HomeMy WebLinkAbout2010-4-12
MINUTES OF REGULAR MEETING AND WORKSHOP MEETING
OF THE LA PORTE CITY COUNCIL
APRIL 12, 2010
1. Call to order
~a6lel./
The meeting was called to order by Mayor.pro TC:IH~ldck at 6:00 p.m.
Members of City Council Present: Councilmembers Louis Rigby, Tommy Moser, Daryl
Leonard, John Zemanek, Mike Clausen, Mayor Pro Tem John Black, Mike Mosteit, Chuck
Engelken and Barry Beasley
Members of Council Absent: None
Members of City Executive Staff and City Employees Present:
City Manager's Office: Ron Bottoms, John Joerns, Melisa Lanclos and Dawn Anderson
Legal: Clark Askins
City Secretary's Office: Martha Gillett
Public Works: Steve Gillett
Planning: Tim Tietjens, Brian Sterling and Isaac Rodriquez
Police Department: Ken Adcox and Tracy Phelan
Parks and Recreation: Stephen Barr
Purchasing: Jeanna Masterson
Economic Development: Stacey Osborne
Fire: Mike Boaze
EOC: Jeff Suggs and Kristin Gauthier
Others Present: Ted Powell, Adam Yanelli of the Bayshore Sun, Kathryn Aguilar, Dottie
Kaminski, Mrs. Powell, Chad Burke, Bob Klassen, Josh Schaefer, Phillip Hoot, Marie
McDermott, Orville Burgess, Pam Mabe, Larry Mabe, Colleen Hicks, Paul Chavez, Chuck
Rosa, Mrs. Rosa and other citizens.
2. The Invocation was given by Councilmember Black.
3. Councilman Mike Mosteit led the Pledge of Allegiance.
4. Presentations/Proclamations
A. Mayor Beasley presented the "Internet Safety Month Day" proclamation to recipients.
B. Chad Burke from the Economic Development Alliance provided a presentation.
Chad Burke of the Economic Alliance provided Council with activities and projects that
the Alliance has worked on in the La Porte area.
Councilmember Zemanek asked questions about the lease agreement that the City
has with the Economic Alliance.
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
2
5. Consent agenda - Any item may be removed by a Councilperson for discussion
A. Council to consider approval or other action of minutes of Regular Meeting held on March
22,2010 - M. Gillett
B. Council to consider approval or other action of a resolution authorizing the City of La Porte
to participate in the NLC Prescription Discount Card Program (Res. 2010-04) - M. Lanclos
C. Council to consider approval or other action authorizing the City Manager to execute a
contract for the construction of Lift Station # 10 Rehabilitation - S. Gillett
D. Council to consider approval or other action regarding an ordinance vacating, abandoning,
and closing the alley in Block 1146, in the Town of La Porte (Ord. 3229) - T. Tietjens
E. Council to consider approval or other action regarding an ordinance vacating, abandoning
and closing that portion of the alley in Block 4, Town of La Porte situated between Lots 6-
16 and Lots 17-27 (Ord. 3230) - T. Tietjens
F. Council to consider approval or other action awarding bid # 10016 providing Lifeguarding
Services at La Porte Municipal Pools - S. Barr
G. Council to consider approval or other action awarding RFQ # 10601 for development of a
Continuity of Operations Plan for the City of La Porte - J. Suggs/So Cream
H. Council to consider approval or other action of the La Porte Facilities Naming Committee
recommendation to change the working names of two new parks to Wood Falls Park and
Pecan Park - S. Barr
I. Council to consider approval or other action regarding vote by the La Porte Development
Corporation to cancel lease on property at 117 San Jacinto Street - R. Bottoms
Assistant City Attorney Clark Askins read the following agenda captions:
Resolution 2010-04 - A RESOLUTION AUTHORIZING PARTICIPATION IN THE NLC
PRESCRIPTION DISCOUNT CARD PROGRAM AND DESIGNATING THE CITY
MANAGER TO COORDINATE ALL PROGRAM ACTIVITIES; FINDING COMPLIANCE
WITH THE OPEN MEETINGS LAW; AND PROVIDING AN EFFECTIVE DATE HEREOF
Ordinance 3229 - AN ORDINANCE VACATING, ABANDONING AND CLOSING THE
ALLEY IN BLOCK 1146, TOWN OF LA PORTE, HARRIS COUNTY, TEXAS,
AUTHORIZING THE EXECUTION AND DELIVERY OF A DEED TO THE ADJOINING
LANDOWNER, FINDING COMPLIANCE WITH THE OPEN MEETINGS LAW, AND
PROVIDING AN EFFECTIVE DATE HEREOF.
Ordinance 3230 - AN ORDINANCE VACATING, ABANDONING AND CLOSING A
PORTION OF THE ALLEY IN BLOCK 4, TOWN OF LA PORTE, HARRIS COUNTY,
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
3
TEXAS, AUTHORIZING THE EXECUTION AND DELIVERY OF A DEED TO THE
ADJOINING LANDOWNERS, FINDING COMPLIANCE WITH THE OPEN MEETINGS
LAW, AND PROVIDING AN EFFECTIVE DATE HEREOF.
Council had questions on consent items H and I.
Motion was made bv Councilmember Moser to approve the consent aaenda as presented.
Second by Councilmember Zemanek. Motion carried.
Ayes: Engelken, Rigby, Moser, Leonard, Clausen, Mayor Pro Tern Black, Zemanek,
Mosteit and Mayor Beasley
Nays: None
Abstain: None
Absent: None
6. Petitions, Remonstrance's, Communications, Citizens and Tax Payers wishing to address
Council on any item posted on the agenda (Limited to five minutes)
Kathryn Aguilar - 3119 Fondren - Ms. Aguilar reported property values in some parts of
the South end of town have fallen by 50% over the past year. She noted people need
assistance on a community wide basis.
7. Council to consider approval or other action regarding an ordinance authorizing the
issuance of Certificates of Obligation Series 2010 and. General Obligation Refunding
Bonds, Series and resolution authorizing La Porte Area Water Authority Contract Revenue
Refunding Bonds Series 2010 (Ord. 3231, 3232, 3233) and (Res. 2010-05) - M. Dolby
Margo White with Andrews Kurth and Ryan O'Hara with RBC Dain Rauscher presented
summary and recommendation and answered Council's questions.
Assistant City Attorney Clark Askins read ordinance 3231, AN ORDINANCE
AUTHORIZING THE ISSUANCE OF CITY OF LA PORTE, TEXAS CERTIFICATES OF
OBLIGATION, SERIES 2010; AND CONTAINING OTHER MATTERS INCIDENT
THERETO
Assistant City Attorney Clark Askins read ordinance 3232, AN ORDINANCE
AUTHORIZING AND ORDERING THE ISSUANCE OF CITY OF LA PORTE, TEXAS,
GENERAL OBLIGATION REFUNDING BONDS, SERIES 2010; AUTHORIZING CALL
FOR REDEMPTION AND DEFEASANCE OF CERTAIN BONDS AND THE USE OF
CERTAIN FUNDS RELATED TO THE BONDS TO BE REFUNDED; AND MAKING
OTHER PROVISIONS REGARDING SUCH BONDS, INCLUDING USE OF THE
PROCEEDS THEREOF, AND MATTERS INCIDENT THERETO.
Assistant City Attorney Clark Askins read ordinance 3233 AN ORDINANCE CONSENTING
TO A PROPOSED BOND RESOLUTION AND CONTINUING DISCLOSURE
AGREEMENT TO BE ADOPTED BY THE LA PORTE AREA WATER AUTHORITY
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
4
Assistant City Attorney Clark Askins read resolution 2010-05, A RESOLUTION
AUTHORIZING THE ISSUANCE AND SALE OF LA PORTE AREA WATER AUTHORITY
CONTRACT REVENUE REFUNDING BONDS, SERIES 2010; AND AUTHORIZING
CERTAIN OTHER MATTERS INCIDENTAL THERETO.
Motion was made by Councilmember Clausen to approve an ordinance authorizina the
issuance of Certificates of Obliaation Series 2010 and General Obliaation Refundina
Bonds. Series and resolution authorizina La Porte Area Water Authority Contract Revenue
Refundina Bonds Series 2010 as presented by Mr. Dolby. Seconded by Councilmember
Enaelken.
Ayes: Mosteit, Engelken, Clausen, Rigby, Moser, Leonard, Black, Zemanek and Mayor
Beasley
Nays: None
Abstain: None
Absent: None
8. Consider approval or other action of an updated policy, application form and standard
Water and Sanitary Sewer Service Agreement for companies with Industrial District
Agreements with the City of La Porte - J. Joerns
Assistant City Manager John Joerns presented summary and recommendation and
answered Council's questions.
Motion was made by Councilmember Zemanek to approve an updated policy. application
form and standard Water and Sanitary Sewer Service Aareement for companies with
Industrial District Aareements with the City of La Porte as presented by Mr. Joerns.
Second by Councilmember Leonard. Motion carried unanimously.
Ayes: Engelken, Rigby, Moser, Leonard, Clausen, Mayor Pro Tern Black, Mosteit,
Zemanek and Mayor Beasley
Nays: None
Abstain: None
Absent: None
9. Consider approval or other action authorizing the City Manager to enter into a Water
Service Agreement and a Sanitary Sewer Service Agreement with Seawater, Inc. (Ord.
3234) - T. Tietjens
GIS Manager Brian Sterling presented summary and recommendation and answered
Council's questions.
Assistant City Attorney Clark Askins read Ordinance 3234, AN ORDINANCE APPROVING
AND AUTHORIZING A WATER SERVICE AGREEMENT AND SANITARY SEWER
SERVICE AGREEMENT BETWEEN THE CITY OF LA PORTE AND SEAWATER, INC.;
MAKING VARIOUS FINDINGS AND PROVISIONS RELATING TO THE SUBJECT;
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
5
FINDING COMPLIANCE WITH THE OPEN MEETINGS LAW; AND PROVIDING AN
EFFECTIVE DATE HEREOF.
Motion was made by Councilmember Mosteit to authorize the City Manaaer to enter into a
Water Service Aareement and a Sanitary Sewer Service Aareement with Seawater. Inc. as
presented by Mr. Sterlina. Second by Councilmember Zemanek. Motion carried
unanimously.
Ayes: Engelken, Rigby, Moser, Leonard, Clausen, Mayor Pro Tem Black, Mosteit
Zemanek and Mayor Beasley
Nays: None
Abstain: None
Absent: None
10. Close Regular Meeting and Open Workshop Meeting
The Regular Meeting was closed and the Workshop Meeting was opened at 7:03 p.m.
A. Receive report on Brookglen Spray Ground - S. Barr
Parks and Recreation Director Stephen Barr provided a report on Brookglen Spray
Ground.
Council directed Staff to get legal answers from Texas Commission on Environmental
Quality and move forward quickly and include the circulation system which Council
preferred.
11. Close Workshop Meeting and Open Regular Meeting
Mayor Beasley closed Workshop Meeting and reconvened Regular Meeting at 7:19 p.m.
12. Receive report from Fiscal Affairs Committee - Chairman Engelken
Chairman Chuck Engelken provided a report from the Fiscal Affairs Committee
13. Receive report from the La Porte Development Corporation Board - Councilman Engelken
Councilmember Chuck Engelken provided a report from the La Porte Development
Corporation Board.
14. Receive Drainage Report from City Staff - S. Gillett
Public Works Director Steve Gillett provided the monthly Drainage Report.
15. City Manager Ron Bottoms provided Administrative Reports for the following:
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
6
April 13, 2010 - La Porte Area Water Authority Board Meeting - Public Works Service
Center - 2963 North 23rd Street - 6:00 p.m.
April 15, 2010 - Harris County Mayor & Council Association Dinner - Hotel ZAZA-
Herman Park Drive - 6:30 p.m. - 9:00 p.m.
April 17, 2010 - Red Suspenders Shrimp Boil- Senior Center -1322 South Broadway-
11 :00 a.m. - 1 :00 p.m.
April 17, 2010 - Best Dog-Gone Dog Contest - Town Plaza at Five Points - 9:00 a.m.-
12:00 p.m.
April 21, 2010 - 6th Annual Norman Malone Memorial Mayor's Golf Tournament - 8:00
a.m. and 1 :00 p.m. tee times - Bay Forest Golf Course
April 24, 2010 - 54th Annual Sylvan Beach Festival & Crawfish Jam - 9:00 a.m. Parade
(10:00 a.m.)- followed by pageant, music, festivities till 12:00 a.m.
April 26, 2010 - City Council Meeting - 6:00 p.m.
Early Voting for Joint General and Special Sales Tax Election - April 26, 2010 - May 4,
2010 - 8:00 a.m. - 5:00 p.m. Extended hours for Early Voting will be Wednesday, April 28,
2010 - 7:00 a.m. - 7:00 p.m. and Tuesday, May 4,2010 - 7:00 a.m. - 7:00 p.m. Early
Voting on Saturday, May 1, 2010 - 8:00 a.m. - 5:00 p.m.
16. Council Comments: Rigby, Moser, Black, Leonard, Zemanek, Engelken, Mosteit, and
Beasley.
A. Matters appearing on agenda
B. Recognition of community members, city employees, and upcoming events
C. Inquiry of staff regarding specific factual information or existing policy
17. Executive Session - pursuant to provision of the Open Meeting Law, Chapter 551, Texas
Government Code, Sections 551.071 through 551.076, 551.087 (consultation with
attorney, deliberation regarding real property, deliberation regarding prospective gift or
donation personnel matters, deliberation regarding security devices, or excluding a
witness during examination of another witness in an investigation , deliberation regarding
economic development negotiations)
18. Considerations and possible action on items considered in executive session.
There was no Executive Session.
19. Adjournment
Minutes of Regular Meeting and Workshop Meeting of La Porte City Council on April 12, 2010
7
Being no further business, the meeting was duly adjourned at 7:37 p.m.
Respectfully submitted,
L1YJalMtL~1
~a~~a Gillett, TRMC
City Secretary
proved on this 26th day of April 2010.
B
REQUEST FOR CITY COUNCIL AGENDA ITEM
Requested By:
Appropriation
Agenda Date Request:
Source of Funds: N/A
Department:
City Mana~er
Account Number: N/A
Report:
Resolution:
Ordinance:
Amount Budgeted: N/A
Amount Requested: N/A
Exhibits: Resolution
Exhibits:
Exhibits:
Budgeted Item:
SUMMARY & RECOMMENDATION
At the March 8, 2010, City Council Meeting, staff received direction from City Council to move forward and
submit a request to enroll in the NLC Prescription Discount Card Program.
A program requirement is that City Council approves a Resolution for the City of La Porte and informs
NLC of its intent to participate in this program.
City Manager will designate Melisa Lanclos to serve as the principal program contact. She will work with NLC
and CVS Caremark to implement the program to the benefit of the residents of the City of
La Porte.
~!1 fO
Date
RESOLUTION NO. 2010-~
A RESOLUTION AUTHORIZING PARTICIPATION IN THE NLC PRESCRIPTION
DISCOUNT CARD PROGRAM AND DESIGNATING THE CITY MANAGER TO
COORDINATE ALL PROGRAM ACTIVITIES; FINDING COMPLIANCE WITH THE
OPEN MEETINGS LAW; AND PROVIDING AN EFFECTIVE DATE HEREOF.
Whereas many citizens of the City of La Porte are among the millions of Americans without health
insurance or with limited prescription drug coverage, and;
Whereas the National League of Cities is sponsoring a program in collaboration with CVS
Caremark to provide relief to city residents around the country from the high cost of prescription
drugs, and
Whereas NLC Prescription Discount Card Program will be available to member cities ofNLC at no
cost to those cities, and;
Whereas CVS Caremark will provide participating cities with prescription discount cards,
marketing materials and customer support, and;
Whereas the discount cards offer an average savings of 20 percent off the retail price of most
prescription drugs, has no enrollment form or membership fee, no restrictions based on the
resident's age or income level, and may be used by city residents and their families any time their
prescriptions are not covered by insurance, and;
Be It Resolved by the City Council of the La Porte, Texas, that the City of La Porte will inform the
National League of Cities of its intent to participate in the NLC Prescription Discount Card Program
designates its city manager to coordinate all program activities, and will work with NLC and CVS
Caremark to implement the program to the benefit of the residents of the City of La Porte.
Passed by the City Council this 12th day of April, 2010.
CITY OF LAPORTE
~?/
Barry asley
Mayo
ATTEST:
~dJP~M
M ha A. Gillett
City Secretary
APTl::. ~.
-J ~ 1-
Cla(k Askms
Assistant City Attorney
~
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REQUEST FOR CITY COUNCIL AGENDA ITEM
Agenda Date Requested:
April 12. 2010 Bud!!et
Source of Funds: 047
Requested By: Steve Gillett
Department: Public Works
Account Number: 047-9892-997-1100
Report:
Resolution:
Ordinance:
Amount Budgeted: $400.000
Exhibits:
Engineer's Recommendation
Amount Requested: $276.700
Exhibits:
Bid Tabulation
Budgeted Item: YES
Exhibits
Bidders List
SUMMARY & RECOMMENDATION
Lift Station # 10 Rehabilitation was identified by a Lift Station Evaluation performed in
2009, and is the first project over a multi-year period.
The project, designed by Freese and Nichols Inc. is for demolition excluding the wet
well and replacement of pumps, controls, hatches, fencing, driveway, etc. for the lift
station serving the Glen Meadows Subdivision.
Advertised, sealed bids #10013 - Lift Station 10 Rehabilitation were opened and read on
March 25, 2010. Bid requests were advertised in the Bayshore Sun, posted on the City of
La Porte website site and mailed out to fourteen (14) vendors with five (5) returning bids.
The Design Engineer and Staff recommend awarding the bid to low bidder R & B Group
Inc. for $263,700.00 and a $13,000.00 contingency.
)
./
11200 Broadway Street 112332 . Pearland, Texas 77584 . 832-456-4700 . fax 832-456-4701 \'I\'Iw.freese.conl
3/31/2010
Don Pennell
Asst, Public Works Director
City of La Porte
2963 N. 23rd Street
La Porte, lX, 77571
RE: Lift Station No. 10 Rehabilitation
Dear Client Name:
Listed below is the summary of bids for the Lift Station No. 10 Rehabilitation. A total of five bid proposals
were received on March 25, 2010.
Summary of Bids:
1) R&B Group, Inc.
2) Peltier Brothers Construction, Ltd.
3) Veovia Es Industrial Services
4) G&N Enterprises, Inc.
5) Enviro Remediation, Inc.
Base Bid
$ 243,350.00
$ 255,350.00
$ 267,825.00
$ 284,395.00
$ 272,311.00
Base Bid plus Alternates
$ 263,700.00
$ 272,910.00
$ 297,775.00
$ 307A35.00
$ 358,285.00
Freese and Nichols' estimate for the Base Bid was $340,285.00. A copy of the bid tabulation is attached
for your use and information.
Based on their previous experience with the City of Webster, our previous experience on prior projects
and the references checked, R&B Group, Inc. appears to have a good record on this type of project.
Based on this information, Freese and Nichols recommends that the City of La Porte award the
construction contract Including the bid alternates for this project to R&B Group, Inc. in the amount of
$263,700.00.
Please call me at (832) 456-4715 If you have any questions.
Sincerely,
Freese and Nichols, Inc.
IJIL. Lit-
William (Clay) Herndon, P.E.
Project Manager
BJI) TABULATION
(J.1l-:;\IT
PHll/ECT
Oty of a.. Porte
Uft Station No. 10 Reh.tHllwtlon
PROJECT NO
flll) OAT!?
LPT0038'
ThunclIIy, March Z5,1010
R&BGrou J,lnr 1'\'Ili('rnr()lhH~(,un,lrlldi"n Ud Vl',wjaEsIJHlu~trj,llS('n'ic('s (;&NEutH fisC's 1m:. EllViw R{'m('dialiun, hK .'\n'rd'"
Ih'Ill D..'~cri ,lion ualllil lInil llllitC,,_.t r"1:;.ICost lJnllC"st rotate""t UllitCnst l'"l;,II:nst IllljfOI~t TotaIC,,"t ITllit<:"sl Tn(;.]C",1 Uujt<:""t 1',,(<.ICosl
Il;\"ElIl!)JTEM\
Demolition-Ind. removal and dlspo$<ll of top of
wetwell,removaland $<Ilvilie of pipes, valves, and
1 pump5,remOVilI ofe.dstlng!lectrical controls, and
the complete power washing of the 11ft statloo.
US $15,000.00 $15,00::>.00 $15,000.00 $15,000.00 $35,000.00 $35,000.00 $22,000.00 $22,000.00 $25,000.00 $25,000.00 $22,400.00 $22,400.00
Removal and disposal of exlstlng wood fence.
2 Exlstlnll wood fence to become property Qf
Contractor to be disposed of In a lepl manner.
100 LF $5.00 $500.00 $1.00 $100.00 $10.00 $1,000.00 $17.00 $1,700.00 $10.00 $1,000.00 '8.60 $860.00
RetlabHltation of existing 11ft SQtlon with 3
, submersible FIygt pumps, Ind. guide l1Iils, piplna.
valves,fittings, hatch,fIoats, complete In place per
the nlans and-~~,,:'=;ilcatlons. 1LS $124000.00 $124,000.00 (177000.00 $177000.00 $100000.00 $100000.00 $159000.00 $159,000.00 $137000.00 $137,000.00 $139400.00 $139400.00
ElectricalSystemlnstaNation prollldeandlnstaU
all work shown on plans and described in
specifications Indudlngas follows: prollldeand
Install pump control panel,llghtlng and
4 receptacles, pump motarfeeders, electrical service
equipment, autosensorycontrols, telephone
service, and all required appurtenances as shown
on plans and as described In speciflcatlons for a
completeoperatlngsystem.
1LS $60,000.00 $60,000.00 $3S,000.00 $35,000.00 $55,000.00 $55,000.00 $65,000.00 $65,000.00 $S8,5OO.00 $S8,SOO.00 $54,700.00 $54,700.00
S 12~thlckslaboverexlstlnlwetwell,incl.rebar.
COm letein lace. 20" $300.00 $6,000.00 $250.00 $5,000.00 $700.00 $14,000.00 $275.00 $5,500.00 $2,023.00 $40,460.00 $709.60 $14,192.00
6 6" concretecurb,lnd.rebar. COmplete In place.
100 LF $10.00 $1000.00 $5.00 $500.00 15.00 $1500.00 $26.00 $2,600.00 $30.00 $3000.00 $17.20 $1,720.00
, 1" thick cementltlouswaM liner on existing wet (6.00 $5000.00
... lans. COm leteln lace. 500 SF $8.00 $4000.00 aoo $4000.00 $25.00 $12500.00 $3000.00 $10.00 $11.40 $5700.00
8 100 mils. Raven 405 EpoxyCoatlng on existing wet
_" ""'rnlans.COm leteln lace. SOOSF $8.00 $4000.00 $7.00 $3500.00 $25.00 $12,500.00 $14.00 $7000.00 $14.00 $7,000.00 $13.60 $6800.00
9 8' hilh wood fence wtth ptes. Complete In place.
85LF $60.00 $5,100.00 $50.00 $4,250.00 $45.00 $3825.00 $57.00 $4,845.00 $55.00 $4675.00 $53.40 $4,539.00
,0 8 '" urn In fordul1ltlonof moa. 1LS $20000.00 $20000.00 $10000.00 10000.00 $30000.00 $30,000.00 $10000.00 $10000.00 $24,000.00 $24000.00 $18800.00 $18,800.00
11 Site restol1ltion, Ind. fuU blod soddlnl and
to soil. Com letelnnliKe. 2505Y $15.00 $3,750.00 $4.00 $1,000.00 10.00 $2,500.00 $15.00 $3,750.00 $20.00 $5,0CI0.00 $12.80 $3,200.00
rOTAl. ,\MOUNT - B,\S" HIP $;!4.J;I:;O.On '$155,3:iO.UO $l6711l5.00 $lIH.:J'i'i.(J(l $::11.0635,00 $271.JI1,()(I
1\(.TERNATE IlW nEW';
Removal and disposal of existing concrete
A-1 drivewayandsldewatk. bcavated concrete to
become propertVof Contl1lctortobe dl$pOsedof
Inale almanner. 150SY $1S.OO $2250.00 $15.00 $2,250.00 $7S.00 $11.250.00 $22.00 $3,300.00 $12S.OO $18,750.00 $50.40 $7,S6O.OO
Removal and disposal of existing concrete curb.
A-2 EKcavated concrete to become propertVof
COntractor to be dlsPDsed of In a lesal manner.
20LF $20.00 S4OO.00 $1.00 $20.00 $10.00 $200.00 $20.00 $400.00 $25.00 $500.00 $15.20 $304.00
A-' 8" thick concretedrtveway, Ind. rebarand bank (16,940.00
sand. COm letein nl~ce. 2205Y 75.00 $16,500.00 $65.00 $14,300.00 $65.00 $14,300.00 $77.00 $9S.OO $20900.00 $75.40 $16588.00
A~ 12" thick slab irI exlstlngwetwe" botl:om, Ind.
rebar. Com letein lace. 6SY $200.00 $1200.00 $165.00 $990.00 $100.00 $4200.00 $400.00 $2.400.00 $1250.00 $7500.00 $543.00 $3,258.00
nr"'L AMOII-.T -.\LTERN,UE BlD ~lIU5U.OO $175(.(/.00 $l'J,'1.S0.IlO '$l:llJ1.Il.OO $47.650.110 i17710,(lO
rOTAlAMOUNI BID (R4'i f,ID+ 111f.R\i,,7f.BIO/ $26370000 $27291000 $29771500 SlO713500 $~582U5 00 SlOO,OlIOO
10f1
'"
/
BIDDER'S LIST
SEALED BID #10013 - LIFT STATION 10 REHABILITATION
Associated Construction Partners
215 W.Bandera Rd. Suite 114-461
Boerne, TX 78006
G & N Enterprises
P.O. Box 2496
Cypress, TX 77410-2496
Peltier Brothers Construction
11603 Windfern
Houston, TX 77064
Enviro Remediation
19951 Sand Creek Ct
Katy, TX 77449
B-5 Construction
PO Box 1488
Magnolia, TX 77353
Lem Construction Co
10849 Kinghurst Suite 150
Houston, TX 77099
R & B Group Inc.
1213 N. Durham Dr.
Houston, TX 77008
CSA Construction, Inc
2314 McAllister RD
Houston, TX 77092
T & C Construction
5411 Killough
Houston, TX 77086
Industrial TX Corporation
PO Box 40336
Houston, TX 7724-00336
Mar-Con Services
P.O. Box 837
Deer Park, TX 77536
Liftwater Construction, Inc.
22803 Schiel Rd
Cypress, TX 77433
R J Construction Company
P.O. Box 2181
Missouri City, TX 77459
AGC of Texas (Plan room)
2400 Augusta Dr. Suite #180
Houston, TX 77057
Bayshore Sun Advertising Dates:
February 10, 2010
February 17, 2010
D
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REQUEST FOR CITY COUNCIL AGENDA ITEM
Appropriation
Agenda Date Requested: April 12. 2010
Source of Funds: N/A
Requested By: Tim Tietiens
Account Number: N/A
Department: Plannin2
Amount Budgeted: NI A
Report: _Resolution: _Ordinance: l
Amount Requested:
Exhibits:
1. Ordinance
2. Deed to Adjacent Owner
3. Area Map
Budgeted Item: _YES -LNO
SUMMARY & RECOMMENDATION
The City has received an application from Mr. Nazar Manesia of Telephone Investments, Inc. to
vacate, abandon and close the alley in Block 1146, La Porte. The applicant desires to close the
subject alley to unify his properties adjacent to the alley for future development.
City Staff as well as the City's franchised utility companies (i.e. Centerpoint Energy, AT&T &
Comcast) have each reviewed the request and have expressed no objection to the closing.
In accordance with Section 62.35 of the Code of Ordinances, Staff has ordered an independent
appraisal to determine a fair market value for the property. The appraisal has established a market
value of $5.00/sq. ft. for the property which contains 6,400 square feet. The City has received
payment from the applicant in the amount of $24,000 (75% of Fair Market Value per the
ordinance).
Recommendation:
Staff recommends vacating, abandoning, and closing the alley in Block 1146, La Porte as
requested by the applicant.
Action Required of Council:
r e an ordinance vacating, abandoning, and closing the alley in Block 1146, La Porte.
Ron Bottoms, City Manager
1 hi to
Date
ORDINANCE NO. 2010- 3d:),C]
AN ORDINANCE VACATING, ABANDONING AND CLOSING THE ALLEY IN BLOCK
1146, TOWN OF LA PORTE, HARRIS COUNTY, TEXAS, AUTHORIZING THE
EXECUTION AND DELIVERY OF A DEED TO THE ADJOINING LANDOWNER,
FINDING COMPLIANCE WITH THE OPEN MEETINGS LAW, AND PROVIDING AN
EFFECTIVE DATE HEREOF.
WHEREAS, the City Council of the City of La Porte has been
requested by the record owner of all of the property abutting
the hereinafter described alley in Block 1146, Town of La Porte,
Harris County, Texas; to vacate, abandon, and permanently close
the hereinafter described alley in Block 1146, Town of La Porte,
Harris County, Texas; and,
WHEREAS, the City Council of the city of La Porte has
determined and does hereby find, determine, and declare that the
hereinafter described alley in Block 1146, Town of La Porte,
Harris County, Texas, is not suitable, needed, or beneficial to
the public as a public road, street, or alley, and the closing
of hereinafter described alley in Block 1146, Town of La Porte,
Harris County, Texas, is for the protection of the public and
for the public interest and benefit, and that the hereinafter
described alley Block 1146, Town of La Porte, Harris County,
Texas, should be vacated, abandoned, and permanently closed.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF LA PORTE:
Section 1. Under and by virtue of the power granted to
the City of La Porte under its home rule charter and Chapter
253, Section 253.001, Texas Local Government Code, the
hereinafter described alley in Block 1146, Town of La Porte,
Harris County, Texas, is hereby permanently vacated, abandoned,
and closed by the City of La Porte, to wit:
2
The entire alley in Block 1146, Town of La Porte
situated between Lots 1 through 16 and Lots 17 through
32 of said block, containing a total of 6,400 square
feet and generally illustrated on Exhibit UA"
incorporated by reference herein.
Section 2.
The City Council officially finds, determines,
recites, and declares that a sufficient written notice of the
date, hour, place, and subj ect of this meeting of the city
Council was posted at a place convenient to the pUblic at the
City Hall of the City for the time required by law preceding
this meeting, as required by the Open Meetings Law, Chapter 551,
Texas Government Code; and that this meeting has been open to
the public as required by law at all times during which this
ordinance and the subject matter thereof has been discussed,
considered, and formally acted upon.
The City Council further
ratifies, approves, and confirms such written notice and the
contents and posting thereof.
Section 3.
This ordinance shall be effective from and
after its passage and approval, and it is so ordered.
3
PASSBD AND APPROVBD THIS ~ DAY OF ~
2010.
CITY OF LA PORTE
ATTEST:
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Martha Gillett, City Secretary
APPROVED:
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Knox W. Askins, City Attorney
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04/23/2010 RP3 $24.00
DEED WITHOUT WARRANTY
NOTICE OF CONFIDENTIALITY RIGHTS: IF YOU ARE A NATURAL PERSON, YOU
MAY REMOVE OR STRIKE ANY OF THE FOLLOWING INFORMATION FROM THIS
INSTRUMENT BEFORE IT IS FILED FOR RECORD IN THE PUBLIC RECORDS:
YOUR SOCIAL SECURITY NUMBER OR YOUR DRIVER'S LICENSE NUMBER.
Date:
~?~L. /Z-, 2010
Grantor:
City of La Porte, a municipal corporation
Mailing Address:
604 West Fairmont Parkway, La Porte, TX 77571
Grantee:
Telephone Investments, Inc.
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Mailing Address:
Consideration: Ten and NO/100 Dollars ($10.00) cash and other good
and valuable considerations
Property (including any improvements) :
All of the alley in Block 1146, Town of La Porte, Harris
County, Texas, as generally illustrated on Exhibit "A"
attached herein and made part hereof, containing a total
of six thousand four hundred (6,400) square feet, which
alleys were vacated, abandoned, and closed by City of La
Porte Ordinance No. 2010-jf~9, passed and approved by
the City Council of the City of La Porte on
?f,P,e/~ Iv , 2010.
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Reservations from and Exception to Conveyance and Warranty: This
conveyance is made subject to all and singular the restrictions,
conditions, oil, gas, and other mineral reservations, easements,
and covenants, if any, applicable to and enforceable against the
above described property as reflected by the records of the county
clerk of the aforesaid county.
Grantor for the consideration and subject to the reservations from
and exceptions to conveyance, conveys to Grantee the property
without express or implied warranty, and all w ran 'es that might
arise by common law and the warranties i ~5. 02 of the Texas
Property Code (or its successor) are excl ed.
