HomeMy WebLinkAbout10-08-12 Council Agenda & Packet AGENDA
SOUTH BEND COMMON COUNCIL MEETING
MONDAY, OCTOBER S , 2012 7 : 00 P.M.
1 . INVOCATION --- REV. TONY SLAGLE
2 . PLEDGE TO THE FLAG
3 . ROLL CALL
4 . REPORT FROM THE SUB-COMMITTEE ON MINUTES
5 . SPECIAL BUSINESS
12-67 A RESOLUTION OF THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA, HONORING LASALLE
INTERMEDIATE ACADEMY FOR BEING SELECTED BY THE
U. S . DEPARTMENT OF EDUCATION AS A NATIONAL BLUE
RIBBON
6 . REPORTS OF CITY OFFICES
7 . RESOLVE INTO THE COMMITTEE OF THE WHOLE TIME:
(BILLS NO. 42-12, 43-12 AND 44-12 COUNCIL PORTION ONLY)
BILL NO.
42-12 PUBLIC HEARING ON A BILL LEVYING TAXES AND FIXING
THE RATE OF TAXATION FOR THE PURPOSE OF RAISING
REVENUE TO MEET THE NECESSARY EXPENSES OF THE
CIVIL CITY OF SOUTH BEND FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2013
43-12 PUBLIC HEARING ON A BILL APPROPRIATING MONIES FOR
THE PURPOSE OF DEFRAYING THE EXPENSES OF SEVERAL
DEPARTMENTS OF THE CIVIL CITY OF SOUTH BEND,
INDIANA FOR THE FISCAL YEAR BEGINNING JANUARY 1 ,
2013 AND ENDING DECEMBER 31 , 2013 INCLUDING ALL
OUTSTANDING CLAIMS AND OBLIGATIONS AND FIXING A
TIME WHEN THE SAME SHALL TAKE EFFECT
44-12 PUBLIC HEARING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA APPROPRIATING
MONIES FOR THE PURPOSE OF DEFRAYING THE EXPENSES
OF THE DESIGNATED ENTERPRISE FUNDS OF THE CITY OF
SOUTH BEND, INDIANA, FOR THE FISCAL YEAR
BEGINNING JANUARY 1, 2013 AND ENDING DECEMBER 31,
2013 , INCLUDING ALL OUTSTANDING CLAIMS, AND
OBLIGATIONS, AND FIXING A TIME WHEN THE SAME
,SHALL TAKE EFFECT
37-12 PUBLIC HEARING ON A BILL AMENDING THE ZONING
ORDINANCE FOR PROPERTY LOCATED AT 621 AND 625
LINCOLNWAY EAST, COUNCILMANIC DISTRICT 2 IN THE
CITY OF SOUTH BEND, INDIANA
35-12 PUBLIC HEARING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, AMENDING THE
ZONING ORDINANCE AND ESTABLISHING HISTORIC
LANDMARK STATUS FOR THE STRUC'T'URE AND REAL
PROPERTY KNOWN AS THE AVON THEATRE AND LOCATED AT
307 SOUTH MICHIGAN, IN THE CITY OF SOUTH BEND,
INDIANA
54-12 PUBLIC HEARING ON A BILL FIXING MAXIMUM SALARIES
AND WAGES OF APPOINTED OFFICERS AND NON-
BARGAINING EMPLOYEES OF THE CITY OF SOUTH BEND,
INDIANA, FOR THE CALENDAR YEAR 2013
55-12 PUBLIC HEARING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA SETTING THE
ANNUAL SALARY FOR THE MAYOR FOR THE CALENDAR YEAR
2013
52-12 PUBLIC HEARING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA AUTHORIZING THE
ACQUISITION, CONSTRUCTION AND INSTALLATION OF
CERTAIN ADDITIONS, EXTENSIONS AND IMPROVEMENTS TO
THE CITY' S SEWAGE WORKS, THE ISSUANCE AND SALE OF
ADDITIONAL REVENUE BONDS TO PROVIDE FUNDS FOR THE
PAYMENT OF THE COSTS THEREOF, THE COLLECTION,
SEGREGATION AND DISTRIBUTION OF THE REVENUES OF
SUCH SEWAGE WORKS, THE ESTABLISHMENT OF FUND
NUMBER 661 , THE 2012 SEWAGE WORKS CONSTRUCTION
FUND, AND OTHER RELATED MATTERS
53-12 PUBLIC HEARING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA CONCERNING THE
CURRENT REFUNDING OF OUTSTANDING WATERWORKS
REVENUE BONDS OF 2002, ISSUED TO FINANCE
CONSTRUCTION OF IMPROVEMENTS TO THE MUNICIPAL
WATERWORKS OF THE CITY OF SOUTH BEND, INDIANA;
AUTHORIZING THE ISSUANCE OF REVENUE BONDS FOR
SUCH PURPOSE IN THE PRINCIPAL AMOUNT NO TO EXCEED
FOUR MILLION TWO HUNDRED THOUSAND ($4, 200, 000) ;
ADDRESSING OTHER MATTERS CONNECTED THEREWITH,
INCLUDING THE ISSUANCE OF NOTES IN ANTICIPATION
OF BONDS; AND REPEALING ORDINANCES INCONSISTENT
HEREWITH
8 . BILLS, THIRD READING TIME:
BILL NO.
42-12 THIRD READING ON A BILL LEVYING TAXES AND FIXING
THE RATE OF TAXATION FOR THE PURPOSE OF RAISING
REVENUE TO MEET THE NECESSARY EXPENSES OF THE
CIVIL CITY OF SOUTH BEND FOR THE FISCAL YEAR
ENDING DECEMBER 32, 2013
43-12 THIRD READING ON A BILL APPROPRIATING MONIES FOR
THE PURPOSE OF DEFRAYING THE EXPENSES OF SEVERAL
DEPARTMENTS OF THE CIVIL CITY OF SOUTH BEND,
INDIANA FOR THE FISCAL YEAR BEGINNING JANUARY 1 ,
2013 AND ENDING DECEMBER 31 , 2013 INCLUDING ALL
OUTSTANDING CLAIMS AND OBLIGATIONS AND FIXING A
TIME WHEN THE SAME SHALL TAKE EFFECT
44-12 THIRD READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA APPROPRIATING
MONIES FOR THE PURPOSE OF DEFRAYING THE EXPENSES
OF THE DESIGNATED ENTERPRISE FUNDS OF THE CITY OF
SOUTH BEND, INDIANA, FOR THE FISCAL YEAR
BEGINNING JANUARY 1, 2013 AND ENDING DECEMBER 31,
2013 , INCLUDING ALL OUTSTANDING CLAIMS, AND
OBLIGATIONS, AND FIXING A TIME WHEN THE SAME
SHALL TAKE EFFECT
37-12 THIRD READING ON A BILL AMENDING THE ZONING
ORDINANCE FOR PROPERTY LOCATED AT 621 AND 625
LINCOLNWAY EAST, COUNCILMANIC DISTRICT 2 IN THE
CITY OF SOUTH BEND, INDIANA
35-12 THIRD READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, AMENDING THE
ZONING ORDINANCE AND ESTABLISHING HISTORIC
LANDMARK STATUS FOR THE STRUCTURE AND REAL
PROPERTY KNOWN AS THE AVON THEATRE AND LOCATED AT
307 SOUTH MICHIGAN, IN THE CITY OF SOUTH BEND,
INDIANA
54-12 THIRD READING ON A BILL FIXING MAXIMUM SALARIES
AND WAGES OF APPOINTED OFFICERS AND NON-
BARGAINING EMPLOYEES OF THE CITY OF SOUTH BEND,
INDIANA, FOR THE CALENDAR YEAR 2013
55-12 THIRD READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA SETTING THE
ANNUAL SALARY FOR THE MAYOR FOR THE CALENDAR YEAR
2013
52-12 THIRD READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA AUTHORIZING THE
ACQUISITION, CONSTRUCTION AND INSTALLATION OF
CERTAIN ADDITIONS, EXTENSIONS AND IMPROVEMENTS TO
THE CITY' S SEWAGE WORKS, THE ISSUANCE AND SALE OF
ADDITIONAL REVENUE BONDS TO PROVIDE FUNDS FOR THE
PAYMENT OF THE COSTS THEREOF, THE COLLECTION,
SEGREGATION AND DISTRIBUTION OF THE REVENUES OF
SUCH SEWAGE WORKS, THE ESTABLISHMENT OF FUND
NUMBER 661, THE 2012 SEWAGE WORKS CONSTRUCTION
FUND, AND OTHER RELATED MATTERS
53-12 THIRD READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA CONCERNING THE
CURRENT REFUNDING OF OUTSTANDING WATERWORKS
REVENUE BONDS OF 2002 , ISSUED TO FINANCE
CONSTRUCTION OF IMPROVEMENTS TO THE MUNICIPAL
WATERWORKS OF THE CITY OF SOUTH BEND, INDIANA;
AUTHORIZING THE ISSUANCE OF REVENUE BONDS FOR
SUCH PURPOSE IN THE PRINCIPAL AMOUNT NO TO EXCEED
FOUR MILLION TWO HUNDRED THOUSAND ($4, 200, 000) ;
ADDRESSING OTHER MATTERS CONNECTED THEREWITH,
INCLUDING THE ISSUANCE OF NOTES IN ANTICIPATION
OF BONDS; AND REPEALING ORDINANCES INCONSISTENT
HEREWITH
9 . RESOLUTIONS
BILL NO.
