BILL ANALYSIS                                                                                                                                                                                                    






                           SENATE JUDICIARY COMMITTEE
                        Senator Ellen M. Corbett, Chair
                           2007-2008 Regular Session


          SB 1329                                                S
          Senator Harman                                         B
          As Amended March 24, 2008
          Hearing Date: April 8, 2008                            1
          Corporations Code & Probate Code                       3
          GMO:jd                                                 2
                                                                 9

                                     SUBJECT
                                         
            Charitable Institutions:  Fund Management and Investment

                                   DESCRIPTION  

          Existing law, the Uniform Management of Institutional Funds  
          Act (UMIFA), guides charities on the management and  
          investment of funds by charitable organizations, providing  
          rules on spending from endowment funds, and permits the  
          release of restrictions on the use and management of  
          charitable funds. 

          SB 1329 would repeal UMIFA and enact the Uniform Prudent  
          Management of Institutional Funds Act (UPMIFA) instead.   
          UPMIFA would update the prudence standard that applies to  
          the management and investment of charitable funds or  
          endowment funds and would give institutions the ability to  
          cope more easily with fluctuations in the value of the  
          endowment.

          The bill would change the rules applicable to charitable  
          institutions so that the charity may spend the amount it  
          deems prudent after considering the donor's intent that the  
          endowment fund continue permanently, the purposes of the  
          fund, and relevant economic factors.  It would allow the  
          alteration without court approval, including release to a  
          larger pooled fund, of a small old fund (less than $100,000  
          and more than 20 years old), with notice to the Attorney  
          General.

          Finally, the bill would authorize the court, upon petition  
                                                                 
          (more)



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          by the Attorney General, to order the winding up and  
          dissolution of a nonprofit public benefit corporation  
          without meeting the requirements of existing law, based on  
          the ground that it is impossible or impracticable to meet  
          some or all of those requirements.

          (This analysis reflects author's amendments to be offered  
          in committee.)
                                         

                                   BACKGROUND  

          SB 1329 would enact recommendations from the California  
          Commission on Uniform State Laws (CCUSL), the sponsor of  
          the bill.

          According to the author and sponsor, the existing UMIFA  
          anticipated the Uniform Prudent Investor Act (UPIA)  
          (Probate Code  16045 et seq.) which was enacted in 1997  
          and modified in 2000.  UPIA provides the modern guidance  
          for the prudent standard a fiduciary should follow in  
          making investment decisions.  In order to carry out its  
          standard of total return investing, California also adopted  
          the Uniform Principal and Income Act in 1999 (UPAIA) (AB  
          846 (Ackerman), Ch. 145, Stats. 1999) and revised certain  
          portions relating to unitrusts in 2005 (SB 754  
          (Poochigian), Ch. 100, Stats. 2005).  This bill, which  
          would enact the new Uniform Prudent Management of  
          Institutional Funds Act (UPMIFA), coordinates with and  
          borrows from both the UPIA and the UPAIA.

          The UPMIFA has been enacted in 13 states and the District  
          of Columbia and introduced in 19 states (including  
          California, Illinois, Arizona, and New Mexico) in 2008.   
          The UPMIFA will affect only nonprofit charitable  
          institutions.

                             CHANGES TO EXISTING LAW
           
          1.    Existing law  , the Uniform Management of Institutional  
            Funds Act (UMIFA), governs the management and use of  
            endowed institutional funds held by charitable  
            institutions.  (Probate Code Sec., 18500 et seq.  All  
            references are to the Probate Code unless otherwise  
            indicated.)
                                                                       




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             This bill  would repeal the UMIFA.  In its place, this  
            bill would enact the Uniform Prudent Management of  
            Institutional Funds Act (UPMIFA). Various differences  
            between UMIFA and the proposed UPMIFA are discussed in  
            the Comment section.

             This bill  would define various terms in the act,  
            including "institutional fund," "gift instrument," and  
            "endowment fund."  An "endowment fund" means an  
            institutional fund or part thereof that, under the terms  
            of a gift instrument, is not wholly expendable by the  
            institution on a current basis.  The term would not  
            include assets designated by the institution as an  
            endowment fund for its own use.