STATE OF TEXAS ~
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COUNTY OF HARRIS ~
,(This instrument was acknowledged before me on the ~(day of
, 2010, by Ron Bottoms, city Manager of the City of La
rte, a municipal corporation. ,
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AF~ER REC, ORDINq RE~URN TO:
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CITY ^;;dLA PORTE ,-
604 West Fairmont Parkway
La Porte, TX 77571
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ASKINS & ASKINS, P.C,
P.O. Box 1218
La Porte, TX 77572-1218
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ANY WallS!)N HEREIN WHK:H RESTRI:TS THE SAlt ftEHTAL Oil USE Of THE DESCftllEI ft~L
PROPERTY &CAUSE Of COLOR OR ftACE IS IIIVAlIO AND ~tNfOftCEA&l.E UN~ft FEiEAALLAW,
THE STATE OF TEXAS
COUNTY OF HARRIS
I hem, ,el1fy IIat 11\$ ~mtlIt was FI\.EO ~ Fie Number Siquence In lilt iEi! and tlllt 1M
s1alIlltOhlttOll b7 me; IIIl 011 dilly RECORDED. 1ft lilt Of,c,t19~ ftK$IZ of ftul P!lptll! olHmI
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HARRIS COUNTY. TEXAS
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DETENTION (j
EXHIBIT "A" -.
to ORD. NO. 2010 -
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REQUEST FOR CITY COUNCIL AGENDA ITEM
Aoorooriation
Agenda Date Requested: Aorill2. 2010
Source of Funds: N/A
Requested By: Tim Tietiens
Account Number: N/A
Department: Planninl!
Report: _Resolution: _Ordinance: l
Amount Budgeted: N/A
Amount Requested:
Exhibits:
1. Ordinance
2. Deeds to Adjacent Owners (3)
3. Area Map
Budgeted Item: _YES --X-NO
SUMMARY & RECOMMENDATION
The City has received an application from Mr. Ben Stanford to vacate, abandon and close the
southernmost 275' of the alley in Block 4, Town of La Porte containing 4,400 square feet. The
applicant desires to close the alley to facilitate future development of Lots 6 thru 27 in the block.
City Staff has reviewed the request and expressed no objection to the closing. Mr. Stanford has
coordinated with both Centerpoint Energy and AT&T and paid all associated costs to relocate each
company's facilities from the alley adjacent to his property. Comcast responded to the closing
with a letter of no objection.
In accordance with Section 62.35 of the Code of Ordinances, Staff has ordered an independent
appraisal conducted of the right-of-way for which fair market value has been established at $1.50
per square foot. The City has subsequently received payment from the applicant in the amount of
$4,950 (75% of Fair Market Value per the ordinance).
Recommendation:
Staff recommends vacating, abandoning, and closing that portion of the alley in Block 4, Town of
La Porte situated between Lots 6-16 and Lots 17-27 as requested by the applicant.
Action Reauired of Council:
Approve an ordinance vacating, abandoning, and closing that portion of the alley in Block 4, Town
of orte situated between Lots 6-16 and Lots 17-27.
Council Agenda
Ron Bottoms, City Manager
-~h to
Date
ORDINANCE NO. 2010- 3;)~ ~ C)
AN ORDINANCE VACATING, ABANDONING AND CLOSING A PORTION OF THE
ALLEY IN BLOCK 4 , TOWN OF LA PORTE, HARRIS COUNTY, TEXAS,
AUTHORIZING THE EXECUTION AND DELIVERY OF A DEED TO THE
ADJOINING LANDOWNERS, FINDING COMPLIANCE WITH THE OPEN MEETINGS
LAW, AND PROVIDING AN EFFECTIVE DATE HEREOF.
WHEREAS, the City Council of the City of La Porte has been
requested by the record owners of all of the property abutting
the hereinafter described portion of the Alley in Block 4, Town
of La Porte, Harris County, Texas; to vacate, abandon, and
permanently close the hereinafter described portion of the Alley
in Block 4, Town of La Porte, Harris County, Texas; and,
WHEREAS, the City Council of the City of La Porte has
determined and does hereby find, determine, and declare that the
hereinafter described portion of the Alley in Block 4, Town of
La Porte, Harris County, Texas, is not suitable, needed, or
beneficial to the public as a public road, street, or alley, and
the closing of hereinafter described portion of the Alley in
Block 4, Town of La Porte, Harris County, Texas, is for the
protection of the public and for the public interest and
benefit, and that the hereinafter described portion of the Alley
in Block 4, Town of La Porte, Harris County, Texas, should be
vacated, abandoned, and permanently closed.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF LA PORTE:
Section 1.
Under and by virtue of the power granted to
the City of La Porte under its home rule charter and Chapter
253,
section 253.001,
Texas Local Government
Code,
the
hereinafter described portion of the Alley in Block 4, Town of
La Porte, Harris County, Texas, is hereby permanently vacated,
abandoned, and closed by the City of La Porte, to wit:
2
Beginning at a point being the northeast corner of Lot
6, Block 4, Town of La Porte,
Thence in a southerly direction along the west line of
the alley in Block 4, Town of La Porte, to the
southeast corner of Lot 16, Block 4, Town of La Porte,
a distance of two hundred seventy five (275) feet,
Thence in an easterly direction to
corner of Lot 17, Block 4, Town of
distance of sixteen (16) feet,
the
La
southwest
Porte, a
Thence in a northerly direction along the east line of
the alley in Block 4, Town of La Porte, to the
northwest corner of Lot 27, Block 4, Town of La Porte,
a distance of two hundred seventy five (275) feet,
Thence in a westerly direction to the northeast corner
of Lot 6, Block 4, Town of La Porte and point of
beginning, containing a total of 4,400 square feet as
illustrated on the diagram attached hereto as Exhibit
"A" and incorporated by reference herein.
Section 2.
The City Council officially finds, determines,
recites, and declares that a sufficient written notice of the
date, hour, place, and subject of this meeting of the City
Council was posted at a place convenient to the public at the
City Hall of the City for the time required by law preceding
this meeting, as required by the Open Meetings Law, Chapter 551,
Texas Government Code i and that this meeting has been open to
the public as required by law at all times during which this
ordinance and the subject matter thereof has been discussed,
considered, and formally acted upon.
The city Council further
ratifies, approves, and confirms such written notice and the
contents and posting thereof.
Section 3.
This ordinance shall be effective from and
after its passage and approval, and it is so ordered.
3
PASSED AND APPROVED THIS _tJlf- DAY OF ~~
2010.
CITY OF LA PORTE
B~7~-7
~rry Bea~y, Mayor
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ATTEST:
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Martha Gillett, City Secretary
APPROVED:
Knox W. Askins, City Attorney
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2010016"""61"""
04/23/2010 RP~ $2~~O
DEED WITHOUT WARRANTY
NOTICE OF CONFIDENTIALITY RIGHTS: IF YOU ARE A NATURAL PERSON, YOU
MAY REMOVE OR STRIKE ANY OF THE FOLLOWING INFORMATION FROM THIS
INSTRUMENT BEFORE IT IS FILED FOR RECORD IN THE PUBLIC RECORDS:
YOUR SOCIAL SECURITY NUMBER OR YOUR DRIVER'S LICENSE NUMBER.
Date:
#"P/€!/t.. lv, 2010
Grantor:
City of La Porte, a municipal corporation
Mailing Address:
604 West Fairmont Parkway, La Porte, TX 77571
Grantee:
Ben Stanford (as to an undivided 62.5%
interest), and John L. Stanford (as to an
undivided 37.5% interest)
~.
Mailing Address: 10301 Northwest Freeway #408, Houston, TX 77092
Consideration: Ten and NO/lOa Dollars ($10.00) cash and other good
and valuable considerations
Property (including any improvements) :
The west 1/2 of the alley in Block 4, Town of La Porte,
Harris County, Texas, adjacent to Lots 6 and 7, as
generally illustrated on Exhibit "A" attached herein and
made part hereof, containing a total of four hundred
(400) square feet, which Street Right-of-Way was vacated,
abandoned, and closed by City of La Porte Ordinance No.
2010-~2~, passed and approved by the city Council of
the city of La Porte on ~~L: /~ ,2010.
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Reservations from and Exception to Conveyance and Warranty: This
conveyance is made subject to all and singular the restrictions,
conditions, oil, gas, and other mineral reservations, easements,
and covenants, if any, applicable to and enforceable against the
above described property as reflected by the records of the county
clerk of the aforesaid county.
Grantor for the consideration and subject to the reservations from
and exceptions to conveyance, conveys to Grante property
without express or implied warranty, and all wa nti that might
arise by common law and the warranties i 5.023 the Texas
Property Code (or its successor) are excl ed.
STATE OF TEXAS ~
~
COUNTY OF HARRIS ~
h. . ,l/<t/l
~. ~s ~nstrument was acknowledged before me on the ~ ~ay of
, 2010, by Ron Bottoms, City Manager of the C~ty of La
Po te, a municipal corporation.
~ltV~~Of Texas
By:
Attest:
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Martha A. G~llett
City Secretary
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AFTER RECORDING.; J!ETl}'RN TO: /f//
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CITY ~LA PORTE
604 West Fairmont Parkway
La Porte, TX 77571
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P.O. Box 1218
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RECORDER'S MEMORANDUM:
No the time of re<:ordaljon, this instrument
to be inadequate for the best pho raphic
reproduction because of illegibility, carbon r photo
copy, discolored paper, etc. All blad:outs, dditions
and cha ng es were present at the time the i ment
was fi.1€d and recorded.
EXHIBIT "A"
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ANY PROI'ISOH HEREIN WHICH RESTRK:TS THE sm. ~ENTAL OR USE Of THE OEse~ilE' ~m
PROPEIm BECAUSE Of COLOR OR ~ACE IS IHVAUO AND UHENfORCEA!LE UHOE~ fEimL LAW,
THE STATE OF TEXAS
COUNTY OF HARRIS
I he,", certfy ~It Ciis Ilit'IJmtllt W1S FII.Ell iI Fie Numbel s.q.!nce In 1llt ~ an<I It lit ill!
slll!I~dhmoo b! mU/lII wtt1u!l RECORDED. 1ft Cie 0Ii0a1 '@Ie ~tCllrilloUql Pruptl1lofHlrll
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APR 2 3 2010
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COUNTY CLERK
HARRIS COUNTY, TEXAS
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DEED WITHOUT WARRANTY
NOTICE OF CONFIDENTIALITY RIGHTS: IF YOU ARE A NATURAL PERSON, YOU
MAY REMOVE OR STRIKE ANY OF THE FOLLOWING INFORMATION FROM THIS
INSTRUMENT BEFORE IT IS FILED FOR RECORD IN THE PUBLIC RECORDS:
YOUR SOCIAL SECURITY NUMBER OR YOUR DRIVER'S LICENSE NUMBER.
Date:
7!,t1e/L.. /v , 2010
Grantor:
City of La Porte, a municipal corporation
604 West Fairmont Parkway, La Porte, TX 77571
Mailing Address:
Grantee:
Mrs. Zula A. Stanford as Trustee, for the full
use and benefit of Jim Norris Stanford.
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Mailing Address:
1801 20th Street #1827, Ames, IA 50010
Consideration: Ten and NO/100 Dollars ($10. OO) cash and other good
and valuable considerations
Property (including any improvements) :
The west 1/2 of the alley in Block 4, Town of La Porte,
Harris County, Texas, adj acent to Lots 8 and 9, as
generally illustrated on Exhibit "A" attached herein and
made part hereof, containing a total of four hundred
(400) square feet, which Street Right-of-Way was vacated,
abandoned, and closed by City of La Porte Ordinance No.
2010-~~, passed and approved by the City Council of
the City of La Porte on ~~~ /~ , 2010.
_D
Reservations from and Exception to Conveyance and Warranty: This
conveyance is made subject to all and singular the restrictions,
conditions, oil, gas, and other mineral reservations, easements,
and covenants, if any, applicable to and enforceable against the
above described property as reflected by the records of the county
clerk of the aforesaid county.
Grantor for the consideration and subject to the reservations from
and exceptions to conveyance, conveys to Grantee the property
without express or implied warranty, and all warranties that might
arise by common law and the warranties in .02 of the Texas
Property Code (or its successor) are exclu ed.
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COUNTY OF HARRIS ~
~. This instrument was acknowledged before me on theL~i1day of
, 2010, by Ron Bottoms, city Manager of the city of La
rte, a municipal corporation. \
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By:
Attest:
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AFTER RECORDIN~_RETURN TO.
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CITY ~LA~6RTE
604 West Fairmont Parkway
La Porte, TX 77571
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PREPARED IN THE LAW OFFICE OF:
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P.O. Box 1218
La Porte, TX 77572-1218
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RECORDER'S r<1EMORANDUM:
time of recordation, this instrument waSfooM
to be Inadequate for t.te bes'i: pho;ographic
re roduction oocause of c2it:-on or ph~;t(
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PROPERTl8K!USE Ij' COLOR OR RACE is INVALiD AND ~ENFORW!lE UNDER FtiHAlL\W.
THE STATE OF TEXAS
COUNTY OF HARRIS
I herell! certty ~IlClis ~mentW1S FIlED ~ Fie Numllel $4qlieC'<;e In\llt Ill\e In(i lltle'ine
slImped hmon b! ml.I/I4111l dlJly RECORDED ~ Cle OIOOai p~ Rtolla 01 Rul ?1lJIt", II KIrTS
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APR 2 3 2010
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DEED WITHOUT WARRANTY
NOTICE OF CONFIDENTIALITY RIGHTS: IF YOU ARE A NATURAL PERSON, YOU
MAY REMOVE OR STRIKE ANY OF THE FOLLOWING INFORMATION FROM THIS
INSTRUMENT BEFORE IT IS FILED FOR RECORD IN THE PUBLIC RECORDS:
YOUR SOCIAL SECURITY NUMBER OR YOUR DRIVER'S LICENSE NUMBER.
Date:
~~L /,?./ , 2010
Grantor:
city of La Porte, a municipal corporation
Mailing Address:
604 West Fairmont Parkway, La Porte, TX 77571
Grantee:
John L. Stanford, II and Ben D. Stanford
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Mailing Address:
10301 Northwest Freeway #408, Houston, TX 77092
Consideration: Ten and NO/100 Dollars ($10.00) cash and other good
and valuable considerations
Property (including any improvements) :
The west 1/2 of the alley in Block 4, Town of La Porte, D
Harris County, Texas, adjacent to Lots 10 through 16, and
the east 1/2 of the alley in Block 4, Town of La Porte,
adjacent to Lots 17 through 27, as generally illustrated
on Exhibit 11 A" attached herein and made part hereof,
containing a total of thirty-six hundred (3,600) square
feet, which Street Right-of-way was vacated, abandoned,
and closed by City of La Porte Ordinance No. 2010-~Z~,
passed and approved by the City Council of the city of La
Porte on ~~~~ /~ , 2010.
Reservations from and Exception to Conveyance and Warranty: This
conveyance is made subject to all and singular the restrictions,
conditions, oil, gas, and other mineral reservations, easements,
and covenants, if any, applicable to and enforceable against the
above described property as reflected by the records of the county
clerk of the aforesaid county.
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Grantor for the consideration and subject to the reservations from
and exceptions to conveyance, conveys to Grantee the property
without express or implied warranty, and all w a ties that might
arise by common law and the warranties is. 0 of the Texas
Property Code (or its successor) are excl ed.
By:
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Ron Bottoms, City Manager
, Attest: ~~
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a a A. G llett
city Secretary
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STATE OF TEXAS ~
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. his instrument was acknowledged before me on the I~ltday of
, 2010, by Ron Bottoms, City Manager of the City of La
P rte, a municipal corporation.
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Not ry Public, State 0 Texas
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AFTER RECORD. IN~ RETURN TO. ~Y"
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CITY ~ LA! PORTE .
604 West Fairmont Parkway
La Porte, TX 77571
PREPARED IN THE LAW OFFICE OF.
ASKINS & ASKINS, P,C.
P,O. Box 1218
La Porte, TX 77572-1218
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LTS 28 29 & 30 BLK 4
LTS 10 THRU 27 BLK 4
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LOCATION OF PROPERTY
(3,600 SQ. FT.)
RECORDER'S ~m;';ORANDUM:
N: the tiJJ~ of recordation, this instrument was nd
to be Inadequate for !:tie be:-:t photogra hie
reprod~cticn ~us.e of iilegibility, carbon or p ota
copy, dlS(olorea paper, ete. Ail biackouts, addi "s
and chang,?S werE ;)(esent at the time the instnJ
was fiiej and reoxde:J.
EXHIBIT "A"
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ANYPRClYISOH HEREIN WHCH RESTRCTS THE S~lUEtlT~l OR USE Of THE OESC~I'Et ~m
PROPERTY BECAUSE OF COLOR OR ~ACE IS INVALID ANQ UHENFOftCE.!!lE UNOE~ iuml ~w,
THE STATE OF TEXAS
COUNTY OF HARRIS
I hert!>l cerliy ~Uis ~l1It!lt W1t ,ILEO ~ ,Ie Humbel $tquefll:e tn lllt ~ JIld It ~t line
slamped hlltOf1 b! mUM WII dill! WmOEO.ln lie Oir>aal P@icftt<llrOloUuIProptlllolHilTS
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APR 2 3 2010
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COUNTY CLERK
HARRIS COUNTY, TEXAS
7
REQUEST FOR CITY COUNCIL AGENDA ITEM
Agenda Date Requested: April 12, 2010
Appropriation
Requested By: Michael Dolbv, Director of Finance
Department: FINANCE
Source of Funds: N/A
Account Number: N/A
Report:
Resolution: xx Ordinance: xx
Amount Budgeted:
Amount Requested: N/A
Exhibits
PAR Agreement
Budgeted Item:
Exhibits:
Bond Ordinance same PAR A reement
Exhibits:
Ordinance authorizing LP A W A Bond plus LP A W A Bond Resolution. and Cost Estimate
Exhibits:
Continuing Disclosure Af:!:reement
SUMMARY & RECOMMENDATION
At this time, we would like to issue Certificates of Obligation for street improvements, drainage improvements and
parks improvements throughout the City and professional services rendered in connection with the issue of debt.
Therefore, we are requesting consideration and approval of an ordinance authorizing the issuance of approximately
$6,065,000 in City of La Porte Texas Certificates of Obligations, Series 20 I O.
We request consideration and approval of an ordinance authorizing the issuance of approximately $4,305,000 in
City of La Porte, Texas General Obligation Refunding Bonds, Series 2010 for the purpose of refunding
approximately $4,375,000 of callable debt for debt service savings.
We request consideration and approval of an ordinance the issuance of approximately $4,055,000 of La Porte Area
Water Authority Contract Revenue Refunding Bonds, Series 2010 for the purpose of refunding approximately
$4,080,000 of outstanding callable debt for debt service savings.
-1/11::
RESOLUTION NO. 2010-~
RESOLUTION AUTHORIZING PUBLICATION OF NOTICE OF INTENTION
TO ISSUE CERTIFICATES OF OBLIGATION FOR THE ACQUISITION,
CONSTRUCTION AND IMPROVEMENT OF CERTAIN PUBLIC WORKS;
AUTHORIZING DISTRIBUTION OF A PRELIMINARY OFFICIAL
STATEMENT RELATING TO SUCH CERTIFICATES; AND AUTHORIZING
CERTAIN OTHER MATTERS RELATING THERETO
STATE OF TEXAS
COUNTY OF HARRIS
CITY OF LA PORTE
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WHEREAS, the City Council (the "City Council") of the City of La Porte, Texas (the
"City"), is authorized to issue certificates of obligation to pay contractual obligations to be
incurred for the construction of public works, for the purchase of materials, supplies, equipment,
machinery, buildings, land and rights-of-way for authorized needs and purposes, and for the
payment of contractual obligations for professional services pursuant to Subchapter C of Chapter
271, Texas Local Government Code, as amended;
WHEREAS, the City Council has determined that it is in the best interests of the City and
otherwise desirable to issue certificates of obligation in a principal amount not to exceed $6.4
million styled "City of La Porte, Texas, Certificates of Obligation, Series 2010" (the
"Certificates") for the design, engineering, acquisition and construction of certain public works
and the purchase of certain equipment for authorized needs and purposes and for the payment of
contractual obligations for professional services;
WHEREAS, in connection with the Certificates, the City Council intends to publish
notice of its intent to issue the Certificates (the "Notice") in a newspaper of general circUlation in
the City;
WHEREAS, for purposes of providing for the sale of the Certificates, the City Council
intends to authorize the preparation of a Preliminary Official Statement (the "Preliminary
Official Statement") to be used in the public offering of the Certificates; and
WHEREAS, the City Council has been presented with and has examined the proposed
form of Notice and finds that the form and substance thereof are satisfactory.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF LA PORTE, TEXAS:
Section 1. Preamble. The facts and recitations contained in the preamble of this
Resolution are hereby found and declared to be true and correct.
HOU :2987731.1
Section 2. Authorization of Notice. The City Secretary is hereby authorized and
directed to deliver the Notice, in the form set forth in Exhibit A hereto, and to publish such
Notice on behalf of the City once a week for two (2) consecutive weeks in a newspaper which is
of general circulation in the City, the date of the first publication to be at least thirty-one (31)
days before the date tentatively set in the Notice for the passage of the ordinance authorizing the
issuance of the Certificates.
Notwithstanding any other provision of this Resolution, the Mayor and City Manager are
each hereby authorized to make or approve such revisions, additions, deletions, and variations to
the Notice as, in the judgment of the Mayor and/or City Manager and in the opinion of Bond
Counsel to the City, may be necessary or convenient to carry out or assist in carrying out the
purposes of this Resolution, or as may be required for approval of the Certificates by the
Attorney General of Texas; provided, however, that any change to the Notice resulting in
material substantive amendments shall be subject to the prior approval of City Council.
Section 3. Authorization of a Preliminary Official Statement. This City Council
hereby approves the preparation and distribution by the City's financial advisor to prospective
purchasers of the Certificates of the Preliminary Official Statement, as the same may be
completed, modified, or supplemented with the approval of the Mayor or other authorized
officers and agents of the City.
Section 4. Authorization of Other Matters Relating Thereto. The Mayor, City
Secretary and other officers and agents of the City are hereby authorized and directed to do any
and all things necessary or desirable to carry out the provisions of this Resolution.
Section 5.
passage.
Effective Date. This Resolution shall take effect immediately upon its
Section 6. Public Meeting. It is officially found, determined and declared that the
meeting at which this Resolution is adopted was open to the public and public notice of the time,
place and subject matter of the public business to be considered at such meeting, including this
Resolution,. was given all as required by the Texas Government Code, Chapter 551, as amended.
2
HOU:2987731.1
EXHIBIT A
NOTICE OF INTENTION TO ISSUE CERTIFICATES
NOTICE IS HEREBY GIVEN that the City Council of the City of La Porte, Texas (the
"City") will meet at its regular meeting place at City Council Chambers, City Hall, 604 West
Fairmont Parkway, La Porte, Texas at 6:00 p.m. on April 12, 2010, which is the time and place
tentatively set for the passage of an ordinance and such other action as may be deemed necessary
to authorize the issuance of the City's certificates of obligation, payable from ad valorem
taxation and a limited (in an amount not to exceed $1,000) subordinate pledge of certain
revenues of the water and sewer system of the City, in the maximum aggregate principal amount
of $6.4 million, bearing interest at any rate or rates, not to exceed the maximum interest rate now
or hereafter authorized by law, as shall be determined within the discretion of the City Council at
the time of issuance and maturing over a period of years not to exceed forty (40) years from the
date thereof, for the purpose of evidencing the indebtedness of the City to pay all or any part of
the contractual obligations to be incurred for the construction of public works, the purchase of
materials, supplies, equipment, machinery, buildings, land and rights-of-way for authorized
needs and purposes, to wit: street improvements, drainage improvements and parks
improvements throughout the City and professional services rendered in connection with the
above listed projects.
S-1
HOU:2987731.l
ORDINANCE NO. 3231
ORDINANCE AUTHORIZING THE ISSUANCE OF CITY OF LA PORTE,
TEXAS, CERTIFICATES OF OBLIGATION, SERIES 2010; AND
CONTAINING OTHER MATTERS INCIDENT THERETO
BElT ORDAINED BY THE CITY COUNCIL OF THE CITY OF LA PORTE, TEXAS:
ARTICLE I
FINDINGS AND DETERMINATIONS
Section 1.1: Findings and Determinations. The City Council hereby officially finds
and determines that:
(a) The City of La Porte, Texas (the "City"), acting through its City Council, is
authorized pursuant to and in accordance with the provisions of Texas Local Government Code,
Chapter 271, Subchapter C, as amended (the "Act"), to issue certificates of obligation to
provide all or part of the funds to pay contractual obligations to be incurred for the construction
of public works and the purchase of materials, supplies, equipment, machinery, buildings, land
and rights-of-way for authorized needs and purposes and for the payment of contractual
obligations for professional services, to wit (i) street improvements, drainage improvements
and parks improvements throughout the City, and (ii) professional services rendered in
connection with the above listed projects
(b) The City Council authorized the publication of a notice of intention to issue its City
of La Porte, Texas, Certificates of Obligation, Series 2010 (the "Certificates") to the effect that
the City (:ouncil was tentatively scheduled to meet at 6:00 p.m. on April 12, 2010, at its regular
meeting place to adopt an ordinance authorizing the issuance of the Certificates to be payable
from (i) an ad valorem tax levied, within the limits prescribed by law, on the taxable property
located within the City, and (ii) the revenues to be derived from the City's waterworks and
sewer system (the "System") after the payment of all operation and maintenance expenses
thereof (the "Net Revenues") in an amount not to exceed $1,000, to the extent that ad valorem
taxes are ever insufficient or unavailable for such purposes, provided that the pledge of Net
Revenues is and shall be junior and subordinate in all respects to the pledge of Net Revenues to
the payment of any obligation of the City, whether authorized heretofore or hereafter, which the
City designates as having a pledge senior to the pledge of the Net Revenues to the payment of
the Certificates.
(c) Such notice was published at the times and in the manner required by the Act.
(d) No petition signed by at least five percent (5%) of the qualified voters of the City has
been filed with or presented to any official of the City protesting the issuance of such
Certificates on or before the date of passage of this Ordinance.
(e) The City has determined that it is in the best interests of the City and that it is
otherwise desirable to issue the Certificates to provide all or part of the funds to pay contractual
obligations to be incurred for the purposes authorized by the Act.
1
HOU:3009660.5
ARTICLE II
DEFINITIONS AND INTERPRET A TIONS
Section 2.1: Definitions. As used herein, the following terms shall have the meanings
specified, unless the context clearly indicates otherwise:
"Act" shall mean Texas Local Government Code, Chapter 271, Subchapter C, as
amended.
"Attorney General" shall mean the Attorney General of the State of Texas.
"Certificate" or "Certificates" shall mean any or all of the City of La Porte, Texas,
Certificates of Obligation, Series 2010, authorized by this Ordinance.
"City" shall mean the City of La Porte, Texas, and, where appropriate, its City Council.
"City Council" shall mean the governing body of the City.
"Code" shall mean the Internal Revenue Code of 1986, as amended.
"Comptroller" shall mean the Comptroller of Public Accounts of the State of Texas.
"Debt Service Fund" shall mean the fund by that name created pursuant to Section 5.2
hereof.
"Fiscal Year" shall mean the City's then designated fiscal year, which currently is the
twelve-month period beginning on the first day of October of a calendar year and ending on the
last day of September of the next succeeding calendar year and each such period may be
designated with the number of the calendar year in which such period ends.
"Interest Payment Date," when used in connection with any Certificate, shall mean
March 15, 2011, and each March 15 and September 15 thereafter until maturity or earlier
redemption of such Certificate.
"Issuance Date" shall mean the date on which the Certificates are delivered to and paid
for by the Purchaser.
"Ordinance" shall mean this Ordinance and all amendments hereof and supplements
hereto.
"Outstanding," when used with reference to the Certificates, shall mean, as of a particular
date, all Certificates theretofore and thereupon delivered pursuant to this Ordinance except: (a)
any Certificates canceled by or on behalf of the City at or before such date; (b) any Certificates
defeased pursuant to the defeasance provisions of this Ordinance or otherwise defeased as
permitted by applicable law; and (c) any Certificates. in lieu of or in substitution for which a
replacement Certificate shall have been delivered pursuant to this Ordinance.
2
HOU:3009660.5
"Paying AgentJRegistrar" shall mean The Bank of New York Mellon Trust Company,
National Association, and its successors in that capacity.
"Purchaser" shall mean the entity or entities specified in Section 7.1 hereof.
"Record Date" shall mean the close of business on the first day of the month in which the
applicable Interest Payment Date occurs.
"Register" shall mean the registration books for the Certificates kept by the Paying
AgentJRegistrar in which are maintained the names and addresses of, and the principal amounts
registered to, each Registered Owner of Certificates.
"Registered Owner" shall mean the person or entity in whose name any Certificate is
registered in the Register.
.-
Section 2.2: Interpretations. All terms defined herein and all pronouns used in this
Ordinance shall be deemed to apply equally to singular and plural and to all genders. The titles
and headings of the articles and sections of this Ordinance have been inserted for convenience of
reference only and are not to be considered a part hereof and shall not in any way modify or
restrict any of the terms or provisions hereof. This Ordinance and all the terms and provisions
hereof shall be liberally construed to effectuate the purposes set forth. herein and to sustain the
validity of the Certificates and the validity of the levy of ad valorem taxes to pay the principal of
and interest on the Certificates.
ARTICLE III
TERMS OF THE CERTIFICATES
Section 3.1: Amount, Purpose and Authorization. The Certificates shall be issued
in fully registered form, without coupons, under and pursuant to the authority of the Act in the
total authorized aggregate principal amount of SIX MILLION TWO HUNDRED SIXTY FIVE
THOUSAND AND NO/lOO DOLLARS ($6,265,000) for the purpose of providing all or part of
the funds to pay contractual obligations to be incurred for the purposes described in paragraph
1. 1 (a) hereof, and to pay the costs of issuing the Certificates.
Section 3.2: Designation, Date and Interest Payment Dates. The Certificates shall
be designated as the "City of La Porte, Texas, Certificates of Obligation, Series 2010," and shall
be dated May 1, 2010. The Certificates shall bear interest at the rates set forth in Section 3.3
below, from the later of May 1,2010, or the most recent Interest Payment Date to which interest
has been paid or duly provided for, calculated on the basis of a 360-day year of twelve 30-day
months, payable on March 15, 2011, and each March 15 and September 15 thereafter until
maturity or earlier redemption.
If interest on any Certificate is not paid on any Interest Payment Date and continues
unpaid for thirty (30) days thereafter, the Paying AgentJRegistrar shall establish a new record
date for the payment of such interest, to be known as a Special Record Date. . The Paying
AgentJRegistrar shall establish a Special Record Date when funds to make such interest payment
are received from or on behalf of the City. Such Special Record Date shall be fifteen (15) days
3
HOU:3009660.5
prior to the date fixed for payment of such past due interest, and notice of the date of payment
and the Special Record Date shall be sent by United States mail, first class, postage prepaid, not
later than five (5) days prior to the Special Record Date, to each affected Registered Owner as of
the close of business on the day prior to mailing of such notice.
Section 3.3: Numbers, Denomination, Interest Rates and Maturities. The
Certificates shall be initially issued bearing the numbers, in the principal cunounts and bearing
interest at the rates set forth in the following schedule, and may be transferred and exchanged as
set out in this Ordinance. The Certificates shall mature on March 15 in each of the years and in
the amounts set out in such schedule. Certificates delivered in transfer of or in exchange for
other Certificates shall be numbered in order of their authentication by the Paying
Agent/Registrar, shall be in the denomination of $5,000 or integral multiples thereof and shall
. mature on the same date and bear interest at the same rate as the Certificate or Certificates in lieu
of which they are delivered.
Certificate
Number
R-1
R-2
R-3
R-4
R-5
R-6
R-7
R-8
R-9
R-1O
R-ll
R-12
R-13
R-14
R-15
Year of
Maturity
2012
2013
2014
2015
2016
2017
2018
2019
2020
2021
2022
2023
2024
2025
2026
Principal
Amount
$325,000
335,000
345,000
355,000
370,000
380,000
395,000
410,000
425,000
445,000
460,000
475,000
495,000
515,000
535,000
Section 3.4: Redemption Prior to Maturity.
Interest
Rate
3.000%
3.000
3.000
3.000
3.000
3.000
4.000
4.000
4.000
4.000
3.625
3.750
3.875
4.000
4.000
(a) The Certificates maturing on and after March 15, 2021, are subject to redemption
prior to maturity, at the option of the City, in whole or in part, on March 15, 2020, or any date
thereafter, at par plus accrued interest to the date fixed for redemption.