12-69 A RESOLUTION OF THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA, APPROVING A PETITION OF THE
AREA BOARD OF ZONING APPEALS OF ST. JOSEPH
COUNTY, INDIANA FOR THE PROPERTIES LOCATED AT
1307 AND 1311 HICKORY ROAD, SOUTH BEND, INDIANA,
INDIANA
12-73 A RESOLUTION CONFIRMING THE ADOPTION OF A
DECLARATORY RESOLUTION DESIGNATING CERTAIN AREAS
WITHIN THE CITY OF SOUTH BEND, INDIANA, COMMONLY
KNOWN AS 3300 N. KENMORE AS AN ECONOMIC
REVITALIZATION AREA FOR PURPOSES OF A THREE (3 )
YEAR REAL PROPERTY TAX ABATEMENT FOR INDIANA
ROTOMOLDING, INC .
12--74 A RESOLUTION OF THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND DESIGNATING CERTAIN AREAS WITHIN THE
CITY OF SOUTH BEND, INDIANA, COMMONLY KNOWN AS
3340 DOUGLAS ROAD AN ECONOMIC REVITALIZATION AREA
FOR PURPOSES OF UP TO A FIVE (5) YEAR REAL
PROPERTY TAX ABATEMENT FOR HARRINGTON
ORTHODONTICS
10 . BILLS, FIRST READING
BILL NO.
56-12 FIRST READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, FIXING THE
ANNUAL PAY AND MONETARY FRINGE BENEFITS OF SWORN
MEMBERS OF THE SOUTH BEND POLICE DEPARTMENT FOR
CALENDAR YEARS 2013 , 2014 AND 2015
57-12 FIRST READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, FIXING THE
ANNUAL PAY AND MONETARY FRINGE BENEFITS OF
FIREFIGHTERS OF THE SOUTH BEND FIRE DEPARTMENT
FOR CALENDAR YEARS 2013 , 2014 AND 2015
58-12 FIRST READING ON A BILL OF COMMON COUNCIL OF THE
CI'T'Y OF SOUTH BEND, INDIANA, SETTING THE ANNUAL
SALARIES FOR THE COUNCIL MEMBERS FOR CALENDAR
YEAR 2013
59-12 FIRST READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, SETTING THE
ANNUAL SALARY FOR THE CITY CLERK FOR CALENDAR
YEAR 2013
60-12 FIRST READING ON A BILL AMENDING THE ZONING
ORDINANCE FOR PROPERTY LOCATED AT 4626 BURNETT
DRIVE, SOUTH BEND, INDIANA 46614, COUNCILMANIC
DISTRICT NO. 6 IN THE CITY OF SOUTH BEND, INDIANA
61-12 FIRST READING ON A BILL OF THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, AMENDING CHAPTER
2 , ARTICLE 4, SECTION 2-13 (A) AND (B) OF THE
SOUTH BEND MUNICIPAL CODE TO CHANGE THE NAME OF
THE COMMUNITY AND ECONOMIC DEVELOPMENT DEPARTMENT
TO THE COMMUNITY INVESTMENT DEPARTMENT, AND TO
MAKE ALL OTHER CHANGES CONSISTENT THEREWITH
11 . UNFINISHED BUSINESS
12 . NEW BUSINESS
13 . PRIVILEGE OF THE FLOOR
14 . ADJOURNMENT
TIME:
NOTICE FOR HEARING AND SIGHT IMPAIRED PERSONS
Auxiliary Aid or Other Services are Available upon Request at No Charge.
Please give Reasonable Advance Request when Possible.
ORDINANCE NO.
AN ORDINANCE LEVYING TAXES AND FIXING THE RATE
OF TAXATION FOR THE PURPOSE OF RAISING REVENUE
TO MEET THE NECESSARY EXPENSES OF THE CIVIL CITY
OF SOUTH BEND FOR THE FISCAL YEAR ENDING
DECEMBER 31,2013
STATEMENT OF PURPOSE AND INTENT
It is necessary to pass this Ordinance in order to levy taxes and fix the rate of taxation for the
purpose of raising revenue to meet the necessary expenses for 2013.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA,AS FOLLOWS:
SECTION I.There shall be levied upon each One Hundred Dollars of Assessed Valuation of
Taxable Property of the City of South Bend, Indiana,for the fiscal year 2012 to be collected in the year 2013
the following:
For CORPORATION GENERAL FUND, the sum of$3.0217 on each one hundred dollars of
Taxable Property.
For PARK AND RECREATION FUND,the sum of$.6033 on each one hundred dollars of Taxable
Property,
For CUMULATIVE CAPITAL DEVELOPMENT FUND, the sum of$.0407 on each one hundred
dollars of Taxable Property,
Total Civil City Rate$3.6657
For REDEVELOPMENT BOND(COLLEGE FOOTBALL HALL OF FAME), the sum of$,0781 on
each one hundred dollars of Taxable Property.
Total Redevelopment Rate$.07$1
SECTION II.This Ordinance shall be in full force and effect from and after its passage by the
Common Council and approval by the Mayor.
1.
Member of the Common Council 72
t
Attest:
cound ¢ hie
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the day
of 2 , at o'clock . m.
Deputy City Clerk
Approved and signed by me on the day of 2 , at
o'clock M.
Mayor, City of South Bend, Indiana
Flied Office
(-,i R EAtr!NG Q0.T -3 1
)UN-IC FlEr',RiNG
3,d f,EAD. I 'G JOHN VCCKD13
T A-.-PROVED CITY CLERK,ffi®RIT'FB SEND,IN
EFER"ED
PASSED
120ONCouNTx-CrrrBb7LDjrc � \ PHoN.E574/235-9216
227 W jFFPRRSoN BwD. �� \� •y FAx 574/235-9928
SotrrH Br.Np,lrrBr,aran 46601-1830
T8b5
CITY OF SouTH BEND PETE B=GIEG, MAYOR
DEPARTMENT OF ADMINISTRATION AND FINANCE
October 3, 2012
Mr. Derek Dieter
President, South Bend Common Council
4"'FIoor County-City Building
227 W, Jefferson BIvd.
South Bend, IN 46601
Re: Substitute Ordinance Levying taxes and fixing the rate of Property Taxation to meet City Expenses for the
fiscal year ending December 31, 2013
Dear Council President Dieter:
Attached herewith please find a substitute bill for consideration by the Common Council of the City of South
Bend fixing the property tax rate for the City of South Bend for the fiscal year commencing January 1, 2013 and
ending December 31, 2013. This tax rate will apply for property tax assessments in fiscal 2012 with taxes
payable in fiscal 2013.
The original bill was submitted for I"read filing with the Common Council for the council meeting on August 27,
2012, 2 n d read and public hearing at the council meeting on September 24, 2012,with 3rd reading and council vote
at the council meeting on October 8,2011
Similar to prior years, the property tax rates per the attached substitute bill are estimated and advertised high. The
final property tax rates for each municipality in the State of Indiana are determined by the Department of Local
Government Finance(DLGF) as part of the"1782"budget review process which,according to the state budget
calendar, must be completed by February 15,2013. The actual property tax rate will depend on the 2012/pay 2013
net assessed valuation of property in South Bend and this information is not yet available from the St. Joseph.
County Auditor.
I will be available to discuss this substitute bill at the appropriate sessions of the Personnel and Finance
Committee and South Bend Common Council.
Respectively submitted,
Filed in Clerk's Office
Mark W. Neal
City Controller OU —3 2012
a
CC.' Mayor Pete Buttigieg .1044 VaO ;1IE
�J
Mike Schmuhl, Chief of Staff CrTY CLERIC,SOU'lli SEND,IN
Kathryn Roos, Deputy Chief of Staff
Aladean DeRose, Interim City Attorney
ORDINANCE NO.