             This bill  would impose on an institution managing an  
            institutional fund the duty to consider the charitable  
            purposes of the institution and the purposes of the  
            institutional fund when managing the fund, subject to the  
            donor's intent, as well as the duty to manage and invest  
            the fund in good faith and in compliance with the prudent  
            investor standard.   This bill  would provide rules to  
            follow and factors to consider for an institution  
            managing such funds. (See Comment 3a.)

             This bill  would authorize an institution, subject to a  
            donor's intent expressed in the gift instrument, to  
            appropriate for expenditure or accumulate so much of an  
            endowment as the institution deems prudent  for the uses  
            or purposes and duration of the endowment.   This bill   
            would provide that unless stated otherwise in a gift  
            instrument, the assets in an endowment fund are  
            donor-restricted assets until appropriated for  
            expenditure by the institution.   This bill  would provide  
            factors for the institution to consider when making a  
            determination to appropriate or accumulate so much of an  
            endowment fund. (See Comments 3b and 3c.) 

             This bill  would allow the institution to delegate to an  
            external agent the management and investment of an  
            institutional fund to the extent the institution could  
            prudently delegate under the circumstances, and would  
            delineate the areas over which the institution must  
            exercise prudence. (See Comment 5.)
                                                                       




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             This bill  would authorize, if the donor consents in  
            writing, the institution to release or modify, in whole  
            or in part, a restriction contained in a gift instrument  
            on the management, investment, or purpose of an  
            institutional fund.   This bill  would however, prohibit a  
            release or modification to allow the fund to be used for  
            purposes other than a charitable purpose of the  
            institution. (See Comment 6.)

             The bill  would, using the doctrine of cy pres, allow a  
            court, upon application of an institution, to modify a  
            restriction contained in a gift instrument regarding the  
            management or investment of a fund if the restriction has  
            become impracticable or wasteful, if it impairs the  
            management or investment of the fund, or if, because of  
            circumstances not anticipated by the donor, a  
            modification of a restriction will further the purposes  
            of the fund. (See Comment 6.)

             The bill  would, if an institution determines that a  
            restriction contained in a gift instrument on the  
            management, investment, or purpose of an institutional  
            fund is unlawful, impossible to achieve, or wasteful,  
            authorize the institution, after 60 days' notice to the  
            Attorney General, to release or modify the restriction in  
            whole or in part, if the following apply: (1) the fund  
            subject to the restriction has a total value of less than  
            $100,000; (2) 20 or more years have elapsed since the  
            fund was established; and (3) the institution uses the  
            property in a manner consistent with the charitable  
            purposes expressed in the gift instrument. (See Comment  
            6.)
          
             This bill  would apply to institutional funds existing on  
            or established after January 1, 2009.  As applied to  
            institutional funds existing on January 1, 2009,  this  
            bill  would affect only those decisions made or actions  
            taken on or after January 1, 2009.

          2.    Existing law  establishes the requirements for the  
            winding up and involuntary dissolution of a nonprofit  
            public benefit corporation, which include the final  
            settlement of accounts and the filing of a final  
            franchise tax return, among others.
                                                                       




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             This bill  would authorize a court, upon petition by the  
            Attorney General, to order the winding up and dissolution  
            of a nonprofit public benefit corporation without meeting  
            the requirements of existing law, based on the ground  
            that it is impossible or impracticable to meet some or  
            all of those requirements. (See Comment 7.)

                                     COMMENT
           
          1.     Author's amendments  

            The author has offered amendments to the committee to  
            address a concern relating to donor-restricted funds that  
            would be eligible, under this bill, for release when the  
            funds are at least 20 years old and consist of no more  
            than $100,000.  The amendment would allow an institution,  
            after releasing or modifying a restriction, to use the  
            donated property in accordance with the restriction  
            notwithstanding its release or modification, and that use  
            would be deemed to satisfy the consistency requirement of  
            the provision.

