf<! !! 4/!jg!tvdi!cvtjoftt!foujuz!epft!opu!qspwjef!mfhbm!ps!csplfsbhf!tfswjdft-!uif! obnf!pg!fwfsz!obuvsbm!qfstpo-!opo.qspgju!bttpdjbujpo!ps!dpsqpsbujpo-!boe! cvtjoftt!foujuz!gspn!xipn!tvdi!cvtjoftt!foujuz!sfdfjwfe!qbznfout!cz!uif! eftjhobufe!fnqmpzff!ps!ijt!ps!ifs!tqpvtf!gspn!tvdi!qfstpo-!opo.qspgju! bttpdjbujpo!ps!dpsqpsbujpo-!ps!cvtjoftt!foujuz!evsjoh!boz!dbmfoebs!zfbs! qbsujbmmz!ps!xipmmz!dpwfsfe!cz!uif!ejtdmptvsf!tubufnfou!cfjoh!gjmfe/!! ! SECTION 2.10 Form of Disclosure Statements. !Ejtdmptvsf!tubufnfout!sfrvjsfe!up!cf! gjmfe!ifsfvoefs!gps!boz!dbufhpsz!pg!sfqpsubcmf!joufsftut!tibmm!cf!tvctuboujbmmz!po!uif!gpsnt! tvqqmjfe!cz!uif!Djuz!Dmfsl!pg!uif!Djuz!pg!Uvtujo/!! ! ARTICLE III DISQUALIFICATION ! SECTION 3.1 General Rule. !Eftjhobufe!fnqmpzfft!ibwf!b!dpogmjdu!pg!joufsftu!boe!tibmm! ejtrvbmjgz!uifntfmwft!gspn!nbljoh!ps!qbsujdjqbujoh!jo!uif!nbljoh!pg!boz!hpwfsonfoubm! efdjtjpo!xifo!ju!jt!sfbtpobcmz!gpsftffbcmf!uibu!uif!efdjtjpo!xjmm!ibwf!b!nbufsjbm!gjobodjbm! fggfdu-!ejtujohvjtibcmf!gspn!jut!fggfdu!po!uif!qvcmjd!hfofsbmmz-!po!b!gjobodjbm!joufsftu!pg!uif! eftjhobufe!fnqmpzff/!B!eftjhobufe!fnqmpzff!tibmm!opu!cf!sfrvjsfe!up!ejtrvbmjgz!ijntfmg! xjui!sftqfdu!up!boz!nbuufs!xijdi!dpvme!opu!cf!mfhbmmz!bdufe!vqpo!ps!efdjefe!xjuipvu!ijt! qbsujdjqbujpo/!! ! SECTION 3.2 Making Governmental Decision; Actions Included. !B!eftjhobufe! fnqmpzff!nblft!b!hpwfsonfoubm!efdjtjpo!xjuijo!uif!nfbojoh!pg!uijt!Bsujdmf-!xifo!if!ps! tif-!bdujoh!xjuijo!uif!bvuipsjuz!pg!ijt!ps!ifs!qptjujpo;!! ! b/!Wpuft!po!b!nbuufs<!! c/!Bqqpjout!b!qfstpo<!! d/!Pcmjhbuft!ps!dpnnjut!uif!Djuz!up!boz!dpvstf!pg!bdujpo<!! e/!Foufst!joup!boz!dpousbduvbm!bhsffnfou!po!cfibmg!pg!uif!Djuz<!ps!! f/!Efufsnjoft!opu!up!bdu-!xjuijo!uif!nfbojoh!pg!tvc.tfdujpo!)b*!uispvhi!tvctfdujpo! )e*-!vomftt!tvdi!efufsnjobujpo!jt!nbef!cfdbvtf!pg!ijt!ps!ifs!gjobodjbm!joufsftu/!! ! Xifo!uif!efufsnjobujpo!.opu!up!bdu!pddvst!cfdbvtf!pg!ijt!ps!ifs!gjobodjbm!joufsftu-!uif! eftjhobufe!fnqmpzff(t!efufsnjobujpo!nvtu!cf!bddpnqbojfe!cz!ejtdmptvsf!pg!uif!gjobodjbm! joufsftu!nbef!qbsu!pg!uif!Djuz(t!pggjdjbm!sfdpset-!ps!nbef!jo!xsjujoh!up!uif!eftjhobufe! fnqmpzff(t!tvqfswjtps!ps!bqqpjoujoh!qpxfs-!bt!bqqspqsjbuf/!! ! TFDUJPO!4/4!Qbsujdjqbujoh!jo!Efdjtjpot<!Bdujpot!Jodmvefe/!B!eftjhobufe!fnqmpzff! qbsujdjqbuft!jo!uif!nbljoh!pg!b!hpwfsonfoubm!efdjtjpo!xjuijo!uif!nfbojoh!pg!uijt!Bsujdmf-! xifo!if!ps!tif-!bdujoh!xjuijo!uif!bvuipsjuz!pg!ijt!ps!ifs!qptjujpo;!! ! b/!Ofhpujbuft!xjuipvu!tjhojgjdbou!tvctuboujwf!sfwjfx-!xjui!b!hpwfsonfoubm! foujuz!ps!qsjwbuf!qfstpo!sfhbsejoh!uif!efdjtjpo<!ps!! ! c/!Bewjtft!ps!nblft!sfdpnnfoebujpot!up!uif!efdjtjpo!nblfs-!fjuifs!ejsfdumz! ps!xjuipvu!tjhojgjdbou!joufswfojoh!tvctuboujwf!sfwjfx!cz;!! ! 2/!Dpoevdujoh!sftfbsdi!ps!jowftujhbujpot!xijdi!sfrvjsf!uif!fyfsdjtf!pg! kvehnfou!po!uif!qbsu!pg!uif!eftjhobufe!fnqmpzff!boe!uif!qvsqptf!pg! xijdi!jt!up!jogmvfodf!uif!efdjtjpo<!ps!! ! 3/!Qsfqbsjoh!ps!qsftfoujoh!boz!sfqpsu-!bobmztjt!ps!pqjojpo-!psbmmz!ps!jo! xsjujoh-!xijdi!sfrvjsft!uif!fyfsdjtf!pg!kvehnfou!po!uif!qbsu!pg!b! eftjhobufe!fnqmpzff-!boe!uif!qvsqptf!pg!xijdi!jt!up!jogmvfodf!uif! efdjtjpo/!! ! SECTION 3.4 Making or Participating in Decisions; Actions Excluded. !Nbljoh!ps! qbsujdjqbujoh!jo!uif!nbljoh!pg!b!hpwfsonfoubm!efdjtjpo!bt!vtfe!jo!uijt!Bsujdmf!tibmm!opu! jodmvef;!! ! b/!Bdujpot!pg!b!eftjhobufe!fnqmpzff!xijdi!bsf!tpmfmz!njojtufsjbm-!tfdsfubsjbm-!nbovbm-! ps!dmfsjdbm<! ! c/!Bqqfbsbodft!cz!b!eftjhobufe!fnqmpzff!bt!b!nfncfs!pg!uif!hfofsbm!qvcmjd!cfgpsf! bo!bhfodz!jo!uif!dpvstf!pg!jut!qsftdsjcfe!hpwfsonfoubm!gvodujpo!up!sfqsftfou! ijntfmg!ps!ifstfmg!po!nbuufst!sfmbufe!tpmfmz!up!ijt!ps!ifs!qfstpobm!joufsftut<!ps!! ! d/!!Bdujpot!cz!b!eftjhobufe!fnqmpzff!sfmbujoh!up!uif!dpnqfotbujpo!ps!uif!ufsnt!ps! dpoejujpot!pg!ijt!ps!ifs!fnqmpznfou!ps!dpousbdu/!! SECTION 3.5 Financial Interest. !B!gjobodjbm!joufsftu!bt!vtfe!jo!uijt!Bsujdmf!nfbot;! ! b/!B!ejsfdu!ps!joejsfdu!joufsftu!jo!sfbm!qspqfsuz!bt!eftdsjcfe!jo!Tfdujpo!3/7)b*<!! ! c/!B!ejsfdu!ps!joejsfdu!jowftunfou!bt!eftdsjcfe!jo!Tfdujpo!3/7)c*<!! ! d/!B!tpvsdf!pg!jodpnf!bt!eftdsjcfe!jo!Tfdujpo!3/7)d*-!puifs!uibo!b!mpbo!cz!b! dpnnfsdjbm!mfoejoh!jotujuvujpo!jo!