AN ORDINANCE APPROPRIATING MONIES FOR THE PURPOSE OF
DEFRAYING THE EXPENSES OF SEVERAL DEPARTMENTS OF
THE CIVIL CITY OF SOUTH BEND, INDIANA FOR THE
FISCAL YEAR BEGINNING JANUARY 1, 2013 AND ENDING
DECEMBER 31, 2013 INCLUDING ALL OUTSTANDING CLAIMS
AND OBLIGATIONS,AND FIXING A TIME WHEN THE SAME
SHALL TAKE EFFECT
STATEMENT OF PURPOSE AND INTENT
It is necessary to pass this Ordinance in order to appropriate monies to defray the
expenses of several departments of the Civil City of South Bend, Indiana for 2013.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA,AS FOLLOWS:
SECTION I. For the expenses of the Civil City Government, its various departments,
funds, commissions, and institutions for the fiscal year ending December 31, 2013, the following sums of
money, as set forth in the attached budget which is made a part hereof, are hereby appropriated and
ordered set apart out of the funds hereinafter named, and for the purposes hereinafter specified, subject to
the laws governing the same. The sums herein appropriated shall be deemed to include all expenditures
authorized to be made in said year, unless otherwise expressly stipulated or provided by the laws.
SECTION II. For the fiscal year ending December 31, 2013, there is hereby appropriated
out of the General Fund Number 101 and from Funds other than the General Fund, of said City to wit:
(201) Park and Recreation Fund
(202) Motor Vehicle Highway Fund
(203) Park Recreation Non-Reverting Fund
(209) Studebaker Oliver Reverting Grants
(210) Economic Development Grant Fund
(211) Community& Economic Development Operating Fund
(212) Community and Economic Development Fund
(218) Police State Seizures Fund
(217) Gift, Donation, Bequest Fund
(218) Police Curfew Violations Fund
(220) Law Enforcement Continuing Education Fund
(222) Central Services Fund
(225) Liability Insurance& Premium Reserve Fund
(227) Loss Recovery Fund
(249) Public Safety Local Option Income Tax Fund
(250) General Grant Fund
(251) Local Roads and Streets Fund
(258) Human Rights-Federal Fund
(271) East Race Waterway
(273) Moms PAC1Palais Royale Marketing Fund
(278) Police Take Home Car Liability Fund
(280) Police Block Grant Fund
(281) Economic Development Revenue Bonds Fund
(2B8) E.M.S. Capital Improvement Fund
(289) Hazmat Fund
(291) Indiana River Rescue Fund
(292) Police Grants Fund
(294) Regional Police Academy Fund
(295) COPS More Grant
(299) Police Federal Drug Enforcement Fund
(313) Hall of Fame Debt Service Fund
(377) Professional Sports Development Fund
(401) Coveleski Stadium Capital Fund
(403) Zoo Endowment Fund
(404) County Option Income Tax Fund
(405) Park Department Non-Reverting Capital Fund
(406) Cumulative Capital Development Fund
(407) Cumulative Capital Improvement Fund
(408) County Economic Development income Tax Fund
(410) Urban Action [Development Grant Fund
(412) Major Moves Construction Fund
(416) Morris Performing Arts Center Capital Fund
(434) CRED Fund
(450) Palais Royale Historic Preservation Fund
(655) Project ReLeaf Fund
(677) Hall of Fame Capital Fund
(701) Fire Pension Fund
(702) Police Pension Fund
(705) Police K-9 Unit Fund
(7,11) Self-Funded Employee Benefit Fund
(713) Unemployment Compensation Fund
(730) City Cemetery Trust Fund
SECTION III. This Ordinance shall be in full force and effect from and after its passage
by the Common Council and approval by the Mayor.
\D�
Member of the Common Cou. if
Attest.
1
�C+ilaiVA� AriF@�%i4r•A�$.r3�cC?+t.Jd;i`4k���
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the day
of 2 , at o'clock . m.
Deputy City Clerk
Approved and signed by me on the day of 2 ,at
o'clock .m.
Mayor, City of South Bend,l> 'a s
1st t:ERO:=:G I . _
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SouTHBFND,INDIANA 46601-I830
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1865
CITY OF SouTi4 BENT) PETE B=TGIEG,MAYOR
DEPARTMENT OF ADMINISTRATION AND FINANCE
August 21, 2012
Mr. Derek Dieter
President, South Bend Common Council
4ht Floor County-City Building
227 W. Jefferson Blvd.
South Bend, IN 46601
Re: Ordinance Appropriating Monies for the purpose of Defraying the Expenses of
Departments and Funds of the Civil City of South Bend for the fiscal year ending
December 31, 2013
Dear Council President Dieter:
Attached herewith please find a bill for consideration by the Common Council of the City of
South Bend appropriating monies for civil city expenditures for the fiscal year commencing
January 1, 2013 and ending December 31, 2013.
This bill is respectively submitted for 1"read filing with the Common Council for the council
meeting scheduled for August 27, 2012, 2nd read and public hearing at the council meeting on
September 24, 2012, with 3`d read and council vote at the council meeting on October 8, 20I2.
This bill will be presented to the Common Council by the Mayor, Controller, Department Heads
and other staff of City Administration as required at the appropriate sessions of the Personnel
and Finance Committee and at the public hearing.
Respectively submitted,
HOd in
Mark W. Neal
City Controller,
cc: Mayor Pete Buttigieg
Mike Schmuhl, Chief of Staff CIS
Kathryn Roos, Deputy Chief of Staff
Aladean DeRose, Interim City Attorney
M
ORDINANCE NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE
CITY OF SOUTH BEND APPROPRIATING MONIES FOR THE PURPOSE
OF DEFRAYING THE EXPENSES OF THE DESIGNATED ENTERPRISE FUNDS
OF THE CITY OF SOUTH BEND, fNDIANA, FOR THE FISCAL YEAR
BEGINNING JANUARY 1,2013 AND ENDING DECEMBER 31,2013,
INCLUDING ALL OUTSTANDING CLAIMS,AND OBLIGATIONS, AND
FIXING A TIME WHEN THE SAME SHALL TAKE EFFECT
STATEMENT OF PURPOSE AND INTENT
It is necessary to pass this Ordinance in order to appropriate monies to defray the expenses of
designated Enterprise Funds of the City of South Bend, Indiana for 2013.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA,AS FOLLOWS:
SECTION I. For the expenses of designated Enterprise Funds of the City of South Bend, Indiana,
its various departments, funds, commissions and institutions for the fiscal year ending December 31, 2013,
the following sums of money, as set forth in the attached budget which is made a part hereof, are hereby
appropriated and ordered set apart within the funds hereinafter named in Section 11, and for the purposes
hereinafter specified in Section 11, subject to the laws governing the same.The sums herein appropriated
shall be deemed to include all expenditures authorized to be made in said year, unless otherwise expressly
stipulated or provided by law.
SECTION ll. For the fiscal year ending December 31, 2013, the above appropriations are made
within the following funds of the City:
(600) Consolidated Building Fund
(601) Parking Garage Fund
(610) Solid Waste Fund
(611) Solid Waste Depreciation Fund
(620) Water Works General Operations Fund
(622) Water Works Capital Fund
(623) Water Works Bond Capital Fund
(624) Water Works Customer Deposit Fund
(625) Water Works Sinking Fund
(626) Water Works Bond Reserve Fund
(629) Water Works 08 M Reserve Fund
(640) Sewage Repair Fund/Insurance Fund
(641) Sewage Works General Operations Fund
(642) Sewage Works Capital Fund
(643) Sewage Works O&M Reserve Fund
(649) Sewage Works Sinking Fund
(653) Sewage Works Debt Service Reserve Fund
(659) 2011 Sewer Bond
(661) 2012 Sewer Bond
(663) 2013 Sewer Bond
(670) Century Center Operating Fund
(671) Century Center Capital Fund
SECTION III.This Ordinance shall be in full force and effect from and after its passage
by the Common Council and approval by the Mayor.
Member of the ComrW4W.0-.K"iW1
Attest:
City Clerk
Presented by me to the Mayor of the City of South Bond, Indiana on the day
of 2_, at o'clock—. m.
Deputy City Clerk
Approved and signed by me on the day of 2_, at
o'clock m.