(b) Certificates may be redeemed in part only in integral multiples of $5,000. If a
Certificate subject to redemption is in a denomination larger than $5,000, a portion of such
Certificate may be redeemed, but only in integral multiples of $5,000. In selecting portions of
Certificates for redemption, each Certificate shall be treated as representing that number of
Certificates of $5,000 denomination which is obtained by dividing the principal amount of such
Certificate by $5,000. Upon presentation and surrender of any Certificate for redemption in
part, the Paying Agent/Registrar, in accordance with the provisions of this Ordinance, shall
HOU:3009660.5
4
authenticate and deliver in exchange therefor a Certificate or Certificates of like maturity and
interest rate in an aggregate principal amount equal to the unredeemed portion of the Certificate
so surrendered.
(c) Notice of any redemption, identifying the Certificates or portions thereof to be
redeemed, shall be sent by United States mail, first class, postage prepaid, to the Registered
Owners thereof at their addresses as shown on the Register, not less than thirty (30) days before
the date fixed for such redemption. By the date fixed for redemption, due provision shall be
made with the Paying Agent/Registrar for the payment of the redemption price of the
Certificates called for redemption. If such notice of redemption is given, and if due provision
for such payment is made, all as provided above, the Certificates which are to be so redeemed
thereby automatically shall be redeemed prior to their scheduled maturities, they shall not bear
interest after the date fixed for redemption, and they shall not be regarded as being Outstanding
except for the purpose of being paid with the funds so provided for such payment.
Section 3.5: Manner of Payment, Characteristics, Execution and Authentication.
The Paying AgentJRegistrar is hereby appointed the paying agent for the Certificates. The
Certificates shall be payable, shall have the characteristics and shall be executed, sealed,
registered and authenticated, all as provided and in the manner indicated in the FORM OF
CERTIFICATES set forth in Article IV of and Exhibit A to this Ordinance. If any officer of the
City whose manual or facsimile signature shall appear on the Certificates shall cease to be such
officer before the authentication of the Certificates or before the delivery of the Certificates, such
manual or facsimile signature shall nevertheless be valid and sufficient for all purposes as if such
officer had remained in such office.
The approving legal opinion of Andrews Kurth LLP, Houston, Texas, Bond Counsel,
may be printed on the back of the Certificates over the certification of the City Secretary, which
may be executed in facsimile. CUSIP numbers also may be printed on the Certificates, but errors
or omissions in the printing of either the opinion or the numbers shall have no effect on the
validity of the Certificates.
Section 3.6: Authentication. Except for the Certificates to be initially issued, which
need not be authenticated by the Registrar, only such Certificates as shall bear thereon a
certificate of authentication, substantially in the form provided in Article IV of and Exhibit A to
this Ordinance, manually executed by an authorized representative of the Paying
AgentJRegistrar, shall be entitled to the benefits of this Ordinance or shall be valid or obligatory
for any purpose. Such duly executed certificate of authentication shall be conclusive evidence
that the Certificate so authenticated was delivered by the Paying Agent/Registrar hereunder.
Section 3.7: Ownership. The City, the Paying Agent/Registrar and any other person
may treat the person in whose name any Certificate is registered as the absolute owner of such
~ Certificate for the purpose of making and receiving payment of the principal thereof and interest
thereon and for all other purposes, whether or not such Certificate is overdue, and neither the
City nor the Paying Agent/Registrar shall be bound by any notice or knowledge to the contrary.
All payments made to the person deemed to be the Registered Owner of any Certificate in
accordance with this Section shall be valid and effective and shall discharge the liability of the
City and the Paying Agent/Registrar upon such Certificate to the extent of the sums paid.
5
HOU:3009660.5
Section 3.8: Registration, Transfer and Exchange. The Paying Agent/Registrar is
hereby appointed the registrar for the Certificates. So long as any Certificate remains
Outstanding, the Paying Agent/Registrar shall keep the Register at its office in Dallas, Texas, in
which, subject to such reasonable regulations as it may prescribe, the Paying Agent/Registrar
shall provide for the registration and transfer of the Certificates in accordance with the terms of
this Ordinance.
Each Certificate shall be transferable only upon the presentation and surrender thereof at
the principal corporate trust office of the Paying Agent/Registrar, accompanied by an assignment
duly executed by the Registered Owner or his authorized representative in form satisfactory to
the Paying Agent/Registrar. Upon due presentation of any Certificate for transfer, the Paying
Agent/Registrar shall authenticate and deliver in exchange therefor, within seventy-two (72)
hours after such presentation, a new Certificate or Certificates, registered in the name of the
transferee or transferees, in authorized denominations and of the same maturity and aggregate
principal amount and bearing interest at the same rate as the Certificate or Certificates so
presented and surrendered.
All Certificates shall be exchangeable upon the presentation and surrender thereof at the
principal corporate trust office of the Paying Agent/Registrar for a Certificate or Certificates of
the same maturity and interest rate and in any authorized denomination, in an aggregate principal
amount equal to the unpaid principal amount of the Certificate or Certificates presented for
exchange. The Paying Agent/Registrar shall be and is hereby authorized to authenticate and
deliver exchange Certificates in accordance with the provisions of this Section. Each Certificate
delivered by the Paying Agent/Registrar in accordance with this Section shall be entitled to the
benefits and security of this Ordinance to the same extent as the Certificate or Certificates in lieu
of which such Certificate is delivered.
All Certificates issued in transfer or exchange shall be delivered to the Registered
Owners thereof at the principal corporate trust office of the Paying Agent/Registrar or sent by
United States mail, first class, postage prepaid.
The City or the Paying Agent/Registrar may require the Registered Owner of any
Certificate to pay a sum sufficient to cover any tax or other governmental charge that may be
imposed in connection with the transfer or exchange of such Certificate. Any fee or charge of
the Paying Agent/Registrar for such transfer or exchange shall be paid by the City.
The Paying Agent/Registrar shall not be required to transfer or exchange any Certificate
called for redemption in whole or in part during the forty-five (45) day period immediately prior
->> to the date fixed for redemption; provided, however, that this restriction shall not apply to the
transfer or exchange by the Registered Owner of the unredeemed portion of a Certificate called
for redemption in part.
~'"
Section 3.9: Book-Entry Only System. (a) The definitive Certificates shall be
initially issued in the form of a separate single fully registered Certificate for each of the
maturities thereof. Upon initial issuance, the ownership of each such Certificate shall be
registered in the name of Cede & Co., as nominee of DTC, and except as provided in subsection
(b) hereof, all of the Outstanding Certificates shall be registered in the name of Cede & Co., as
6
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nominee of DTC. Upon delivery by DTC to the Paying AgentJRegistrar of written notice to the
effect that DTC has determined to substitute a new nominee in place of Cede & Co., and subject
to the provisions in this Ordinance with respect to interest checks being mailed to the Registered
Owner at the close of business on the Record Date, the word "Cede & Co." in this Ordinance
shall refer to such new nominee of DTC.
With respect to Certificates registered in the name of Cede & Co., as nominee of DTC,
the City and the Paying Agent/Registrar shall have no responsibility or obligation to any DTC
Participant or to any person on behalf of whom such a DTC Participant holds an interest in the
Certificates. Without limiting the immediately preceding sentence, the City and the Paying
AgentJRegistrar shall have no responsibility or obligation with respect to (a) the accuracy of the
records of DTC, Cede & Co. or any DTC Participant with respect to any ownership interest in
the Certificates, (b) the delivery to any DTC Participant or any other person, other than a holder
of the Certificate, as shown on the Register, of any notice with respect to the Certificates,
including any notice of redemption or (c) the payment to any DTC Participant or any other
person, other than a holder of the Certificate, as shown in the Register of any amount with
respect to principal of Certificates, premium, if any, or interest on the Certificates.
Except as provided in subsection (c) of this Section 3.9, the City and the Paying
AgentJRegistrar shall be entitled to treat and consider the person in whose name each Certificate
is registered in the Register as the absolute owner of such Certificate for the purpose of payment
of principal of, premium, if any, and interest on Certificates, for the purpose of giving notices of
redemption and other matters with respect to such Certificate, for the purpose of registering
transfer with respect to such Certificate, and for all other purposes whatsoever. The Paying
AgentJRegistrar shall pay all principal of Certificates, premium, if any, and interest on the
Certificates only to or upon the order of the respective owners, as shown in the Register as
provided in this Ordinance, or their respective attorneys duly authorized in writing, and all such
payments shall be valid and effective to fully satisfy and discharge the City's obligations with
respeCt to payment of principal of, premium, if any, and interest on the Certificates to the extent
of the sum or sums so paid. No person other than an owner shall receive a Certificate evidencing
the obligation of the City to make payments of amounts due pursuant to this Ordinance.
. (b) Payments and Notices to Cede & Co. Notwithstanding any other provision of this
Ordinance to the contrary, as long as any Certificates are registered in the name of Cede & Co.,
as nominee of DTC, all payments with respect to principal of, premium, if any, and interest on
the Certificates, and all notices with respect to such Certificates shall be made and given,
respectively, in the manner provided in the representation letter of the City to DTC.
(c) Successor Securities Depository; Transfer Outside Book-Entry Only System. In
the event that the City or the Paying AgentJRegistrar determines that DTC is incapable of
discharging its responsibilities described herein and in the representation letter of the City to
DTC, and that it is in the best interest of the beneficial owners of the Certificates that they be
able to obtain certified Certificates, the City or the Paying AgentJRegistrar shall (a) appoint a
successor securities depository, qualified to act as such under Section 17(a) of the Securities and
Exchange Act of 1934, as amended, notify DTC of the appointment of such successor securities
depository and transfer one or more separate Certificates to such successor securities depository
or (b) notify DTC of the availability through DTC of Certificates and transfer one or more
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separate Certificates to DTC Participants having Certificates credited to their DTC accounts. In
such event, the Certificates shall no longer be restricted to being registered in the Register in the
name of Cede & Co., as nominee of DTC, but may be registered in the name of the successor
securities depository, or its nominee, or in whatever name or names holders of the Certificates
transferring or exchanging Certificates shall designate, in accordance with the provisions of this
Ordinance.
Section 3.10: Replacement Certificates. Upon the presentation and surrender to the
Paying Agent/Registrar of a damaged or mutilated Certificate, the Paying Agent/Registrar shall
authenticate and deliver in exchange therefor a replacement Certificate, of the same maturity,
interest rate and principal amount, bearing a number not contemporaneously outstanding. The
City or the Paying Agent/Registrar may require the Registered Owner of such Certificate to pay
a sum sufficient to cover any tax or other governmental charge that may be imposed in
connection therewith and any other expenses connected therewith, including the fees and
expenses of the Paying Agent/Registrar and the City.
If any Certificate is lost, apparently destroyed or wrongfully taken, the City, pursuant to
the applicable laws of the State of Texas and ordinances of the City, and in the absence of notice
or knowledge that such Certificate has been acquired bya bona fide purchaser, shall execute, and
the Paying Agent/Registrar shall authenticate and deliver, a replacement Certificate of the same
maturity, interest rate and principal amount, bearing a number not contemporaneously
outstanding, provided that the Registered Owner thereof shall have:
(a) furnished to the City and the Paying Agent/Registrar satisfactory evidence of the
ownership of and the circumstances of the loss, destruction or theft of such Certificate;
(b) furnished such security or indemnity as may be required by the Paying
Agent/Registrar and the City to save and hold them harmless;
(c) paid all expenses and charges in connection therewith, including, but not limited to,
printing costs, legal fees, fees of the Paying Agent/Registrar and any tax or other governmental
charge that may be imposed; and
(d) met any other reasonable requirements of the City and the Paying AgentJRegistrar.
~,
If, after the delivery of such replacement Certificate, a bona fide purchaser of the original
Certificate in lieu of which such replacement Certificate was issued presents for payment such
original Certificate, the City and the Paying Agent/Registrar shall be entitled to recover such
replacement Certificate from the person to whom it was delivered or any person taking
therefrom, except a bona fide purchaser, and shall be entitled to recover upon the security or
indemnity provided therefor to the extent of any loss, damage, cost or expense incurred by the
City or the Paying Agent/Registrar in connection therewith.
If any such mutilated, lost, apparently destroyed or wrongfully taken Certificate has
become or is about to become due and payable, the City in its discretion may, instead of issuing a
replacement Certificate, authorize the Paying Agent/Registrar to pay such Certificate.
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Each replacement Certificate delivered in accordance with this Section shall be entitled to
the benefits and security of this Ordinance to the same extent as the Certificate or Certificates in
lieu of which such replacement Certificate is delivered.
Section 3.11: Cancellation. All Certificates paid or redeemed in accordance with this
Ordinance, and all Certificates in lieu of which exchange Certificates or replacement Certificates
are authenticated and delivered in accordance herewith, shall be canceled and destroyed upon the
making of proper records regarding such payment or redemption. The Paying AgentlRegistrar
shall periodically furnish the City with certificates of destruction of such Certificates.
ARTICLE IV
FORM OF CERTIFICATES
Section 4.1: Form of Certificates. The Certificates, including the Form of
Comptroller's Registration Certificate, Form of Paying AgentJRegistrar Authentication
Certificate, Form of Assignment and Form of Statement of Insurance, if any, shall be in
substantially the form set forth in Exhibit A hereto, with such omissions, insertions and
variations as may be necessary or desirable, and not prohibited by this Ordinance.
ARTICLE V
SECURITY FOR THE CERTIFICATES
Section 5.1: Pledge and Levy of Taxes and Revenues. (a) To provide for the
payment of principal of and interest on the Certificates, there is hereby levied, within the limits
prescribed by law, for the current year and each succeeding year thereafter, while the Certificates
. or any part of the principal thereof and the interest thereon remain outstanding and unpaid, an ad
valorem tax upon all taxable property within the City sufficient to pay the interest on the
Certificates and to create and provide a sinking fund of not less than 2% of the principal amount
of the Certificates or not less than the principal payable out of such tax, whichever is greater,
with full allowance being made for tax delinquencies and the costs of tax collection, and such
taxes, when collected, shall be applied to the payment of principal of and interest on the
Certificates by deposit to the Debt Service Fund and to no other purpose.
(b) The City hereby declares its purpose and intent to provide and levy a tax legally
sufficient to pay the principal of and interest on the Certificates, it having been determined that
the existing and available taxing authority of the City for such purpose is adequate to permit a
legally sufficient tax. As long as any Certificates remain outstanding, all moneys on deposit in,
or credited to, the Debt Service Fund shall be secured by a pledge of security, as provided by
law for cities in the State of Texas.
(c) In addition, pursuant to the authority of Chapter 1502, Texas Government Code, as
amended, the City also hereby pledges the revenues to be derived from the City's waterworks
and sewer system, after the payment of all operation and maintenance expenses thereof (the
"Net Revenues"), in an amount not to exceed $1,000, to the payment of the principal of and
interest on the Certificates, provided that the pledge of Net Revenues is and shall be junior and
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subordinate in all respects to the pledge of Net Revenues to the payment of any obligation of the
City, whether authorized heretofore or hereafter, which the City designates as having a pledge
senior to the pledge of the Net Revenues to the payment of the Certificates. The City also
reserves the right to issue, for any lawful purpose at any time, in one or more installments,
bonds, certificates of obligation and other obligations of any kind, secured in whole or in part by
a pledge of Net Revenues, that may be prior and superior in right to, on a parity with, or junior
and subordinate to the pledge of Net Revenues securing the Certificates.
(d) To pay the interest coming due on the Certificates prior to receipt of the taxes levied
to pay such interest, there is hereby appropriated from current funds on hand, which are hereby
certified to be on hand and available for such purpose, an amount sufficient to pay such interest,
and such amount shall be used for no other purpose.
Section 5.2: Debt Service Fund. The Certificates of Obligation, Series 2010, Debt
Service Fund (the "Debt Service Fund") is hereby created as a special fund solely for the benefit
of the Certificates. The City shall establish and maintain such fund at an official City depository
and shall keep such fund separate and apart from all other funds and accounts of the City. Any
amount on deposit in the Debt Service Fund shall be maintained by the City in trust for the
Registered Owners of the Certificates. Such amount, plus any other amounts deposited by the
City into such fund and any and all investment earnings on amounts on deposit in such fund,
shall be used only to pay the principal of, premium, if any, and interest on the Certificates.
Section 5.3: Further Proceedings. After the Certificates to be initially issued have
been executed, it shall be the duty of the Mayor to deliver the Certificates to be initially issued
and all pertinent records and proceedings to the Attorney General for examination and approval.
After the Certificates to be initially issued shall have been approved' by the Attorney General,
they shall be delivered to the Comptroller for registration. Upon registration of the Certificates
to be initially issued, the Comptroller (or a deputy lawfully designated in writing to act for the
Comptroller) shall manually sign the Comptroller's registration certificate prescribed herein to
be affixed or attached to the Certificates to be initially issued, and the seal of said Comptroller
shall be impressed, or placed in facsimile, thereon.
ARTICLE VI
--
CONCERNING THE P A YlNG AGENT/REGISTRAR
Section 6.1: Acceptance. The Bank of New York Mellon Trust Company, National
Association, is hereby appointed as the initial Paying AgentJRegistrar for the Certificates
~~ pursuant to the terms and provisions of the Paying AgentJRegistrar Agreement by and between
the City and the Paying Agent/Registrar. The Paying AgentJRegistrar Agreement shall be
substantially in the form attached hereto as Exhibit B, the terms and provisions of which are
hereby approved, and the Mayor is hereby authorized to execute and deliver such Paying
AgentJRegistrar Agreement on behalf of the City in multiple counterparts and the City Secretary
is hereby authorized to attest thereto and affix the City's seal. Such initial Paying
AgentJRegistrar and any successor Paying Agent/Registrar, by undertaking the performance of
the duties of the Paying Agent/Registrar hereunder, and in consideration of the payment of any
fees pursuant to the terms of any contract between the Paying AgentJRegistrar and the City
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and/or the deposits of money pursuant to this Ordinance, shall be deemed to accept and agree to
-abide by the terms of this Ordinance.
Section 6.2: Trust Funds. All money transferred to the Paying Agent/Registrar in its
capacity as Paying Agent/Registrar for the Certificates under this Ordinance (except any sums
representing Paying Agent/Registrar's fees) shall be held in trust for the benefit of the City, shall
be the property of the City and shall be disbursed in accordance with this Ordinance.
Section 6.3: Certificates Presented. Subject to the provisions of Section 6.4, all
matured Certificates presented to the Paying Agent/Registrar for payment shall be paid without
the necessity of further instructions from the City. Such Certificates shall be canceled as
provided herein.
Section 6.4: Unclaimed Funds Held by the Paying AgentJRegistrar. Funds held by
the Paying AgentlRegistrar that represent principal of and interest on the Certificates remaining
unclaimed by the Registered Owner thereof after the expiration of three years from the date such
funds have become due and payable (a) shall be rePorted and disposed of by the Paying
Agent/Registrar in accordance with the provisions of Title 6 of the Texas Property Code, as
amended, to the extent such provisions are applicable to such funds, or (b) to the extent such
provisions do not apply to the funds, such funds shall be paid by the Paying Agent/Registrar to
the City upon receipt by the Paying AgentlRegistrar of a written request therefor from the City.
The Paying Agent/Registrar shall have no liability to the Registered Owners of the
Certificates by virtue of actions taken in compliance with this Section.
Section 6.5: Paying AgentJRegistrar May Own Certificates. The Paying
Agent/Registrar in its individual or any other capacity, may become the owner or pledgee of
Certificates with the same rights it would have if it were not the Paying Agent/Registrar.
Section 6.6: Successor Paying Agents/Registrars. The City covenants that at all
times while any Certificates are Outstanding it will provide a legally qualified bank, trust
company, financial institution or other agency to act as Paying Agent/Registrar for the
Certificates. The City reserves the right to change the Paying Agent/Registrar for the
Certificates on not less than sixty (60) days' written notice to the Paying Agent/Registrar, as long
as any such notice is effective not less than 60 days prior to the next succeeding principal or
interest payment date on the Certificates. Promptly upon the appointment of any successor
Paying AgentJRegistrar, the previous Paying AgentJRegistrar shall deliver the Register or a copy
thereof to the new Paying Agent/Registrar, and the new Paying AgentJRegistrar shall notify each
Registered Owner, by United States mail, first class, postage prepaid, of such change and of the
address of the new Paying AgentJRegistrar. Each Paying AgentJRegistrar hereunder, by acting
in that capacity, shall be deemed to have agreed to the provisions of this Ordinance.
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ARTICLE VII
PROVISIONS CONCERNING SALE AND
APPLICATION OF PROCEEDS OF CERTIFICATES
-
Section 7.1: Sale of Certificates; Insurance. The sale of the Certificates to First
Southwest Company (the "Purchaser") at a price of the par value thereof plus a cash premium of
$75,180.00, plus accrued interest on the Certificates, is hereby approved, and delivery of the
Certificates to the Purchaser, registered in its name, shall be made upon payment therefor in
accordance with the Winning Bid attached hereto as Exhibit C. It is hereby officially found,
determined and declared that the Purchaser is the highest bidder for the Certificates as a result of
invitations for competitive bids. It is further officially found, determined and declared that the
Certificates have been sold at public sale to the bidder offering the lowest interest cost, which is
hereby determined to be a net effective interest rate of 3.642555%, after receiving sealed bids
pursuant to an Official Notice of Sale and Preliminary Official Statement prepared and
distributed in connection with the sale of the Certificates.
Section 7.2: Approval, Registration and Delivery. The Mayor is hereby authorized
to have control and custody of the Certificates and all necessary records and proceedings
pertaining thereto pending their delivery, and the Mayor and other officers and employees of the
City are hereby authorized and directed to make such certifications and to execute such
instruments as may be necessary to accomplish the delivery of the Certificates and to assure the
investigation, examination and approval thereof by the Attorney General and the registration of
the initial Certificates by the Comptroller. Upon registration of the Certificates, the Comptroller
(or the Comptroller's certificates clerk or an assistant certificates clerk lawfully designated in
writing to act for the Comptroller) shall manually sign the Comptroller's Registration
Certificates prescribed herein to be attached or affixed to each Certificates initially delivered and
the seal of the Comptroller shall be impressed or printed or lithographed thereon.
Section 7.3: Offering Documents; Ratings. The City hereby approves the form and
content of the Official Notice of Sale and Preliminary Official Statement, attached hereto as
Exhibit D and Exhibit E, respectively, relating to the Certificates, and hereby approves the
preparation of the final Official Statement, in substantially the form of the Preliminary Official
Statement, with such revisions as are necessary to reflect the terms of the sale of the Certificates,
and ratifies and approves the distribution of such Official Notice of Sale and Preliminary Official
Statement and approves the distribution of the final Official Statement and any addenda,
supplement or amendment thereto, in the offer and sale of the Certificates and in the reoffering
of the Certificates by the Purchaser, with such changes therein or additions thereto as the
officials executing same may deem advisable, such determination to be conclusively evidenced
by their execution thereof. The Mayor is hereby authorized and directed to execute, and the City
Secretary is hereby authorized and directed to attest, the final Official Statement. It is further
hereby officially found, determined and declared that the statements and representations
contained in the Preliminary Official Statement and final Official Statement are true and correct
in all material respects, to. the best knowledge and belief of the City Council, and that, as of the
date thereof, the Preliminary Official Statement was an official statement of the City with respect
to the Certificates that was deemed "final" by an authorized official of the City except for the
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HOU:3009660.5
omission of no more than the information permitted by subsection (b)(l) of Rule 15c2-12 of the
Securities and Exchange Commission.
Further, the City Council hereby ratifies, authorizes and approves the actions of the
Mayor, the City's financial advisor and other consultants in seeking a rating on the Certificates
from Standard & Poor's Ratings Services and such actions are hereby ratified and confirmed.
Section 7.4: Application of Proceeds of Certificates; Appropriation. Proceeds
from the sale of the Certificates shall, promptly upon receipt by the City, be applied as follows:
(1) Accrued interest shall be deposited into the Debt Service Fund created in Section
5.2 of this Ordinance;
(2) A portion of the proceeds shall be applied to pay expenses arising in connection
with the issuance of the Certificates; and
(3) The remaining proceeds shall be applied, together with other funds of the City, to
provide funds to pay contractual obligations to be incurred for the purposes set forth in Section
3.1 of this Ordinance.
Section 7.5: Tax Exemption. The City intends that the interest on the Certificates
shall be excludable from gross income of the owners thereof for federal income tax purposes
pursuant to Sections 103 and 141 through 150 of the Internal Revenue Code of 1986, as amended
(the "Code"), and all applicable temporary, proposed and final regulations (the "Regulations")
and procedures promulgated thereunder and applicable to the Certificates. For this purpose, the
City covenants that it will monitor and control the receipt, investment, expenditure and use of all
gross proceeds of the Certificates (including all property the acquisition, construction or
improvement of which is to be financed directly or indirectly with the proceeds of the
Certificates) and take or omit to take such other and further actions as may be required by
Sections 103 and 141 through 150 of the Code and the Regulations to cause interest on the
Certificates to be and remain excludable from the gross income, as defined in Section 61 of the
Code, of the owners of the Certificates for federal income tax purposes. Without limiting the
generality of the foregoing, the City shall comply with each of the following covenants:
(a) The City will use all of the proceeds of the Certificates to (i) provide funds to pay
contractual obligations to be incurred for the purposes set forth in Section 3.1 hereof (the
"Project"), which Project will be owned and operated by the City, and (ii) to pay the costs of
issuing the Certificates. The City will not use any portion of the proceeds of the Certificates to
pay the principal of or interest or redemption premium on, any other obligation of the City or a
related person.
(b) The City will not directly or indirectly take any action, or omit to take any action,
which action or omission would cause the Certificates to constitute "private activity bonds"
within the meaning of Section 141(a) of the Code.
(c) Principal of and interest on the Certificates will be paid solely from ad valorem taxes
and Net Revenues collected by the City, investment earnings on such collections, and as
available, proceeds of the Certificates.
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HOU:3009660.5
(d) Based upon all facts and estimates now known or reasonably expected to be in
existence on the date the Certificates are delivered, the City reasonably expects that the
proceeds of the Certificates will not be used in a manner that would cause the Certificates or
any portion thereof to be an "arbitrage bond" within the meaning of Section 148 of the Code.
(e) At all times while the Certificates are outstanding, the City will identify and properly
account for all amounts constituting gross proceeds of the Certificates in accordance with the
Regulations. The City will monitor the yield on the investments of the proceeds of the
Certificates and, to the extent required by the Code and the Regulations, will restrict the yield
on such investments to a yield which is not materially higher than the yield on the Certificates.
To the extent necessary to prevent the Certificates from constituting "arbitrage bonds," the City
will make such payments as are necessary to cause the yield on all yield restricted nonpurpose
investments allocable to the Certificates to be less than the yield that is materially higher than
the yield on the Certificates.
(f) The City will not take any action or knowingly omit to take any action which, if
taken or omitted, would cause the Certificates to be treated as "federally guaranteed"
obligations for purposes of Section 149(b) of the Code.
(g) The City represents that not more than fifty percent (50%) of the proceeds of the
Certificates will be invested in nonpurpose investments (as defined in Section 148(f)(6)(A) of
the Code) having a substantially guaranteed yield for four years or more within the meaning of
Section 149(g)(3)(A)(ii) of the Code, and the City reasonably expects that at least eighty-five
percent (85%) of the spendable proceeds of the Certificates will be used to carry out the
governmental purpose of the Certificates within the three-year period beginning on the date of
issue of the Certificates.
(h) The City will take all necessary steps to comply with the requirement that certain
amounts earned by the City on the investment of the gross proceeds of the Certificates, if any,
be rebated to the federal government. Specifically, the City will (i) maintain records regarding
the receipt, investment, and expenditure of the gross proceeds of the Certificates as may be
required to calculate such excess arbitrage profits separately from records of amounts on deposit
in the funds and accounts of the City allocable to other obligations of the City or moneys which
do not represent gross proceeds of any obligations of the City and retain such records for at least
six years after the day on which the last outstanding Certificate is discharged, (ii) account for all
gross proceeds under a reasonable, consistently applied method of accounting, not employed as
an artifice or device to avoid in whole or in part, the requirements of Section 148 of the Code,
including any specified method of accounting required by applicable Regulations to be used for
all or a portion of any gross proceeds, (iii) calculate, at such times as are required by applicable
Regulations, the amount of excess arbitrage profits, if any, earned from the investment of the
gross proceeds of the Certificates and (iv) timely pay, as required by applicable Regulations, all
amounts required to be rebated to the federal government. In addition, the City will exercise
reasonable diligence to assure that no errors are made in the calculations required by the
preceding sentence and, if such an error is made, to discover and promptly correct such error
within a reasonable amount of time thereafter, including payment to the federal government of
any delinquent amounts owed to it, interest thereon and any penalty.
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(i) The City will not directly or indirectly pay any amount otherwise payable to the
federal government pursuant to the foregoing requirements to any person other than the federal
government by entering into any investment arrangement with respect to the gross proceeds of
the Certificates that might result in a reduction in the amount required to be paid to the federal
government because such arrangement results in a smaller profit or a larger loss than would
have resulted if such arrangement had been at arm's length and had the yield on the Certificates
not been relevant to either party.
G) The City will timely file or cause to be filed with the Secretary of the Treasury of the
.United States the information required by Section 149(e) of the Code with respect to the
Certificates on such form and in such place as the Secretary may prescribe.
(k) The City will not issue or use the Certificates as part of an "abusive arbitrage
device" (as defined in Section 148-1O(a) of the Regulations). Without limiting the foregoing,
the Certificates are not and will not be a part of a transaction or series of transactions that
attempts to circumvent the provisions of Section 148 of the Code and the Regulations by
(i) enabling the City to exploit the difference between tax-exempt and taxable interest rates to
gain a material financial advantage, or (ii) increasing the burden on the market for tax-exempt
obligations.
(1) Proper officers of the City charged with the responsibility for issuing the Certificates
are hereby directed to make, execute and deliver certifications as to facts, estimates or
circumstances in existence as of the date of issuance of the Certificates and stating whether
there are facts, estimates or circumstances that would materially change the City's expectations.
On or after the date of issuance of the Certificates, the City will take such actions as are
necessary and appropriate to assure the continuous accuracy of the representations contained in
such certificates.
(m)The covenants and representations made or required by this Section are for the
benefit of the Certificate holders and any subsequent Certificate holder, and may be relied upon
by the Certificate holders and any subsequent Certificate holder and bond counsel to the City.
In complying with the foregoing covenants, the City may rely upon an unqualified
opinion issued to the City by nationally recognized bond counsel that any action by the City or
reliance upon any interpretation of the Code or Regulations contained in such opinion will not
cause interest on the Certificates to be includable in gross income of the owners thereof for
federal income tax purposes under existing law.
Notwithstanding any other provision of this Ordinance, the City's representations and
obligations under the covenants and provisions of this Section 7.5 shall survive the defeasance
and discharge of the Certificates for as long as such matters are relevant to the exclusion of
interest on the Certificates from the gross income of the owners for federal income tax purposes.
Section 7.6: Qualified Tax-Exempt Obligations. The City hereby designates the
Certificates as "qualified tax-exempt obligations" as defined in Section 265(b)(3) of the Code.
With respect to such designation, the City represents the following: (a) that during the calendar
year 2010, the City (including all entities which issue obligations on behalf of the City), has not
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HOU:3009660.5
designated nor will designate obligations, which when aggregated with the Certificates will
result in more than $30,000,000 of "qualified tax-exempt obligations" being issued and (b) that
the City has examined its financing needs for the calendar year 20 I 0, and reasonably anticipates
that the amount of bonds, leases, loans or other obligations, together with the Certificates and
any other tax-exempt obligations heretofore issued by the City (plus those of all entities which
issue obligations on behalf of the City) during the calendar year 2010, when the higher of the
face amount or the issue price of each such tax-exempt obligation issued for the calendar year
2009 by the City is taken into account, will not exceed $30,000,000.
Section 7.7: Related Matters. In order that the City shall satisfy in a timely manner
all of its obligations under this Ordinance, the Mayor, the Mayor Pro-Tern, City Secretary and all
other appropriate officers, agents, representatives and employees of the City are hereby
authorized and directed to take all other actions that are reasonably necessary to provide for the
issuance and delivery of the Certificates, including, without limitation, executing and delivering
on behalf of the City all certificates, consents, receipts, requests, notices, and other documents as
may be reasonably necessary to satisfy the City's obligations under this Ordinance and to direct
the transfer and application of funds of the City consistent with the provisions of this Ordinance.
ARTICLE VITI
CONTINUING DISCLOSURE UNDERT AKlNG
Section 8.1: Annual Reports. The City shall provide annually to the MSRB, within
six months after the end of each fiscal year, financial information and operating data with respect
to the City of the general type included in the final Official Statement authorized by Section 7.3
of this Ordinance, being the financial information and operating data described in the Official
Statement in Tables 1-6 and 8-14 and in Appendix B to the Official Statement. Any financial
statements so to be provided shall be (1) prepared in accordance with the accounting principles
described in Appendix B to the Official Statement and (2) audited, if the City commissions an
audit of such statements and the audit is completed within the period during which they must be
provided. If audited financial statements are not so provided, then the City shall provide audited
financial statements for the applicable fiscal year to the MSRB, when and if audited financial
statements become available.