          2.    Need for the bill  

            The sponsor of SB 1329 states that the current rules  
            under UMIFA have prevented endowments from using assets  
            that have plunged in value (such as contributions of  
            Silicon Valley investments) for the charitable purpose  
            the endowment intended and institutions from merging  
            various small institutional funds that have been reduced  
            in value over the years.  This bill would repeal UMIFA,  
            including the use of the Historic Dollar Value (HDV) for  
            endowment expenditures, which is the amount the charity  
            has historically deemed prudent to spend from the  
            endowment fund, as the floor for expenditures from the  
            endowment, thereby freeing up the charity to spend from  
            the fund assets what it deems prudent after consideration  
            of the donor's intent that the endowment fund continue  
            permanently, the purposes of the fund, and relevant  
            economic factors.

            The author and sponsor state that in enacting UPMIFA,  
            this bill would update the rules to give institutions the  
            ability to cope more easily with fluctuations in the  
                                                                       




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            value of the endowment and would permit more efficient  
            management of these funds.

          3.    Rules of management and investment
           
            a.   Good faith and prudent investor standard to be used  

               Proposed Sec. 18503 would require the institution  
               (defined as a person or entity organized exclusively  
               for charitable purposes or a governmental entity that  
               holds funds exclusively for a charitable purpose, or a  
               trust that had both charitable and noncharitable  
               interests, after all noncharitable interests have  
               terminated) to consider both the purposes of the  
               charity and the purpose of the institutional fund in  
               managing and investing the fund, subject only to the  
               intent of a donor expressed in the gift instrument.   
               Further, each person responsible for managing and  
               investing would be bound not only with the duty of  
               loyalty imposed by general law on trusts, but also  
               with the duty to manage and invest the fund in good  
               faith and with the care an ordinarily prudent person  
               in a like position would exercise under the  
               circumstances, i.e., the prudent investor standard  
               imbedded in the Uniform Prudent Investor Act.  

                  Finally, SB 1329 would require a person with  
               special skills or expertise, or who was selected upon  
               that person's representation that he or she has  
               special skills or expertise, has a duty to use those  
               skills or expertise in managing and investing  
               institutional funds.  

               It is not clear what additional protection this  
               provision would give to a donor or to the institution.  
                One provision (proposed Section 18503(b)) already  
               would require "each person responsible for managing  
               and investing an institutional fund" to manage and  
               invest such funds in good faith and with prudent care.  
                Such a person (presumably a trustee of the  
               institutional fund or a board member of the  
               institution) may delegate the management and  
               investment responsibilities to an expert (perhaps an  
               investment manager, in house or from outside, who  
               presumably would be a regulated professional).   
                                                                       




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               Regardless of who the responsibility is delegated to,  
               the ultimate duty lies with the trustees (or board  
               members). By including this provision in the statute,  
               it would appear that trustees or board members may  
               find it useful to be able to shift responsibility for  
               any action relating to management and investments that  
               have untoward results unto the "experts" they hire.

               This provision is not in the current UMIFA, and the  
               sponsor has not provided any information that would  
               justify the inclusion of this provision in UPMIFA.

               SHOULD THIS PROVISION BE STRICKEN FROM THE BILL?

            b.    Cost management obligations; due diligence to verify  
            facts  

               SB 1329 would allow the institution to incur only  
               costs that are appropriate and reasonable, in relation  
               to the assets, the purposes of the institution, and  
               the skill available to the institution.  It also would  
               be required to exert a reasonable effort to verify  
               facts relevant to the management and investment of the  
               fund.  For purposes of management and investment, the  
               institution would be allowed to pool two or more  
               institutional funds.

            c.    Factors to consider in management and investing an  
            institutional fund
             
               SB 1329 would require the institution to consider the  
               following factors in managing and investing an  
               institutional fund: (1) general economic conditions;  
               (2) the possible effect of inflation or deflation; (3)  
               the expected tax consequence of investment decisions  
               or strategies; (4) the role that each investment or  
               action plays within the overall investment portfolio  
               of the fund; (5) the expected total return from income  
               and the appreciation of investments; (6) other  
               resources of the institution; (7) the needs of the  
               institution and the fund to make distributions and to  
               preserve capital; and   (8) an asset's special  
               relationship or special value, if any, to the  
               charitable purposes of the institution.