Mayor, City of South Bend, Indiana
F C3,
1e READING � ,�� }� `� �Q��
PU L!C HEARING
3 r J LEADING
NOT APPROVED
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PHERRED
PASSED
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SOUTH BEND,INDIANA 46601-1830 �e
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1865
QTY op SouT13 BEND PETE BuT fTG1EG,MAYOR
DEPARTMENT OF ADMINISTRATION AND FINANCE
August 21, 2012
Mr. Derek Dieter
President, South Bend Common Council
4"' Floor County-City Building
227 W. Jefferson Blvd.
South Bend, IN 46601
Re: Ordinance Appropriating Monies for the purpose of Defraying the Expenses of
Designated Enterprise Funds of the City of South Bend for the fiscal year ending
December 31, 2013
Dear Council President Dieter:
Attached herewith please find a bill for consideration by the Common Council of the City of
South Bend appropriating monies for enterprise fund expenditures of the City of South Bend for
the fiscal year commencing January 1, 2013 and ending December 31, 2013.
This bill is respectively submitted for 1" read filing with the Common Council for the council
meeting scheduled for August 27, 2012, 2`1 read and public hearing at the council meeting on
September 24, 2012, with 3rd read and council vote at the council meeting on October 8,2012.
This bill will be presented to the Common Council by the Mayor, Controller, Department heads
and other staff of City Administration as required at the appropriate sessions of the, Personnel
and Finance Committee and at the public hearing.
Respectively submitted,
Mark W. Neal
City Controller
cc: Mayor Pete Buttigieg `U v
F
Mike Schmuhl, Chief of Staff
Kathryn Roos, Deputy Chief of Staffs K
t w.., ' � '•q r�
Aladean DeRose, Interim City Attorney
JOHN w BY£7RNI
EXECUTIVE DIRECTOR
LARRY MAGLIOZZI
DEPUTY DIRECTOR
qA'P,CEAPL)AN COMMISSION OF ST. JOSEPH COUNTY, IN
227 W.JEFFERSON BLVD. ROOM 1(40 COUNTY-CITY BLDG. SOUTH BEND,INDIANA 46601 (574)235-957
September 19,2012
The Honorable Council of the City of
South Bend
4th Floor, County-City Building
South Bend, IN 46601
RE: A proposed ordinance of Diane J. Erdman and Verl Sheets, Sr.to zone from MF 1
Multifamily Urban Corridor District to MU Mixed Use District, property located at 621 and
625 Lincolnway East, City of South Bend-APC# 2644-12
Dear Council Members:
1 hereby Certify that the above referenced ordinance of Diane J. Erdman and Verl Sheets, Sr. was
legally advertised on Thursday, September 6, 2012 and that the Area Plan Commission at its
public hearing on Tuesday, September 18, 2012 took the following action:
Upon a motion by John McNamara, being seconded by Karl King and unanimously
carried, the proposed ordinance of Diane J. Erdman and Verl Sheets, Sr. to zone
from MF I Multifamily Urban Corridor District to MU Mixed Use District, property
located at 621 and 625 Lincolnway East, City of South Bend is sent to the Common
Council with a favorable recommendation, Lincolnway East is a major traffic
corridor, with a mix of residential and business uses in the immediate vicinity. This
rezoning is compatible with the goals of City Plan.
PLEASE NOTE that the Ordinance has been amended by the petitioner and is different than that
used for the Common Council's first reading. The amended Ordinance was legally advertised and
heard by the Area Plan Commission.
The deliberations of the Area Plan Commission and points considered in arriving at the above
decision are shown in the minutes of the public hearing, and will be forwarded to you at a later
date to be made a part of this report.
Sincerely,
n W. Bya
�91�
Attachment
Diane J. Erdman
Verl Sheets,Sr.
SERVING:ST.JOSEPH COUNTY.SOUTH BEND,LAKEVILLE,NEW CARLISLE,NORTH LIBERTY.OSCEOLA& ROSELAND
www.stio"phcountyindiana.com/Ai-".
Staff Report
APC# 2644-12
Owner: Diane J. Erdman& Verl Sheets, Sr.
Location: 621 and 625 Lincolnway East
.Jurisdiction: City of South Bend
Requested Action:
The petitioners are requesting a zone change from MFl Multifamily Urban Corridor District to
MU Mixed Use District to allow retail sales and service of sewing machines and a residential unit
with the appropriate parking.
Land Uses and Zoning:
On site: On site is a single family home and a vacant lot.
North: To the north are single family homes zoned SF2 Single Family and Two Family
District.
East: To the east is a vacuum cleaner sales and service business zoned MU Mixed Use
District.
South: To the south, across Lincolnway East are single and two family homes zoned
MF I Urban Corridor Multifamily District.
West: To the west is a vacant office building zoned LB Local Business District.
District uses and development standards:
The "MU" Mixed Use District is established to promote the development of the a dense urban
village environment. The regulations are intended to encourage all the elements of a traditional
urban village, including: storefront retail; professional offices; and, dwelling units located either
in townhouse developments or in the upper stories of mixed-use buildings. The development
standards in this district are designed to encourage a pedestrian oriented design throughout the
district,and maintain an appropriate pedestrian scale, massing and relationship between buildings
and structures within the district.
Site plan description:
The total area is 9,240 square feet. There is an existing house and garage covering 1,220 square
feet or 13% of the site. In addition to the space in the garage,,four parking spaces are provided,
covering 17% of the site. The remaining 70% is open space. Access will be from Lincolnway
East.
Zoning and land use history&trends:
The apartment building at 709-711 Lincolnway East is currently going through the rezoning
process to allow for conversion to a single family home. This section of Lincolnway East has a
mixed land use pattern of businesses,homes and duplexes.
Traffic and transportation considerations:
Lincolnway East has four lanes.
Utilities:
The site is served by city water and sewer.
Diane J. Erdman & Verl Sheets, Sr.
#2644-12
Page 1 of 2
Additional information: (Agency comments)
The Department of Community and Economic Development comments this rezoning would
support a neighborhood commercial use and would still be keeping with the zoning of
surrounding properties and the mixed-use character of the neighborhood. The Office of Historic
Preservation Commission does not have any objections to the change in zoning. The City
Engineer had no comments.
Staff Comments:
The property is located within the Edgewater Place Local Historic District.
Commitments:
No commitments are proposed.
5 Criteria(per IC 36-7-4-603):
1. Comprehensive Plan:
Policy Plan:
Ci1y Plan South Bend Comprehensive Plan(November 2006
Objective LU 1: Plan for the future of the community's districts, neighborhoods, and
corridors.
Objective LU 2.2 Pursue a mix of land uses along major corridors and other locations
indentified on the Future Land Use Map.
Land Use Plana:
The Future Land Use Map identifies this area as a mix of uses.
Plan implementation/Other Plans:
There are no other plans in effect for this area.
2. Current conditions and character:
Along Lincolnway East is a mix of houses and businesses. Some of the structures are in poor
condition.
3. Most desirable use:
The most desirable use is one that is compatible with the mix of uses located in the area.
4. Conservation of property values:
The rehabilitation of this property may have a positive effect on neighboring property values.
5. Responsible development and growth:
It is responsible development and growth to encourage the rehabilitation of a building with a use
that is compatible with the character of the area.
Recommendation:
Based on information available prior to the public hearing the staff recommends that the petition
be sent to the Common Council with a favorable recommendation.
Analysis:
Lincolnway East is a major traffic corridor, with a mix of residential and business uses in the
immediate vicinity. This rezoning is compatible with the goals of City Plan,
Diane I Erdman& Verl Sheets, Sr.
42644-12
Page 2 of 2
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Rezoning from:
"MFl" URBAN CORRIDOR MULTIFAMILY DISTRICT
to "MU" MIXED USE DISTRICT
ZONING CLASSIFICATION N
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SOUTH-BEND, CB[3 S
inch 75 feet
SOUTH BEND"LB" LOCAL BUSINESS DISTRICT
SOUTH BEND"CB" COMMUNITY BUSINESS DISTRICT A 2644-
I support a retail sewing machine shop at 621 Lincolnway
East in South Bend IN.
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ORDINANCE NO.
AN ORDINANCE AMENDING THE ZONING ORDINANCE FOR PROPERTY
LOCATED AT 621 AND 625 LINCOLNWAY EAST, COUNCILMANIC
DISTRICT 2 IN THE CITY OF SOUTH BEND, INDIANA
STATEMENT OF PURPOSE AND INTENT
Change to Mixed Use District from present zoning of MF1 Urban Corridor
Multifamily District. Retail sales and repair of sewing machines.