If the City changes its fiscal year, it will notify the MSRB of the change (and of the date
of the new fiscal year end) prior to the next date by which the City otherwise would be required
to provide financial information and operating data pursuant to this Section.
The financial information and operating data to be provided pursuant to this Section may
be set forth in full in one or more documents or may be included by specific reference to any
document (including an official statement or other offering document, if it is available from the
MSRB) that theretofore has been provided to the MSRB or filed with the SEC.
Section 8.2: Material Event Notices. The City shall notify the MSRB, in a timely
manner, of any of the following events with respect to the Certificates, if such event is material
within the meaning of the federal securities laws:
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(a) Principal and interest payment delinquencies;
(b) Non-payment related defaults;
(c) Unscheduled draws on debt service reserves reflecting financial difficulties;
(d) Unscheduled draws on credit enhancements reflecting financial difficulties;
(e) Substitution of credit or liquidity providers, or their failure to perform;
(g) Adverse tax opinions or events affecting the tax-exempt status of the Certificates;
(h) Modifications to rights of holders of the Certificates;
(i) Certificate calls;
(j) Defeasances;
(k) Release, substitution, or sale of property securing repayment of the Certificates; and
(1) Rating changes.
The City shall notify the MSRB, in a timely manner, of any failure by the City to provide
financial information or operating data in accordance with Section 8.1 of this Ordinance by the
time required by such Section.
Section 8.3: Limitations, Disclaimers and Amendments. The City shall be
obligated to observe and performthe covenants specified in this Article for so long as, but only
for so long as, the City remains an "obligated person" with respect to the Certificates within the
meaning of the Rule, except that the City in any event will give the notice required by Section
8.2 of any Certificate calls and defeasance that cause the City to be no longer such an "obligated
person."
The provisions of this Article are for the sole benefit of the holders and beneficial owners
of the Certificates, and nothing in this Article, express or implied, shall give any benefit or any
legal or equitable right, remedy, or claim hereunder to any other person. The City undertakes to
provide only the financial information, operating data, financial statements, and notices which it
has expressly agreed to provide pursuant to this Article and does not hereby undertake to provide
any other information that may be relevant or material to a complete presentation of the City's
fmancial results, condition, or prospects or hereby undertake to update any information provided
in accordance with this Article or otherwise, except as expressly provided herein. The City does
not make any representation or warranty concerning such information or its usefulness to a
decision to invest in or sell Certificates at any future date.
UNDER NO CIRCUMSTANCES SHALL THE CITY BE LIABLE TO THE HOLDER
OR BENEFICIAL OWNER OF ANY CERTIFICATE OR ANY OTHER PERSON, IN
CONTRACT OR TORT, FOR DAMAGES RESULTING IN WHOLE OR IN PART FROM
ANY BREACH BY THE CITY, WHETHER NEGLIGENT OR WITHOUT FAULT ON ITS
17
HOD :3009660.5
PART, OF ANY COVENANT SPECIFIED IN THIS ARTICLE, BUT EVERY RIGHT AND
REMEDY OF ANY SUCH PERSON, IN CONTRACT OR TORT, FOR OR ON ACCOUNT
OF ANY SUCH BREACH SHALL BE LIMITED TO AN ACTION FOR MANDAMUS OR
SPECIFIC PERFORMANCE.
No default by the City in observing or performing its obligations under this Article shall
constitute a breach of or default under the Ordinance for purposes of any other provision of this
Ordinance.
Nothing in this Article is intended or shall act to disclaim, waive, or otherwise limit the
duties of the City under federal and state securities laws.
The provisions of this Article may be amended by the City from time to time to adapt the
changed circumstances that arise from a change in legal requirements, a change in law, or a
change in the identity, nature, status, or type of operations of the City, but only if (1) the
provisions of this Article, as so amended, would have permitted an underwriter to purchase or
sell the Certificates in the primary offering of the Certificate.s in compliance with the Rule,
taking into account any amendments or interpretations of the Rule to the date of such
amendment, as well as such changed circumstances, and (2) either (a) the holders of a majority in
aggregate principal amount (or any greater amount required by any other provision of this
Ordinance that authorizes such an amendment) of the outstanding Certificates consent to such
amendment or (b) a person that is unaffiliated with the City (such as nationally recognized bond
counsel) determines that such amendment will not materially impair the interests of the holder
and beneficial owners of the Certificates. If the City so amends the provisions of this Article, it
shall include with any amended financial information or operating data next provided in
accordance with Section 8.1 an explanation, in narrative form, of the reasons for the amendment
and of the impact of any change in the type of financial information or operating data so
provided. The City may also amend or repeal the provisions of this Article if the SEC amends or
repeals the applicable provisions of the Rule or a court of final jurisdiction enters judgment that
such provisions of the Rule are invalid, and the City also may amend the provisions of this
Article in its discretion in any other manner or circumstance, but in either case only if and to the
extent that the provisions of this sentence would not have prevented an underwriter from
lawfully purchasing or selling Certificates in the primary offering of the Certificates, giving
effect to (a) such provisions as so amended and (b) any amendments or interpretations of the
Rule.
Section 8.4: Definitions. As used m this Article, the following terms have the
meanings ascribed to such terms below:
"MSRB" means the Municipal Securities Rulemaking Board.
"Rule" means SEC Rule 15c2-12, as amended from time to time.
"SEC" means the United States Securities and Exchange Commission.
18
HOU:3009660.5
ARTICLE IX
MISCELLANEOUS
Section 9.1: Defeasance. The City may defease the provisions of this Ordinance and
discharge its obligations to the Registered Owners of any or all of the Certificates to pay the
principal of arid interest thereon in any manner now or hereafter permitted by law, including by
depositing with the Paying AgentlRegistrar, a trust company or commercial bank other than the
Paying AgentlRegistrar, or with the Comptroller of Public Accounts of the State of Texas either:
(a) cash in an amount equal to the principal amount of such Certificates and
premium, if any, and interest thereon to the date of maturity or redemption; or
(b) pursuant to an escrow or trust agreement, cash and/or (i) direct noncallable
obligations of United States of America, including obligations that are unconditionally
guaranteed by the United States of America; (ii) noncallable obligations of an agency or
instrumentality of the United States, including obligations that are unconditionally guaranteed or
insured by the agency or instrumentality and that are rated as to investment quality by a
nationally recognized investment rating firm not less than "AAA" or its equivalent; or (iii)
noncallable obligations of a state or an agency or a county, municipality, or other political
subdivision of a state that have been refunded and that are rated as to investment quality by a
nationally recognized investment rating firm not less than "AAA" or its equivalent, which, in the
case of (i), (ii) or (iii), may be in book-entry form, and the principal of and interest on which
will, when due or redeemable at the option of the holder, without further investment or
reinvestment of either the principal amount thereof or the interest earnings thereon, provide
money in an amount which, together with other moneys, if any, ~eld in such escrow at the same
time and available for such purpose, shall be sufficient to provide for the timely payment of the
principal of and interest thereon to the date of maturity or earlier redemption;
provided, however, that if any of the Certificates are to be redeemed prior to their respective
dates of maturity, provision shall have been made for giving notice of redemption as provided in
this Ordinance. Upon such deposit, such Certificates shall no longer be regarded to be
Outstanding or unpaid. Any surplus amounts not required to accomplish such defeasance shall
be returned to the City.
Section 9.2: Ordinance a Contract. Amendments. This Ordinance shall constitute
a contract with the Registered Owners from time to time, be binding on the City, and shall not be
amended or repealed by the City so long as any Certificate remains Outstanding except as
permitted in this Section. The City may, without the consent of or notice to any Registered
Owners, from time to time and at any time, amend this Ordinance in any manner not detrimental
to the interests of the Registered Owners, including the curing of any ambiguity, inconsistency,
or formal defect or omission herein. In addition, the City may, with the consent of Registered
Owners who own in the aggregate 51 % of the principal amount of the Certificates then
Outstanding, amend, add to, or rescind any of the provisions of this Ordinance; provided that,
without the consent of all Registered Owners of Outstanding Certificates, no such amendment,
addition, or rescission shall (i) extend the time or times of payment of the principal of and
interest on the Certificates, reduce the principal amount thereof, the redemption price, or the rate
19
HOU:3009660.5
of interest thereon, or in any other way modify the terms of payment of the principal of or.
interest on the Certificates, (ii) give any preference to any Certificate over any other Certificate,
or (iii) reduce the aggregate principal amount of Certificates required to be held by Registered
Owners for consent to any such amendment, addition, or rescission.
Section 9.3: Legal Holidays. In any case where the date interest accrues and
becomes payable on the Certificates or principal of the Certificates matures or the date fixed for
redemption of any Certificates or a Record Date shall be in the City a Saturday, Sunday, legal
holiday or a day on which banking institutions are authorized by law to close, then payment of
interest or principal need not be made on such date, or the Record Date shall not occur on such
date, but payment may be made or the Record Date shall occur on the next succeeding day which
is not in the City a Saturday, Sunday, legal holiday or a day on which banking institutions are
authorized by law to close with the same force and effect as if (i) made on the date of maturity or
the date fixed for redemption and no interest shall accrue for the period from the date of maturity
or redemption to the date of actual payment or (ii) the Record Date had occurred on the fifteenth
calendar day of that month.
Section 9.4: Power to Revise Form of Documents. Notwithstanding any other
provision of this Ordinance, the Mayor is hereby authorized to make or approve such revisions,
additions, deletions, and variations to this Ordinance and in the form of the documents attached
hereto as exhibits as, in the judgment of the Mayor, and in the opinion of Bond Counsel to the
City, may be necessary or convenient to carry out or assist in carrying out the purposes of this
Ordinance, the Preliminary Official Statement, the final Official Statement, or as may be
required for approval of the Certificates by the Attorney General of Texas; provided, however,
that any changes to such documents resulting in substantive amendments to the terms and
conditions of the Certificates or such documents shall be subject to the prior approval of the City
Council.
Section 9.5: . No Recourse Against City Officials. No recourse shall be had for the
payment of principal of or interest on any Certificates or for any claim based thereon or on this
Ordinance against any official of the City or any person executing any Certificates.
Section 9.6: Further Proceedings~ The Mayor, Mayor Pro-Tern, City Secretary and
other appropriate officials of the City are hereby authorized and directed to do any and all things
necessary and/or convenient to carry out the terms of this Ordinance.
Section 9.7: Severability. If any Section, paragraph, clause or provision of this
Ordinance shall for any reason be held to be invalid or unenforceable, the invalidity or
unenforceability of such Section, paragraph, clause or provision shall not affect any of the
remaining provisions of this Ordinance.
Section 9.8: Open Meeting. It is hereby found, determined and declared that a
sufficient written notice of the date, hour, place and subject of the meeting of the City Council at
which this Ordinance was adopted was posted at a place convenient and readily accessible at all
times to the general public at City Hall for the time required by law preceding this meeting, as
required by the Open Meetings Law, Chapter 551, Texas Government Code, and that this
meeting has been open to the public as required by law at all times during which this Ordinance
20
HOU:3009660.5
and the 'subject matter thereof has been discussed, considered and formally acted upon. The City
Council further ratifies, approves and confirms such written notice and the contents and posting
thereof.
Section 9.9: Repealer. All orders, resolutions and ordinances, or parts thereof,
inconsistent herewith are hereby repealed to the extent of such inconsistency.
Section 9.10: Effective Date. This Ordinance shall be in force and effect from and after
its passage on the date shown below.
[Signature page follows.]
21
HOU:3009660.5
DULY PASSED AND APPROVED this the 12TH day of April, 2010.
Mayor
ATTEST:
L/frI tUd~ A~.
City Secretary
APPROVED AS TO FORM AND CONTENT:
t7~ 1f) ~
City Attorney
S-1
HOU :3009660.1
EXHIBIT A
FORM OF CERTIFICATE
UNITED STATES OF AMERICA
STATE OF TEXAS
CITY OF LA PORTE, TEXAS,
CERTIFICATE OF OBLIGATION
SERIES 2010
NUMBER
R)
REGISTERED
DENOMINATION
$
REGISTERED
INTEREST RATE2:
%
DATED DATE:
May 1,2010
MATURITY DATE2:
March 15, _
CUSIP2:
REGISTERED OWNER:
PRINCIPAL AMOUNT:
DOLLARS
THE CITY OF LA PORTE, TEXAS, a municipal corporation of the State of Texas (the
"City"), for value received, hereby promises to pay to the Registered Owner identified above or
its registered assigns, on the Maturity Date specified above (or on earlier redemption as herein
provided), upon presentation and surrender of this Certificate at the principal corporate trust
office of The Bank of New York Mellon Trust Company, National Association, or its successor
(the "Paying Agent/Registrar"), the principal amount identified above (or so much thereof as
shall not have been paid or deemed to have been paid upon prior redemption) payable in any
coin or currency of the United States of America which on the date of payment of such principal
is legal tender for the payment of debts due to the United States of America, and to pay interest
thereon at the rate shown above, calculated on a basis of a 360-day year composed of twelve 30-
day months, from the later of the Dated Date identified above or the most recent interest payment
date to which interest has been paid or duly provided for.3 Interest on this Certificate is payable
1 Initial Certificate shall be numbered T-1.
2 Omitted from initial Certificate.
3 The first sentence of the initial Certificate shall read as follows:
THE CITY OF LA PORTE, TEXAS, a municipal corporation of the State of Texas (the "City"), for value received,
hereby promises to pay to the Registered Owner identified above or its registered assigns, on March 15 of each of
the years and in the principal amounts set forth in the following schedule: (Insert information regarding years of
maturity, principal amounts and interest rates from Section 3.3 of the Ordinance.] (or on earlier redemption as herein
provided), upon presentation and surrender of this Certificate at the principal corporate trust office of The Bank of
New York Mellon Trust Company, National Association, or its successor (the "Paying AgentJRegistrar"), the
principal amounts identified above (or so much thereof as shall not have been paid or deemed to have been paid
upon prior redemption) payable in any coin or currency of the United States of America which on the date of
payment of such principal is legal tender for the payment of debts due to the United States of America, and to pay
interest thereon at the rate shown above, calculated on a basis of a 360-day year composed of twelve 30-day months,
A-I
HOU:3009660.5
on March 15, 2011, and each March 15 and September 15 thereafter until maturity or earlier
redemption of this Certificate, by check sent by United States mail, first class, postage prepaid,
by the Paying AgentJRegistrar to the Registered Owner of record as of the close of business on
the fifteenth calendar day of the month immediately preceding the applicable interest payment
date, as shown on the registration books kept by the Paying AgentJRegistrar. Any accrued
interest payable at maturity or earlier redemption shall be paid upon presentation and surrender
of this Certificate at the principal corporate trust office of the Paying AgentJRegistrar.
THIS CERTIFICATE IS ONE OF A DULY AUTHORIZED SERIES OF
CERTIFICATES (the "Certificates") in the aggregate principal amount of $6,265,000 issued
pursuant to an ordinance adopted by the City Council of the City on April 12, 2010 (the
"Ordinance"), for the purpose of providing all or part of the funds to pay contractual obligations
to be incurred for the construction of public works and the purchase of materials, supplies,
equipment, machinery, buildings, land and rights-of-way for authorized needs and purposes and
for the payment of contractual obligations for professional services, to wit (i) street
improvements, drainage improvements and parks improvements throughout the City, and (ii)
professional services rendered in connection with the above listed projects.
REFERENCE IS HEREBY MADE TO THE FURTHER PROVISIONS OF THIS
CERTIFICATE SET FORTH ON THE REVERSE HEREOF, WHICH PROVISIONS SHALL
HA VB THE SAME FORCE AND EFFECT AS IF SET FORTH AT THIS PLACE.4
THIS CERTIFICATE shall not be valid or obligatory for any purpose or be entitled to
any benefit under the Ordinance unless this Certificate is authenticated by the Paying
AgentJR~gistrar by due execution of the authentication certificate endorsed hereon. 5
from the later of the Dated Date identified above or the most recent interest payment date to which interest has been
raid or duly provided for.
This paragraph shall be omitted from the initial Certificate and any other Certificate for which text does not appear
on the back of a printed certificate.
5 In the initial Certificate, this paragraph shall read:
"THIS CERTIFICATE shall not be valid or obligatory for any purpose or be entitled to
any benefit under the Ordinance unless this Certificate is registered by the Comptroller of Public
Accounts of the State of Texas by due execution of the registration certificate endorsed hereon."
A-2
HOU:3009660.5
IN WITNESS WHEREOF, the City has caused its corporate seal to be impressed or
placed in facsimile hereon and this Certificate to be signed by the Mayor, countersigned by the
City Secretary by their manual, lithographed or printed facsimile signatures.
CITY OF LA PORTE, TEXAS
Mayor
(SEAL)
COUNTERSIGNED:
City Secretary
****
[REVERSE OF CERTIFICATE]
THE CITY RESERVES THE RIGHT, at its option, to redeem, prior to their maturity,
Certificates maturing on or after March 15,2021, in whole or in part, on March 15,2020, or any
date thereafter, at par plus accrued interest to the date fixed for redemption.
THE CERTIFICATES MAY BE REDEEMED IN PART only in integral multiples of
$5,000. If a Certificate subject to redemption is in a denomination larger than $5,000, a portion
of such Certificate may be redeemed, but only in integral multiples of $5,000. In selecting
portions of Certificates for redemption, each Certificate shall be treated as representing that
number of Certificates of $5,000 denomination which is obtained by dividing the principal
amount of such Certificate by $5,000. Upon surrender of any Certificate for redemption in part,
the Paying Agent/Registrar, in accordance with the provisions of the Ordinance, shall
authenticate and deliver in exchange therefor a Certificate or Certificates of like maturity and
interest rClte in an aggregate principal amount equal to the unredeemed portion of the Certificate
so surrendered.
NOTICE OF ANY SUCH REDEMPTION, identifying the Certificates or portions
thereof to be redeemed, shall be sent by United States mail, first class, postage prepaid, to the
Registered Owners thereof at. their addresses as shown on the books of registration kept by the
Paying AgentJRegistrar, not less than thirty (30) days before the date fixed for such redemption.
By the date fixed for redemption, due provision shall be made with the Paying Agent/Registrar
for the payment of the redemption price of the Certificates called for redemption. If such notice
of redemption is given, and if due provision for such payment is made, all as provided above, the
Certificates which are to be so redeemed thereby automatically shall be redeemed prior to their
scheduled maturities, they shall not bear interest after the date fixed for redemption, and they .
A-3
HOU:3009660.5
shall not be regarded as being outstanding except for the purpose of being paid with the funds so
provided for such payment.
THIS CERTIFICATE IS TRANSFERABLE only upon presentation and surrender at the
principal corporate trust office of the Paying Agent/Registrar, accompanied by an assignment
duly executed by the Registered Owner or its authorized representative, subject to the terms and
conditions of the Ordinance.
THIS CERTIFICATE IS EXCHANGEABLE at the principal corporate trust office of the
Paying AgentlRegistrar for a Certificate or Certificates of the same maturity and interest rate and
in the principal amount of $5,000 or any integral multiple thereof, subject to the terms and
conditions of the Ordinance.
THE PAYING AGENT/REGISTRAR is not required to accept for transfer or exchange
any Certificate called for redemption, in whole or in part, during the forty-..:five (45) day period
immediately prior to the date fixed for redemption; provided, however, that such limitation shall
not apply to the transfer or exchange by the Registered Owner of an unredeemed portion of a
Certificate called for redemption in part.
THE CITY OR PAYING AGENT/REGISTRAR may require the Registered Owner of
any Certificate to pay a sum sufficient to cover any tax or other governmental charge that may be
imposed in connection with the transfer or exchange of a Certificate. Any fee or charge of the
Paying AgentlRegistrar for a transfer or exchange shall be paid by the City.
THE REGISTERED OWNER of this Certificate by acceptance hereof, acknowledges
and agrees to be bound by all the terms and conditions of the Ordinance.
IT IS HEREBY DECLARED AND REPRESENTED that this Certificate has been duly
and validly issued and delivered; that all acts, conditions and things required or proper to be
performed, exist and to be done precedent to or in the issuance and delivery of this Certificate
have been performed, exist and have been done in accordance with law; that the Certificates do
not exceed any constitutional or statutory limitation; and that annual ad valorem taxes sufficient
to provide for the payment of the interest on and principal of this Certificate, as such interest
comes due and such principal matures, have been levied and ordered to be levied, within the
limits prescribed by law, against all taxable property in the City and have been irrevocably
pledged for such payment.
IT IS FURTHER DECLARED AND REPRESENTED that the revenues to be derived
from the City's waterworks and sewer system, after the payment of all operation and
maintenance expenses thereof (the "Net Revenues"), in an amount not to exceed $1,000, are
pledged to the payment of the principal of and interest on the Certificates, provided that the
pledge of Net Revenues is and shall be junior and subordinate in all respects to the pledge of Net
Revenues to the payment of any obligation of the City, whether authorized heretofore or
hereafter, which the City designates as having a pledge senior to the pledge of the Net Revenues
to the payment of the Certificates. The City also reserves the right to issue, for any lawful
purpose at any time, in one or more installments, bonds, certificates of obligation and other
obligations of any kind, secured in whole or in part by a pledge of Net Revenues, that may be
prior and superior in right to, on a parity with, or junior and subordinate to the pledge of Net
Revenues securing the Certificates.
A-4
HOD :3009660.5
REFERENCE IS HEREBY MADE TO THE ORDINANCE, a copy of which is filed
with the Paying Agent/Registrar, for the full provisions thereof, to all of which the Registered
Owners of the Certificates assent by acceptance of the Certificates.
* * *
FORM OF COMPTROLLER'S REGISTRATION CERTIFICATE
The following form of Comptroller's Registration Certificate shall be attached or affixed
to each of the Certificates initially delivered:
THE STATE OF TEXAS
REGISTER NO.
OFFICE OF THE COMPTROLLER OF PUBLIC ACCOUNTS
I hereby certify that this certificate has been examined, certified as to validity and
approved by the Attorney General of the State of Texas, and that this certificate has been
registered by the Comptroller of Public Accounts of the State of Texas.
WITNESS MY SIGNATURE AND SEAL OF OFFICE this
Comptroller of Public Accounts
of the State of Texas
[SEAL]
* * *
FORM OF PAYING AGENTIREGISTRAR'S AUTHENTICATION CERTIFICATE
The following form of authentication certificate shall be printed on the face of each of the
Certificates other than those initially delivered:
AUTHENTICATION CERTIFICATE
This Certificate is one of the Certificates described in and delivered pursuant to the
within-mentioned Ordinance; and, except for the Certificates initially delivered, this Certificate
has been issued in exchange for or replacement of a Certificate, Certificates, or a portion of a
. Certificate or Certificates of an issue which originally was approved by the Attorney General of
the State of Texas and registered by the Comptroller of Public Accounts of the State of Texas.
A-5
HOU:3009660.5
By:
Authorized Signature
Date of Authentication:
****
FORM OF ASSIGNMENT
The following form of assignment shall be printed on the back of each of the Certificates:
ASSIGNMENT
For value received, the undersigned hereby sells, assigns and transfers unto
(Please print or type name, address, and zip code of Transferee)
(Please insert Social Security or Taxpayer Identification Number of Transferee)
the within certificate and all rights thereunder, and hereby irrevocably constitutes and appoints
attorney to transfer such certificate on the books kept
for registration thereof, with full power of substitution in the premises.
DATED:
Signature Guaranteed:
Registered Owner
NOTICE: The signature above must
correspond to the name of the Registered
Owner as shown on the face of this certificate
in every particular, without any alteration,
enlargement or change whatsoever.
NOTICE: Signature must be guaranteed by a
member firm of the New York Stock Exchange
or a commercial bank or trust company.
****
A-6
HOD :3009660.5
HOU:3009660.5
EXIDBIT B
FORM OF PAYING AGENTIREGISTRAR AGREEMENT
EXHIBIT C
WINNING BID
HOU:3009660.5
-
HOD :3009660.5
EXlIIBIT D
OFFICIAL NOTICE OF SALE
EXHIBIT E
PRELIMINARY OFFICIAL STATEMENT
HOU:3009660.5
CERTIFICATE FOR ORDINANCE
THE STATE OF TEXAS
COUNTY OF HARRIS
CITY OF LA PORTE
~
~
~
We, the undersigned officers of the City of La Porte, Texas (the "City"), hereby certify as
follows:
1. The City Council of the City convened in a regular meeting on April 12 2010, at
the regular meeting place thereof, within the City, and the roll was called of the duly constituted
officers and members of the City Council, to wit:
Barry Beasley
John Black
Tommy C. Moser
Mike Clausen
Michael Mosteit
Chuck Engelken
Daryl Leonard
Louis Rigby
John Zemanek, Jr.
Mayor
Mayor Pro Tern
Council Member
Council Member
Council Member
Council Member
Council Member
Council Member
Council Member
and all of such persons were present except . thus constituting a quorum.
Whereupon, among other business, the following was transacted at said meeting: a written
ORDINANCE AUTHORIZING AND ORDERING THE ISSUANCE OF
CITY OF LA PORTE, TEXAS, GENERAL OBLIGATION REFUNDING
BONDS, SERIES 2010; AUTHORIZING CALL FOR REDEMPTION AND
DEFEASANCE OF CERTAIN BONDS AND THE USE OF CERTAIN
FUNDS RELATED TO THE BONDS TO BE REFUNDED; AND MAKING
OTHER PROVISIONS REGARDING SUCH BONDS, INCLUDING USE
OF THE PROCEEDS THEREOF, AND MATTERS INCIDENT THERETO
(the "Ordinance") was duly introduced for the consideration of the City Council. It was then duly
moved and seconded that the Ordinance be adopted on fIrst reading pursuant to Section 3.09 of
the City Charter; and, after due discussion, such motion, carrying with it the adoption of the
Ordinance, prevailed and carried by the following vote:
AYES:
~
NAYS: ~
ABSTENTIONS: j1
2. That a true, full and correct copy of the Ordinance adopted at the meeting
described in the above and foregoing paragraph is attached to and follows this certifIcate; that the
Ordinance has been duly recorded in the City Council's minutes of such meeting; that the above
HOU:30 11 244. I
and foregoing paragraph is a true, full and correct excerpt from the City Council's minutes of
such meeting pertaining to the adoption of the Ordinance; that the persons named in the above
and foregoing paragraph are the duly chosen, qualified and acting officers and members of the
City Council as indicated therein; that each of the officers and members of the City Council was
duly and sufficiently notified officially and personally, in advance, of the date, hour, place and
subject of the aforesaid meeting, and that the Ordinance would be introduced and considered for
adoption at such meeting, and each of such officers and members consented, in advance, to the
holding of such meeting for such purpose; that such meeting was open to the public as required
by law; and that public notice of the date, hour, place and subject of such meeting was given as
required by the Open Meetings Law, Chapter 551, Texas Government Code.
SIGNED AND SEALED this Ap~ { (~ , 2010.
Lj}fi/.;ddLf/
City Secretary
City of La Porte, Texas
(SEAL)
S-1
HOU:3011244.1
ORDINANCE NO. 3232
ORDINANCE AUTHORIZING AND ORDERING THE ISSUANCE OF
CITY OF LA PORTE, TEXAS, GENERAL OBLIGATION REFUNDING
BONDS, SERIES 2010; AUTHORIZING CALL FOR REDEMPTION AND
DEFEASANCE OF CERTAIN BONDS AND THE USE OF CERTAIN
FUNDS RELATED TO THE BONDS TO BE REFUNDED; AND MAKING
OTHER PROVISIONS REGARDING SUCH BONDS, INCLUDING USE
OF THE PROCEEDS THEREOF, AND MATTERS INCIDENT THERETO
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF LA PORTE,
TEXAS:
ARTICLE I.
FINDINGS AND DETERMINATIONS
Section 1.1.:
and determines that:
Findings and Determinations. The City Council hereby officially finds
(a) The City of La Porte, Texas (the "City"), acting through its City Council, has
heretofore issued, assumed or undertaken and there remain outstanding the
obligations described in Schedule I attached hereto (the "Refunded Obligations").
(b) The City is authorized by Chapter 1207, Texas Government Code, as amended, to
issue refunding bonds for the purpose of refunding the Refunded Obligations.
(c) The City desires to refund the Refunded Obligations in advance of their
maturities, which will benefit the City by reducing total net present value debt
servIce.
(d) The City is authorized by Chapter 1207, Texas Government Code, as amended, to
accomplish such refunding by depositing directly with any place of payment for
the Refunded Obligations proceeds from the sale of the refunding bonds
authorized herein, together with any other legally available funds, and such
deposit shall constitute the making of firm banking and financial arrangements for
the discharge and final payment of the Refunded Obligations.
(e) Upon the issuance of the refunding bonds herein authorized and the making of the
deposits of a portion of the proceeds of such bonds and other legally available
funds of the City, as authorized herein, the Refunded Obligations shall no longer
be regarded as being outstanding, except for the purpose of being paid from such
deposit.
HOD :3009756.3
ARTICLE II.
DEFINITIONS AND INTERPRETATIONS
Section 2.1.: Definitions. As used herein, the following terms shall have the
meanings specified, unless the context clearly indicates otherwise:
"Act" shall mean Chapter 1207, Texas Government Code, as amended.
"Attorney General" shall mean the Attorney General of the State of Texas.
"Bond" or "Bonds" shall mean any or all of the City of La Porte, Texas, General
Obligation Refunding Bonds, Series 2010, authorized by this Ordinance.
"City" shall mean the City of La Porte, Texas and, where appropriate, its City Council.
"City Council" shall mean the governing body of the City.
"Comptroller" shall mean the Comptroller of Public Accounts of the State of Texas.
"DTC" shall mean The Depository Trust Company, New York, New York, or any
successor securities depository.
"DTC Participant" shall mean brokers and dealers, banks, trust companies, clearing
corporations and certain other organizations on whose behalf DTC was created to hold securities
to facilitate the clearance and settlement of securities transactions among DTC Participants.
"Debt Service Fund" shall mean the General Obligation Refunding Bonds, Series 2010
Debt Service Fund established by the City pursuant to Section 5.2 hereof.
"Fiscal Year" shall mean the City's then designated fiscal year, which currently is the
twelve-month period beginning on the first day of October of a calendar year and ending on the
last day of September of the next succeeding calendar year and each such period may be
designated with the number of the calendar year in which such period ends.
"Interest Payment Date," when used in connection with any Bond, shall mean March 15,
2011, and each March 15 and September 15 thereafter until maturity or earlier redemption of
such Bond.
"Ordinance" shall mean this Ordinance and all amendments hereof and supplements
hereto.
"Outstanding," when used with reference to the Bonds, shall mean, as of a particular date,
all Bonds theretofore and thereupon delivered pursuant to this Ordinance except: (a) any Bonds
canceled by or on behalf of the City at or before such date; (b) any Bonds defeased pursuant to
the defeasance provisions of this Ordinance or otherwise defeased as permitted by applicable
law; and (c) any Bonds in lieu of or in substitution for which a replacement Bond shall have been
delivered pursuant to this Ordinance.
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"Owner" shall have the meaning set forth under the definition of "Registered Owner."
"Paying Agent/Registrar" shall mean The Bank of New York Mellon Trust Company,
National Association, Dallas, Texas, and its successors in that capacity.
"Paying Agent/Registrar Agreement" shall mean the agreement between the City and the
Paying Agent/Registrar setting forth the duties and obligations of the Paying AgentlRegistrar
with respect to the Bonds.
"Purchaser" shall have the meaning given to such term in Section 7.1 hereof.
"Record Date" shall mean the close of business on the firstday of the month in which the
applicable Interest Payment Date occurs.
"Refunded Obligations" shall mean those obligations described in Schedule I attached
hereto, which are being refunded and defeased with the proceeds of the Bonds and other legally
available funds of the City, if any.
"Register" shall mean the registration books for the Bonds kept by the Paying
AgentIRegistrar in which are maintained the names and addresses of, and the principal amounts
registered to, each Registered Owner of Bonds.
"Registered Owner" or "Owner" shall mean the person or entity in whose name any Bond
is registered in the Register.
Section 2.2.: Interpretations. All terms defined herein and all pronouns used in this
Ordinance shall be deemed to apply equally to singular and plural and to all genders. The titles
and headings of the articles and sections of this Ordinance have been inserted for convenience of
reference only and are not to be considered a part hereof and shall not in any way modify or
restrict any of the terms or provisions hereof. This Ordinance and all the terms and provisions
hereof shall be liberally construed to effectuate the purposes set forth herein and to sustain the
validity of the Bonds and the validity of the levy of ad valorem taxes to pay the principal of and
interest on the Bonds.
ARTICLE III.
TERMS OF THE BONDS
Section 3.1.: Amount, Purpose and Authorization. (a) The Bonds shall be issued in
fully registered form, without coupons, under and pursuant to the authority of the Act in the total
authorized aggregate principal amount of FOUR MILLION TWO HUNDRED NINETY FIVE
THOUSAND AND NO/lOO DOLLARS ($4,295,000) for the purpose of refunding the Refunded
Obligations and paying the costs of issuing the Bonds and refunding the Refunded Obligations.