                                                                       




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                  As a rule, an institution would be required to  
               consider its overall portfolio and overall investment  
               strategy (which includes risk and return objectives  
               reasonably suited to the fund and to the institution)  
               when making decisions about an individual asset. Thus,  
               an institution would be required to invest in any type  
               of property consistent with its purpose, and diversify  
               its investments, unless diversification would  
               frustrate the purpose of the fund or the purpose would  
               be better served without diversification.  Finally, an  
               institution would be required, upon receiving a gift  
               of property, to promptly make adjustments to the  
               portfolio or dispose of or retain the property in  
               order to bring the institutional fund into compliance.

               In response to the Attorney General's suggestion that  
               any ambiguity be cleared with regard to the  
               prohibition against speculative investments embodied  
               in Corporations Code Sec. 5240 and the concomitant  
               liability of directors for such speculative investment  
               decisions, the author has offered an amendment  
               expressly stating that nothing in the section  
               pertaining to management and investment decisions  
               alters the duties and responsibilities of a director  
               of a nonprofit public benefit corporation under  
               Corporations Code Sec. 5240.
          4.    Appropriations and expenditures from an endowment fund

             Under UMIFA, a charity can spend from an endowment fund  
            the amount of appreciation above the historical dollar  
            value (HDV) the charity deems prudent, but it can never  
            spend below the HDV. (Sec. 18502.)  This rule has created  
            problems for institutions managing funds with assets that  
            have depreciated in value over time, such that there is  
            not enough appreciation in the fund to even distribute  
            the HDV.  

            For example, for a $500,000 endowment, the institution  
            prudently distributes 5% annually for ten years to  
            designated scholarships ($25,000 or more, based on the  
            return on investment). This year, due to a severe  
            downturn in the economy and fluctuations in investment  
            earnings, the endowment suffers a loss and is reduced to  
            $400,000.  In this case, the endowment will still have to  
            distribute at least $25,000, the minimum historical  
                                                                       




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            dollar value of the expenditure from this endowment, even  
            though 5% would amount only to $20,000.  This rule would  
            operate to deplete the endowment, which would be a  
            violation of the general purpose of keeping the endowment  
            funded permanently.

            UPMIFA would permit an institution, subject to the intent  
            of a donor as expressed in the gift instrument, to  
            appropriate or accumulate so much of an endowment fund as  
            the institution finds prudent, for the uses, purposes,  
            and duration for which the endowment is established.   
            Assets in an endowment fund would be considered  
            donor-restricted until appropriated for expenditure. As  
            in all cases, the institution would be expected to act in  
            good faith, with the care that an ordinarily prudent  
            person in a like position would exercise under similar  
            circumstances, and to consider factors such as: the  
            duration and preservation of the endowment fund; the  
            purposes of the institution and the endowment fund;  
            expected total return from income and appreciation of  
            investments; general conditions; and the investment  
            policy of the institution.

            The Attorney General (AG) has indicated a preference for  
            an alternate UPMIFA provision on the expenditure of  
            endowment funds.  The AG has suggested that California  
            adopt the UPMIFA alternate language capping the  
            expenditure of endowment funds to no more than seven  
            percent (7%) of the market values determined at least  
            quarterly and averaged over a period not less than three  
            years preceding the appropriation for the expenditure.   
            An expenditure greater than 7% would create a rebuttable  
            presumption of imprudence.  The Attorney General contends  
            that a level of spending that would significantly reduce  
            the purchasing power of an endowment fund over time would  
            generally be "antithetical to the rationale of endowment  
            funds, which?provide a perpetual, stable source of  
            financial support for the institution."  The AG cites the  
            Uniform State Laws Commission report stating six states  
            have adopted this language (Montana, Nevada, Oregon,  
            Tennessee, Texas, and Utah), and that Texas includes only  
            endowment funds valued at $1 million or more in its  
            version of UPMIFA.