uif!sfhvmbs!dpvstf!pg!cvtjoftt!sfdfjwfe!cz!ps! qspnjtfe!up!uif!eftjhobufe!fnqmpzff!xjuijo!uxfmwf!)23*!npouit!qsjps!up!uif!ujnf! xifo!uif!efdjtjpo!sfgfssfe!up!jo!Tfdujpo!4/2!jt!nbef<!ps!! ! e/!B!cvtjoftt!foujuz!jg!uif!eftjhobufe!fnqmpzff!jt!b!ejsfdups-!pggjdfs-!qbsuofs-!usvtuff! ps!fnqmpzff!ps!ipmet!boz!qptjujpo!pg!nbobhfnfou!uifsfjo/!! ! Gps!uif!qvsqptf!pg!uijt!Tfdujpo-!joejsfdu!jowftunfou!ps!joufsftu!nfbot!boz!jowftunfou!ps! joufsftu!pxofe!cz!uif!tqpvtf!ps!efqfoefou!dijme!pg!b!eftjhobufe!fnqmpzff-!cz!bo!bhfou! po!cfibmg!pg!b!eftjhobufe!fnqmpzff-!cz!boz!cvtjoftt!foujuz!dpouspmmfe!cz!uif!eftjhobufe! fnqmpzff!ps!cz!b!usvtu!jo!xijdi!if!ibt!b!tvctuboujbm!joufsftu/!B!cvtjoftt!foujuz!jt! dpouspmmfe!cz!b!eftjhobufe!fnqmpzff!jg!uif!eftjhobufe!fnqmpzff-!ijt!bhfou-!tqpvtf!boe!! efqfoefou!dijmesfo!ipme!npsf!uibo!gjguz!qfsdfou!)61&*!pg!uif!pxofstijq!joufsftu!jo!uif! foujuz/!B!eftjhobufe!fnqmpzff!ibt!b!tvctuboujbm!joufsftu!jo!b!usvtu!xifo!uif!fnqmpzff-! ijt!tqpvtf!boe!efqfoefou!dijmesfo!ibwf!b!qsftfou!ps!gvuvsf!joufsftu!xpsui!npsf!uibo!uif! dvssfou!sfqpsubcmf!bnpvou!efufsnjofe!cz!ufsnt!pg!Dbmjgpsojb!Dpef!pg!Sfhvmbujpot!Tfdujpo! 29841! ! SECTION 3.6 Affected Materially. b/!Tuboebse!pg!Efufsnjobujpo/!Uif!gjobodjbm!fggfdu!pg!b!hpwfsonfoubm!efdjtjpo!po!b! gjobodjbm!joufsftu!pg!b!eftjhobufe!fnqmpzff!jt!nbufsjbm!jg-!bu!uif!ujnf!uif!eftjhobufe! fnqmpzff!nblft!ps!qbsujdjqbuft!jo!uif!nbljoh!pg!b!efdjtjpo-!jo!mjhiu!pg!bmm!uif! djsdvntubodft!boe!gbdut!lopxo!bu!uif!ujnf!pg!uif!efdjtjpo-!uif!eftjhobufe! fnqmpzff!lopxt!ps!ibt!sfbtpo!up!lopx!uibu!uif!fyjtufodf!pg!uif!gjobodjbm!joufsftu! njhiu!joufsgfsf!xjui!uif!eftjhobufe!fnqmpzff(t!qfsgpsnbodf!pg!ijt!ps!ifs!evujft!jo! bo!jnqbsujbm!nboofs!gsff!gspn!cjbt/!! ! c/!Djsdvntubodft!up!cf!Dpotjefsfe/!Jo!efufsnjojoh!uif!fyjtufodf!pg!b!nbufsjbm!fggfdu! vqpo!b!gjobodjbm!joufsftu-!uif!eftjhobufe!fnqmpzff!tibmm!dpotjefs!sfmfwbou!gbdupst-! jodmvejoh!cvu!opu!mjnjufe!up!uif!gpmmpxjoh;!! ! 