(b) It is hereby found and determined that the refunding of the Refunded Obligations and
the issuance of the Bonds will benefit the City by reducing total net present value debt service,
and that such benefit is sufficient consideration for the issuance of the Bonds and the issuance of
the Bonds is in the best interests of the City.
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Section 3.2.: Desi~nation, Date and Payment Date. The Bonds shall be designated
as the "City of La Porte, Texas, General Obligation Refunding Bonds, Series 2010," and shall be
dated May 1, 2010. The Bonds shall bear interest from the later of May 1, 2010, or the most
recent Interest Payment Date to which interest has been paid or duly provided for, at the rate set
forth in Section 3.3 below, calculated on the basis of a 360-day year of twelve 30-day months,
payable on March 15 and September 15 of each year, commencing March 15, 2011, until
maturity or earlier redemption.
Section 3.3.: Number, Denomination, Interest Rate and Maturity. (a) The Bonds
shall be initially issued bearing the numbers, in the principal amounts and bearing interest at the
rates set forth in the following schedule, and may be transferred and exchanged as set out in this
Ordinance. The Bonds shall mature on March 1 in the principal amounts set out in such
schedule. Bonds delivered in transfer of or in exchange for other Bonds shall be numbered in
order of their authentication by the Paying Agent/Registrar, shall be in the denomination of
$5,000 or integral multiples thereof and shall mature on the same date and bear interest at the
same rate as the Bond or Bonds in lieu of which they are delivered.
Bond Maturity Principal Interest
Number (March 15) Amount Rate
R-1 2011 $365,000 2.500%
R-2 2012 400,000 2.000
R-3 2013 385,000 2.000
R-4 2014 490,000 2.500
R-5 2015 480,000 2.750
R-6 2016 470,000 3.000
R-7 2017 465,000 3.000
R-8 2018 460,000 3.500
R-9 2019 455,000 3.750
R-1O 2020 325,000 4.000
Section 3.4.: Redemption Prior to Maturity. The Bonds are not subject to optional
or mandatory redemption prior to maturity.
Section 3.5.: Manner of Payment, Characteristics, Execution and Authentication.
The Paying AgentJRegistrar is hereby appointed the paying agent for the Bonds. The Bonds
shall be payable, shall have the characteristics and shall be executed, sealed, registered and
authenticated, all as provided and in the manner indicated in the FORM OF BOND set forth in
Article IV of and Exhibit A to this Ordinance. If any officer of the City whose manual or
facsimile signature shall appear on the Bonds shall cease to be such officer before the
authentication of the Bonds or before the delivery of the Bonds, such manual or facsimile
signature shall nevertheless be valid and sufficient for all purposes as if such officer had
remained in such office.
The approving legal opinion of Andrews Kurth LLP, Houston, Texas, Bond Counsel,
may be printed on the back of the Bonds over the certification of the City Secretary, which may
be executed in facsimile. CUSIP numbers also may be printed on the Bonds, but errors or
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omissions in the printing of either the opinion or the numbers shall have no effect on the validity
of the Bonds.
Section 3.6.: Authentication. Except for the Bond to be initially issued, which need
not be authenticated by the Paying Agent/Registrar, only such Bonds as shall bear thereon a
certificate of authentication, substantially in the form provided in Article IV of and Exhibit A to
this Ordinance, manually executed by an authorized representative of the Paying
Agent/Registrar, shall be entitled to the benefits of this Ordinance or shall be valid or obligatory
for any purpose. Such duly executed certificate of authentication shall be conclusive evidence
that the Bond so authenticated was delivered by the Paying Agent/Registrar hereunder.
Section 3.7.: Ownership. The City, the Paying Agent/Registrar and any other
person may treat the person in whose name any Bond is registered as the absolute owner of such
Bond for the purpose of making and receiving payment of the principal thereof and interest
thereon and for all other purposes, whether or not such Bond is overdue, and neither the City nor
the Paying AgentlRegistrar shall be bound by any notice or knowledge to the contrary. All
payments made to the person deemed to be the Registered Owner of any Bond in accordance
with this Section shall be valid and effective and shall discharge the liability of the City and the
Paying Agent/Registrar upon such Bond to the extent of the sums paid.
Section 3.8.: Registration, Transfer and Exchange. The Paying Agent/Registrar is
hereby appointed the registrar for the Bonds. So long as any Bond remains Outstanding, the
Paying Agent/Registrar shall keep the Register at its office in Dallas, Texas, in which, subject to
such reasonable regulations as it may prescribe, the Paying Agent/Registrar shall provide for the
registration and transfer of the Bonds in accordance with the terms of this Ordinance.
Each Bond shall be transferable only upon the presentation and surrender thereof at the
principal corporate trust office of the Paying Agent/Registrar, accompanied by an assignment
duly executed by the Registered Owner or his authorized representative in form satisfactory to
the Paying Agent/Registrar. Upon due presentation of any Bond for transfer, the Paying
Agent/Registrar shall authenticate and deliver in exchange therefor, within seventy-two (72)
hours after such presentation, a new Bond or Bonds, registered in the name of the transferee or
transferees, in authorized denominations and of the same maturity and aggregate principal
amount and bearing interest at the same rate as the Bond or Bonds so presented and surrendered.
All Bonds shall be exchangeable upon the presentation and surrender thereof at the
principal corporate trust office of the Paying Agent/Registrar for a Bond or Bonds, in any
authorized denomination, in an aggregate principal amount equal to the unpaid principal amount
of the Bond or Bonds presented for exchange. The Paying Agent/Registrar shall be and is
hereby authorized to authenticate and deliver exchange Bonds in accordance with the provisions
of this Section. Each Bond delivered by the Paying Agent/Registrar in accordance with this
Section shall be entitled to the benefits and security of this Ordinance to the same extent as the
Bond or Bonds in lieu of which such Bond is delivered.
All Bonds issued in transfer or exchange shall be delivered to the Registered Owners
thereof at the principal corporate trust office of the Paying Agent/Registrar or sent by United
States mail, first class, postage prepaid~
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The City or the Paying Agent/Registrar may require the Registered Owner of any Bond to
pay a sum sufficient to cover any tax or other governmental charge that may be imposed in
connection with the transfer or exchange of such Bond. Any fee or charge of the Paying
AgentlRegistrar for such transfer or exchange shall be paid by the City.
Section 3.9.: Book-Entry Only System. (a) The definitive Bonds shall be initially
issued in the form of a single fully registered Bond for each of the maturities thereof. Upon
initial issuance, the ownership of each such Bond shall be registered in the name of Cede & Co.,
as nominee of DTC, and except as provided in subsection (b) hereof, all of the Outstanding
Bonds shall be registered in the name of Cede & Co., as nominee of DTC. Upon delivery by
DTC to the Paying AgentlRegistrar of written notice to the effect that DTC has determined to
substitute a new nominee in place of Cede & Co., the word "Cede & Co." in this Ordinance shall
refer to such new nominee of DTC.
With respect to Bonds registered in the name of Cede & Co., as nominee of DTC, the
City and the Paying AgentlRegistrar shall have no responsibility or obligation to any DTC
Participant or to any person on behalf of whom such a DTC Participant holds an interest in the
Bonds. Without limiting the immediately preceding sentence, the City and the Paying
AgentlRegistrar shall have no responsibility or obligation with respect to (a) the accuracy of the
records of DTC, Cede & Co. or any DTC Participant with respect to any ownership interest in
the Bonds, (b) the delivery to any DTC Participant or any other person, other than a Bondholder,
as shown on the Register, of any notice with respect to the Bonds, or (c) the payment to any DTC
Participant or any other person, other than a Bondholder, as shown in the Register of any amount
with respect to principal of Bonds, premium, if any, or interest on the Bonds.
Except as provided in subsection (c) of this Section, the City and the Paying
AgentlRegistrar shall be entitled to treat and consider the person in whose name each Bond is
registered in the Register as the absolute owner of such Bond for the purpose of payment of
principal of, premium, if any, and interest on Bonds, for the purpose of giving notices of
redemption, if any, and other matters with respect to such Bond, for the purpose of registering
transfer with respect to such Bond, and for all other purposes whatsoever. The Paying
AgentlRegistrar shall pay all principal of Bonds only to or upon the order of the respective
owners, as shown in the Register as provided in this Ordinance, or their respective attorneys duly
authorized in writing, and all such payments shall be valid and effective to fully satisfy and
discharge the City's obligations with respect to payment of principal of, premium, if any, and
interest on the Bonds to the extent of the sum or sums so paid. No person other than an owner
shall receive a Bond evidencing the obligation of the City to make payments of amounts due
pursuant to this Ordinance.
(b) Payments and Notices to Cede & Co. Notwithstanding any other provision of this
Ordinance to the contrary, as long as any Bonds are registered in the name of Cede & Co., as
nominee of DTC, all payments with respect to principal of, premium, if any, and interest on the
Bonds, and all notices with respect to such Bonds shall be made and given, respectively, in the
manner provided in the representation letter of the City to DTC.
(c) Successor Securities Depository; Transfer Outside Book-Entry Only System. In the
event that the City or the Paying Agent/Registrar determines that DTC is incapable of
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discharging its responsibilities described herein and in the representation letter of the City to
DTC, and that it is in the best interest of the beneficial owners of the Bonds that they be able to
obtain certificated Bonds, the City or the Paying Agent/Registrar shall (a) appoint a successor
securities depository, qualified to act as such under Section 17(a) of the Securities and Exchange
Act of 1934, as amended, notify DTC of the appointment of such successor securities depository
and transfer one or more separate Bonds to such successor securities depository or (b) notify
DTC of the availability through DTC of Bonds and transfer one or more separate Bonds to DTC
Participants having Bonds credited to their DTC accounts. In such event, the Bonds shall no
longer be restricted to being registered in the Register in the name of Cede & Co., as nominee of
DTC, but may be registered in the name of the successor securities depository, or its nominee, or
in whatever name or names Bondholders transferring or exchanging Bonds shall designate, in
accordance with the provisions of this Ordinance.
Section 3.10.: Replacement Bonds. Upon the presentation and surrender to the
Paying Agent/Registrar of a damaged or mutilated Bond, the Paying Agent/Registrar shall
authenticate and deliver in exchange therefor a replacement Bond, of the same maturity, interest
rate and principal amount, bearing a number not contemporaneously outstanding. The City or
the Paying Agent/Registrar may require the Registered Owner of such Bond to pay a sum
sufficient to cover any tax or other governmental charge that may be imposed in connection
therewith and any other expenses connected therewith, including the fees and expenses of the
Paying Agent/Registrar and the City.
If any Bond is lost, apparently destroyed or wrongfully taken, the City, pursuant to the
applicable laws of the State of Texas and ordinances of the City, and in the absence of notice or
knowledge that such Bond has been acquired by a bona fide purchaser, shall execute, and the
Paying Agent/Registrar shall authenticate and deliver, a replacement Bond of the same maturity,
interest rate and principal amount, bearing a number not contemporaneously outstanding,
provided that the Registered Owner thereof shall have:
(a) furnished to the City and the Paying Agent/Registrar satisfactory evidence of the
ownership of and the circumstances of the loss, destruction or theft of such Bond;
(b) furnished such security or indemnity as may be required by the Paying
Agent/Registrar and the City to save and hold them harmless;
(c) paid all expenses and charges in connection therewith, including, but not limited
to, printing costs, legal fees, fees of the Paying Agent/Registrar and any tax or
other governmental charge that may be imposed; and
(d) met any other reasonable requirements of the City and the Paying
Agent/Registrar.
If, after the delivery of such replacement Bond, a bona fide purchaser of the original Bond in lieu
of which such replacement Bond was issued presents for payment such original Bond, the City
and the Paying Agent/Registrar shall be entitled to recover such replacement Bond from the
person to whom it was delivered or any person taking therefrom, except a bona fide purchaser,
and shall be entitled to recover upon the security or indemnity provided therefor to the extent of
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HOU:3009756.3
-any loss, damage, cost or expense incurred by the City or the Paying AgentJRegistrar In
connection therewith.
If any such mutilated, lost, apparently destroyed or wrongfully taken Bond has become or
is about to become due and payable, the City in its discretion may, instead of issuing a
replacement Bond, authorize the Paying AgentJRegistrar to pay such Bond.
Each replacement Bond delivered in accordance with this Section shall be entitled to the
benefits and security of this Ordinance to the same extent as the Bond or Bonds in lieu of which
such replacement Bond is delivered.
Section 3.11.: Cancellation. All Bonds paid in accordance with this Ordinance, and
all Bonds in lieu of which exchange Bonds or replacement Bonds are authenticated and delivered
in accordance herewith, shall be canceled and destroyed upon the making of proper records
regarding such payment. The Paying AgentJRegistrar shall periodically furnish the City with
certificates of destruction of such Bonds.
ARTICLE IV.
FORM OF BONDS
The Bonds, including the Form of Comptroller's Registration Certificate, Form of Paying
AgentJRegistrar Authentication Certificate, Form of Assignment and Form of Statement of
Insurance, if any, shall be in substantially the form shown in Exhibit A, with such omissions,
insertions and variations as may be necessary or desirable and not prohibited by this Ordinance.
ARTICLE V.
SECURITY FOR THE BONDS
Section 5.1.: Pledge and Levy of Taxes. (a) To provide for the payment of principal
of and interest on the Bonds, there is hereby levied, within the limits prescribed by law, for the
current year and each succeeding year thereafter, while the Bonds or any part of the principal
thereof and the interest thereon remain outstanding and unpaid, an ad valorem tax upon all
taxable property within the City sufficient to pay the interest on the Bonds and to create and
provide a sinking fund of not less than 2% of the principal amount of the Bonds or not less than
the principal payable out of such tax, whichever is greater, with full allowance being made for
tax delinquencies and the costs of tax collection, and such taxes, when collected, shall be applied
to the payment of principal of and interest on the Bonds by deposit to the Debt Service Fund and
to no other purpose.
(b) The City hereby declares its purpose and intent to provide and levy a tax legally
sufficient to pay the principal of and interest on the Bonds, it having been determined that the
existing and available taxing authority of the City for such purpose is adequate to permit a
legally sufficient tax. As long as any Bonds remain outstanding, all moneys on deposit in, or
credited to, the Debt Service Fund shall be secured by a pledge of security, as provided by law
for cities in the State of Texas.
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(c) To pay the interest coming due on the Bonds prior to receipt of the taxes levied to pay
such interest, there is hereby appropriated from current funds on hand, which are hereby certified
to be on hand and available for such purpose, an amount sufficient to pay such interest, and such
amount shall be used for no other purpose.
Section 5.2.: Debt Service Fund. The General Obligation Refunding Bonds, Series
2010 Debt Service Fund (the "Debt Service Fund") is hereby created as a special fund solely for
the benefit of the Bonds. The City shall establish and maintain such fund at an official City
depository and shall keep such fund separate and apart from all other funds and accounts of the
City. Any amount on deposit in the Debt Service Fund shall be maintained by the City in trust
for the Registered Owners of the Bonds. Such amount, plus any other amounts deposited by the
City into such fund and any and all investment earnings on amounts on deposit in such fund,
shall be used only to pay the principal of, premium, if any, and interest on the Bonds.
Section 5.3.: Further Proceedings. After the Bonds to be initially issued have been
executed, it shall be the duty of the Mayor to deliver the Bonds to be initially issued and all
pertinent records and proceedings to the Attorney General for examination and approval. After
the Bonds to be initially issued shall have been approved by the Attorney General, they shall be
delivered to the Comptroller for registration. Upon registration of the Bonds to be initially
issued, the Comptroller (or a deputy lawfully designated in writing to act for the Comptroller)
shall manually sign the Comptroller's registration certificate prescribed herein to be affixed or
attached to the Bonds to be initially issued, and the seal of said Comptroller shall be impressed,
or placed in facsimile, thereon.
ARTICLE VI.
CONCERNING THE PAYING AGENT/REGISTRAR
Section 6.1.: Acceptance. The Bank of New York Mellon Trust Company, National
Association, Dallas, Texas, is hereby appointed as the initial Paying Agent/Registrar for the
Bonds pursuant to the terms and provisions of the Paying Agent/Registrar Agreement by and
between the City and the Paying Agent/Registrar. The Paying Agent/Registrar Agreement shall
be substantially in the form attached hereto as Exhibit B, the terms and provisions of which are
hereby approved, and the Mayor is hereby authorized to execute and deliver such Paying
Agent/Registrar Agreement on behalf of the City in multiple counterparts and the City Secretary
is hereby authorized to attest thereto and affix the City's seal. Such initial Paying
Agent/Registrar and any successor Paying Agent/Registrar, by undertaking the performance of
the duties of the Paying Agent/Registrar hereunder, and in consideration of the payment of any
fees pursuant to the terms of any contract between the Paying Agent/Registrar and the City
and/or the deposits of money pursuant to this Ordinance, shall be deemed to accept and agree to
abide by the terms of this Ordinance.
Section 6.2.: Trust Funds. All money transferred to the Paying Agent/Registrar in
its capacity as Paying Agent/Registrar for the Bonds under this Ordinance (except any sums
representing Paying Agent/Registrar's fees) shall be held in trust for the benefit of the City, shall
be the property of the City and shall be disbursed in accordance with this Ordinance.
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Section 6.3.: Bonds Presented. Subject to the provisions of Section 6.4, all matured
Bonds presented to the Paying Agent/Registrar for payment shall be paid without the necessity of
further instructions from the City. Such Bonds shall be canceled as provided herein.
Section 6.4.: Unclaimed Funds Held by the Paying Agent/Registrar. Funds held by
the Paying Agent/Registrar that represent principal of and interest on the Bonds remaining
unclaimed by the Registered Owner thereof after the expiration of three years from the date such
funds have become due and payable (a) shall be reported and disposed of by the Paying
Agent/Registrar in accordance with the provisions of Title 6 of the Texas Property Code, as
amended, to the extent such provisions are applicable to such funds, or (b) to the extent such
provisions do not apply to the funds, such funds shall be paid by the Paying Agent/Registrar to
the City upon receipt by the Paying Agent/Registrar of a written request therefor from the City.
The Paying Agent/Registrar shall have no liability to the Registered Owners of the Bonds
by virtue of actions taken in compliance with this Section.
Section 6.5.: Paying Agent/Registrar May Own Bonds. The Paying Agent/Registrar
in its individual or any other capacity, may become the owner or pledgee of Bonds with the same
rights it would have if it were not the Paying Agent/Registrar.
Section 6.6.: Successor Paying Agents/Registrars. The City covenants that at all
times while any Bonds are Outstanding it will provide a legally qualified bank, trust company,
financial institution or other agency to act as Paying Agent/Registrar for the Bonds. The City
reserves the right to change the Paying Agent/Registrar for the Bonds on not less than sixty (60)
days' written notice to the Paying Agent/Registrar, as long as any such notice is effective not less
than 60 days prior to the payment date for the Bonds. Promptly upon the appointment of any
successor Paying Agent/Registrar, the previous Paying Agent/Registrar shall deliver the Register
or a copy thereof to the new Paying Agent/Registrar, and the new Paying Agent/Registrar shall
notify each Registered Owner, by United States mail, first class, postage prepaid, of such change
and of the address of the new Paying Agent/Registrar. Each Paying Agent/Registrar hereunder,
by acting in that capacity, shall be deemed to have agreed to the provisions of this Ordinance.
ARTICLE VII.
PROVISIONS CONCERNING SALE AND
DELIVERY OF BONDS:
Section 7.1.: Sale and Delivery of Bonds; Insurance. The sale of the Bonds is
hereby awarded to Robert W. Baird & Co., Inc. (the "Purchaser") at a price of the par value
thereof, plus a cash premium of $64,890.05, plus accrued interest to their date of delivery, and
delivery of the Bonds to the Purchaser shall be made upon payment therefor in accordance with
the Winning Bid attached hereto as Exhibit C. It is hereby officially found, determined and
declared that the Purchaser is the highest bidder for the Bonds as a result of invitations for
competitive bids. It is further officially found, determined and declared that the Bonds have
been sold at public sale to the bidder offering the lowest interest cost, which is hereby
determined to be a net effective interest rate of 2.914360%, after receiving sealed bids pursuant
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to an Official Notice of Sale and Preliminary Official Statement prepared and distributed in
connection with the sale of the Bonds.
Section 7.2.: Approval, Registration and Delivery. The Mayor is hereby authorized
to have control and custody of the Bonds and all necessary records and proceedings pertaining
thereto pending their delivery, and the Mayor and other officers and employees of the City are
hereby authorized and directed to make such certifications and to execute such instruments as
may be necessary to accomplish the delivery of the Bonds and to assure the investigation,
examination and approval thereof by the Attorney General and the registration of the initial
Bonds by the Comptroller. Upon registration of the Bonds, the Comptroller (or the
Comptroller's certificates clerk or an assistant certificates clerk lawfully designated in writing to
act for the Comptroller) shall manually sign the Comptroller's Registration Certificates
prescribed herein to be attached or affixed to each Certificates initially delivered and the seal of
the Comptroller shall be impressed or printed or lithographed thereon.
Section 7.3.: Offering Documents; Ratings. The City hereby approves, ratifies and
confirms the form and contents of the Official Notice of Sale and Preliminary Official Statement,
attached hereto as Exhibit D and Exhibit E, respectively, and hereby approves the preparation of
the final Official Statement, in substantially the form of the Preliminary Official Statement, with
such revisions as are necessary to reflect the terms of the sale of the Bonds, and ratifies and
approves the distribution of such Official Notice of Sale and Preliminary Official Statement and
approves the distribution of the final Official Statement and any addenda, supplement or
amendment thereto, in the offer and sale of the Bonds and in the reoffering of the Bonds by the
Purchaser, with such changes therein or additions thereto as the officials executing same may
deem advisable, such determination to be conclusively evidenced by their execution thereof.
The Mayor is hereby authorized and directed to execute, and the City Secretary is hereby
authorized and directed to attest, the final Official Statement. It is further hereby officially
found, determined and declared that the statements and representations contained in the
Preliminary Official Statement and final Official Statement are true and correct in all material
respects, to the best knowledge and belief of the City Council, and that, as of the date thereof, the
Preliminary Official Statement was an official statement of the City with respect to the Bonds
that was deemed "final" by an authorized official of the City except for the omission of no more
than the information permitted by subsection (b)(1) of Rule 15c2-12 of the Securities and
Exchange Commission.
Further, the City Council hereby ratifies, authorizes and approves the actions of the
Mayor, the City's financial advisor and other consultants in seeking ratings on the Bonds from
Standard & Poor's Ratings Group and such actions are hereby ratified and confirmed.
Section 7.4.: Application of Proceeds of Bonds. (a) Proceeds from the sale of the
Bonds shall, promptly upon receipt by the City, be applied as follows:
(1) A portion of the proceeds shall be applied to pay expenses arising in connection
with the issuance of the Bonds and the refunding of the Refunded Obligations;
(2) Proceeds in the amount of $4,302,262.86 shall be deposited with the paying agent
for the Refunded Obligations; and
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(3) Accrued interest and any proceeds from the sale of the Bonds remaining after
making all the foregoing deposits and payments shall be deposited into the Debt
Service Fund and used to pay debt service on the Bonds.
(b) From the existing debt service funds for the Refunded Obligations there shall be
transferred to the paying agent for the Refunded Obligations the amount of $107,500.00 and to
the Debt Service Fund $0.00.
Section 7.5.: Tax Exemption. The City intends that the interest on the Bonds shall
be excludable from gross income of the owners thereof for federal income tax purposes pursuant
to Sections 103 and 141 through 150 of the Internal Revenue Code of 1986, as amended, (the
"Code") and all applicable temporary, proposed and final regulations (the "Regulations") and
procedures promulgated thereunder and applicable to the Bonds. For this purpose, the City
covenants that it will monitor and control the receipt, investment, expenditure and use of all
gross proceeds of the Bonds (including all property, the acquisition, construction or improvement
of which is to be financed directly or indirectly with the proceeds of the Bonds) and take or omit
to take such other and further actions as may be required by Sections 103 and 141 through 150 of
the Code and the Regulations to cause the interest on the Bonds to be and remain excludable
from the gross income, as defined in Section 61 of the Code, of the owners of the Bonds for
federal income tax purposes. Without limiting the generality of the foregoing, the City shall
comply with each of the following covenants:
(a) The City shall not use, permit the use of or omit to use Gross Proceeds or any other
amounts (or any property the acquisition, construction or improvement of which is to be financed
directly or indirectly with Gross Proceeds) in a manner which, if made or omitted, respectively,
would cause the interest on any Bond to become includable in the gross income, as defined in
section 61 of the Code, of the owner thereof for federal income tax purposes. Without limiting
the generality of the foregoing, unless and until the City shall have received a written opinion of
counsel nationally recognized in the field of municipal bond law to the effect that failure to
comply with such covenant will not adversely affect the exemption from federal income tax of
the interest on any Bond, the City shall comply with each of the specific covenants in this
Section.
(b) Except as permitted by section 141 of the Code and the regulations and rulings
thereunder, the City shall, at all times prior to the last stated maturity of the Bonds,
(1) exclusively own, operate, and possess all property the acquisition, construction, or
improvement of which is to be financed directly or indirectly with Gross Proceeds
of such series of the Bonds (including property financed with Gross Proceeds of
the Refunded Obligations or notes or bonds refunded by the Refunded
Obligations and not use or permit the use of such Gross Proceeds or any property
acquired, constructed, or improved with such Gross Proceeds in any activity
carried on by any person or entity other than a state or local government, unless
such use is solely as a member of the general public, or
(2) not directly or indirectly impose or accept any charge or other payment for use of
Gross Proceeds of such series of the Bonds or any property the acquisition,
12
HOU:3009756.3
construction or improvement of which is to be financed directly or indirectly with
such Gross Proceeds (including property financed with Gross Proceeds of the
Refunded Obligations or notes or bonds refunded by the Refunded Obligations
other than taxes of general application and interest earned on investments
acquired with such Gross Proceeds pending application for their intended
purposes.
(c) Except to the extent permitted by section 141 of the Code and the regulations and
rulings thereunder, the City shall not use Gross Proceeds of the Bonds to make or finance loans
to any person or entity other than a state or local government. For purposes of the foregoing
covenant, Gross Proceeds are considered to be "loaned" to a person or entity if (1) property
acquired, constructed or improved with Gross Proceeds (including property financed with Gross
Proceeds of the Refunded Obligations or notes or bonds refunded by the Refunded Obligations is
sold or leased to such person or entity in a transaction which creates a debt for federal income tax
purposes, (2) capacity in or service from such property is committed to such person or entity
under a take-or-pay, output, or similar contract or arrangement, or (3) indirect benefits, or
burdens and benefits of ownership, of such Gross Proceeds or such property are otherwise
transferred in a transaction which is the economic equivalent of a loan.
(d) Except to the extent permitted by section 148 of the Code and the regulations and
rulings thereunder, the City shall not, at any time prior to the earlier of the final stated maturity
or final payment of the Refunded Obligations, directly or indirectly invest Gross Proceeds of
such Bonds in any Investment (or use such Gross Proceeds to replace money so invested), if as a
result of such investment the Yield of all Investments allocated to such Gross Proceeds whether
then held or previously disposed of, exceeds the Yield on the Refunded Obligations.
(e) Based on all of the facts and estimates now known or reasonably expected to be in
existence on the date the Bonds are delivered, the City reasonably expects that the proceeds of
the Bonds and the Refunded Obligations (to the extent any of such proceeds remain unexpended)
will not be used in a manner that would cause the Bonds or the Refunded Obligations or any
portion thereof to be "arbitrage bonds" within the meaning of Section 148 of the Code.
(f) At all times while the Bonds are outstanding, the City will identify and properly
account for all amounts constituting gross proceeds of the Bonds in accordance with the
Regulations. The City will monitor the yield on the investments of the proceeds of the Bonds
and, to the extent required by the Code and the Regulations, will restrict the yield on such
investments to a yield which is not materially higher than the yield on the Bonds. To the extent
necessary to prevent the Bonds from constituting "arbitrage bonds," the City will make such
payments as are necessary to cause the yield on all yield-restricted nonpurpose investments
allocable to the Bonds to be less than the yield that is materially higher than the yield on the
Bonds;
(g) Except to the extent permitted by Section 149(b) of the Code and the regulations and
rulings thereunder, the City will not take any action or omit to take any action, if taken or
omitted, would cause the Bonds to be treated as "federally guaranteed" obligations within the
meaning of Section 149(b) of the Code and the regulations and rulings thereunder;
13
HOU:3009756.3
(h) The City represents that not more than fifty percent (50%) of the proceeds of any new
money portion of the Bonds or any new money issue refunded by, the Refunded Obligations was
invested in nonpurpose investments (as defined in Section 148(f)(6)(A) of the Code) having a
substantially guaranteed yield for four years or more within the meaning of Section
149(g)(3)(A)(ii) of the Code, and the City reasonably expects regarding the Bonds, and expected
on the Issue Date of the Refunded Obligations, that at least eighty-five percent (85%) of the Net
Sale Proceeds (as defined in Section 1.148-1 (b) of the Regulations) proceeds of the Refunded
Obligations would be used to carry out the governmental purpose of the Refunded Obligations
within the three years of the Issue Date of the such Bonds.
(i) The City will take all necessary steps to comply with the requirement that certain
amounts earned by the City on the investment of the gross proceeds of the Bonds, if any, be
rebated to the federal government. Specifically, the City will (i) account for, and maintain
records regarding, the receipt, expenditure and investment of the gross proceeds of the Bonds as
may be required to calculate such excess arbitrage profits separately from records of amounts on
deposit in the funds and accounts of the City allocable to other obligations of the City or moneys
which do not represent gross proceeds of any obligations of the City and retain such records for
at least six years after the date on which the last outstanding Bond is discharged or the Final
Computation Date (as defined in Section 1.148-3 of the Regulations), (ii) account for all gross
proceeds under a reasonable, consistently applied method of accounting, not employed as an
artifice or device to avoid, in whole or in part, the requirements of Section 148 of the Code,
including any specified method of accounting required by applicable Regulations to be used for
all or a portion of the gross proceeds, (iii) calculate, at such times as are required by applicable
Regulations, the amount of excess arbitrage profits, if any, earned from the investment of the
gross proceeds of the Bonds and (iv) timely pay, as required by applicable Regulations, all
amounts required to be rebated to the federal government. In addition, the City will exercise
reasonable diligence to assure that no errors are made in the calculations required by the
preceding sentence and, if such an error is made, to discover and promptly correct such error
within a reasonable amount of time after discovery thereof, including payment to the federal
government of any delinquent amounts owed to it, including interest thereon and penalty.
(j) Except to the extent permitted by Section 148 of the Code, and the regulations and
rulings thereunder, the City will not indirectly pay any amount otherwise payable to the federal
government pursuant to the foregoing requirements to any person other than the federal
government by entering into any investment arrangement with respect to the gross proceeds of
the Bonds that might result in a reduction in the amount required to be paid to the federal
government because such arrangement results in smaller profit or a larger loss than would have
resulted if such arrangement had been at arm's length and had the yield on the issue not been
relevant to either party
(k) The City will timely file or cause to be filed with the Secretary of the Treasury of the
United States the information required by Section 149(e) of the Code with respect to the Bonds
on such form and in such place as the Secretary may prescribe.
(1) The City will not issue or use the Bonds as part of an "abusive arbitrage device" (as
defined in Section 1.148-1O(a) of the Regulations). Without limiting the foregoing, the Bonds
are not and will not be a part of a transaction or series of transactions that attempts to circumvent
14
HOU :3009756.3
the provisions of Section 148 of the Code and the Regulations, by (i) enabling the City to exploit
the difference between tax-exempt and taxable interest rates to gain a material financial
advantage, or (ii) increasing the burden on the market for tax-exempt obligations.
(m) Proper officers of the City charged with the responsibility for issuing the Bonds are
hereby directed to make, execute and deliver certifications as to facts, estimates or circumstances
in existence as of the Issue Date and stating whether there are facts, estimates or circumstances
that would materially change the City's expectations. On or after the Issue Date, the City will
take such actions as are necessary and appropriate to assure the continuous accuracy of the
representations contained in such certificates.
(n) The covenants and representations made or required by this Section are for the benefit
of the Bond holders and any subsequent Bond holder, and may be relied upon by the Bondholder
and any subsequent Bondholder and bond counsel to the City.
In complying with the foregoing covenants, the City may rely upon an unqualified
opinion issued to the City by nationally recognized bond counsel that any action by the City or
reliance upon any interpretation of the Code or Regulations contained in such opinion will not
adversely affect the excludability of interest on the Bonds from gross income for federal income
tax purposes under existing law.
Notwithstanding any other provision of this Ordinance, the City's representations and
obligations under the covenants and provisions of this Section shall survive the defeasance and
discharge of the Bonds for as long as such matters are relevant to the exclusion of interest on the
Bonds from the gross income of the owners for federal income tax purposes.