            Proponents of SB 1329 reject this proposal from the  
                                                                       




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            Attorney General, stating that gifted assets do fluctuate  
            in value, and the ability to spend more for the purpose  
            of the institution and according to the intent of the  
            donor as expressed in the gift instrument during the  
            high-return years should be permitted, as long as the  
            expenditures are prudent.  And in low-return years, they  
            state, spending when the fund balance has dipped below  
            the historical dollar value, even in accordance with the  
            donor's intent as expressed in a gift instrument, is not  
            permitted under UMIFA.  Thus, they argue that this change  
            of rule is necessary so that institutions may discharge  
            their obligation to honor both the donor's intent and the  
            endowment's purpose.

          5.    Delegation of duties to external agent

             SB 1329 would permit the institution to delegate to an  
            external agent the management and investment of the  
            institutional fund, as long as the delegation of  
            responsibility is prudent and the selection of the agent,  
            the delineation of scope of responsibility, and the  
            periodic review of performance are conducted in a prudent  
            manner.  In this, UPMIFA would impose on the institution  
            the same responsibilities regarding delegation of duties  
            to an external agent as are imposed on trustees of any  
            trust under the Uniform Prudent Investor Act (UPIA) and  
            the Uniform Principal and Income Act (UPAIA).  This  
            reconciling provision is not in the current UMIFA. 

            UMIFA currently allows delegation of the management and  
            investment responsibilities to the institution's  
            committees, officers, or employees and so would UPMIFA.   
            General trust law under the UPIA and UPAIA would govern  
            any liability arising from the delegation of management  
            and investment duties to committees, officers, or  
            employees of the institution under both UMIFA and UPMIFA.  
             As to agents, UMIFA is silent (so that general trust law  
            would govern), but UPMIFA is not.

            SB 1329, which would enact UPMIFA, contains express  
            provisions: (1) imposing on the delegated external agent  
            a duty of care in the performance of the agent's duties  
            and scope of the delegation; (2) relieving the  
            institution of any liability for decisions or actions of  
                                                                               the external agent to which the function was delegated;  
                                                                       




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            and (3) requiring the external agent to submit to the  
            jurisdiction of the state courts in all proceedings  
            related to the delegation or the performance of the  
            delegated function.

            SHOULD AN INSTITUTION BE RELIEVED OF RESPONSIBILITY FOR  
            MANAGEMENT AND INVESTMENT FUNCTIONS SIMPLY BY DELEGATING  
            THE RESPONSIBILITY TO AN EXTERNAL AGENT?

          6.   Release or modification of a restriction; cy pres  
          proceedings

             Under existing law, the UMIFA allows the governing board  
            of an institution, with the written consent of the donor,  
            to release, in whole or in part, a restriction imposed by  
            the applicable gift instrument on the use or investment  
            of an institutional fund.  If the donor's written consent  
            cannot be obtained (by death, disability, unavailability,  
            or impossibility of identification), the governing board  
            may apply to the court for an order releasing a  
            restriction.  The Attorney General must be a party to  
            this proceeding.  And, if the court finds that the  
            restriction is obsolete or impracticable, it may order  
            the restriction released in whole or in part, but the  
            court may not change the endowment fund to a fund that is  
            not an endowment fund.  A release of restriction under  
            this provision does not allow use of the fund for other  
            than the educational, religious, or other charitable  
            purposes of the institution.  Further, this provision  
            does not affect the application of the cy pres doctrine  
            to this restricted fund. (Sec. 18507.)

            The doctrine of cy pres is a rule for the construction of  
            instruments in equity, by which the intention of the  
            party is carried out as near as may be, when it would be  
            impossible or illegal to give it literal effect.  Cy pres  
            is the equitable power by which a court thus makes it  
            possible to carry out a donor's expressed charitable  
            intent but for some reason the donor's purpose cannot be  
            accomplished in the manner expressed in the gift  
            instrument.

            SB 1329 would incorporate the general concept of cy pres  
            and the release or modification of a donor's restriction  
            on donated property and make some changes. Proposed Secs.  
                                                                       




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            18506(a), (b), and (c) are substantially similar to  
            existing Sec. 18507.  However, proposed Sec. 18506(d) is  
            new, and is intended to address the problem of what to do  
            with an institutional fund when the balance is too low  
            and the costs of management becomes disproportionately  
            high, but the cy pres doctrine would not work to solve  
            the dilemma because of the costs of going to court.  