2/!Jo!uif!dbtf!pg!boz!sfbm!qspqfsuz!jo!xijdi!uif!eftjhobufe!fnqmpzff!ibt!b! ejsfdu!ps!joejsfdu!joufsftu!! ! B/!xifuifs!uif!fggfdu!pg!uif!efdjtjpo!xjmm!cf!up!jodsfbtf!uif!jodpnf!.! qspevdjoh!qpufoujbm!pg!uif!sfbm!qspqfsuz<!boe! ! C/!xifuifs!uif!fggfdu!pg!uif!efdjtjpo!xjmm!cf!up!jodsfbtf!uif!gbjs!nbslfu! wbmvf!pg!uif!sfbm!qspqfsuz/! !! 3/!Jo!uif!dbtf!pg!b!cvtjoftt!foujuz!jo!xijdi!uif!eftjhobufe!fnqmpzff!ibt!b! ejsfdu!ps!joejsfdu!jowftunfou!ps!jo!uif!dbtf!pg!b!eftjhobufe!fnqmpzff!xip!jt! ejsfdups-!pggjdfs-!qbsuofs-!usvtuff-!fnqmpzff-!ps!ipmet!boz!qptjujpo!pg! nbobhfnfou!jo!b!cvtjoftt!foujuz;!! ! B/!xifuifs!uif!fggfdu!xjmm!cf!up!jodsfbtf!ps!efdsfbtf!uif!boovbmj{fe! hsptt!sfwfovf!pg!uif!cvtjoftt!foujuz!cz!pof!qfsdfou!)2&*!ps!npsf!ps! uif!boovbm!ofu!jodpnf!pg!uif!cvtjoftt!foujuz!cz!gjwf!qfsdfou!)6!&*!ps! npsf<!boe!! ! C/!xifuifs!uif!fggfdu!pg!uif!efdjtjpo!xjmm!cf!up!jodsfbtf!ps!efdsfbtf!uif! bttfut!ps!mjbcjmjujft!pg!uif!cvtjoftt!foujuz/!! ! 4/!Jo!uif!dbtf!pg!b!tpvsdf!pg!jodpnf!pg!b!eftjhobufe!fnqmpzff!)puifs!uibo!b!! mpbo!cz!b!dpnnfsdjbm!mfoejoh!jotujuvujpo!jo!uif!sfhvmbs!dpvstf!pg!cvtjoftt*! sfdfjwfe!cz!ps!qspnjtfe!up!uif!eftjhobufe!fnqmpzff!xjuijo!uxfmwf!)23*! npouit!qsjps!up!uif!ujnf!xifo!uif!efdjtjpo!jt!nbef;!! ! B/!xifuifs-!jg!uif!tpvsdf!pg!jodpnf!jt!b!cvtjoftt!foujuz-!uif!efdjtjpo!xjmm!bggfdu!tvdi! cvtjoftt!foujuz!jo!uif!nboofs!eftdsjcfe!jo!tvctfdujpo!)3*!bcpwf<!! ! C/!xifuifs!uif!hpwfsonfoubm!efdjtjpo!xjmm!ejsfdumz!bggfdu!uif!bnpvou!pg!jodpnf!up!cf! sfdfjwfe!cz!uif!eftjhobufe!fnqmpzff<!boe!! ! D/!xifuifs!uifsf!jt!b!sfmbujpotijq!cfuxffo!uif!hpwfsonfoubm!efdjtjpo!boe!uif! qvsqptf!gps!xijdi!uif!eftjhobufe!fnqmpzff!sfdfjwft!jodpnf/! !! Uif!tqfdjgjd!epmmbs!ps!qfsdfoubhf!bnpvout!tfu!gpsui!jo!uijt!tvctfdujpo!ep!opu!dpotujuvuf! fjuifs!bctpmvuf!nbyjnvn!ps!njojnvn!mfwfmt-!cvu!bsf!nfsfmz!joufoefe!up!qspwjef!hvjebodf! boe!tipvme!cf!dpotjefsfe!bmpoh!xjui!puifs!sfmfwbou!gbdupst!jo!efufsnjojoh!xifuifs!b! gjobodjbm!joufsftu!nbz!joufsgfsf!xjui!uif!eftjhobufe!fnqmpzff(t!fyfsdjtf!pg!ijt!ps!ifs! evujft!jo!sfoefsjoh!b!efdjtjpo/!! ! Fydmvefe!Djsdvntubodft/!Uif!nbljoh!ps!qbsujdjqbujpo!jo!uif!nbljoh!pg!b!hpwfsonfoubm! efdjtjpo!cz!b!qfstpo!bdujoh!voefs!dpousbdu!jo!uif