Section 7.6.: Qualified Tax-Exempt Obligations. The City hereby designates the
Bonds as "qualified tax-exempt obligations" as defined in Section 265(b)(3) of the Code. With
respect to such designation, the City represents the following: (a) that during the calendar year
2010, the City (including all entities which issue obligations on behalf of the City), has not
designated nor will designate obligations, which when aggregated with the Bonds will result in
more than $30,000,000 of "qualified tax-exempt obligations" being issued and (b) that the City
has examined its financing needs for the calendar year 2010, and reasonably anticipates that the
amount of bonds, leases, loans or other obligations, together with the Bonds and any other tax-
exempt obligations heretofore issued by the City (plus those of all entities which issue
obligations on behalf of the City) during the calendar year 2010, when the higher of the face
amount or the issue price of each such tax-exempt obligation issued for the calendar year 2009
by the City is taken into account, will not exceed $30,000,000.
Section 7.8.: Related Matters. In order that the City shall satisfy in a timely manner
all of its obligations under this Ordinance, the Mayor, City Secretary and all other appropriate
officers, agents, representatives and employees of the City are hereby authorized and directed to
take all other actions that are reasonably necessary to provide for the issuance and delivery of the
Bonds, including, without limitation, executing and delivering on behalf of the City all
certificates, consents, receipts, requests, notices, and other documents as may be reasonably
necessary to satisfy the City's obligations under this Ordinance and to direct the transfer and
application of funds of the City consistent with the provisions of this Ordinance.
15
HOU:3009756.3
ARTICLE VIII.
CONTINUING DISCLOSURE UNDERTAKING
Section 8.1.: Annual Reports. The City shall provide annually to the MSRB, within
six months after the end of each fiscal year, financial information and operating data with respect
to the City of the general type included in the final Official Statement authorized by Section 7.3
of this Ordinance, being the financial information and operating data described in the Official
Statement in Tables 1-6 and 8-14 and in Appendix B to the Official Statement. Any financial
statements so to be provided shall be (1) prepared in accordance with the accounting principles
described in Appendix B to the Official Statement and (2) audited, if the City commissions an
audit of such statements and the audit is completed within the period during which they must be
provided. If audited financial statements are not so provided, then the City shall provide audited
financial statements for the applicable fiscal year to the MSRB, when and if audited financial
statements become available.
If the City changes its fiscal year, it will notify the MSRB of the change (and of the date
of the new fiscal year end) prior to the next date by which the City otherwise would be required
to provide financial information and operating data pursuant to this Section.
The financial information and operating data to be provided pursuant to this Section may
be set forth in full in one or more documents or may be included by specific reference to any
document (including an official statement or other offering document, if it is available from the
MSRB) that theretofore has been provided to the MSRB or filed with the SEe.
Section 8.2.: Material Event Notices. The City shall notify the MSRB, in a timely
manner, of any of the following events with respect to the Certificates, if such event is material
within the meaning of the federal securities laws:
(a) Principal and interest payment delinquencies;
(b) Non-payment related defaults;
(c) Unscheduled draws on debt service reserves reflecting financial difficulties;
(d) Unscheduled draws on credit enhancements reflecting financial difficulties;
(e) Substitution of credit or liquidity providers, or their failure to perform;
(D Adverse tax opinions or events affecting the tax-exempt status of the Bonds;
(g) Modifications to rights of holders of the Bonds;
(h) Bond calls;
(i) Defeasances;
G) Release, substitution, or sale of property securing repayment of the Bonds; and
16
HOU:3009756.3
(k) Rating changes.
The City shall notify the MSRB, in a timely manner, of any failure by the City to provide
financial information or operating data in accordance with Section 8.1 of this Ordinance by the
time required by such Section.
Section 8.3.: Limitations, Disclaimers and Amendments. The City shall be
obligated to observe and perform the covenants specified in this Article for so long as, but only
for so long as, the City remains an "obligated person" with respect to the Bonds within the
meaning of the Rule, except that the City in any event will give the notice required by Section
8.2 of any Bond calls and defeasance that cause the City to be no longer such an "obligated
person."
The provisions of this Article are for the sole benefit of the holders and beneficial owners
of the Bonds, and nothing in this Article, express or implied, shall give any benefit or any legal
or equitable right, remedy, or claim hereunder to any other person. The City undertakes to
provide only the financial information, operating data, financial statements, and notices which it
has expressly agreed to provide pursuant to this Article and does not hereby undertake to provide
any other information that may be relevant or material to a complete presentation of the City's
financial results, condition, or prospects or hereby undertake to update any information provided
in accordance with this Article or otherwise, except as expressly provided herein. The City does
not make any representation or warranty concerning such information or its usefulness to a
decision to invest in or sell Bonds at any future date.
UNDER NO CIRCUMSTANCES SHALL THE CITY BE LIABLE TO THE HOLDER
OR BENEFICIAL OWNER OF ANY BOND OR ANY OTHER PERSON, IN CONTRACT OR
TORT, FOR DAMAGES RESULTING IN WHOLE ORIN PART FROM ANY BREACH BY
THE CITY, WHETHER NEGLIGENT OR WITHOUT FAULT ON ITS PART, OF ANY
COVENANT SPECIFIED IN THIS ARTICLE, BUT EVERY RIGHT AND REMEDY OF
ANY SUCH PERSON, IN CONTRACT OR TORT, FOR OR ON ACCOUNT OF ANY SUCH
BREACH SHALL BE LIMITED TO AN ACTION FOR MANDAMUS OR SPECIFIC
PERFORMANCE.
No default by the City in observing or performing its obligations under this Article shall
constitute a breach of or default under the Ordinance for purposes of any other provision of this
Ordinance.
Nothing in this Article is intended or shall act to disclaim, waive, or otherwise limit the
duties of the City under federal and state securities laws.
The provisions of this Article may be amended by the City from time to time to adapt the
changed circumstances that arise from a change in legal requirements, a change in law, or a
change in the identity, nature, status, or type of operations of the City, but only if (1) the
provisions of this Article, as so amended, would have permitted an underwriter to purchase or
sell the Bonds in the primary offering of the Bonds in compliance with the Rule, taking into
account any amendments or interpretations of the Rule to the date of such amendment, as well as
such changed circumstances, and (2) either (a) the holders of a majority in aggregate principal
17
HOU:3009756.3
amount (or any greater amount required by any other provision of this Ordinance that authorizes
such an amendment) of the Outstanding Bonds consent to such amendment or (b) a person that is
unaffiliated with the City (such as nationally recognized bond counsel) determines that such
amendment will not materially impair the interests of the holder and beneficial owners of the
Bonds. If the City so amends the provisions of this Article, it shall include with any amended
financial information or operating data next provided in accordance with Section 8.1 an
explanation, in narrative form, of the reasons for the amendment and of the impact of any change
in the type of financial information or operating data so provided. The City may also amend or
repeal the provisions of this Article if the SEC amends or repeals the applicable provisions of the
Rule or a court of final jurisdiction enters judgment that such provisions of the Rule are invalid,
and the City also may amend the provisions of this Article in its discretion in any other manner
or circumstance, but in either case only if and to the extent that the provisions of this sentence
would not have prevented an underwriter from lawfully purchasing or selling Bonds in the
primary offering of the Bonds, giving effect to (a) such provisions as so amended and (b) any
amendments or interpretations of the Rule. .
Section 8.4.: Definitions. As used in this Article, the following terms have the
meanings ascribed to such terms below:
"MSRB" means the Municipal Securities Rulemaking Board.
"Rule" means SEC Rule 15c2-12, as amended from time to time.
"SEC" means the United States Securities and Exchange Commission.
ARTICLE IX.
MISCELLANEOUS
Section 9.1.: Defeasance. The City may defease the provisions of this Ordinance
and discharge its obligations to the Registered Owners of any or all of the Bonds to pay the
principal of and interest thereon in any manner now or hereafter permitted by law, including by
depositing with the Paying Agent/Registrar, a trust company or commercial bank other than the
Paying Agent/Registrar, or with the Comptroller of Public Accounts of the State of Texas either:
(a) cash in an amount equal to the principal amount of such Bonds plus interest
thereon to the date of maturity or earlier redemption; or
(b) pursuant to an escrow or trust agreement, cash and/or (i) direct noncallable
obligations of United States of America, including obligations that are
unconditionally guaranteed by the United States of America; (ii) noncallable
obligations of an agency or instrumentality of the United States, including
obligations that are unconditionally guaranteed or insured by the agency or
instrumentality and that are rated as to investment quality by a nationally
recognized investment rating firm not less than AAA or its equivalent; or (iii)
noncallable obligations of a state or an agency or a county, municipality, or other
political subdivision of a state that have been refunded and that are rated as to
investment quality by a nationally recognized investment rating firm not less than
18
HOD :3009756.3
AAA or its equivalent, which, in the case of (i), (ii) or (iii), may be in book-entry
form, and the principal of and interest on which will, when due or redeemable at
the option of the holder, without further investment or reinvestment of either the
principal amount thereof or the interest earnings thereon, provide money in an
amount which, together with other moneys, if any, held in such escrow at the
same time and available for such purpose, shall be sufficient to provide for the
timely payment of the principal of and interest thereon to the date of maturity or
earlier redemption;
provided, however, that if any of the Bonds are to be redeemed prior to their respective dates of
maturity, provision shall have been made for giving notice of redemption as provided in this
Ordinance. Upon such deposit, such Bonds shall no longer be regarded to be Outstanding or
unpaid. Any surplus amounts not required to accomplish such defeasance shall be returned to
the City.
Section 9.2.: Legal Holidays. In any case where the date interest accrues and
becomes payable on the Bonds or principal of the Bonds matures or a Record Date shall be in the
City a Saturday, Sunday, legal holiday or a day on which banking institutions are authorized by
law to close, then payment of interest or principal need not be made on such date, or the Record
Date shall not occur on such date, but payment may be made or the Record Date shall occur on
the next succeeding day which is not in the City a Saturday, Sunday, legal holiday or a day on
which banking institutions are authorized by law to close with the same force and effect as if
(i) made on the date of maturity and no interest shall accrue for the period from the date of
maturity to the date of actual payment or (ii) the Record Date had occurred on the last day of that
calendar month.
Section 9.3.: No Recourse Against City Officials. No recourse shall be had for the
payment of principal of or interest on any Bonds or for any claim based thereon or on this
Ordinance against any official of the City or any person executing any Bonds.
Section 9.4.: Further Proceedings. The Mayor, City Secretary and other appropriate
officials of the City are hereby authorized and directed to do any and all things necessary and/or
convenient to carry out the terms of this Ordinance. The Mayor, City Secretary and other
appropriate officials of the City are each hereby authorized to execute, attest and impress the
City's seal to such other agreements, assignments, bonds, certificates, contracts, documents,
licenses, instruments, releases, financing statements, letters of instruction, notices of acceptance,
notices of final payment, written requests and other documents, and to take all actions and to do
all things whether or not mentioned herein, as may be necessary or convenient to carry out or
assist in carrying out the purposes of this Ordinance and the Bonds.
Section 9.5.: Severability. If any Section, paragraph, clause or provision of this
Ordinance shall for any reason be held to be invalid or unenforceable, the invalidity or
unenforceability of such Section, paragraph, clause or provision shall not affect any of the
remaining provisions of this Ordinance.
Section 9.6.: Open Meeting. It is hereby found, determined and declared that a
sufficient written notice of the date, hour, place and subject of the meeting of the City Council at
19
HOU:3009756.3
which this Ordinance was adopted was posted at a place convenient and readily accessible at all
times to the general public at City Hall for the time required by law preceding this meeting, as
required by the Open Meetings Law, Chapter 551, Texas Government Code, and that this
meeting has been open to the public as required by law at all times during which this Ordinance
and the subject matter thereof has been discussed, considered and formally acted upon. The City
Council further ratifies, approves and confirms such written notice and the contents and posting
thereof.
Section 9.7.: Repealer. All orders, resolutions and ordinances, or parts thereof,
inconsistent herewith are hereby repealed to the extent of such inconsistency.
Section 9.8.: Effective Date. This Ordinance shall be in force and effect from and
after its passage on the date shown below.
Section 9.9.: Power to Revise Form of Documents. Notwithstanding any other
provision of this Ordinance, the Mayor, City Secretary and other appropriate officials of the City
are each hereby authorized to make or approve such revisions, additions, deletions and variations
in the form of the documents attached hereto as exhibits as, in the judgment of the Mayor, City
Secretary and other appropriate officials of the City, and in the opinion of Bond Counsel to the
City, as may be necessary or convenient to carry out or assist in carrying out the purposes of this
Ordinance, the Preliminary Official Statement, and the final Official Statement; provided,
however, that any changes to such documents resulting in substantive amendments to the terms
and conditions of the Bonds or such documents shall be subject to the prior approval of the City
Council.
Section 9.10.: Ordinance a Contract - Amendments. This Ordinance shall constitute a
contract with the Registered Owners from time to time, be binding on the City, and shall not be
amended or repealed by the City so long as any Bond remains Outstanding except as permitted in
this Section. The City may, without the consent of or notice to any Registered Owners, from time
to time and at any time, amend this Ordinance in any manner not detrimental to the interests of
the Registered Owners, including the curing of any ambiguity, inconsistency, or formal defect or
omission herein. In addition, the City may, with the consent of Registered Owners who own in
the aggregate 51 % of the principal amount of the Bond then Outstanding, amend, add to, or
rescind any of the provisions of this Ordinance; provided that, without the consent of all
Registered Owners of Outstanding Bonds, no such amendment, addition, or rescission shall
(i) extend the time or times of payment of the principal of and interest on the Bonds, reduce the
principal amount thereof or the rate of interest thereon, or in any other way modify the terms of
payment of the principal of or interest on the Bonds, (ii) give any preference to any Bond over
any other Bond, or (iii) reduce the aggregate principal amount of Bonds required to be held by
Registered Owners for consent to any such amendment, addition, or rescission.
20
HOV:3009756.3
DULY PASSED AND APPROVED this the 12TH day of April, 2010.
ATTEST:
~tUIi~ eI/.tff
Ci Secretary
APPROVED AS TO FORM AND CON ENT:
City Attorney
HOU:3009660.1
<-7'~
Mayor
S-l
SCHEDULE I
REFUNDED OBLIGATIONS
Original Prindpal Call R(>maining
~Iatlldty Amuunt;. Date/Price Outstanding
3/15/2011 S 125-000 5'14/2010 'f!- 100 $ -0-
315/2012 125,000 514/2010 @ 100 -0-
3/15/2013 125,000 5/14/2010 @ 100 -0-
3/15/2014 125,000 5/14/2010@ 100 -0-
3/15/2015 125,000 5/14/2010 (fj; 100 -0-
3/15/2016 125,000 5/14/2010 @' 100 -0-
H5i2017 125,000 5/14/2010 (il' 100 -0-
315/2018 125,000 5/l4!2010 .g 100 -0-
3/152019 125,000 5/14/2010 @ 100 -0-
3/15/2011 S 175,000 5/14/2010 @ 100 $ -0-
3/15/2012 175,000 Si14/2010 @ 100 -0-
3'15/2013 175,000 5'14/2010 @ 100 -0-
3/15/2014 175.000 5/14/2010@ 100 -0-
315/2015 175,000 5/14'2010 @ 100 -0-
3/15/2016 1 hOOO 5/14/2010 (t!; 100 -0-
3'15'2017 175.000 5/14/2010 @ 100 -0-
3/15/2018 175,000 5/14/2010 @ 100 -0-
3/15/2019 175.000 5/14/2010 @ 100 -0-
3/15/2020 175.000 5/14'2010@ 100 -0-
3/15/2011 S 150,000 5'14/2010 'g: 100 $ -0-
3/15/2012 150.000 5/14/2010 @ 100 -0-
3/15/2013 150,000 5/14/2010.@ 100 -0-
3/15/2014 150,000 5/14/2010 @ 100 -0-
3/152015 150,000 5/14/2010 @ 100 -0-
315/2016 150.000 5/14/2010 @ 100 -0-
3/15/2017 150,000 514/2010 @ 100 -0-
3/15/2018 150,000 5/14/201O@ 100 -0-
H5/2019 150.000 5/14.'2010 11:' 100 -0-
315/2020 150.000 5/14,2010 @ 100 -0-
$4 375 000
Series
General Obligation Bonds.
Series 1998
General Obligation Bonds,
Series 2000
Certificates of Obligation,
Series 2000
Total
Schedule I - 1
HOU:3009756.3
EXHIBIT A
FORM OF BOND
[FRONT OF BOND]
UNITED STATES OF AMERICA
ST ATE OF TEXAS
CITY OF LA PORTE, TEXAS,
GENERAL OBLIGATION REFUNDING BOND
SERIES 20 I 0
NUMBER
R_1
REGISTERED
PRINCIP AL AMOUNT
$
REGISTERED
INTEREST RATE2:
%
DATED DATE:
May 1,2010
MATURITY DA TE2:
March 15, _
CUSIP2:
REGISTERED OWNER:
PRINCIPAL AMOUNT:
DOLLARS
THE CITY OF LA PORTE, TEXAS, a home rule municipality of the State of Texas (the
"City"), for value received, hereby promises to pay to the Registered Owner identified above or
its registered assigns, on the maturity date specified above (or on earlier redemption as herein
provided), upon presentation and surrender of this Bond at the principal corporate trust office of
The Bank of New York Mellon Trust Company, National Association, Dallas, Texas, or its
successor (the "Paying Agent/Registrar"), the principal amount identified above, payable in any
coin or currency of the United States of America which on the date of payment of such principal
is legal tender for the payment of debts due to the United States of America, and to pay interest
thereon at the rate shown above, calculated on a basis of a 360-day year composed of twelve
30-day months, from the later of the Dated Date identified above or the most recent interest
payment date to which interest has been paid or duly provided for. 3 Interest on this Bond is
1 Initial Bond shall be numbered T -1.
2 Omitted from initial Bond.
3 The first sentence of the initial Certificate shall read as follows:
THE CITY OF LA PORTE, TEXAS, a home rule municipality of the State of Texas (the "City"),
for value received, hereby promises to pay to the Registered Owner identified above or its registered
assigns, on March 15 of each of the years and in the principal amounts set forth in the following schedule:
[Insert information regarding years of maturity, principal amounts and interest rates from Section 3.3 of the
Ordinance.] upon presentation and surrender of this Bond at the principal corporate trust office of The Bank
of New York Mellon Trust Company, National Association, or its successor (the "Paying
A-I
HOU:3009756.3
payable on March 15, 2011, and each March 15 and September 15 thereafter until maturity of
this Bond, by check sent by United States mail, first class, postage prepaid, by the Paying
Agent/Registrar to the Registered Owner of record as of the close of business on the last business
day of the month next preceding the applicable interest payment date, as shown on the
registration books kept by the Paying Agent/Registrar. Any accrued interest payable at maturity
shall be paid upon presentation and surrender of this Bond at the office of the Paying
Agent/Registrar.
REFERENCE IS HEREBY MADE TO THE FURTHER PROVISIONS OF THIS
BOND SET FORTH ON THE REVERSE HEREOF, WHICH PROVISIONS SHALL HA VE
THE SAME FORCE AND EFFECT AS IF SET FORTH AT THIS PLACE. 4
IN WITNESS WHEREOF, the City has caused its corporate seal to be impressed or
placed in facsimile hereon and this Bond to be signed by the Mayor, countersigned by the City
Secretary by their manual, lithographed or printed facsimile signatures.
CITY OF LA PORTE, TEXAS
Mayor
(SEAL)
COUNTERSIGNED:
City Secretary
* * *
[REVERSE OF BOND]
THIS BOND IS ONE OF A DULY AUTHORIZED SERIES OF BONDS (the "Bonds")
in the aggregate principal amount of $4,295,000 issued pursuant to an ordinance adopted by the
City Council of the City on April 12, 2010 (the "Ordinance"), for the purpose of refunding
AgentlRegistrar"), the principal amounts identified above (or so much thereof as shall not have been paid
or deemed to have been paid upon prior redemption) payable in any coin or currency of the United States of
America which on the date of payment of such principal is legal tender for the payment of debts due to the
United States of America, and to pay interest thereon at the rate shown above, calculated on a basis of a
360-day year composed of twelve 30-day months, from the later of the Dated Date identified above or the
most recent interest payment date to which interest has been paid or duly provided for.
4
This paragraph shall be omitted from the initial Bond and any other Bond for which text does not appear on
the back of a printed certificate.
A-2
HOD :3009756.3
certain outstanding obligations (the "Refunded Obligations") of the City under and pursuant to
the authority of Chapter 1207, Texas Government Code, as amended. Proceeds of the Bonds
will also be used to pay the costs of issuing the Bonds and refunding the Refunded Obligations.
THIS BOND shall not be valid or obligatory for any purpose or be entitled to any benefit
under the Ordinance unless this Bond is authenticated by the Paying AgentJRegistrar by due
execution of the authentication certificate endorsed hereon. 5
THIS BOND IS NOT SUBJECT to optional redemption prior to maturity.
THIS BOND IS TRANSFERABLE only upon presentation and surrender at the principal
corporate trust office of the Paying AgentJRegistrar, accompanied by an assignment duly
executed by the Registered Owner or its authorized representative, subject to the terms and
conditions of the Ordinance.
THIS BOND IS EXCHANGEABLE at the principal corporate trust office of the Paying
AgentJRegistrar for a Bond or Bonds of the same maturity and interest rate and in the principal
amount of $5,000 or any integral multiple thereof, subject to the terms and conditions of the
Ordinance.
THE CITY OR PAYING AGENT/REGISTRAR may require the Registered Owner of
any Bond to pay a sum sufficient to cover any tax or other governmental charge that may be
imposed in connection with the transfer or exchange of a Bond. Any fee or charge of the Paying
AgentJRegistrar for a transfer or exchange shall be paid by the City.
THE REGISTERED OWNER of this Bond by acceptance hereof, acknowledges and
agrees to be bound by all the terms and conditions of the Ordinance.
IT IS HEREBY DECLARED AND REPRESENTED that this Bond has been duly and
validly issued and delivered; that all acts, conditions and things required or proper to be
performed, exist and to be done precedent to or in the issuance and delivery of this Bond have
been performed, exist and have been done in accordance with law; that the Bonds do not exceed
any constitutional or statutory limitation; and that annual ad valorem taxes sufficient to provide
for the payment of the interest on and principal of this Bond, as such interest comes due and such
principal matures, have been levied and ordered to be levied, within the limits prescribed by law,
against all taxable property in the City and have been irrevocably pledged for such payment.
REFERENCE IS HEREBY MADE TO THE ORDINANCE, a copy of which is filed
with the Paying AgentJRegistrar, for the full provisions thereof, to all of which the Registered
Owners of the Bonds assent by acceptance of the Bonds.
5 In the initial Certificate, this paragraph shall read:
"THIS BOND shall not be valid or obligatory for any purpose or be entitled to any benefit under
the Ordinance unless this Bond is registered by the Comptroller of Public Accounts of the State of Texas by
due execution of the registration certificate endorsed hereon."
A-3
HOU:3009756.3
* * *
FORM OF COMPTROLLER'S REGISTRATION CERTIFICATE
The following form of Comptroller's Registration Certificate shall be attached or affixed
to each of the Bonds initially delivered:
OFFICE OF THE COMPTROLLER
OF PUBLIC ACCOUNTS
THE STATE OF TEXAS
~
~
~
REGISTER NO.
I hereby certify that this Bond has been examined, certified as to validity and approved
by the Attorney General of the State of Texas, and that this Bond has been registered by the
Comptroller of Public Accounts of the State of Texas.
WITNESS MY SIGNATURE AND SEAL OF OFFICE this
(SEAL)
Comptroller of Public Accounts
of the State of Texas
* * *
FORM OF PAYING AGENTIREGISTRAR'S AUTHENTICATION CERTIFICATE
The following form of authentication certificate shall be printed on the face of each of the
Bonds other than those initially delivered:
AUTHENTICATION CERTIFICATE
This Bond is one of the Bonds described in and delivered pursuant to the within-
mentioned Ordinance; and, except for the Bonds initially delivered, this Bond has been issued in
exchange for or replacement of a Bond, Bonds, or a portion of a Bond or Bonds of an issue
which originally was approved by the Attorney General of the State of Texas and registered by
the Comptroller of Public Accounts of the State of Texas.
as Paying Agent/Registrar
By:
A-4
HOU:3009756.3
Authorized Signature:
Date of Authentication:
* * *
FORM OF ASSIGNMENT
The following form of assignment shall be printed on the back of each of the Bonds:
ASSIGNMENT
For value received, the undersigned hereby sells, assigns and transfers unto
(Please print or type name, address and zip code of Transferee)
(Please insert Social Security or Taxpayer Identification Number of Transferee)
the within Bond and all rights thereunder, and hereby irrevocably constitutes and appoints
attorney to transfer the within Bond on the
books kept for registration thereof, with full power of substitution in the premises.
DATED:
Signature Guaranteed:
Registered Owner
NOTICE: Signature must be guaranteed by a
member firm of the New York Stock Exchange
or a commercial bank or trust company.
NOTICE: The signature above must
correspond to the name of the registered owner
as shown on the face of this Bond in every
particular, without any alteration, enlargement
or change whatsoever.
* * * *
A-5
HOD :3009756.3
HOU:3009756.3
EXHIBIT B
FORM OF PAYING AGENTIREGISTRAR AGREEMENT
EXHIBIT C
WINNING BID
HOV:3009756.3
EXHIBIT D
OFFICIAL NOTICE OF SALE
--
HOU:3009756.3
EXHIBIT E
PRELIMINARY OFFICIAL STATEMENT
HOU:3009756.3
ORDINANCE NO. 3233
AN ORDINANCE CONSENTING TO A PROPOSED BOND RESOLUTION
AND CONTINUING DISCLOSURE AGREEMENT
TO BE ADOPTED BY THE
LA PORTE AREA WATER AUTHORITY
WHEREAS, the Board of Directors of the La Porte Area Water Authority (the
"Authority") has informed the City Council of the City of La Porte, Texas (the "City") that the
Authority desires to issue and sell its Contract Revenue Refunding Bonds, Series 2010, in the
aggregate principal amount not to exceed $4,500,000 (the "Bonds") in order to refund and
defease its Contract Revenue Refunding Bonds, Series 1999, for the purpose of achieving debt
service savings; and
WHEREAS, the City has entered into a Water Supply Contract, dated as of November
23, 1987, as amended July 24, 2000 (the "Contract") with the Authority which allows the City to
purchase treated water from the Authority; and
WHEREAS, the Authority has delivered to the City pursuant to Section 3.02 of the
Contract the proposed bond resolution attached hereto as Exhibit A (the "Bond Resolution") and
a schedule containing an estimate of the amounts described in such Section 3.02, attached hereto
as Exhibit B;
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY
OF MORGAN'S POINT, TEXAS:
Section 1. That the City Council of the City hereby consents, pursuant to Section
3.03 of the contract, to the adoption by the Authority of the Bond Resolution and the execution
by the City of the Continuing Disclosure Agreement substantially in the form attached hereto as
Exhibit C.
Section 2. That all filing, notice or time requirements or other conditions precedent to
the adoption of this Ordinance and the approval of the Bond Resolution are hereby waived and
the adoption of this Ordinance shall be all the action necessary for the City to consent and
approve the issuance of the Bonds by the Authority.
Section 3. That if any section, sentence, phrase, clause or any part of any section,
sentence, phrase or clause of this Ordinance shall for any reason be held invalid, such invalidity
shall not affect the remaining portions of the Ordinance, and it is hereby declared to be the
intention of the City Council to have passed each section, sentence, phrase or clause, or part
thereof, irrespective of the fact that any other section, sentence, phrase or clause, or part thereof,
may be declared invalid.
Section 4. That the City Council hereby officially finds, determines, recites and
declares that sufficient written notice of the date, hour, place and subject matter of this meeting
of the City Council was posted at a place convenient to the public at the City Hall of the City for
HOU:3004205.\
the time required by law preceding this meeting, as required by the Open Meetings Act, Chapter
551, Texas Government Code, as amended, and that this meeting has been open to the public as
required by law at all times during which this Ordinance and the subject matter thereof has been
discussed, considered and formally acted upon. The City Council further ratifies, approves and
confirms such written notice and the contents and posting thereof.
Section 5. That this Ordinance shall take effect and be in full force immediately upon
and after its adoption. __
PASSED AND APPROVED THIS /J day ofdfl ,2010.
CITY OF LA PORTE, TEXAS
~~
a or I
ATTEST:
By: ~~ddl
City Secretary
HOU:3004205.1
EXHIBIT A
BOND RESOLUTION
HOU:3004205.1
EXHIBIT B
ESTIMATE OF AMOUNTS PAYABLE
HOU:3004205.1
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EXHIBIT C
CONTINUING DISCLOSURE UNDERTAKING
HOU:3004205.1
CONTINUING DISCLOSURE AGREEMENT
La Porte Area Water Authority
Contract Revenue Refunding Bonds
Series 2010
THIS CONTINUING DISCLOSURE AGREEMENT (this "Disclosure Agreement"),
dated as of May 13, 2010 (this "Disclosure Agreement"), is executed and delivered by the City
of La Porte, Texas (the "City"), and the La Porte Area Water Authority (the "Authority") in
connection with the issuance by the Authority of its Contract Revenue Refunding Bonds, Series
2010. The City, the Dissemination Agent and the Trustee covenant and agree as follows:
Section 1. Purpose of the Disclosure Agreement. This Disclosure Agreement is
being executed and delivered by the City and the Authority for the benefit of the Holders and
Beneficial Owners of the Bonds and in order to assist the Participating Underwriters in
complying with, and constitutes the written undertaking of the City for the benefit of the
Bondholders required by, Section (b)(5)(i) of Securities and Exchange Commission Rule l5c2-
12 under the Securities Exchange Act of 1934, as amended (17 C.F.R. 9 240.15c2-12) (the
"Rule").
The City, as an "obligated person" within the meaning of the Rule, undertakes to provide
the following information as provided in this Disclosure Agreement:
(1) Annual Financial Information.
Section 2. Definitions. In addition to the definitions set forth in the Trust Indenture,
which apply to any capitalized term used in this Disclosure Agreement unless otherwise defined
in this Section, the following capitalized terms shall have the following meanings:
"Annual Financial Information" means, in the case of the City, the financial information
or operating data, provided at least annually, of the type included in Exhibit A hereto, which
Annual Financial Infonnation may, but is not required to, be audited. Annual Financial
Information shall be prepared in accordance with Generally Accepted Accounting Principals.
"Beneficial Owners" means any person who has the power, directly or indirectly, to vote
or consent with respect to, or to dispose of ownership of, any Bonds, including persons holding
Bonds through nominees or depositories.
"Holders" means either the registered owners of the Bonds, or, if the Bonds are
registered in the name of The Depository Trust Company or another recognized depository, any
applicable participant in its depository system.
"Material Event" means any of the following events with respect to the Bonds, if
material:
(i) Principal and interest payment delinquencies;
HOU:3004208.1
(ii) Non-payment related Events of Default under and as defined in the
Trust Indenture;
(iii) Unscheduled draws on debt service reserves reflecting financial
difficulties;
(iv) Unscheduled draws on credit enhancements reflecting financial
difficulties;
(v) Substitution of credit or liquidity providers, or their failure to
perform;
(vi) Adverse tax opinions or events affecting the tax-exempt status of
the Bonds;
(vii) Modifications to rights of Bondholders;
(viii) Bond calls (other than mandatory sinking fund redemptions);
(ix) Defeasances;
(x) Release, substitution, or sale of property securing repayment of the
Bonds; and
(xi) Rating changes.
"MSRB" means the Municipal Securities Rulemaking Board.
"Participating Underwriters" means the original underwriters of the Bonds required to
comply with the Rule in connection with offering of the Bonds.
"Report Date" has the meaning set forth in Section 3(a) hereof.
Section 3.
Provision of Annual Reports.
(a) While any Bonds are outstanding, the City shall provide the Annual
Financial Information on or before December 31 of each year (the "Report Date"),
beginning on or before December 31,2010, to the MSRB. In addition, not later than 15
Business Days prior to said date, the City shall provide the Annual Financial Information
to the Authority. In each case, the Annual Financial Information may be submitted as a
single document or as a set of documents, and all or any part of such Annual Financial
Information may be provided by specific cross-reference to other documents previously
provided to the MSRB or filed with the Securities and Exchange Commission.
The City shall also provide notice to the MSRB of any failure to provide Annual
Financial Information by the applicable Report Date.
1
HOU:3004208.1
Section 4. Reporting of Material Events. The City and the Authority hereby
acknowledge and agree that any reporting of Material Events in connection with the Bonds as
required by the Rule will be undertaken by the Authority by separate agreement.
Section 5. Termination of.Reporting Obligation. The City's obligations under this
Disclosure Agreement shall automatically terminate once the Bonds are no longer outstanding.