            Thus, under SB 1329, if an institution determines that a  
            restriction contained in a gift instrument on the  
            management, investment, or purpose of an institutional  
            fund is unlawful, impracticable, impossible to achieve,  
            or wasteful, the institution may release or modify the  
            restriction in whole or in part, without a court order  
            and without the written consent of the donor, if all of  
            the following apply: 

              a.  the institutional fund has a total value of less  
            than $100,000;
              b.  the institutional fund is at least 20 years old;  
            and
                c.  the institution uses the property in a manner  
                 consistent with the charitable purposes expressed in  
                 the gift instrument. 

            The institution would be required to notify the Attorney  
            General of the intent to release or modify the  
            restriction 60 days prior to the release or modification  
            of the restriction.

            In addition, an author's amendment to proposed Sec.  
            18506(d)(3) would provide that after the restriction had  
            been released or modified, if appropriate circumstances  
            arise thereafter, the institution may use the property in  
            accordance with the restriction notwithstanding its  
            release or modification, and that use would be deemed to  
            satisfy the consistency requirement of the paragraph.

            Applied to an endowment fund, for example, where the  
            donor endowed the institution $500,000 to provide  
            scholarships to needy college students of a particular  
            ethnic background, this bill would allow the institution,  
            when the endowment is at least 20 years old and the  
            balance is below $100,000, to release the funds to a  
            general pooled institutional fund dedicated to providing  
                                                                       




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            scholarships to needy college students, but would still  
            allow the use of the balance transferred to provide  
            scholarships to qualified students of the particular  
            ethnic background who apply for the scholarship after the  
            restriction had been released and the fund pooled with  
            other funds. 

            The flexibility gained by the institution is therefore  
            still somewhat  constrained by the restriction of the  
            donor's original intent, but the pooling of small  
            institutional funds for the same charitable purposes  
            results in cost-efficiencies of management and investing.

            The Attorney General has suggested that the $100,000  
            figure for releasing or modifying a 20-year old endowment  
            fund's restriction is too high, and suggests $25,000 as  
            the proper number to use.  The $25,000 asset value would  
            be more in line with the Probate Code sections that allow  
            trustees to terminate trusts unilaterally, without court  
            approval ($20,000 value of real estate, Sec. 13200) or  
            that allow a public administrator to administer an estate  
            without court supervision and approval ($30,000 value of  
            estate, Sec. 7660).  However, proponents of SB 1329  
            contend that the $100,000 figure would be consistent with  
            a value of $25,000 20 years ago, which if adjusted would  
            be a little over $100,000.  So that, if this bill is  
            enacted, these 20-year old funds of less than $100,000  
            may be pooled by the institution and used for the  
            charitable purpose intended. 



          7.   Attorney General may bring action to dissolve  
            nonprofit public benefit corporation without meeting  
            winding-up requirements  

            Every corporation, whether for profit or not for profit,  
            for public benefit or private benefit, is required to  
            meet certain requirements in the process of voluntarily  
            winding up and dissolving the corporation. A petition for  
            involuntary dissolution of a nonprofit public benefit  
            corporation may be filed by an authorized person or  
            entity on various grounds, such as the corporation  
            abandoning its activities for more than one year,  
            internal dissention among the members such that two or  
                                                                       




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            more factions are deadlocked and business could not be  
            conducted properly, or those in control of the  
            corporation have been guilty or have knowingly  
            countenanced pervasive fraud, mismanagement, or abuse of  
            authority.  The Attorney General may also petition the  
            court to dissolve such a corporation on the grounds of  
            the corporation's serious violations of the statutes  
            governing corporations or charitable organizations; or  
            the corporation has fraudulently abused or usurped  
            corporate privileges or powers; or there are grounds for  
            the forfeiture of corporate existence; or the corporation  
            has failed to pay to the Franchise Tax Board for a period  
            of five years any tax imposed on it by the state.  

