Section 559.1 - Required Contract-Related Disclosures(a) Definitions. For the purposes of this Section:
(1)Agent. Agent means any Person hired, engaged, retained by, or serving for the benefit of or on behalf of a Proposer or Contractor, who acts or acted for compensation as a finder, solicitor, marketer, lobbyist, consultant, broker, representative, agent or other intermediary to assist, directly or indirectly, in preparing a Proposal to CalPERS or in securing a Contract with CalPERS.(2)Board Member. Board Member means a current or former member of the CalPERS Board of Administration.(3)Contract. Contract means an agreement between CalPERS and any Person to provide CalPERS goods and/or services. Contract includes new contracts and amendments to existing contracts (including contract extensions), letters of engagement, consulting purchase orders and similar agreements.(4)Contractor. Contractor means any Person providing services to CalPERS pursuant to a Contract.(5)Contract-Related Disclosure Form. Contract-Related Disclosure Form means the document provided by a Proposer or Contractor to CalPERS as required in subdivision (b) hereof.(6)Familial Relationship. Familial Relationship means a relationship by blood, marriage, registration of domestic partnership or adoption.(7)Person. Person means an individual, corporation, partnership, limited partnership, limited liability company, association or other entity (whether domestic or foreign).(8)Proposal. Proposal means any Person's written response to a Solicitation.(9)Proposer. Proposer means any Person who provides a Proposal in response to a Solicitation.(10)Solicitation. Solicitation means any process by which CalPERS seeks to procure a Person to provide goods and/or services to CalPERS, including without limitation Requests for Proposal and Invitations to Bid, regardless of amount.(11)Staff Member. Staff Member means anyone employed at CalPERS within the five (5) years preceding the date the Contract-Related Disclosure Form is due.(12)Things of Value. Things of Value include, but are not limited to, payments, gifts, loans, cash, meals, travel, awards, campaign contributions, charitable donations, and/or reimbursements. Things of Value do not include: (A) Informational material such as books, reports, pamphlets, calendars, or periodicals within the meaning of Government Code section 82028, subdivision (e).(B) Items that CalPERS determines are negligible in light of their amount, nature, purpose, or timing.(C) Free admission, and refreshments and similar non-cash nominal benefits provided to any Board Member or Staff Member for giving a speech, participating on a panel or making a substantive formal presentation at a seminar or similar event, where the speech, participation or presentation is for official CalPERS business and the member is representing CalPERS in the course and scope of his or her official duties.(b) Each Proposer or Contractor shall submit to CalPERS a Contract-Related Disclosure Form, signed by an individual authorized to bind the Proposer or Contractor and containing the information listed in (1) and (2) below. For Proposals, the Contract-Related Disclosure Form is due no later than the final filing date for the Solicitation. For Contract amendments, engagements, purchase orders, and any Contracts for which a Contract-Related Disclosure Form was not submitted within one (1) year preceding the execution of the Contract, the Contract-Related Disclosure Form is due no later than the date of execution. The Contract-Related Disclosure Form is required for Contracts where the total amount is $10,000 or more, and for all Proposals and Contracts that are the result of an Invitation to Bid or a Request for Proposal, regardless of amount. The Contract-Related Disclosure Form is not required when a Placement Agent Information Disclosure is required by Section 559. (1) The name of every Agent and the following information for each identified Agent:(A) A copy of all contracts, agreements, and other documents memorializing the relationship between the Proposer or Contractor and the Agent.(B) A description of any financial or Familial Relationship(s) between the Agent and a Board Member or Staff Member, including the name(s) of the Board Member(s) and the Staff Member(s).(C) Any Things of Value given or offered by the Agent to a Board Member or Staff Member during the twelve (12) months preceding the date the Contract-Related Disclosure Form is due.(2) Any Things of Value given or offered by the Proposer or Contractor to a Board Member or Staff Member during the twelve (12) months preceding the date the Contract-Related Disclosure Form is due.(3) If the Proposer or Contractor does not have any information requested in (1) or (2) above, the Proposer or Contractor will indicate this on the Contract-Related Disclosure Form.(4) The Contract-Related Disclosure Form shall be provided by the System as follows: Click here to view image
CalPERS Contract-Related Disclosure Form |
(To be used if Contractor is not required to file a Placement Agent Information Disclosure Form (2 CCR § 559)) |
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| This form is to be used for all Contract-Related Disclosures, including Proposals. |
| Please refer to title 2 California Code Regulations section 559.1(b)(1) through (b)(3), prior to completing this form. |
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| a. Solicitation or Contract Number: |
| ___________________________ |
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| b. Proposer or Contractor Name: |
| ___________________________ |
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| c. Name of Individual Authorized to bind the Proposer or Contractor: |
| ___________________________ |
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| d. Contact Person (if different than above): |
| ___________________________ |
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| e. E-mail Address: |
| ___________________________ |
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| f. Phone No: |
| ___________________________ |
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| g. Name of CalPERS Contact (if applicable): |
| ___________________________ |
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| Have you, your firm or your firm's principals, employees, agents, or affiliates compensated or agreed to compensate, directly or indirectly, any Agent as defined in section 559.1(a)(1) (whether or not employed by you) or any entity to act as Agent in connection with this Solicitation or Contract? (§ 559.1(b)(1)) |