NOW THEREFORE BE IT ORDAINED by the Common Council of the City
of South Bend, Indiana as follows:
SECTION 1. Ordinance No. 9495-04, is amended, which ordinance is commonly
known as the Zoning Ordinance of the City of South Bend, Indiana, be and the
same hereby is amended in order that the zoning classification of the following
described real estate in the City of South Bend, St. Joseph County, State of
Indiana:
17 ft. southeast side of Lot 6 Andrew Fuerbringer Addition and 16ft northernly
side lot 7 Andrew Fuerbringer addition and 33 ft Southeasternly side lot 7 Andrew
Fuerbringers addition
be and the same is hereby established as MU Mixed Use District.
SECTION II. This ordinance shall be in full force and effect from and after
its passage by the Common Council, approval by the Mayor, and legal
publication.
Member of the Common Council
Attest:
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the
day of at o'clock M.
City Clerk
Approved and signed by me on the day of
2— at o'clock . M.
Mayor, City of South Bend, Indiana
i�- �e E
1:;t PIAMNG
PUI-IUC
3 rd READ11-,,G
PASSED.
PETITION TO REZONE
Unincorporated St.Joseph County
I(we)the undersigned make application to the St.Joseph County Council to amend the zoning ordinance as herein requested.
I) The property sought to be rezoned is located at:
(621 Lincolnway east and 625 Lincoinway east)
2) The property Tax Key Number(s)is/are: (18-3030-1096) (18-3030-1097) (Key#3)
3) Name and address of property owner(s)of the petition site:
Diane Erdman Verl Sheets Sr
10186 Charles st 801 Bronson
Osceola, IN 46561 South Bend, IN 46601
((574)(340-8841) ( (574))(220-7867)
(erdmand @comcast.net) dreamwestt @aol.com)
For additional owners.reprint additional pages with signatures
4) Name and address of contingent purchaser(s), if applicable:
(Name) (Name)
(Address) (Address)
(City),(State) (Zip Code) (City),(State) (Zip Code)
((Area Code))(Phone number) ((Area Code))(Phone Number)
(E-Mail Address) (E-Mail Address)
For additional owners.reprint additional pages with signatures
5) It is desired and requested that this property be rezoned:
From: (MF1 District
To: (MU)District
6) This rezoning is requested to allow the following use(s): (Retail sales and service of sewing machines))
7) Attached,and made a part of this PETITION, is:
(a)a copy of a legal description of the property;
(b)a list of names and addresses of all property owners,and the tax key numbers for all properties within 300 feet of
the petition property;
(c)six(6)site plans;and
(d)addressed,stamped envelopes for all property owners within 300 feet of the petition property.
PETITION PREPARED BY: S' ature(s)of All Property owner(s),or
sign- re of Attorney fora roperty owner(s):
Diane Erdman
10I 86 Charles st
Osceola, IN 46561
((574))(340-8841) 1��1
erdmand @comcast.net
CONTACT PERSON: (If different) RI �.„� .V k
(Name)
(Address) �z �
(City), (State) (Zip Code) ?
((Area Code))(Phone number)
(E-Mail Address)
1t
a �!
JOHN W. BYORNI
EXECUTIVE DIRECTOR
LARRY MAGLIOZZI
DEPUTY DIRECTOR
AREA PLAN COMMISSION OF ST . JOSEPH COUNTY, IN
127 W. ISPf£RSGN BLVD.. ROOM IT50 COUNTY,4ITY BUILDING. 5011TH BEND. INDIANA 56601 (575) 135.9571
August 30, 2012
Honorable Common Council
Of The City of South Bend
4th Floor, County-City Building
South Bend, Indiana 46601
RE: Bill # 37-12 A bill of the Common Council of the City of South Bend amending Chapter
21 o f f he zoning ordinance.
Dear Council Members:
The following changes have been made to the Ordinance for the above-referenced
petition:
Ordinance:
1) The title added address 1`625" and owner "Vert Sheets Sr".
2) The legal description has changed to include additional property.
Petition:
1) Item #1 : Address 625 Lincolnway was added.
2) Item #2: Tax Key number 18-3030-1097 was added.
3) item #4: Owner Verl Sheets Sr was added.
4) Verl Shets Sr signed the petition.
If you have any further questions, please call me at 574-235-9571 .
Sincerely,
h4
Christa Nayder
Planner
SEA'/I NG ST. 105.�PH COUNTY, SOUTH BEND. LAKE VELLC, NEW CABL]SLE. NORTH EEBS 0.T Y. OSCEOLA. 9 ROSELAND
W W W.5 T I C S E PH C 0 U N T Y END E A N A.C ON
60UTIf �
1400 Cowry-Cuy Bumnao �\ PHoNp 574/235-9241
227 W.JrFxr.Rsax I3ouLEvnxn ��� MACE y FAX 574/235-7670
Soum BEND,INDIANA 46601-1830 �V,
�r
R 6
1865
CITY OF SOUTH BEND PETE BuTTIGIEG, MAYOR
DEPARTMENT OF ILAw
ALkD AN M. DF-RosF-
CrryATroRNEY,AD INT'Pwm
September 18, 2012
Mr. Derek Dieter, President
South Bend Common Council
4th Floor County-City Building
South Bend, IN 46601
RE: Bill No. 35-12
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA, AMENDING THE ZONING ORDINANCE
AND ESTABLISHING HISTORIC LANDMARK STATUS FOR THE
STRUCTURE AND REAL PROPERTY KNOWN AS THE AVON
THEATRE AND LOCATED AT 307 SOUTH MICHIGAN, IN THE CITY
OF SOUTH BEND, INDIANA
Dear President Dieter:
On July 12, 2012, the Historic Preservation Commission of South Bend and St. Joseph
County (the "Commission") held a public hearing to consider landmark status for the Avon
Theatre located at 307 South Michigan, South Bend, IN 46601. At the meeting, the Commission
placed the Avon Theatre under interim protection under the authority granted by the Municipal
Code of the City of South Bend, Indiana, (the "Code") Section 21-13.02(4)(5),
Bill 35-12 was introduced by the Common Council on July 23, 2012. Pursuant to the
Code, Section 21-13.02(4)(4), the matter was referred to the Commission to hold a public
hearing for the purpose of making a recommendation to the Common Council concerning Bill
No. 35-12.
On September 17, 2012, the Commission held a public hearing after publication of notice
of the time, date and place of the public hearing. At the public hearing, the Commission heard
public comments both for and against the designation of the Avon Theatre as a Local Historic
Landmark.
After hearing all comments offered by the public, and after giving the owner of the Avon
Theatre an opportunity to make a final statement, and after discussion by the members of the
Commission, the Commission adopted a Resolution making a favorable recommendation to the
CHYRYL A. GREENE ANN-CAROL NASH
ANDREA L.BEACHKOFSKY LAWRENCET METFSVER JEFFREY L. SANFORD
RESOLUTION NO. 12-
A RESOLUTION OF THE HISTORIC PRESERVATION COMMISSION OF
SOUTH BEND AND ST. JOSEPH COUNTY, INDIANA
MAKING A RECOMMENDATION TO THE
COMMON COUNCIL OF THE CITY OF SOUTH BEND
ON ESTABLISHING THE AVON THEATRE
AS A HISTORIC LANDMARK
WHEREAS,the Historic Preservation Commission of South Bend and St. Joseph County,
Indiana (the "Commission") exists and operates under the provisions of ordinances enacted by the
Common Council of the City of South Bend,Indiana,and the County Council of St.Joseph County,
Indiana (the "Enabling Ordinances"); and
WHEREAS,the Commission is empowered,pursuant to the Enabling Ordinances,to make
recommendations to the Common Council of the City of South Bend,Indiana for the establishment
of historical landmarks; and
WHEREAS,on July 12, 2012,the Commission held a meeting to consider land mark status
for the Avon Theatre located at 309 South Michigan Street, in the city of South Bend, Indiana; and
WHEREAS, at that meeting, the Commission adopted a proposal to recommend to the
Common Council of the City of South Bend (the "Common Council") that the Avon Theatre be
designated as a historic landmark pursuant to South Bend City Ordinance No. 5565-73,as amended;
and
WHEREAS, at that meeting, the Commission further declared that the Avon Theatre be
place under interim protection pursuant to the Municipal Code of the City of South Bend, Section
21-13.02(d)(5); and
WHEREAS, on July 23, 2012, the Common Council introduced its Bill No. 35-12,
proposing to establish the Avon Theatre as a historical landmark within the City of South Bend; and
WHEREAS,pursuant to Section 21-13.02(d)(4),the Common Council has referred Bill No.