            At the end of the process of winding up and dissolving,  
            and all accounts having been settled, the court may make  
            an order declaring the corporation duly wound up and  
            dissolved, and declaring that (1) a final tax return had  
            been filed, (2) all debts and liabilities paid or  
            provided for as described in the order, (3) known assets  
            have been distributed or that there are no known assets,  
            and (4) that the accounts of directors or such other  
            persons have been settled and they are discharged from  
            their duties and liabilities.

            SB 1329 would provide that in an action brought by the  
            Attorney General to wind up and dissolve a nonprofit  
            public benefit corporation, the court may make an order  
            declaring a corporation to be wound up and dissolved  
            without meeting the requirements stated above (e.g.,  
            filing a final tax return, paying all debts &  
            liabilities, etc.), upon the court finding that it is  
            impossible or impracticable to meet some or all of those  
            requirements.

            The Attorney General requested this change in the  
            nonprofit public benefit corporation law in order to fill  
            a gap that may prevent courts from issuing an order of  
            corporate dissolution in some instances, for example,  
            when no final tax return has been filed with the  
            Franchise Tax Board (FTB) because the corporate officers  
            have ceased to conduct business.  Apparently, when a  
            nonprofit public benefit corporation has not been  
            dissolved in an orderly fashion (as has recently happened  
            with the San Francisco Neighbors Resource Center case,  
                                                                       




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            now pending in San Francisco), the Secretary of State has  
            given notice that unless the FTB filing has been made,  
            the Secretary will refuse to file the dissolution order.   
            The Attorney General seeks this change in the law so that  
            the dissolution may be filed and the public may get  
            notice that the charitable corporation has been  
            dissolved.

          8.    Miscellaneous provisions related to UPMIFA  

            SB 1329 contains several clarifying and/or conforming  
            provisions of note:

             a.  It would provide that compliance with UPMIFA is to  
              be determined in light of the facts and circumstances  
              existing at the time a decision is made or action  
              taken, not by hindsight.

             b.  It would apply these new rules under UPMIFA to  
              institutional funds existing on or established after  
              January 1, 2009.  As applied to institutional funds  
              existing on January 1, 2009, UPMIFA would apply only to  
              decisions made on or after that date.

             c.  It would supersede relevant provisions in the E-SIGN  
              Commerce Act, except as provided.

             d.  It would require that in applying and construing  
              UPMIFA, consideration must be given to the need to  
              promote uniformity of the law with respect to its  
              subject matter.

          9.   Support from qualifying institutions  

            Large educational institutions with substantial endowment  
            funds, as well as the smaller educational institutions  
            support SB 1329.  The University of California, for  
            example, writes, "[i]n some respects, the changes that  
            will be brought about by SB 1329 might be viewed as  
            relatively modest amendments to current law.  However,  
            these modifications are critically important to UC, and  
            to other charitable institutions, as we seek to better  
            manage our investments, prudently and efficiently control  
            expenditures, and maximize the charitable funds that are  
            available for programmatic purposes. These are essential  
                                                                       




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            goals to the UC today, and our ability to effectively  
            manage our endowments will become even more vital in  
            years to come." (Letter dated March 24, 2008.)

            Similarly, the California State University (CSU) states  
            that the CSU has an endowment portfolio with a market  
            value in excess of $800 million that distributes over $30  
            million per year in support of the CSU and its students.  
            "SB 1329 will ensure that the best investment practices  
            govern the investment of institutional funds.  The  
            prudence standards in UMIFA have provided useful  
            guidance, but prudence norms evolve over time.  The new  
            Act (UPMIFA) provides modern articulations of the  
            prudence standards for the management and investment of  
            charitable funds and for endowment spending, and will  
            encourage growth of institutional funds while reducing  
            investment risks." (Letter dated March 21, 2008.)

          Support:    University of California; California State  
                  University; the Association of Independent  
                  California Colleges and Universities

          Opposition: None Known 

                                     HISTORY
           
          Source: California Commission on Uniform State Laws;  
          Attorney General

          Related Pending Legislation: None Known 

          Prior Legislation: None Known

          
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