| [] Yes. [] No. |
| If you checked Yes, please respond to questions 1 through 5 below, and sign and date the Form on the final page. |
| If you checked No, please respond to question 5 below, and sign and date this Form on the final page. |
| 1. Please list the names and relationships for each Agent in connection with the CalPERS Solicitation or Contract, including a description of the relationship with the Proposer or Contractor. (Add an additional page if necessary.) Please check the box to the left if the Agent is a current or former CalPERS Board Member, Staff Member, consultant, or has a Familial Relationship with any such individual. |
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| Name | Relationship |
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| [] | | |
| [] | | |
| [] | | |
| [] | | |
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| 2. Please attach a copy of all contracts, agreements, or other documents memorializing the relationship between the Proposer or Contractor and the Agent. When an entity is retained as an Agent, please also include the requested information for any officer, director, or employee actively providing Agent services with regard to CalPERS or receiving more than 15% of the Agent fees. |
| ________ |
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| 3. Provide a description of any financial or Familial Relationship(s) between the Agent and a Board Member or Staff Member, including the names of the Board Member(s) and/or Staff Members: |
| ________ |
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| 4. Describe any Things of Value given or offered by the Agent to a Board Member or Staff Member during the twelve (12) months preceding the date the Contract-Related Disclosure Form is due. |
| ________ |
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| 5. Describe any Things of Value given or offered by the Proposer or Contractor to a Board Member or Staff Member during the twelve (12) months preceding the date the Contract-Related Disclosure Form is due. |
| ________ |
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| By executing this form the undersigned represents and warrants the information set forth herein is true and correct. The undersigned agrees to update this information within 14 calendar days of the date Proposer or Contractor knows or reasonably should have known of any defect or changes to this information. |
| The Contract-Related Disclosure Form and attachments shall be a public record subject to disclosure under the California Public Records Act. No confidentiality restrictions shall be placed on information submitted by the Proposer or Contractor. |
| The undersigned represents and agrees it shall make a representation and warranty as to the continuing accuracy of this information in any final written agreement between it and CalPERS. |
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| I, the official named below, acknowledge and declare I have read and understand CCR section 559.1, and that the above-named firm has provided information required by section 559.1 and this Form. I am duly authorized to make this declaration on behalf of the above-named firm, and declare the foregoing is true and correct as of the date of execution of this document. I further acknowledge my firm's responsibility to provide updates in the event this information is determined to be incorrect or has changed. |
| ___________________________ | | ___________________________ | |
| Authorized Signature | | Date | |
| ___________________________ | |
| Name and Title | |
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| Form #PERS01A0068 | |
(c) If Proposer or Contractor determines at any time the information provided on the Contract-Related Disclosure Form is or has become inaccurate, untrue, incomplete or misleading, Proposer or Contractor shall notify CalPERS and provide an updated Contract-Related Disclosure Form within 14 calendar days of the date Proposer or Contractor knew or should have known of such defect or change in the information.(d) Failure of a Proposer or Contractor to submit a complete and accurate Contract-Related Disclosure Form pursuant to subdivision (b), or failure to timely update the Contract-Related Disclosure Form as described in subdivision (c) above: (1) For Proposers, will result in the disqualification of the Proposer from participation in the Solicitation, if the Proposer knew or should have known the information existed as of the date the Contract-Related Disclosure Form was due.(2) For Contractors, may result at CalPERS discretion, and without any default, penalty or liability by or on the part of CalPERS, in termination of the Contract if the Contractor knew or should have known the information existed as of the date the Contract-Related Disclosure Form was due.(e) CalPERS will review the Contract-Related Disclosure Form, and will gather additional information as it deems necessary to make a reasonable and informed decision, and determine whether the information provided demonstrates, or contributes to the appearance of, a conflict of interest or improper influence in connection with the decision to award the Contract.(f) If CalPERS determines there is a conflict of interest or improper influence, or the appearance of a conflict of interest or improper influence, in connection with the decision to award the Contract, CalPERS may disqualify the Proposer or terminate the Contract, as applicable.(g) The CalPERS General Counsel may exempt a Solicitation or Contract from requiring the Proposer or Contractor to submit the Contract-Related Disclosure Form when in his or her opinion it is necessary to meet the fiduciary requirements imposed on the System. The CalPERS General Counsel will report the exemption to the CalPERS Board of Administration.(h) The submitted Contract-Related Disclosure Form and any attachments shall be public records under the California Public Records Act except as provided in subdivision (b)(1)(A) above, to the extent such documents or information are deemed proprietary or trade secret. No confidentiality restrictions shall be placed by the Proposer or Contractor on any information provided pursuant to this section.Cal. Code Regs. Tit. 2, § 559.1
1. New section filed 5-8-2012; operative 5-8-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 19). Note: Authority cited: Government Code sections 20120 and 20121. Reference: Government Code sections 20151, 20152.5, 20153, 87100 and 87103.
1. New section filed 5-8-2012; operative 5-8-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 19).