35-12 to the Commission to hold a public hearing to hear comments on the establishment of the
Avon Theatre as a historic landmark and to make a recommendation back to the Common Council;
and
WHEREAS,the Commission has heard and considered the comments made at said public
hearing at the Commission's regularly scheduled meeting on September 17,2012,at 7:0.0 p.m.; and
WHEREAS, the Commission now desires to make a recommendation to the Common
Council concerning Bill No. 35-12 on the establishment of the Avon Theatre as a historic landmark.
NOW, THEREFORE, BE IT RESOLVED BY THE HISTORIC PRESERVATION
COMMISSION OF SOUTH BEND AND ST. JOSEPH COUNTY AS FOLLOWS:
1. On Bill No. 35-12, concerning the establishment of the Avon Theatre as a historic
landmark, the Commission makes the following recommendation to the Common Council:
Favorable Recommendation.
j Unfavorable Recommendation.
[ No Recommendation.
2. The Staff of the Commission is directed to forward a copy of this Resolution to the
Common Council.
3. This Resolution shall take effect immediately upon its adoption by the Commission.
ADOPTED at a meeting of the Historic Preservation Commission of South Bend and St.
Joseph County, Indiana, held on September 17, 2012, in the Council Chambers, 4t"Floor, 227 W.
Jefferson Blvd., South Bend, Indiana 46601,
HISTORIC PRESERVATION COMMISSION OF
SOUTH BEND AND ST. JOSEPH C UNTY, �j —
Timothy S. c res' e t K vin Buccellato „
a
r
Pa Ay N' zgo ski
avid Steinhauer Sandra L. Rossow
Mi e Vall Alice McLane
2
0 .
Bill No.
ORDINANCE NO.
AN ORDINANCE FIXING MAXIMUM SALARIES AND WAGES OF
APPOINTED OFFICERS AND NON-BARGAINING EMPLOYEES OF
THE CITY OF SOUTH BEND, INDIANA, FOR THE
CALENDAR YEAR 2013
STATEMENT OF PURPOSE AND INTENT
This Ordinance sets forth the maximum amounts to be paid to non-bargaining personnel
employed by the City of South Bend for the calendar year 2013. Salaries will be paid pursuant to
the budget approved by the Common Council. The budgeted number to be paid may be Less
than the maximum amounts set forth herein. This Ordinance establishes such compensation for
approximately all non-bargaining employees by specific positron and title.
The overall guidelines used in this Ordinance are consistent with the overall negotiating
criteria used for all City employees. This Ordinance is in the best interest of the City and the
affected non-bargaining employees.
NOW, THEREFORE, BE IT RESOLVED BY THE COMMON COUNCIL OF THE CITY OF
SOUTH BEND, INDIANA, as follows:
Section I. Maximum Compensation
(a) The maximum amounts to be paid as compensation for non-bargaining
employees for the City of South Bend, Indiana are hereby established as
set forth in the attachment, which is incorporated herein by reference.
The amounts set forth are consistent with the recommended procedure of
the State Board of Accounts dated March, 1993. Accordingly, salaries are
set and paid on a Bi-Weekly basis. Amounts by alphabetical position are
set forth as well as the annual salary for each position.
Section II. Holidays, Vacations and Other Monetary and Fringe Benefits Incorporated
by Reference.
(a) Holidays. Holidays designated by the Board of Public Works shall govern
non-bargaining employees for the calendar year 2013. The provisions of
the City's Personnel Policies and Procedures Manual as it may be
amended from time to time shall apply and are incorporated herein by
reference.
(b) Vacations. Vacation for non-bargaining employees shall be as set forth
in the City's Personnel Policies and Procedures Manual as it may be
amended from time to time, incorporated herein by reference.
(c) Family Leave. The Family and Medical Leave Act Policy is, hereby,
incorporated herein by reference in its entirety.
(d) Insurance.
(1) Comprehensive Major Medical Insurance. The City shall
maintain a comprehensive major medical insurance program that
all non-bargaining employees may participate in under the rules
and guidelines of the plan document. All employees receive a
copy of a plan document each year.
(2) Short and Long Term Disability. Short and Long Term Disability
shall be as set forth in the City's Personnel Policies and
Procedures Manual, as it may be amended from time to time,
which is incorporated herein by reference.
(3) Payment for Election to Leave Em to er's Comprehensive
Major Medical Insurance Program. The City shall pay one
hundred and thirty($130) per month ($65 biweekly)to any
Employee who elects to leave the City's comprehensive major
medical insurance program to be covered by another program for
which the City makes no contribution. This election shall not be
mandatory, and the Employee who made such election may return
to the City's comprehensive major medical Insurance Program,
provided that the conditions of the City's Comprehensive Major
Medical Insurance Program are met, and the contributions
specified herein are made, but in such event said Employee shall
forfeit the one hundred and thirty($130) payment per month
thereafter.
(4) Life Insurance. The City shall provide term life insurance
coverage in an amount not less than Fifteen Thousand Dollars
($15,000)for each employee except for Police and Fire which are
at set forth in the collective bargaining agreement. Such insurance
shall become effective upon the award of a group life insurance
bid by the Board of Public Works, or upon the beginning of the
plan year, whichever is later.
(5) Benefit Waiting Period. The City notes that life insurance,
comprehensive major Medical Insurance, and short term disability
programs require a minimum of sixty(60) day eligibility period; and
that the long-term disability program requires a minimum of a
ninety (90) day eligibility period which must be met.
(e) Hiring Bonus. The Mayor, may, at his/her discretion, offer a Hiring
Bonus to a new employee as an incentive for the employee to accept the
position offered. This Bonus will be paid to the employee in addition to the
salary set forth in the Salary Ordinance. The range of these monetary
bonuses will be from one hundred ($100)to four thousand ($4,000).
(f) Police Communication Employees. Employees working in the
communications area of the Police Department will be paid stand-by
beeper pay as follows: one hour of straight time pay will be paid to one
employee to cover each shift each day for the one hour immediately
preceding the shift change.
(g) Allowances
1. Auto Allowance. At the Mayor's discretion an auto allowance may be
offered to city employees in lieu of a City issued car. The allowance may
range from one ($1) to five hundred ($500) dollars per month.
2. Cell Phone Allowance. At the Mayor's discretion an allowance for
the business portion of an employee's cell phone may be provided to
those employees whose position and job responsibilities require the ability
to communicate outside of city premises or after normal city working
hours. The allowance shall not exceed one-hundred ($100) per month.
(h) Early Retirement Incentives. The Mayor shall have discretion to offer an
early retirement incentive program that may take the form of a bonus upon
retirement for years of service or assistance with health insurance for a
retiree who isn't Medicare eligible. Such assistance shall not exceed one
(1)year. Any such bonus or assistance must be approved by the Mayor
and Controller and are subject to appropriation by the Common Council
before any such bonus or assistance may be paid.
I.C. 5-10.2-3-1.2 permits employers to purchase one year for every five
years of service for employees in PERF covered positions under certain
conditions. The Mayor shall have discretion to offer such early retirement
incentive program, pursuant to statute, after consultation with the
Controller and after appropriation by the Common Council.
W Other Monetary Fringe Benefits. All other fringe benefits shall be as set
forth in the City's Personnel Policies and Procedures Manual as it may be
amended from time to time.
(j) Definition of Full-Time Employee_ Full-time employees are those
employees who are not in a part time status and who are regularly
scheduled to work the City of South Bend's full-time scheduled, forty(40)
hours per week, or a reduced full-time schedule of thirty-two (32) hours or
more per week as approved by the Mayor on a voluntary basis. Such
employees are eligible for the Employer's Benefits Package subject to the
terms and conditions and limitations of each benefit program.
(k) Definition of Part-Time Employee. Part-time employees are those
employees who are not assigned to a full-time status and who are
scheduled to work less than the City of South Bend's full-time schedule,
not to exceed one thousand forty(1040) hours per year. While they do
receive certain mandated benefits (such as worker's compensation and
social security benefits), they are not eligible for other City benefit
programs with the exception of the positions listed below:
All Attorneys employed in the City Attorney's Office in part-time positions
as well as all elected Council members. These positions are eligible for
participation in all of the Employer's Benefit Programs.
(1) Policies and Procedures. Two (2) copies of the City's Personnel
Policies and Procedures Manual and the Family and Medical Leave Act
Policy shall be kept on file and made available for public inspection during
regular hours in the office of the City Clerk on the 4th Floor of the County-
City Building, South Bend, Indiana.
Section lil. Effective Date
This Ordinance shall be in full force and effect from and after its passage
by the Common Council and approved by the Mayor.