Section 6. Amendment; Waiver. Notwithstanding any other provision of this
Disclosure Agreement, the City and the Authority may amend this Disclosure Agreement and
any provision of this Disclosure Agreement may be waived by the parties hereto, if such
amendment or waiver is supported by an opinion of counsel expert in federal securities laws,
acceptable to the City and the Authority, to the effect that such amendment or waiver would not,
in and of itself, cause the undertakings herein to violate the Rule if such amendment or waiver
had been effective on the date hereofbut taking into account any subsequent change in or official
interpretation of the Rule, provided that the Authority shall have provided notice of such delivery
and of the amendment to the MSRB. Any such amendment shall satisfy, unless otherwise
permitted by the Rule, the following conditions:
(i) The amendment may only be made in connection with a change in
circumstances that arises from, a change in legal requirements, change in law or
change in the identity, nature or status of the obligated person or type of business
conducted;
(ii) This Disclosure Agreement, as amended, would have complied
with the requirements of the Rule at the time of the primary offering, after taking
into account any amendments or interpretations of the Rule, as well as any change
in circumstances; and
(iii) The amendment does not materially impair the interests of
Beneficial Owners and Holders of any of the Bonds, as determined either by
parties unaffiliated with the City and the Authority (such as counsel expert in
federal securities laws), or by approving vote of Bondholders pursuant to the
terms of the Bond Resolution at the time of the amendment. The initial Annual
Financial Information after the amendment shall explain, in narrative form, the
reasons for the amendment and the effect of the change, if any, in the type of
operating data or financial information being provided.
Section 7. Additional Information. Nothing in this Disclosure Agreement shall be
deemed to prevent the City from disseminating any other information, using the means of
dissemination set forth in this Disclosure Agreement or any other means of communication, or
including any other information in any Annual Financial Information, in addition to that which is
required by this Disclosure Agreement. If the City chooses to include any information in any
Annual Financial Infonnation in addition to that which is specifically required by this Disclosure
Agreement, the City shall have no obligation under this Disclosure Agreement to update such
information or include it in any future Annual Financial Information.
2
HOU3004208.1
Section 8. Default. In the event of a failure of the City to comply with any provision
of this Disclosure Agreement, the Authority may and, at the written direction of the Participating
Underwriter or the Holders of at least 25% in aggregate principal amount of Outstanding Bonds,
shall, or any Beneficial Owner or Holder of any of the Bonds may, seek mandate or specific
performance by court order, to cause the City to comply with its obligations under this
Disclosure Agreement; provided that the City shall be liable for monetary damages or any other
monetary penalty or payment for breach of any of its obligations under this Section. The sole
remedy under this Disclosure Agreement in the event of any failure of the City to comply with
this Disclosure Agreement shall be an action to compel performance.
Section 9. Beneficiaries. This Disclosure Agreement shall inure solely to the benefit
of the City, Authority, the Participating Underwriters and the Beneficial Owners and Holders of
any Bonds and shall create no rights in any other person or entity.
Section 10. Interpretation. It being the intention of the City and the Authority that
there be full and complete compliance with the Rule, this Disclosure Agreement shall be
construed in accordance with the written guidance and no-action letters published from time to
time by the Securities and Exchange Commission and its staff with respect to the Rule.
Section 11. Governing Law. This Disclosure Agreement shall be governed by the
laws of the State of Texas.
Section 12. Counterparts. This Disclosure Agreement may be executed in several
counterparts, each of which shall be an original and all of which shall constitute but one and the
same instrument.
IN WITNESS WHEREOF, the City and the Authority have each caused their duly
authorized officers to execute this Disclosure Agreement as of the day and year first written
above.
CITY OF LAPORTE, TEXAS
By:
Its: Mayor
LA PORTE AREA WATER AUTHORITY
By:
Its: President
3
HOU:3004208\
EXHIBIT A
ANNUAL DISCLOSURE REPORT
La Porte Area Water Authority
Contract Revenue Refunding Bonds
Series 2010
Report For Period Ending
TOP TEN WATER CUSTOMERS
The following table sets forth the top ten water customers of the City for fiscal year
ended , as derived from the City's [un ] audited financial statements.
Customer
Type of Business
20_ Consumption in Gallons
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
HOU3004208 J
8
-
-----.-..'""
REQUEST FOR CITY COUNCIL AGENDA ITEM
Appropriation
Agenda Date Requested: April 12. 2010
Source of Funds:
N/A
Requested By: John Joerns
Account Number:
N/A
Department: Planninl?:
Amount Budgeted:
N/A
Report: --K-Resolution: _Ordinance:_
Amount Requested: N/A
Exhibits:
. Policy Statement (Updated)
. Application for Water/Sewer Service (New)
. Flowchart (New)
. Water Service Agreement (Updated)
. Sanitary Sewer Agreement (Updated)
. Approval for Utility Account (New)
Budgeted Item: _YES ...x.....NO
SUMMARY & RECOMMENDATION
The City will be sending out renewal requests to a number of companies that have expired
water/sewer service agreements. The last formal review of the policy and agreements with City
Council took place in 1999.
The material presented in your agenda package has very few changes. The only significant change is
the removal of the reference to "other processes" in the policy statement and "industrial processes" in
the standard contracts. These terms had become a source of confusion with staff and applicants as
the basic policy intent (with one significant exception) was to provide water/sewer for basic human
domestic needs. The one exception is Dana Transport which requested industrial waste treatment and
a maximum daily demand of 30,000 gallons per day. City Council approved the request and asked
staff to prepare such an agreement with Dana.
Other key features of the policy remain the same:
. Demand of 50 gallons per day per company employee for domestic needs
. Other uses require specific Council approval
. Administrative fees of $1 OO/employee with a minimum of $5,000 and a maximum of $15,000
. Company pays 150% of current "in-city" rate and 200% when the contracted amount is
exceeded
. Approval by City Council
. All plumbing code and other ordinances pertaining to furnishing of water/sewer shall apply
· No outlay of City funds other than administration of contracts and policies
· Company is responsible for relocation costs if lines installed in rights-of-way must be relocated
· Company is required to maintain current Industrial District Agreement with City
· New development requires HCFCD approval of storm water plan for site
· Company must execute a Utility Extension Agreement with City if extensions are required
· Company may be required to pay a pro-rata reimbursement for water/sewer installed by others
· Where required, a meter bypass and reduced pressure zone backflow preventer will be
installed
Other changes include the addition of forms to provide a better description of the process for the
Company. A key feature is changes to the process allowing the Company to secure approval from
City Council early in the process prior to submitting full fees, and procuring professional services for
its site design and development plans. For companies requesting only domestic water/sewer, the
proposal is to renew the agreements through the year 2019 to coincide with the expiration of the
Company's current IDA term. Companies with "special requests", such as the Dana agreement, will
be returned to Council for individual consideration.
Action Required bv Council:
rove an updated policy, application and standard Water and Sanitary Sewer Service Agreements
ompanies outside the City with Industrial District Agreements.
f
Ron Bottoms, City Manager
Date
April 12, 2010
Page 1 of 4
POLICY MANUAL
Date: April 12, 2010
Approved:J.Joerns
Subject:
Water and/or Sanitary Sewer Service outside city limits (within ETJ) for
companies with an Industrial District Agreement
Responsible Agency:
Planning Department
Policy Objective:
To provide policy guidelines and establish procedures for water and/or
sanitary sewer requests by Companies located outside city limits (within
ETJ) with an Industrial District Agreement
Authority:
Review/Approval by La Porte City Council
Policy:
"Policy for water and/or sanitary sewer service outside city limits
(within ETJ) for companies with an Industrial District Agreement"
Exhibits:
1. Policy Statement (Updated - 3 pages)
2. Application for Industrial District Water/Sewer Service (New Document - 1 page)
3. Flowchart (New Document -1 page)
4. Standard Water Service Agreement (Updated - 6 pages)
5. Standard Sanitary Sewer Service Agreement (Updated - 6 pages)
6. Approval for Utility Account (New Document -1 page)
Summary:
To provide policy guidelines for City water and/or sanitary sewer service outside city limits (within
ETJ) for companies with an Industrial District Agreement.
Comments:
Revisions:
April 12, 2010
Page 2 of 4
CITY OF LA PORTE
POLICY FOR WATER and/or SANITARY SEWER SERVICE
TO PROPERTIES WITHIN INDUSTRIAL DISTRICTS
Long-range planning considerations by the City of La Porte for its water distribution and sanitary
sewer collection systems did not include the needs of areas located outside of its city limits.
Additionally, the City is under no obligation to provide any utility service(s) to these areas. The City
has developed the following policy regarding limited and restricted utility service(s) to industrial
district companies with Industrial District Agreements on a case-by-case basis.
I. City Consideration for Providina Utility Service(s) requires the Company to submit the
following documentation for review by City Staff and approval by City Council.
· Completed Application for Industrial District Utility Service (see Exhibit "A", attached)
· Sketch or Site Plan illustrating the following:
· Adherence to Rules & Regulations defined in Exhibit "C" of Company's Industrial
District Agreement with the City
. Total Acreage of Company's property
· Existing and proposed site improvements illustrating limits of utility service(s)
· On-Site and Off-Site Water and Sanitary Sewer Service Plan
· HCFCD-approved Stormwater Management Plan (subject to approval by City)
Note I (a): In the case of multi-lot developments, each individual Company will be required to execute individual
agreements with the City as listed in Section II of this policy.
II. City Conditions for Providina Utility Service(s) shall be subject to:
1. Company's execution of an Industrial District Agreement with the City
2. Initial review by City Staff of Company's Application & Supporting Documentation
3. Review and consideration by City Council on a case-by-case basis
4. Company's execution of a Water Service Agreement and/or Sanitary Sewer Service
Agreement with the City + payment of administrative fee per each agreement
5. Company's execution of a Utility Extension Agreement with the City - in the event City
water and/or sanitary sewer mains not extend to and through Company's frontage
Note II (a): Industrial District properties are limited to one (1) Water Service Agreement and one (1) Sanitary
Sewer Service Agreement per property under a current Industrial District Agreement.
Note II (b): Where applicable, a Company executing a Water and/or Sanitary Sewer Service Agreement with
the City shall pay a pro-rata reimbursement fee for previous installation(s) of utility main(s) extended and
funded by other parties under a previously-executed Utility Extension Agreement. The City will collect a pro-
rata reimbursement fee on behalf of that party based on Company's frontage along subject utility main(s).
Note II (c): An Administrative fee of $100 per site employee (as defined in Sec. III) per each agreement.
(Minimum Administrative Fee = $5,000; Maximum Administrative Fee = $15,000 per each agreement)
April 12, 2010
Page 3 of 4
III. City Allocation of Water and Sanitary Sewer Service(s) through the term of Company's
agreement is established by use of the following formulas:
· WATER SERVICE:
(Total Site Employees x 50 gallons per day) x 30.5 days = APPROVED MONTHLY WATER VOLUME
· SANITARY SEWER SERVICE:
APPROVED MONTHLY WATER VOLUME x 0.85 = APPROVED MONTHLY SANITARY SEWER VOLUME
Note III (a): Site employees = All full-time employees (including full-time regular and full-time contract
employees)
Note III (a): Other requested uses are reviewed by staff and approved by Council on a case-by-case basis
IV. City BillinQ Rates for Industrial District Utility Service(s):
· The industrial district utility customer shall pay 150% of the prevailing water and sanitary
sewer rate in effect for utility customers within the corporate limits of the City. Water and/or
sanitary sewer usage in excess of the approved monthly amount defined in Company's
Water and/or Sanitary Sewer Service Agreement will be billed at 200% of the prevailing rate
in effect for utility customers within the corporate limits of the City.
V. Reauirements and/or Restrictions of City Utility Service(s):
· City water and sewer service to an industrial district property shall be restricted to domestic
purposes only. Any utilization of City utility service for any other purpose(s) will require
additional review by staff and approval by Council. Additional restrictions may be added.
· Requests of City water for irrigation purposes will be reviewed by Staff and approved by
Council on a case-by-case basis. Water utilized for landscaping purposes must be utilized
as part of Company's Approved Monthly Water Volume.
· Utility taps are limited to one (1) water and/or one (1) sanitary sewer tap per industrial
district property.
· The City retains the right to inspect any and all work and materials related to furnishing City
water and/or sanitary sewer to Company's site. Company shall ensure access to City's
personnel for compliance with the terms of this policy and the approved agreement(s).
· All related plumbing and utility work shall be properly permitted and shall meet all State and
City code requirements. The City retains the right to inspect any and all work and materials
related to furnishing City water to the Company's site.
· City may require installation of fire hydrants on City water main(s) to improve fire-fighting
abilities in the area
· A Reduced Pressure Zone (RPZ) backflow preventer shall be installed by Company to
protect the City from any possible cross-connections.
· When required by City, a meter bypass shall be installed.
April 12, 2010
Page 4 of 4
VI. Extensions of City Utility Main(s) - in the event adequate utilities are not available to an
industrial district property, utility service(s) will not be recommended unless special provisions
are made and approved for the extension of water and/or sanitary sewer main(s) of proper size
and capacity to meet the present and projected demands of the area. All proposed utility
extensions shall require the Company to coordinate with the City's Engineering Division to
discuss the project and the required extension(s).
Upon review and approval by Council, the Company will be required to:
. Obtain City approval of plans for water and/or sanitary sewer extensions.
. Execute a Utility Extension Agreement with the City.
Note VI (a): Company is responsible tor all costs ot utility main extension(s). Limited reimbursement to
Company may be possible under the terms ot the Company's Utility Extension Agreement with the City.
Note VI (b): Company is responsible tor securing easement and/or right(s)-ot-way tor utility extension(s).
The City encourages extensions ot its utility mains to be placed within utility easement or easements located
upon private property adjacent to public right-ot-way.
VII. Additional ReQuirements of City Utility Service - The City Council may include additional
requirements and/or restrictions to Company's Water and/or Sanitary Sewer Service
Agreement(s) as it deems necessary. These requirements will be listed in Exhibit "A" of the
Company's Agreement(s). To promote specific objectives, goals or policies of the City, the City
Council may require:
· specific setbacks and/or lot coverage requirements
· enhanced landscaping along major roadways (Le. State Highway 225, State Highway 146,
Fairmont Parkway, Bay Area Boulevard, Underwood Rd., etc.)
· pedestrian sidewalks, fencing and/or screening
· other requirements on a case-by-case basis
VIII. Exceptions to this policy:
· Prior unexpired contracts and/or commitments made by the City
· City Council has the right to review, modify or enter into other agreements as it deems
necessary.
CITY OF LA PORTE PLANNING DEPARTMENT
604 West Fairmon! Parkway, La Porte, TX 77571
Phone: 281.471.5020, Fax: 281.470.5005
www.laportetx.gov
- City Use Only-
Rec'd by: Date:
Date of initial Review Meeting:
Date ofInternal Review Meeting:
Request Meets Policy Guidelines?:
Date of Notification to Company:
APPLICATION for WATER I SEWER SERVICE to COMPANIES
WITH AN INDUSTRIAL DISTRICT AGREEMENT (IDA)
Y or N
Note: Submittal of partial or incomplete information may delay processing of your application
2.) *SITE TENANT (if other than "Company"):
Company Name:
Phone #
Fax#:
Address:
1.) COMPANY NAME (per Applicant's IDA w/ City):
Name:
Phone #:
Fax#:
E-Mail:
Company Address:
Contact Name:
3.) PROPERTY DATA (If available, include any survey, plat. site plan, map or sketch of the subiect site with this form):
.Company's Industrial District Agreement No.: 2007 -IDA -
.Site Address:
Site HCAD ID(s): ___ - ___ - ___ - ____; ___ - ___ - ___ - ____;
- -
--- --- ---
- -
--- --- ----
Total Site Acreage (Per Exhibit "A" of Company's IDA):
Acres
4.) SITE FACILITY INFORMATION (If available, include any site plan or sketch of the subiect facility with this form):
o New Construction
Describe Project:
o New Tenant Requesting Additional Water and/or Sanitary Sewer Allocation
(Specify reason(s) for additional allocation request:
*Full-time Regular + Full-time Contract Employees who will occupy this facility:
"Current Amount of Water Allocated to Company by existing Water Service Agreement:
..Current Amount of Sewer Allocated to Company by existing Sewer Service Agreement:
Total Full-Time Employees
gallons per month
gallons per month
5.) WATER SERVICE IS REQUESTED to COMPANY'S SITE FOR THE FOllOWING PURPOSE(S):
o Domestic Uses (Le. Drinking, Flushing, Etc.)
o Other (describe):
6.) SANITARY SEWER SERVICE IS REQUESTED to COMPANY'S SITE FOR THE FOllOWING PURPOSE(S):
o Domestic Uses (Le. Wastewater from domestic uses)
o Other (describe):
· An Administrative Fee of $100 per employee is assessed for each agreement (Min Fee = $5.000; Max Fee = $15,000)
..If Applicable
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I
STATE OF TEXAS ~
COUNTY OF HARRIS ~
CITY OF LA PORTE
WATER SERVICE AGREEMENT
This AGREEMENT made and entered into by and between the CITY OF LA PORTE, TEXAS, a
municipal corporation of Harris County, Texas, hereinafter called "CITY", and
hereinafter called
"COMPANY".
1.
CaMP ANY is the owner of certain real property which is situated within the CITY'S
Battleground or Bayport Industrial District and not within the corporate limits of the CITY. CITY
and CaMP ANY are parties to a current Industrial District Agreement.
ll.
CaMP ANY is desirous of purchasing potable water from CITY for usual human domestic
uses. Previous planning considerations for the long-range potable water supply of CITY did not
include the needs of properties located outside the corporate limits of CITY. COMPANY
recognizes that CITY cannot at this time provide permanent and unlimited water service. CITY
agrees, however, to provide limited potable water service to CaMP ANY. For and in consideration
of furnishing domestic potable water by CITY, the parties hereto agree as follows, to-wit:
Ill.
CaMP ANY has made certain representations to CITY as to the number of employees that
will be located at the COMPANY'S property as of the date of this agreement, upon which
representations CITY has relied in entering into this Agreement.
Upon review of these representations, the City has determined the following:
Number of Full-Time Employees on site
+ Number of Full-Time Contract Employees on site
= Total On-Site Full-Time Employees
Potable Water Approved for Domestic Use
(Total on-site Employees times 50 gpd per employee)
Total Amount of Potable Water Approved for
CaMP ANY (Average Daily Volume, gpd)
2
IV.
CITY has determined that adequate resources are available to CITY to furnish potable water
to COMPANY based on the following terms and conditions, to-wit:
(A) COMPANY shall pay to CITY a one-time administrative fee of $
(B) The total amount of potable water approved to COMPANY is established at
(_) gallons per day. This number is based on an average of
fifty (50) gallons per employee per day as established by CITY.
(C) The average monthly volume of ( ) gallons is established by
multiplying the average daily volume by a factor of 30.5, which shall be used to facilitate
CITY'S utility service billings.
(D) Nothing contained in this Agreement shall obligate CITY to furnish more than the average
monthly volume of (_) gallons. Repeated consumption greater than
the established average monthly volume may result in termination of service.
(E) COMPANY shall pay the standard water tap/meter fee based on CITY'S current tap/meter
fee schedule. Upon final approval of COMPANY'S on-site and/or off-site utility
construction by CITY, COMPANY shall pay the CITY'S standard water deposit fee through
CITY'S Utility Billing Division prior to receiving water service from CITY.
(F) The cost of water up to the average monthly volume of (_) gallons
shall be billed at one hundred fifty percent (150%) ofthe CITY'S rate as established from time
to time for commercial customers inside its corporate limits.
(G) The cost of water for amounts used in excess of the established average monthly volume shall
be billed at two hundred percent (200%) of the CITY'S rate as established from time to time for
commercial customers inside its corporate limits.
(H) COMPANY shall submit a preliminary site plan showing the total acreage of the tract including
present and proposed improvements and a suitable location map of the site. COMPANY'S
development may be subject to certain additional requirements as described in Exhibit A.
These requirements shall be shown on the final site plan and approved by City.
(1) COMPANY'S site design and site development will, in certain cases, be subject to specific
"Rules and Regulations" as defined in Exhibit "C" of COMPANY'S Industrial District
Agreement with CITY.
(J) All plumbing installed by COMPANY connected to the domestic water line from CITY, shall
meet all applicable State of Texas and CITY plumbing code requirements.
(K) A reduced pressure zone backflow preventer shall be installed and maintained by COMPANY
to protect CITY from any possible cross-connections.
3
(L) COMPANY'S potable water supply system will be segregated from any existing and future fIre
protection system.
(M) The total cost for the engineering design and construction of any potable water main,
service line, back flow preventer, meter or other required appurtenances will be the
responsibility of COMPANY.
(N)COMPANY agrees to be bound by all applicable ordinances of CITY, relative to the furnishing
of potable water to customers within the corporate limits of CITY.
(0) There shall be no resale of water provided by CITY, nor any extension of service lines by
COMPANY to serve other parties.
(P) CITY'S personnel shall have the right of prior review and approval of COMPANY'S plans and
specifIcations for the plumbing system(s). CITY shall have the right to inspect any and all work
related to the furnishing of potable water to COMPANY.
(Q)CITY shall have the right to interrupt or temporarily suspend said water service to COMPANY
if an emergency arises and there is not an adequate water supply to meet the needs of the
citizens of La Porte.
(R) CITY reserves the right to enforce its drought contingency plan on all water customers at
CITY'S sole discretion.
(S) CITY does not guarantee its water system to provide specifIc water pressure and/or water
volume requirements of COMPANY.
V.
All expenses of the installation of the meter; service lines from the main to the meter; and
from the meter to COMPANY'S facilities, shall be solely at the expense of COMPANY.
COMPANY shall own and maintain all service lines and plumbing facilities beyond the meter.
CITY shall own the meter.
VI.
In the event a State or Harris County license, permit, or permission to install the water main
is revoked, or relocation or adjustment is required, CITY will not be responsible for the expense of
such relocation, adjustment, or replacement.
Vll.
CITY reserves the right of entry at all reasonable times for the purpose of inspection of
COMPANY'S water facilities, reading its water meter(s) and to observe compliance with the terms
and conditions of this Agreement. When exercising its right of entry, CITY shall notifY
COMPANY in advance. CITY also agrees to follow established health and safety policies in effect
at COMPANY'S facility.
4
VIll.
CITY reserves the right to terminate this agreement in the event of violation of the terms
and provisions hereof by COMPANY. CITY will provide COMPANY with written notice of any
defects and COMPANY shall have the opportunity to cure any defects. Failure to correct defects
within ten (10) calendar days from date of written notice by CITY may result in termination of
Agreement. CITY shall have the right to summarily correct, at COMPANY'S expense, any defect
or deficiency, when in its opinion the integrity of the public water supply is threatened.
IX.
Upon receipt of written notice of termination, COMPANY shall have up to six (6) months
to prepare for transition to another water supply. If the transition is not complete within said six-
month period, CITY shall have the right to terminate water service at its sole discretion.
x.
In the event of any conflict between the terms and provisions of this Water Service
Agreement and the terms and provisions of the Industrial District Agreement between the parties,
the terms and provisions of the Water Service Agreement shall control, to the extent of such
conflict. The term of this Agreement shall expire on plus
any renewals and extensions thereof. However, this Agreement shall automatically expire at such
time as there is no effective Industrial District Agreement between the parties or if CITY exercises
its right of termination.
ENTERED INTO effective the
day of
Signature of Company's Authorized Representative
Printed Name:
Company Representative's Title:
Company's Address:
5
ATTEST:
CITY OF LA PORTE
M ertha A. Gi II eit
City Seo"aery
Berry BEBSJ ef
Mayor
APPROVED:
By:
Clerk T. As<ins
Ci ty A ttornef
Ron Bottoms
City Ma1CldEf"
6
EXHIBIT "A"
to Water Service Agreement
The Water Service Agreement is hereby amended and supplemented to include the following
additional requirements agreed to by CITY and COMPANY. These requirements represent
contractual obligations of COMPANY to receive water service from CITY per the terms of the
Water Service Agreement and this addendum. COMPANY shall fulfill each of the following
additional requirements as set forth below.
Additional Reauirements of COMPANY:
1. Usage of CITY water by COMPANY for purposes other than human consumption
(domestic purposes) shall be limited to the following:
2. COMPANY shall pay to CITY $ as a pro-rata
reimbursement for construction of the water main serving its property by other parties.
CITY APPROVAL:
Initial for A
COMP ANY APPROVAL:
1
STATE OF TEXAS ~
COUNTY OF HARRIS ~
CITY OF LA PORTE
SANITARY SEWER SERVICE AGREEMENT
This AGREEMENT made and entered into by and between the CITY OF LA PORTE, TEXAS, a
municipal corporation of Harris County, Texas, hereinafter called "CITY'" and
hereinafter called
"COMPANY" .
1.
COMPANY is the COMPANY of certain real property, which is situated in CITY'S
Battleground or Bayport Industrial District and not within the corporate limits of the CITY. CITY
and COMPANY are parties to a current Industrial District Agreement.
II.
COMPANY is desirous of purchasing sanitary sewer service from CITY for usual human
domestic uses. COMPANY recognizes that CITY cannot at this time provide permanent and
unlimited sanitary sewer service. CITY agrees, however, to provide limited sanitary sewer service
to COMPANY. For and in consideration of furnishing sanitary sewer service by CITY, the parties
hereto agree as follows, to-wit:
III.
COMPANY has made certain representations to CITY as to the number of employees, as of
the date of this agreement, upon which representations CITY has relied in entering into this
Agreement.
Upon review of these representations, the City has determined the following.
Number of Employees on-site
Number of Contract Employees
Total on-site Employees
Sanitary Sewer Desired for Domestic Use
(Total on-site times 50 gpd per employee)
Total Amount of Sanitary Sewer Approved
For COMPANY (Average Daily Volume, gpd)
2
IV.
CITY has determined that adequate facilities are available to allow CITY to furnish sanitary
sewer to COMPANY based on the following terms and conditions, to-wit:
(A). COMPANY shall pay to CITY a one-time administrative connection charge of $
(B). COMPANY shall pay the standard sewer tap fee based on CITY'S current sewer tap fee
schedule. Upon fInal approval of COMPANY'S on-site and/or off-site utility construction by
CITY, COMPANY shall pay the CITY'S standard sewer deposit fee through CITY'S Utility
Billing Division prior to receiving sewer service from CITY.
(C). The average daily volume is established at U gallons per day. This number
is based on an average of fIfty (50) gallons per employee per day established by CITY.
(D). The average montWy volume is calculated to be eighty-fIve percent (85%) of the average daily
volume multiplied by a factor of 30.5, which shall be used to facilitate service billings.
(E). The cost of sanitary sewer service up to the average montWy volume of
U gallons shall be one hundred fIfty percent (150%) of the CITY'S rate as established from
time to time for commercial customers inside its corporate limits.
(F). The cost of sanitary sewer service for amounts in excess of the established average montWy
volume shall be two hundred percent (200%) of the CITY'S rate as established from time to
time for commercial customers inside its corporate limits.
(G). Nothing contained in this Agreement shall obligate CITY to furnish more than the average
montWy volume of ~. Repeated sanitary sewer delivery
greater than the established average montWy volume may result in termination of service.
(H). COMPANY agrees that during periods when the CITY'S collection system is surcharged, the
CITY may require the suspension of use of the sanitary sewer system for periods not to exceed
thirty-six hours.
(I). CITY shall have the right to interrupt or temporarily suspend said sanitary sewer service to
COMPANY if an emergency arises and there is not an adequate sewer collection or treatment
capacity to meet the needs of the citizens of La Porte.
(1). COMPANY shall fIle application with CITY for an Industrial Waste Permit and hereby agrees
to be bound by CITY'S Industrial Waste Ordinance (Chapter 74, Article II of the Code of
Ordinances) and any subsequent amendments or revisions.
(K). Owner shall install a sanitary sewer sampling well in accordance with CITY'S standards to
ensure no sewer waste, other than domestic waste enters its sanitary sewer system.
(L). The total cost for the engineering design and construction of any sanitary sewer main, service
line, lift station, meter or other required appurtenances will be the responsibility of
COMPANY.
3
(M). CaMP ANY agrees that it shall be bound by all applicable ordinances of CITY, relative to the
furnishing of sanitary sewer service to customers within the corporate limits of CITY.
(N). COMPANY shall install a sanitary sewer sampling well in accordance with CITY's standards.
(0). All plumbing installed by COMPANY connected to the sanitary sewer line from CITY, shall
meet all applicable State of Texas and CITY plumbing code requirements. CITY'S
engineering and code enforcement personnel shall have the right of prior review and approval
of COMPANY'S plans and specifications for the plumbing system(s). CITY plumbing
inspectors shall have the right to inspect any and all work related to the furnishing of sanitary
sewer service to COMPANY.
(P). There shall be no resale of the sanitary sewer service provided by CITY, nor any extension of
service lines by COMPANY to serve other parties.
(Q). COMPANY shall submit a certified site plan showing the total acreage of the tract including
present and proposed improvements and a suitable location map of the site. COMPANY'S
development project may be subject to certain additional requirements as described in Exhibit
"A", attached. These requirements shall be shown on the site plan and approved by City.
V.
All expenses of the installation of service lines from the main to the COMPANY'S facilities
shall be solely at the expense of COMPANY. COMPANY shall own and maintain all service lines
and plumbing facilities.
VI.
In the event a State or Harris County license, permit, or permission to install the sanitary
sewer main is revoked, or relocation or adjustment is required, CITY will not be responsible for the
expense of such relocation, adjustment, or replacement.
VII.
CITY reserves the right of entry at all reasonable times for the purpose of inspection of
COMPANY'S sanitary sewer facilities, and to observe compliance with the terms and conditions of
this Agreement. When exercising its right of entry, CITY shall notify COMPANY in advance.
CITY also agrees to follow established health and safety policies in effect at COMPANY'S facility.
Vill.
CITY reserves the right to terminate this agreement in the event of violation of the terms
and provisions hereof by COMPANY. CITY will provide COMPANY with written notice of any
defects and COMPANY shall have the opportunity to cure any defects. Failure to correct defects
within ten (to) days may result in termination of Agreement. CITY shall have the right to
summarily correct, at COMPANY'S expense, any defect or deficiency, when in its opinion the
integrity of the public sanitary sewer system is threatened.
4
IX.
Upon receipt of written notice of termination, COMPANY shall have up to six (6) months
to prepare for transition to another sanitary sewer service provider. If the transition is not complete
within said six-month period, CITY shall have the right to terminate sanitary sewer service at its
sole discretion.
x.
In the event of any conflict between the terms and provisions of this Sanitary Sewer Service
Agreement and the terms and provisions of the Industrial District Agreement between the parties,
the terms and provisions of the Sanitary Sewer Service Agreement shall control, to the extent of
such conflict. The term of this Agreement shall terminate on , _'
However, this Agreement shall automatically expire at such time as there is no effective Industrial
District Agreement between the parties or if CITY exercises its right of termination.
ENTERED INTO effective the
day of
Signature of Company's Authorized Representative
Printed Name:
Company Representative's Title:
Company's Address:
5
A TTEsr:
CITY OF LA PORTE
M ertha A. Gi II at
City Socraery
Berry BeE ey
Mayor
A FflROV ED :
By:
Knox W. Askins
City Attorney
Ron Bottoms
City ManaJ6"
6
EXHIBIT "A"
to Water Service Agreement
The Sanitary Service Agreement is hereby amended and supplemented to include the following
additional requirements agreed to by CITY and COMPANY. These requirements represent
contractual obligations of COMPANY to receive sewer service from CITY per the terms of the
Sanitary Service Agreement and this addendum. COMPANY shall fulfill each of the following
additional requirements as set forth below.
Additional ReQuirements of COMPANY:
1. Usage of CITY sewer by COMPANY for purposes other than human consumption
(domestic purposes) shall be limited to the following:
2. COMPANY shall pay to CITY $ as a pro-rata
reimbursement for construction of the sanitary sewer main serving its property by other
parties.
Initial for ADDroval:
CITY APPROVAL:
COMPANY APPROVAL:
CITY OF LA PORTE
APPROVAL FOR INDUSTRIAL DISTRICT UTILITY ACCOUNT
(For City Staff Use Only)
Approved for U. B.:
Date:
COMPANY INFORMATION:
Company Name (per agreements):
Site Address:
Site HCAD ID:
IDA No.: 2007 -IDA-
H.T.E. Location ID #:
WATER SERVICE:
Ordinance Approving Agreement(s):
Administrative Fee: $
Approved Water Allotment (gallons per month):
Approved Water Use(s):
Special Conditions:
Misc. Notes:
Date of Approval:
Receipt #:
Date of Payment:
CITY APPROVALS FOR WATER SERVICE:
On-Site Plumbing Inspected/Approved by:
Off-Site Utility Extension Inspected/Approved by:
Backflow Prevention Device Inspected/Approved by:
Additional Requirements ofWSA (Re: Exhibit "N):
1.
2.
3.