!qptjujpo!pg!dpotvmubou!ps!cz!b!qfstpo! sfubjofe!up!qspwjef!jogpsnbujpo-!bewjdf-!sfdpnnfoebujpo!ps!dpvotfm!ibt!op!nbufsjbm! gjobodjbm!fggfdu!po!b!cvtjoftt!foujuz!ps!tpvsdf!pg!jodpnf!jo!xijdi!tvdi!qfstpo!bdujoh!voefs! dpousbdu!jo!uif!qptjujpo!pg!dpotvmubou-!ps!qfstpo!sfubjofe!up!qspwjef!jogpsnbujpo-!bewjdf-! sfdpnnfoebujpo!ps!dpvotfm!jt!bo!pggjdfs-!fnqmpzff-!tpmf!qspqsjfups!ps!qbsuofs-!jg!uif!pomz! gjobodjbm!fggfdut!pg!uif!efdjtjpo!bsf!uif!npejgjdbujpo-!qfsqfuvbujpo!ps!sfofxbm!pg!uif! dpousbduvbm!ps!sfubjofs!bhsffnfou!boe!0ps!uif!pqqpsuvojuz!up!cje!dpnqfujujwfmz!po!b!qspkfdu! ps!dpousbdu/!! ! SECTION 3.7 Notice of Action Taken. B/!)Nboebupsz!Qptujoh!pg!Opujdf!pg!Bdujpo!Ublfo/!Jg!b!eftjhobufe!fnqmpzff! ejtrvbmjgjft!ijntfmg!ps!ifstfmg!gspn!uif!nbljoh!pg!b!efdjtjpo-!ps!qbsujdjqbujoh!jo!b! efdjtjpo-!vqpo!b!qbsujdvmbs!tvckfdu-!boe!jg!uif!Djuz!tvctfrvfoumz!dpnnjut!jutfmg!up!b! efgjojuf!dpvstf!pg!bdujpo!xjui!sfhbse!up!tbje!tvckfdu-!uifo!uif!Djuz!Dmfsl!tibmm!qptu! b!Opujdf!pg!Bdujpo!Ublfo!bt!tppo!bt!jt!qsbdujdbcmf!gpmmpxjoh!tvdi!dpnnjunfou/! Tbje!Opujdf!tibmm!cf!dpotqjdvpvtmz!qptufe!po!ps!ofbs!uif!epps!pg!uif!sfhvmbs! nffujoh!qmbdf!pg!uif!hpwfsojoh!cpez!pg!uif!Djuz/!! ! C/!Ejtdsfujpobsz!Qptujoh!pg!Opujdf!pg!Bdujpo/!Jo!uif!fwfou!uibu!uif!Djuz!dpnnjut!jutfmg! up!b!efgjojuf!dpvstf!pg!bdujpo!xjui!sfhbse!up!boz!tvckfdu!boe!op!ejtrvbmjgjdbujpo!ibt! pddvssfe-!uif!hpwfsojoh!cpez!nbz!ejsfdu!uif!Djuz!Dmfsl!up!qptu!uif!Opujdf!eftdsjcfe! jo!tvctfdujpo!)b*!bu!uif!ujnf!boe!qmbdf!tfu!gpsui!jo!tbje!tvctfdujpo/!! ! D/!Sfrvftu!gps!Sfdpotjefsbujpo;!Ujnf!pg!Gjmjoh<!Fggfdu!pg!Gbjmvsf!up!Gjmf/!Jo!uif!fwfou! uibu!b!Opujdf!ibt!cffo!qptufe!qvstvbou!up!tvctfdujpot!)b*!ps!)c*-!b!xsjuufo!sfrvftu! gps!sfdpotjefsbujpo!ps!ejtbqqspwbm!pg!boz!Djuz!dpnnjunfou!po!uif!hspvoe!pg! fyjtufodf!pg!b!dpogmjdu!pg!joufsftu!pg!eftjhobufe!fnqmpzff!tibmm!cf!gjmfe!xjui!uif!Djuz! Dmfsl!xjuijo!uijsuz!)41*!ebzt!pg!uif!qptujoh!pg!tbje!Opujdf/!Jo!uif!fwfou!uibu!tvdi!b! sfrvftu!jt!opu!gjmfe-!tbje!dpnnjunfou!boe!bmm!efdjtjpot!nbef!xjui!sfhbse!uifsfup! tibmm!cf!gjobm!boe!dpodmvtjwf/!