Member of the Common Council
Attest:
id
City Clerk
ar
Presented by me to the Mayor of the City of South Bend, Indiana on the day of
2012, at o'clock_. M.
Deputy City Clerk
Approved and signed by me on the day of 2012, at
o 'clock M.
Mayor, City of South Bend, Indiana
P
E
3,d P.EAD,NG P ?.
NOT APPkoVfj)
WERREp
PASSED
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120ON COUNTY-CITY BUILDING d P110Nr= 574.235.9216
227 W. .IEFFERSON B[_vD. W . �A`���.'% FAX 574.235.9928
Soul Ii BEND,INDIANA 4660 1-1 830 �e
I$65
CITY OF SOUTH BEND PETE BUTTIGIEG,MAYOR
DEPARTMENT DE ADMINISTRATION AND FINANCE
September 19, 2012
Mr. Derek D. Dieter, President
City of South Bend Common Council
227 W. Jefferson Boulevard, 4t1' Floor
South Bend, Indiana 46601
RE: 2013 Appointed and Non-bargaining Employees Salary Ordinance
Dear President Dieter,
Enclosed please find the following information with respect to the appointed and non-
bargaining employee salary ordinance for the fiscal year beginning January 1, 2013:
0 2013 Salary Ordinance
0 2013 Salary Ordinance Wage Schedule
1 will present these bills to the Common Council at the appropriate committee and
council meetings. It is requested that these bills be filed for 1 st reading on September 24,
2012 with 2"d reading, public hearing and 3'1 reading scheduled for October 8, 2012.
Please note that all positions have been fully funded in the 2013 proposed budget at these
proposed 2013 salary levels.
Thank you for your attention to this request. If you should have any questions, please feel
to contact me at 574-235-7500.
Regards,
�MarkW. Neal
City Controller F
CC: Pete Buttigieg Mayor
•F
Mike Schmuhl, Chief of Staff
BILL NO.
ORDINANCE NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH BEND,
INDIANA, SETTING THE ANNUAL SALARY FOR THE MAYOR
FOR THE CALENDAR YEAR 2013
STATEMENT OF PURPOSE AND INTENT
Pursuant to Indiana Code 36-4-7-2, the City's legislative body is required to fix
the annual compensation of all elected officers. Such compensation may "not be changed
in the year for which it is fixed, nor may it be reduced below the amount fixed for the
previous year."
The following Ordinance establishes the annual compensation for Mayor of the
City of South Bend in calendar year 2013.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA, as follows:
Section 1. The annual compensation for the Mayor of the City of South Bend in
calendar year 2013 shall be and hereby is established at $100,431.00.
Section 11. This ordinance shall be in full force and effect from and after its
passage by the Common Council, approval by the Mayor and any publication required by
law.
Member, South Bend Common Council
Attest:
City Clerk ",,
Presented by me to the Mayor of the City of South Bend, Indiana, on the
day of , 2012, at o'clock— . m.
Deputy City Clerk
Approved and signed by one on the day of , 2012, at
o'clock m.
Mayor, City of South Bend, Indiana
1st READING
PUBLIC HECARNG
3 rd READING
NOT APPROVED
REFERRED
PASSED
o�$au�
120ON COUNTY-C)TYBtffmjNG ..` x PHONE 5741235-9216
227 W.jFFAE,RSON BLVD. �� �` if
PAX 574!235-9928
Souuq BF.ND� INDIANA 46601-1830
x x
1865
CITY OF SouTH BENZ] PETE BCI'T fGIEG, MAYOR
.DEPARTMENT OF ADMINISTRATION AND FINANCE
September 19, 2012
Derek Dieter, President
South Bend Common Council
County-City Building
227 W. Jefferson Blvd., 40' Floor
South Bend, IN 46601
Re: Ordinance Fixing the Salary for the Mayor of South Bend for the fiscal year commencing
on January 1, 2013 and ending December 31, 2013
Dear Council President Dieter:
Attached herewith please find a bill for consideration by the Common Council of the City of
South Bend fixing the annual salary compensation for the Mayor of the City of South Bend for
the fiscal year commencing on January 1, 2013 and ending December 31, 2013. The
compensation represents a 2% increase from the 2012 salary ordinance amount. Please note that
Mayor Buttigieg plans to forgo this pay increase and donate $4,017 (4%) of his salary back to the
General Fund.
This bill is respectively submitted for 151 read fling with Common Council for the council
meeting scheduled September 24, 2012; 2"d read and public hearing; 3'd read and council vote at
the October 8, 2012 Common Council meeting.
This bill will be presented to the Common Council by the Mayor and Controller as required at
the appropriate sessions of the Personnel and Finance Committee and at the public hearing.
Sincerely,
S:)
Mark W. Neal
City Controller
c: Pete Buttigieg, Mayor
Mike Schmuhl, Chief of Staff ;.
Kathyrn Roos, Deputy Chief of Staff
Aladean DeRose, Interim City Attorney {
�---
_P2-ORDINANCE NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH
BEND, INDIANA AUTHORIZING THE ACQUISITION, CONSTRUCTION AND
INSTALLATION OF CERTAIN ADDITIONS, EXTENSIONS AND
IMPROVEMENTS TO THE CITY'S SEWAGE WORKS, THE ISSUANCE
AND SALE OF ADDITIONAL REVENUE BONDS TO PROVIDE
FUNDS FOR THE PAYMENT OF THE COSTS THEREOF, THE
COLLECTION, SEGREGATION AND DISTRIBUTION OF THE
REVENUES OF SUCH SEWAGE WORDS, THE ESTABLISHMENT OF FUND
NUMBER 661, THE 2012 SEWAGE WORKS CONSTRUCTION FUND, AND OTHER
RELATED MATTERS
STATEMENT OF PURPOSE AND INTENT
The City of South Bend, Indiana (the "City"), presently owns and operates a sewage
works by and through its Board of Public Works (the "Board") for the collection and treatment
of sewage and other wastes (the "Sewage Works" or the "Works"), pursuant to the provisions of
Indiana Code 36-9-23, as amended (the "Act"). The Board has determined and recommended to
the Common Council of the City (the "Common Council") that certain additions, extensions and
improvements to the Sewage Works, as described herein, are necessary. The Board has
employed Greeley and Hansen, LLC, The Troyer Group, Inc., Cardno/JFNew, Christopher
Burke Engineering, McCormick Engineering, LLC, Lawson-Fisher Associates, P,C., DLZ, Inc.,
Abonmarche Consultants, R.W. Armstrong, Donahue and Associates, Malcolm Pirnie, Inc., Ken
Herceg & Associates, Wightman Petrie, American Structurepoint, Inc., Symbiont Science,
Engineering and Construction, Inc., Gary A. Gilot, P.E., and John C. Engstrom, P.E., as
professional engineers (the "Engineers"), to prepare and file plans, specifications, and detailed
descriptions and estimates of the costs of the necessary additions, extensions and improvements
to the Sewage Works, which plans, specifications, descriptions and estimates, to the extent
required by law, have been duly submitted to and approved or will be approved by all
governmental authorities having jurisdiction thereover (the improvements and extensions to the
Sewage Works as described in the Engineers' plans and specifications and below are referred to
herein as the "Project"), including, without limitation, the Indiana Department of Environmental
Management (the "Department").
The Common Council finds that the estimates prepared and delivered by the Engineers
with respect to the costs (as defined in Indiana Code 36-9-23-11) of acquisition, construction and
installation of such improvements and extensions to the Sewage Works, and including all
authorized costs relating thereto, including the costs of issuance of bonds on account of the
financing of all or a portion thereof, will be in the estimated amount not to exceed Twenty
Five Million Dollars ($25,000,000). The Common Council finds that to provide funds necessary
to pay for the costs of the Project, it will be necessary for the City to issue sewage works revenue
bonds in an amount not to exceed Twenty Five Million Dollars ($25,000,000).
Pursuant to Ordinance No. 8919-98 adopted by the Common Council on June 22, 1998
(the "1998 Ordinance"), the City has heretofore issued revenue bonds payable from the Net
Revenues (as defined below) of the Sewage Works, such bonds being designated as "Sewage
Works Refunding Revenue Bonds of 1998" (the "1998 Bonds"), outstanding after December 1,
2011, in the amount of$10,865,000, and maturing on December 1, 2018.
Pursuant to Ordinance No. 9523-04 adopted by the Common Council on August 10, 2004
(the "2004 Ordinance"), the City has heretofore issued sewage works bonds payable from the
Net Revenues of the Sewage Works, designated as "Sewage Works Revenue Bonds of 2004"
(the "2004 Bonds"), outstanding after December 1, 2011, in the amount of $8,465,000, and
maturing on December 1, 2024.