Date:
Date:
Date:
Date:
Date:
Date:
Approved by:
Approved by:
Approved by:
SANITARY SEWER SERVICE:
Ordinance Approving Agreement:
Administrative Fee: $
Approved Sewer Allotment (gallons per month):
Approved Sewer Use(s):
Size of Tap Required:
Special Conditions:
Misc. Notes:
Date of Approval:
Receipt #:
Date of Payment:
CITY APPROVALS FOR SAN IT ARY SEWER SERVICE:
Date:
Date:
Date:
Date:
On-Site Plumbing Inspected/Approved by:
Off-Site Utility Extension Inspected/Approved by:
Sample Well Inspected/Approved by:
Industrial Waste Permit Approved by:
Additional Requirements of SSSA (Re: Exhibit "An):
1.
2.
3.
Approved by:
Approved by:
Approved by:
Date:
Date:
Date:
9
REQUEST FOR CITY COUNCIL AGENDA ITEM
Appropriation
Agenda Date Requested: April 12. 2010
Source of Funds: N/A
Requested By: Tim Tietiens
Account Number: N/A
Department: Planninl!
Amount Budgeted: N/A
Report: _Resolution: _Ordinance:...L
Amount Requested: N/A
Exhibits:
. Ord. for Water & Sewer Service Agreements
. Water Service Agreement
· Sanitary Sewer Service Agreement
. Area Map
Budgeted Item: _YES ..x.....NO
SUMMARY & RECOMMENDATION
Seawater, Inc. has approached the City for water and sanitary sewer service to its newly-
constructed facility located at 4450 New West Drive in Bayport North Industrial Park, located in
the City's Bayport Industrial District (see Area Map).
Council has approved a policy to provide water and sanitary sewer service to companies located
outside the city limits and within the City's industrial districts (ETJ). These companies are
required by the policy to execute and maintain a current Industrial District Agreement (IDA)
with the City (Re: Seawater, Inc. 2007-IDA-119 approved 1-25-10). The company desires to
obtain water and sanitary sewer service under the terms of this policy.
Based on the company's stated demand for domestic uses, the average daily demand for potable
water is 450 gallons per day. Under the terms of the policy, the applicant will pay one and one-
half (1-1/2) times the City's current utility rate for service. Additionally, Seawater, Inc. is
subject to a one-time administrative fee of $5,000 associated with each agreement for which
payment has been received.
The terms of the company's Water Service Agreement and Sanitary Sewer Service Agreement
will expire on December 31, 2019, plus any renewals and extensions thereof. However, the
agreements shall automatically expire at such time as there is no effective Industrial District
Agreement between the parties or, if the City exercises its right of termination.
ppr ve an ordinance authorizing the City Manager to enter into a Water Service Agreement
and Sanitary Sewer Service Agreement with Seawater, Inc.
Council A enda
Ron Bottoms, City Manager
~ /8 /'0
Date
ORDINANCE NO. 20'0 - 3:2 ~~_
AN ORDINANCE APPROVING AND AUTHORIZING A WATER SERVICE AGREEMENT
AND A SANITARY SEWER SERVICE AGREEMENT BETWEEN THE CITY OF LA
PORTE AND SEAWATER, INC.; MAKING VARIOUS FINDINGS AND PROVISIONS
RELATING TO THE SUBJECT; FINDING COMPLIANCE WITH THE OPEN
MEETINGS LAW; AND PROVIDING AN EFFECTIVE DATE HEREOF.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF LA PORTE:
Section 1.
The
City
Council
hereby
approves
and
authorizes the contract,
agreement,
or other undertaking
described in the title of this ordinance, in substantially the
form as shown in the document which is attached hereto and
incorporated herein by the reference.
The City Secretary is
hereby authorized to attest to all such signatures and to affix
the seal of the City to all such documents. The City Manager is
hereby authorized to execute said contact, agreement, or other
undertaking described in the title of this ordinance.
Section 2.
The
City
Council
officially
finds,
determines, recites, and declares that a sufficient written
notice of the date, hour, place and subject of this meeting of
the City Council was posted at a place convenient to the public
at the City Hall of the City for the time required by law
preceding this meeting, as required by the Open Meetings Law,
Chapter 551, Texas Government Code; and that this meeting has
been open to the public as required by law at all times during
which this ordinance and the subject matter thereof has been
discussed, considered and formally acted upon. The City Council
further ratifies, approves and confirms such written notice and
the contents and posting thereof.
Section 3.
This ordinance shall be effective from and
after its passage and approval, and it is so ordered.
ORDINANCE NO. 2009- 3J.3tf
PASSED AND APPROVED, this
ATTEST:
.at
A~tJ~
Knox W. Askins
City Attorney
PAGE 2
l).rJ.. day of ~
, 2009.
CITY OF LA PORTE
By:
STATE OF TEXAS S
COUNTY OF HARRIS S
CITY OF LA PORTE
WATERSER~CEAGREEMENT
This AGREEMENT made and entered into by and between the CITY OF LA PORTE, TEXAS, a
municipal corporation of Harris County, Texas, hereinafter called "CITY", and
SEAWATER. INe. hereinafter called "COMPANY".
I.
COMPANY is the owner of certain real property which is situated within the CITY'S
Battleground or Bayport Industrial District and not within the corporate limits ofthe CITY. CITY
and COMPANY are parties to a current Industrial District Agreement.
II.
COMPANY is desirous of purchasing potable water from CITY for usual human domestic
uses. Previous planning considerations for the long-range potable water supply of CITY did not
include the needs of properties located outside the corporate limits of CITY. COMPANY
recognizes that CITY cannot at this time provide permanent and unlimited water service. CITY
agrees, however, to provide limited potable water service to COMPANY. For and in consideration
offumishing domestic potable water by CITY, the parties hereto agree as follows, to-wit:
III.
COMPANY has made certain representations to CITY as to the number of employees that
will be located at the COMPANY'S property as of the date of this agreement, upon which
representations CITY has relied in entering into this Agreement.
Upon review of these representations, the City has determined the following:
Number of Full-Time Employees on site 6
+ Number of Full-Time Contract Employees on site 3
= Total On-Site Full-Time Employees 9
Potable Water Approved for Domestic Use
(Total on-site Employees times 50 gpd per employee) 450
Total Amount of Potable Water Approved for
COMPANY (Average Daily Volume, gpd) 450
IV.
2
CITY has determined that adequate resources are available to CITY to furnish potable water
to COMPANY based on the following terms and conditions, to-wit:
(A) COMPANY shall pay to CITY a one-time administrative fee of$5.000.
(B) The total amount of potable water approved to COMPANY is established at Four Hundred
Fifty (450) eallons per day. This number is based on an average of fifty (50) gallons per
employee per day as established by CITY.
(C) The average monthly volume of Four Hundred Fifty (450) eallons per day is established by
multiplying the average daily volume by a factor of 30.5, which shall be used to facilitate
CITY'S utility service billings.
(D) Nothing contained in this Agreement shall obligate CITY to furnish more than the average
monthly volume of Thirteen Thousand Seven Hundred Twenty Five 03.725) gallons.
Repeated consumption greater than the established average monthly volume may result in
termination of service.
(E) COMPANY shall pay the standard water tap/meter fee based on CITY'S current tap/meter
fee schedule. Upon final approval of COMPANY'S on-site and/or off-site utility
construction by CITY, COMPANY shall pay the CITY'S standard water deposit fee through
CITY'S Utility Billing Division prior to receiving water service from CITY.
(F) The cost of water up to the average monthly volume of Thirteen Thousand Seven Hundred
Twenty Five 03.725) gallons shall be billed at one hundred fifty percent (150%) of the CITY'S
rate as established from time to time for commercial customers inside its corporate limits.
(G) The cost of water for amounts used in excess of the established average monthly volume shall be
billed at two hundred percent (200%) of the CITY'S rate as established from time to time for
commercial customers inside its corporate limits.
(H) COMPANY shall submit a preliminary site plan showing the total acreage of the tract including
present and proposed improvements and a suitable location map of the site. COMPANY'S
development may be subject to certain additional requirements as described in Exhibit A. These
requirements shall be shown on the final site plan and approved by City.
(I) COMPANY'S site design and site development will, in certain cases, be subject to specific
"Rules and Regulations" as defined in Exhibit "c" of COMPANY'S Industrial District
Agreement with CITY.
(1) All plumbing installed by COMPANY connected to the domestic water line from CITY, shall
meet all applicable State of Texas and CITY plumbing code requirements.
(K) A reduced pressure zone backflow preventer shall be installed and maintained by COMPANY to
protect CITY from any possible cross-connections.
(L) COMPANY'S potable water supply system will be segregated from any existing and future fire
protection system.
3
(M) The total cost for the engineering design and construction of any potable water main, service
line, back flow preventer, meter or other required appurtenances will be the responsibility of
COMPANY.
(N)COMPANY agrees to be bound by all applicable ordinances of CITY, relative to the furnishing
of potable water to customers within the corporate limits of CITY.
(0) There shall be no resale of water provided by CITY, nor any extension of service lines by
COMPANY to serve other parties.
(P) CITY'S personnel shall have the right of prior review and approval of COMPANY'S plans and
specifications for the plumbing system(s). CITY shall have the right to inspect any and all work
related to the furnishing of potable water to COMPANY.
(Q) CITY shall have the right to interrupt or temporarily suspend said water service to COMPANY
if an emergency arises and there is not an adequate water supply to meet the needs of the citizens
of La Porte.
(R) CITY reserves the right to enforce its drought contingency plan on all water customers at
CITY'S sole discretion.
(S) CITY does not guarantee its water system to provide specific water pressure and/or water
volume requirements of COMPANY.
V.
All expenses of the installation of the meter; service lines from the main to the meter; and
from the meter to COMPANY'S facilities, shall be solely at the expense of COMPANY.
COMPANY shall own and maintain all service lines and plumbing facilities beyond the meter.
CITY shall own the meter.
VI.
In the event a State or Harris County license, permit, or permission to install the water main
is revoked, or relocation or adjustment is required, CITY will not be responsible for the expense of
such relocation, adjustment, or replacement.
VII.
CITY reserves the right of entry at all reasonable times for the purpose of inspection of
COMPANY'S water facilities, reading its water meter(s) and to observe compliance with the terms
and conditions of this Agreement. When exercising its right of entry, CITY shall notifY COMPANY
in advance. CITY also agrees to follow established health and safety policies in effect at
COMPANY'S facility.
VIII.
4
CITY reserves the right to terminate this agreement in the event of violation of the terms and
provisions hereof by COMPANY. CITY will provide COMPANY with written notice of any
defects and COMPANY shall have the opportunity to cure any defects. Failure to correct defects
within ten (l0) calendar days from date of written notice by CITY may result in termination of
Agreement. CITY shall have the right to summarily correct, at COMPANY'S expense, any defect
or deficiency, when in its opinion the integrity of the public water supply is threatened.
IX.
Upon receipt of written notice oftermination, COMPANY shall have up to six (6) months to
prepare for transition to another water supply. If the transition is not complete within said six-month
period, CITY shall have the right to terminate water service at its sole discretion.
x.
In the event of any conflict between the terms and provIsions of this Water Service
Agreement and the terms and provisions of the Industrial District Agreement between the parties,
the terms and provisions of the Water Service Agreement shall control, to the extent of such conflict.
The term of this Agreement shall expire on December 31. 2019, plus any renewals and extensions
thereof. However, this Agreement shall automatically expire at such time as there is no effective
Industrial District Agreement between the parties or if CITY exercises its right oftermination.
ENTERED INTO effective the
/21-
day of
, clDtD
any's Authorized Representative
Printed Name: +<0 N ~ \..,~ \i:$ ~ ~ \..l ~ \.i l'Y',. ~
Company Representative's Title: ~(L\~5,.(;J ~.~\::-
Company's Address:
P,Q J6o~ d..~~SS()
\-\ O\.A S\'J'N ~ "} () 1 ' ~ '&' .s t:)
A TIEST:
4Y!tlUIt~;J;(dtI
Martha A. Gillett
City Secretary
z;:;:v-~
By:
Knox W. Askins
City Attorney
5
CITY OF LA PORTE
~f)
Barry BeaSley/
Mayor
Ron Bottoms
City Manager
6
EXHIBIT "A"
to Water Service Agreement
The Water Service Agreement is hereby amended and supplemented to include the following
additional requirements agreed to by CITY and COMPANY. These requirements represent
contractual obligations of COMPANY to receive water service from CITY per the terms of the
Water Service Agreement and this addendum. COMPANY shall fulfill each of the following
additional requirements as set forth below.
Additional ReQ uirements of COMPANY:
1. Usage of CITY water by COMPANY for purposes other than human consumption
(domestic purposes) shall be limited to the following: Not applicable
2. COMPANY shall pay to CITY $ 0.00 as a pro-rata reimbursement for construction of the
water main serving its property by other parties.
Initial for Approval:
CITY APPRO V AL:
COMPANY APPROVAL:0-
STATE OF TEXAS S
COUNTY OF HARRIS S
CITY OF LA PORTE
SANITARY SEWER SERVICE AGREEMENT
This AGREEMENT made and entered into by and between the CITY OF LA PORTE, TEXAS, a
municipal corporation of Harris County, Texas, hereinafter called "CITY", and SEAWATER. INe.
hereinafter called "COMPANY".
I.
COMPANY is the COMPANY of certain real property, which is situated in CITY'S
Battleground or Bayport Industrial District and not within the corporate limits of the CITY. CITY
and COMPANY are parties to a current Industrial District Agreement.
II.
COMPANY is desirous of purchasing sanitary sewer service from CITY for usual human
domestic uses. COMPANY recognizes that CITY cannot at this time provide permanent and
unlimited sanitary sewer service. CITY agrees, however, to provide limited sanitary sewer service
to COMPANY. For and in consideration of furnishing sanitary sewer service by CITY, the parties
hereto agree as follows, to-wit:
III.
COMPANY has made certain representations to CITY as to the number of employees, as of
the date of this agreement, upon which representations CITY has relied in entering into this
Agreement.
Upon review of these representations, the City has determined the following.
Number of Employees on-site 6
Number of Contract Employees 3
Total on-site Employees 9
Sanitary Sewer Required for Domestic Use
(Total on-site times 50 gpd per employee) 450
Total Amount of Sanitary Sewer Volume Approved
For COMPANY (Average Daily Volume, gpd) 450
2
IV.
CITY has determined that adequate facilities are available to allow CITY to furnish sanitary
sewer to COMPANY based on the following terms and conditions, to-wit:
(A). COMPANY shall pay to CITY a one-time administrative connection charge of $5.000.
(B). COMPANY shall pay the standard sewer tap fee based on CITY'S current sewer tap fee
schedule. Upon final approval of COMPANY'S on-site and/or off-site utility construction by
CITY, COMPANY shall pay the CITY'S standard sewer deposit fee through CITY'S Utility
Billing Division prior to receiving sewer service from CITY.
(C). The average daily volume is established at Four Hundred Fifty (450) gallons per day. This
number is based on an average of fifty (50) gallons per employee per day established by CITY.
(D). The average monthly volume is calculated to be eighty-five percent (85%) of the average daily
volume multiplied by a factor of30.5, which shall be used to facilitate service billings.
(E). The cost of sanitary sewer service up to the average monthly volume of Eleven Thousand Six
Hundred Sixty Six (11.666) gallons shall be one hundred fifty percent (150%) of the CITY'S
rate as established from time to time for commercial customers inside its corporate limits.
(F). The cost of sanitary sewer service for amounts in excess of the established average monthly
volume shall be two hundred percent (200%) of the CITY'S rate as established from time to
time for commercial customers inside its corporate limits.
(G). Nothing contained in this Agreement shall obligate CITY to furnish more than the average
monthly volume of Eleven Thousand Six Hundred Sixty Six (11.666). Repeated sanitary
sewer delivery greater than the established average monthly volume may result in termination
of service.
(H). COMPANY agrees that during periods when the CITY'S collection system is surcharged, the
CITY may require the suspension of use of the sanitary sewer system for periods not to exceed
thirty-six hours.
(I). CITY shall have the right to interrupt or temporarily suspend said sanitary sewer service to
COMPANY if an emergency arises and there is not an adequate sewer collection or treatment
capacity to meet the needs of the citizens of La Porte.
(J). COMPANY shall file application with CITY for an Industrial Waste Permit and hereby agrees
to be bound by CITY'S Industrial Waste Ordinance (Chapter 74, Article II of the Code of
Ordinances) and any subsequent amendments or revisions.
(K). Owner shall install a sanitary sewer sampling well in accordance with CITY'S standards to
ensure no sewer waste, other than domestic waste enters its sanitary sewer system.
(L). The total cost for the engineering design and construction of any sanitary sewer main, service
line, lift station, meter or other required appurtenances will be the responsibility of
3
COMPANY.
(M). COMPANY agrees that it shall be bound by all applicable ordinances of CITY, relative to the
furnishing of sanitary sewer service to customers within the corporate limits of CITY.
(N). COMPANY shall install a sanitary sewer sampling well in accordance with CITY's standards.
(0). All plumbing installed by COMPANY connected to the sanitary sewer line from CITY, shall
meet all applicable State of Texas and CITY plumbing code requirements. CITY'S
engineering and code enforcement personnel shall have the right of prior review and approval
of COMPANY'S plans and specifications for the plumbing system(s). CITY plumbing
inspectors shall have the right to inspect any and all work related to the furnishing of sanitary
sewer service to COMPANY.
(P). There shall be no resale of the sanitary sewer service provided by CITY, nor any extension of
service lines by COMPANY to serve other parties.
(Q). COMPANY shall submit a certified site plan showing the total acreage of the tract including
present and proposed improvements and a suitable location map of the site. COMPANY'S
development project may be subject to certain additional requirements as described in Exhibit
"A", attached. These requirements shall be shown on the site plan and approved by City.
V.
All expenses of the installation of service lines from the main to the COMPANY'S facilities
shall be solely at the expense of COMPANY. COMPANY shall own and maintain all service lines
and plumbing facilities.
VI.
In the event a State or Harris County license, permit, or permission to install the sanitary
sewer main is revoked, or relocation or adjustment is required, CITY will not be responsible for the
expense of such relocation, adjustment, or replacement.
VII.
CITY reserves the right of entry at all reasonable times for the purpose of inspection of
COMPANY'S sanitary sewer facilities, and to observe compliance with the terms and conditions of
this Agreement. When exercising its right of entry, CITY shall notifY COMPANY in advance.
CITY also agrees to follow established health and safety policies in effect at COMPANY'S facility.
VIII.
CITY reserves the right to terminate this agreement in the event of violation ofthe terms and
provisions hereof by COMPANY. CITY will provide COMPANY with written notice of any
defects and COMPANY shall have the opportunity to cure any defects. Failure to correct defects
within ten (10) days may result in termination of Agreement. CITY shall have the right to
summarily correct, at COMPANY'S expense, any defect or deficiency, when in its opinion the
4
integrity of the public sanitary sewer system is threatened.
IX.
Upon receipt of written notice of termination, COMPANY shall have up to six (6) months to
prepare for transition to another sanitary sewer service provider. If the transition is not complete
within said six-month period, CITY shall have the right to terminate sanitary sewer service at its sole
discretion.
X.
In the event of any conflict between the terms and provisions of this Sanitary Sewer Service
Agreement and the terms and provisions of the Industrial District Agreement between the parties,
the terms and provisions of the Sanitary Sewer Service Agreement shall control, to the extent of such
conflict. The term of this Agreement shall terminate on December 31, 2019. However, this
Agreement shall automatically expire at such time as there is no effective Industrial District
Agreement between the parties or if CITY exercises its right of termination.
,
ENTERED INTO effective the ~ day of ~
, d-cJID
s Authorized Representative
Printed Name: ~N..~'-~ ~ e;~",,-~~f'r\~\-\
Company Representative's Title: PQ ~~, O~M.',
Company's Address:
P .0.. <SO)l d b~ 'S'$C)
1~c)'u.'S\"hl~ IIJOI- ~S'$o
A TrEST:
~~Cl.#d/1
Martha A. Gillett
City Secretary
APPROVED: 4. ·
(Zrl ~
By:
Knox W. Askins
City Attorney
5
CITY OF LA PORTE
--:;;J
~"
~-- W
Barry
Mayor
(
Ron Bottoms
City Manager
---
6
EXHIBIT "A"
to ~Service Agreement
$fNnw.ey~~
The Sanitary Service Agreement is hereby amended and supplemented to include the following
additional requirements agreed to by CITY and COMPANY. These requirements represent
contractual obligations of COMPANY to receive sewer service from CITY per the terms of the
Sanitary Service Agreement and this addendum. COMPANY shall fulfill each of the following
additional requirements as set forth below.
Additional Requirements of COMPANY:
1. Usage of CITY sewer by COMPANY for purposes other than human consumption
(domestic purposes) shall be limited to the following: Not applicable
2. COMPANY shall pay to CITY $0.00 as a pro-rata reimbursement for construction of the
sanitary sewer main serving its property by other parties.
Initial for APproval:! <_
" ,'X---
CITY APPROVAL: \ \
COMPANY APPROVAL: @
REQUEST FOR CITY COUNCIL AGENDA ITEM
Agenda Date Requested: April 12. 2010
Appropriation
Requested By:
Stephen L. Barr
Source of Funds:
Department:
Parks & Recreation
Acc't Number:
Report: -K-Resolution: _Ordinance: _
Amount Budgeted:
Exhibits:
Amount Requested:
Exhibits:
Budgeted Item:
YES
NO
Exhibits:
SUMMARY & RECOMMENDATION
See attached Report on Brookglen Park Spray Ground.
Ron Bottoms, City Manager
3 /e /R>
Date
Brookglen Pool Uplift - Report & Recommendation
April 12, 2010
Overview
On January 25, 2010 City Council received a report on the Brookglen Park Pool uplift, and gave staff
direction to:
· Move forward with the pool demolition.
· Continue with the installation of the new roof on the restroom facility.
· Provide the Council with information regarding a spray ground installation at the park, both
with and without a re-circulation system to capture the water used.
· Provide the Council with some renderings showing the how the proposed spray ground will look
as well site views as to where it would be located at the park.
· Utilize unencumbered funding from budgeted CIP trail funds to accomplish the installation of
the new spray ground amenity.
The pool demolition has been completed, the site has been compacted and backfilled. We are now
ready to install the new roof over the restrooms very shortly.
We have received some renderings and a proposed site plan for the new spray ground, as shown in the
supporting documents. The new spray ground will tie in with the playground and will provide a large
recreation area for the children in the community, while providing a shaded structure for parents to
supervise their children or get some sun, as they see fit.
Circulation Issue
The issue of circulation of water for the spray ground was brought up at the previous workshop. In
researching the situation and the associated costs both with and without, there were some interesting
information that was obtained.
.
First, small children are much more likely to drink water in a spray ground than in a pool. Re-
circulated water, no matter if treated or not, always carries the chance of contamination. Fresh
potable water from the City's water system does not carry the danger of contamination because
it is like "drinking from the tap."
Second, using drinking water for a spray ground is very similar to lawn irrigation. In both
instances, the water is poured out on the ground. Yet irrigation water is not considered wasted
water because it is used for a specific purpose. The same is true for a spray ground; water use
for the purpose of recreation is as legitimate as water use for lawn or sports field irrigation.
Third, the cost of installation of a re-circulation system is more than Yz again as expensive as the
uncirculated system. There is also the added expense of chemical treatment to sanitize the
water on an annual basis. And, due to evaporation and leakage, the recirculation system will
require water to be added as well.
.
.
. Fourth, the long-term drainage plan for the Brookglen community tentatively includes a wet-
bottom pond on this site. Water from an uncirculated spray ground could be used to feed the
wet-bottom detention facility, adding a beautiful amenity much like the one at Wood Falls Park
(see attached photos).
Estimated Water Costs for Uncirculated SDrav Ground
The spray ground usage estimate from the manufacturer, for the proposed system is as follows:
. +/- 50 gallons per minute with an average use of 4 hours per day (the system shuts itself off
when there are no people present), is 12,000 gallons per day.
. 12,000 gallons for 30 days is +/-360,000 gallons per month
. Per the City of La Porte Utility Billing, 360,000 gallons per month (with no Sewer charge) would
cost the department +/- $1,373 per month
. The system would operate for approximately 6 months, for an average cost of $8,238 per year,
which compares to +/- $37,000 for a conventional pool, for a (much shorter) swim season.
Estimated Water Costs for Re-circulated SDrav Ground
The spray ground cost estimate for the same system, using re-circulated water is as follows:
. Water costs, for initial start-up, top-off, and backwashing is approximately $60 per month.
. Water treatment chemicals, electricity for pumps is approximately $400 per month (pumps
must be turned on initially and turned off at the end of each day, which limits the amount of
usage by the community, to standard operating hours).
. Re-circulated water system would be maintained on a year-round basis. Although pumps would
not have to run all the time, there still would be a monthly expense for labor, electricity and
chemicals.
. Re-circulated water must be tested hourly to assure that the proper levels of chlorination are
obtained, and maintained daily. This would necessitate staffing 7 days per week at the site. This
requirement alone would require an additional person or overtime for at least 2 days per week
during the season. Estimated cost for testing, +/- $1,000 per month.
· Total estimated cost would approach that of the uncirculated cost of operation at around
$8,000 annually.
ODtions
So, there are several options to review, as follows:
1. Install the spray ground and new playground without circulation (see attached layout). Cost is
expected to be approximately $230,000.
2. Install just the spray ground without the playground and without circulation (see attached
layout). Cost is expected to be approximately $200,000.
3. Install the spray ground and new playground with circulation (see attached layout). Cost is
expected to be approximately $350,000.
4. Install just the spray ground with circulation but without the playground (see attached layout).
Cost is expected to be approximately $320,000.
Staff Recommendation
Staff is recommending the installation of the spray ground and new playground without circulation, per
the discussion above, and for these reasons also.
. The spray ground will offer a new recreation experience for the neighborhood. The variety of
toys available will appeal to a wide range of children, from toddlers to early teens. There will still
be ample shade for parents to socialize and observe the activities.
. A spray ground does not require water recirculation. It uses water directly from the City's water
supply, so there are no expensive pumps, chemicals, and best of all, it does not require staffing.
The water is activated by an electronic switch and automatically shuts off during periods of
inactivity, so there is no wasted water.
. Staff estimates an operating savings of approximately $30,000 each year, over the operation of
the conventional pool at Brookglen ($8,200 vs. $38,642 annually)
. Another huge advantage is, since the spray ground does not require lifeguards, there would be
no charge for its use. Anyone in the neighborhood could use it free during the periods of
operation. Plus, because we would not be bound by lifeguard schedules, the spray ground could
open as early as April 1st and close around October 1st, thereby essentially doubling the water
play season at 1/51h the cost of a conventional pool.
· The attendance at this park could be expected to increase dramatically. When the spray pad and
water toys were introduced at San Jacinto Pool, the swim season pool attendance rose from
approximately 1,500 patrons, to over 10,000 this past swim season. This does not take into
account the extended season. These facilities are very popular with both children and their
parents.
If there are questions or further information is needed, please do not hesitate to contact me.
Stephen Barr, Director
Parks & Recreation Department
Attachments
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14
CITY COUNCIL DRAINAGE REPORT
April 8, 2010
Klotz Design and Contract Construction
· Design of Sheet Flow Relief Structure Improvements to Creekmont. Fairmont Park West.
Brookglen and Fairmont Park East. Bidding documents have been reviewed -awaiting
final revisions on 2 structures. First phase of flume construction scheduled bid in May
for 10 flumes (5 along B112 main stem only, and 5 others in Fairmont West, Fairmont
East, Creekmont and Glen Meadows). Easement documents have been submitted to
remaining landowners for execution.
· Drainage Study of Brookglen. Consultant is continuing design work for three (3)
proposed detention facilities. One facility will be placed on hold, after design, to await
completion of current and proposed buyouts. Two facilities will be bid upon completion
of design.
At the request of the Drainage and Flooding Committee, the City Engineer is examining
the issue of applying for a new rating under FEMA's Community Rating System (CRS)
program. With the buyout of repetitive losses, especially in Brookglen, and upcoming
drainage improvements, it is possible that the city's CRS rating could be lowered,
resulting in lower flood insurance premiums for residents.
· Fairmont Park East - Fleetwood Drive. The Preliminary Engineering Report (PER) was
approved by the Drainage and Flooding Committee on March 1, 2010. City Council
approved the proposal by Klotz and Associates to provide final design and construction
phase services on March 8, 2010. Bid-ready documents are to be delivered within 120
days.
In-House Design and Construction of City-initiated Proiects.
· South La Porte Bav Outfalls. The plans and specifications for the Oakhurst Outfall have
been furnished to Harris County for implementation. The County has not furnished a
timeline for bidding. Staff is meeting with the Area Engineer for TxDOT to discuss
regarding of ditches on South Broadway to this new outfall.
An additional outfall has been identified on Jefferson from Bayshore Drive to the bay.
Staff has completed design and obtained quotes. Construction should begin this month.
· F-2l6 Regional Detention Proiect. Clearing of F-2l6 regional detention is underway.
First phase of excavation is approximately 60% complete. Corps of Engineers permit is
being drafted - receipt is expected soon.
· City-Wide De-silting of Major Channels - Staff has identified several major channels not
currently maintained by flood Control for possible de-silting. These include B 106-05,
Arizona from E Street to Park, South 3rd Street from Fairmont Parkway to the WWTP
and several side channels off South 8th. The City Engineer will have surveyed, design
improvements and bid.
· Coordination with Harris County Flood Control District. - HCFCD has awarded the
F101 de-silting contract from the Exxon pipeline corridor to Lomax School Road. This
Project should be mobilizing very soon.
In- House Drainage Maintenance Activities.
· Bav Colony. Maintenance cleaning of Bay Colony Drive and all side streets is 90%
complete. Once completed, an additional underground system will be constructed on the
north side of Bay Colony drive to divert water from adjacent side streets to the new
outfall, up to the east side of Dolphin. Material for this project has been ordered and
received.
· North and South Shady Lane. City has forwarded a proposed easement of the proposed
sheet flow structure to the resident at the east end of N. Shady Lane. Once the signed
easement is received, construction will begin. Pipeline operators have surveyed line and
elevation of their facilities crossing the outfalls on Broadway and Sunrise into the
Bayport Channel. Staff has determined that the outfalls cannot be reestablished below
the existing pipelines. Design is underway to provide sheet flow in lieu of underground
drainage.
· In-Fill Drainage. Cleaned ditches in various areas of the city. Currently concentrating in
the area bounded by South 8t\ Main, Broadway and Fairmont Parkway. Once this area is
completed, the next area scheduled for maintenance cleaning is the Spenwick area.
Staff has worked with the residents at the end of Fondren (Bayside Terrace) and has
discovered that the original outfall to the bay has been blocked by concrete rubble
replaced on the shoreline after Ike. Public Works is scheduled to correct this problem
and reestablish drainage for the south end of Fondren.
· Total Drainage Maintenance Completed This Period
o Cleaning of Ditches 11,189 LF
o Resetting culverts 176 LF
o Culvert Maintenance/cleaning 7,790 LF
o Cleaned and televised storm sewers on Main Street and South 8th Street.
Meeting Handout
La Porte City Council Presentation
Economic Alliance Houston Port Region
Projects & Work Summary
4/12/10
1. Projects that the Economic Alliance has worked on:
a. Last three year "wins", specifics and totals
b. Sea Scouts Sailing School & The Ports Maritime Cmt & San Jac's
Committee that is working with La Porte's HS on their Maritime
Academy and have worked with Debbie Seibert and Daryl Leonard
c. Total # projects worked on from 2006 - 2009
2. New Business Development Task Force
a. Meets monthly to discuss the summary of leads and city updates on
ongoing developments
3. Main Street Advisory Committee
a. Marketing and Developed a Brochure
4. La Porte Citizens Advisory Committee (CAC)
a. Meets monthly to discuss any and all issues relating to living and
working with industry in this community
5. ABC Power Breakfast Committee
a. Worked with Stacey Osborne and Susan Kelly - Procurement Mgr for
La Porte
6. Business Retention & Expansion Program
a. 33 companies
7. La Porte Bayshore Chamber of Commerce
a. MM on the Economic Development Committee - Meets Monthly
b. Economic Development Annual Bus Tour
c. Attend and support Monthly luncheons
8. Since we office in La Porte, eight visiting site consultants come to La Porte to
meet with us and have the opportunity to see La Porte
9. Small Business Development Center (San Jac) offices in our office
a. Counseling services for new small businesses
10. SBA Disaster Loans in our offices after Hurricane Ike, secured loans of over
$17M
11. Gateway Grant $73K + $25K from HGAC
12. Freight Transportation Study & Improvement Plan
13. Corridor Standards Project for the San Jacinto Texas Historic District
14. Public Policy
a. Air Quality
i. Testified at the House Cmt for Env Reg's
ii. Worked wi our Mayors to support TCEQ & our industry - Sect
185 Non-attainment designation and fees
iii. Mayors & Mayor Parker
b. Battleship Texas dryberthing & maintaining current location
c. $16 MM in Federal Transportation funds to enhance the area -
presenting to TXDoT Thursday the 15th in Austin.
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