! ! E/!Sfdpotjefsbujpo!Vqpo!Gjmjoh!pg!Sfrvftu!Uifsfgpsf/!Jo!uif!fwfou!uibu!b!sfrvftu!jt! gjmfe!xjui!uif!Djuz!Dmfsl!qvstvbou!up!tvctfdujpo!)d*!ifsfpg-!uif!Djuz!Dmfsl!tibmm!ejsfdu! tbje!sfrvftu!up!uif!Djuz!hpwfsojoh!cpez-!pggjdfs!ps!fnqmpzff!sftqpotjcmf!gps!uif! Djuz!dpnnjunfou!jo!rvftujpo!boe!tbje!cpez-!pggjdfs!ps!fnqmpzff!tibmm!dbvtf!tbje! dpnnjunfou!up!cf!sfdpotjefsfe/!! ! ARTICLE IV MISCELLANEOUS SECTION 4.1 Legal opinions. !Boz!eftjhobufe!fnqmpzff!xip!jt!vodfsubjo!pg!boz! pcmjhbujpo!bsjtjoh!voefs!uif!qspwjtjpot!pg!uijt!Dpef!ps!uif!Qpmjujdbm!Sfgpsn!Bdu!pg!2:85! )Hpwfsonfou!Dpef!Tfdujpot!92111!fu!tfr/*-!nbz!sfrvftu!b!gpsnbm!pqjojpo!ps!mfuufs!pg! bewjdf!gspn!uif!Djuz!Buupsofz!pg!uif!Djuz/!Jo!uif!fwfou!uif!Djuz!Buupsofz!jt!vobcmf!ps! efdmjoft-!cz!xsjuufo!opujdf-!up!jttvf!bo!pqjojpo!up!uif!eftjhobufe!fnqmpzff-!ps!jo!uif!fwfou! uif!eftjhobufe!fnqmpzff!jt!ejttbujtgjfe!xjui!uif!pqjojpo!sfdfjwfe!gspn!uif!Djuz!Buupsofz! pg!Djuz-!if!nbz!sfrvftu!uif!Djuz!Dpvodjm!pg!uif!Djuz!up!tffl!b!gpsnbm!pqjojpo!ps!mfuufs!pg! bewjdf!gspn!uif!Gbjs!Qpmjujdbm!Qsbdujdft!Dpnnjttjpo/!! ! SECTION 4.2 Reliance on Legal Opinion /!Jg!b!mfhbm!pqjojpo!jt!jttvfe!jo!xsjujoh!cz!uif! Djuz!Buupsofz!pg!Djuz-!tubujoh!jo!gvmm!uif!gbdut!boe!uif!mbx!vqpo!xijdi!uif!pqjojpo!jt!cbtfe-! dpnqmjbodf!cz!uif!eftjhobufe!fnqmpzff!xjui!tvdi!pqjojpo!nbz!cf!fwjefodf!pg!hppe!gbjui! jo!boz!djwjm!ps!dsjnjobm!qspdffejoh!cspvhiu!qvstvbou!up!uif!qspwjtjpot!pg!uif!Qpmjujdbm! Sfgpsn!Bdu!pg!2:85!ps!uijt!Dpef/!Uif!eftjhobufe!fnqmpzff(t!hppe!gbjui!dpnqmjbodf!xjui! uif!xsjuufo!pqjojpo!pg!uif!Djuz!Buupsofz!pg!uif!Djuz!tibmm!bmtp!bdu!bt!b!dpnqmfuf!efgfotf!up! boz!ejtdjqmjobsz!bdujpo!uibu!uif!Djuz!nbz!csjoh-!voefs!Tfdujpo!:2114/6!pg!uif!Qpmjujdbm! Sfgpsn!Bdu!ps!uijt!Dpef/!! ! SECTION 4.3 Statute of Limitations. !Op!kvejdjbm!qspdffejoht!cbtfe!vqpo! ejtrvbmjgjdbujpo!qspwjtjpo!pg!uijt!Dpef!tibmm!cf!cspvhiu!qvstvbou!up!Hpwfsonfou!Dpef! Tfdujpo!:2114)c*!up!sftusbjo!uif!fyfdvujpo!ps!up!tfu!btjef!pggjdjbm!bdujpo!pg!uif!Djuz!vomftt! dpnnfodfe!ojofuz!):1*!ebzt!gpmmpxjoh!pggjdjbm!bdujpo!ps!efdjtjpo/!!