Pursuant to Ordinance No. 9672-06 adopted by the Common Council on April 11, 2006,
as amended by Ordinance No. 9767-07 adopted by the Common.Council on June 25, 2007
(collectively, the "2006 Ordinance"), the City has heretofore issued revenue bonds payable from
the Net Revenues of the Sewage Works, such bonds being designated as (i) "Sewage Works
Revenue Bonds of 2006" (the "2006 Bonds"), outstanding after December 1, 2011, in the
amount of$6,745,000, and maturing on December 1, 2026; (ii) "Sewage Works Revenue Bonds
of 2007' (the "2007 Bonds"), outstanding after December 1, 2011, in the amount of
$14,305,000, and maturing on December 1, 2027; and (iii) "Sewage Works Revenue Bonds of
2007 B" (the "2007B Bonds"), outstanding after December 1, 2011, in the amount of
$14,240,000, and maturing on December 1, 2027.
Pursuant to Ordinance No. 9951-09 adopted by the Common Council on August 10,
2009, as amended by Ordinance No. 9971-09 adopted by the Common Council on October 26,
2009 (collectively, the "2009 Ordinance"), the City has heretofore issued revenue bonds payable
from the Net Revenues of the Sewage Works, designated as "Sewage Works Revenue Bonds of
2009" (the "2009 Bonds"), outstanding after December 1, 2011, in the amount of $3,029,211,
and maturing on December 1, 2028.
Pursuant to Ordinance No. 10052-10 adopted by the Common Council on November 8,
2010 (the "2010 Ordinance"), the City has heretofore issued revenue bonds payable from the Net
Revenues of the Sewage Works, designated as "Sewage Works Revenue Bonds of 2010" (the
"2010 Bonds"), outstanding after December 1, 2011, in the amount of$8,980,000, and maturing
on December 1, 2030.
Pursuant to Ordinance No. 10118-11 adopted by the Common Council on September 12,
2011 (the "2011 Ordinance" and with the 1998 Ordinance, the 2004 Ordinance, the 2006
Ordinance, the 2009 Ordinance and the 2010 Ordinance, the "Prior Ordinances"), the City has
heretofore issued revenue bonds payable from the Net Revenues of the Sewage Works,
designated as "Sewage Works Revenue Bonds of 2011" (the "2011 Bonds" and with the 1998
Bonds, 2004 Bonds, 2006 Bonds, 2007 Bonds, 2007E Bonds, 2009 Bonds and 2010 Bonds, the
"Prior Bonds"), outstanding after December 1, 2011, in the amount of $21,500,000, and
maturing on December 1, 2031.
The Prior Ordinances permit the issuance of additional revenue bonds ranking on a
parity basis with the Prior Bonds for the purpose of financing the costs of future additions,
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extensions and improvements to the Sewage Works, so long as certain conditions are met.
Crowe Horwath LLP, Financial Advisor to the City (the "Financial Advisor"), has been
employed by the Board for the purpose of analyzing the records and finances of the Sewage
Works, and has submitted preliminary evidence and findings demonstrating compliance with
the conditions set forth in the Prior Ordinances for the issuance of additional revenue bonds
payable out of the revenues of the Sewage Works and ranking on a parity with the Prior Bonds.
Subject to the provisions of the immediately preceding paragraph, this Council now finds
that all conditions precedent to the adoption of an ordinance, authorizing the issuance of
additional bonds ranking on a parity with the Prior Bonds for the purpose of financing the cost of
the Project and the authorized costs relating thereto, have been complied with in accordance with
the provisions of the Prior Ordinances and the Act. The Common Council consequently seeks to
authorize the issuance of revenue bonds to finance the acquisition, construction and installation
of the Project pursuant to the Act and the sale of such revenue bonds at public sale pursuant to
the provisions of Indiana Code 5-1-11, subject to and dependent upon the terms and conditions
hereinafter set forth.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF THE
CITY OF SOUTH BEND, INDIANA, AS FOLLOWS:
SECTION 1. Acquisition, Construction and Installation of the Project. The City,
acting by and through the Board and as the owner and operator of the Sewage Works for the
collection and treatment of sewage and other wastes, hereby orders, authorizes and directs the
Board to proceed with the acquisition, construction and installation of additions, extensions and
improvements to the Sewage Works, pursuant to the Act and in accordance with the plans,
specifications and cost estimates prepared and filed with the Board by the Engineers, which
plans, specifications and cost estimates are hereby adopted and approved and, by reference,
incorporated fully into this Ordinance, and two copies of which are now on file in the office
of the Board and are open for public inspection. The actions of the Board in connection with
the acquisition, installation, and financing of such improvements to the Sewage Works are
hereby authorized, approved, ratified and confirmed.
Where used in this Ordinance, the term "City" shall be construed also to include any
department, board, commission or officer or officers of the City or of any City department, board
or commission. The terms "Sewage Works," "sewage works," "works" and similar terms used in
this Ordinance shall be construed to mean and include the existing structures and property of the
Sewage Works and all enlargements, improvements, extensions and additions thereto, and
replacements thereof, now or subsequently constructed or acquired, from the proceeds of the
bonds authorized herein or otherwise. Such additions, extensions and improvements shall be
constructed and the bonds herein authorized shall be issued pursuant to the provisions of this
Ordinance and the Act.
SECTION 2. Description of the Project. The Project consists of the improvements
described in Appendix A attached hereto and incorporated herein.
The City, acting by and through the Board, shall proceed with the acquisition,
construction and installation of the Project and shall enter into all contracts necessary or
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appropriate for such purpose, in conformity with and subject to the requirements and conditions
set forth in this Ordinance and in the Act and in accordance with the plans and specifications
previously prepared for and on behalf of the City.
SECTION 3. Authorization for Bonds. In accordance with the Act and for the purpose
of providing funds with which to pay the costs of the Project, together with all authorized costs
relating thereto including the costs of the issuance of the 2012 Bonds (defined below) on account
thereof, the City shall issue and sell its sewage works revenue bonds, in one or more series, in an
amount not to exceed Twenty Five Million Dollars ($25,000,000), to be designated "Sewage
Works Revenue Bonds of 2012" (the "2012 Bonds"). Such 2012 Bonds shall be signed in the
name of the City by the manual or facsimile signatures of the Mayor of the City {the "Mayor")
and the Controller of the City (the "Controller") and attested by the Clerk of the City (the
"Clerk"), who shall affix the seal of the City to each of the 2012 Bonds manually or shall have
the seal imprinted or impressed thereon by facsimile or other means, In case any officer whose
signature appears on the 2012 Bonds shall cease to be such officer before the delivery of such
2012 Bonds, such signature shall nevertheless be valid and sufficient for all purposes as if such
officer had remained in office until delivery thereof. The 2012 Bonds shall also be authenticated
by the manual signature of the Registrar (as defined below). Subject to the provisions of this
Ordinance regarding the registration of the 2012 Bonds, the 2012 Bonds shall be frilly negotiable
instruments under the laws of the State of Indiana(the "State").
Any other provisions of this Ordinance to the contrary notwithstanding, the 2012 Bonds
shall be issued on a parity with the outstanding Prior Bonds, and none of the provisions of this
Ordinance shall be construed to affect the rights of the holders of the outstanding Prior Bonds.
The Board shall instruct the Financial Advisor to perform any and all computations necessary to
confirm the preliminary evidence and findings demonstrating compliance with the conditions set
forth in the Prior Ordinances for issuance of additional revenue bonds on parity with the
outstanding Prior Bonds. The City shall not issue the 2012 Bonds without first receiving a
certificate from the Financial Advisor in form and substance satisfactory to the Controller
regarding compliance with certain conditions set forth in the Prior Ordinances for the issuance of
additional revenue bonds on parity with the outstanding Prior Bonds.
The 2012 Bonds shall be on a parity with the Prior Bonds, and shall be sold at a price not
less than 99% of the par value thereof, shall be issued in fully registered form in denominations
of Five Thousand Dollars ($5,000) or any integral multiple thereof, shall be numbered
consecutively from R-I up, shall be originally dated as of the first day of the month in which the
2012 Bonds are sold or as otherwise determined by the Controller, and shall bear interest at a rate
or rates not exceeding eight percent (8.0 %) per annum (the exact rate or rates to be determined
pursuant to Section 8 hereof) payable on the first (Ist) day of June and December in each year,
following the original date of the 2012 Bonds as determined by the Controller, with the advice of
the Financial Advisor and as set forth in the notice of intent to sell bonds or notice of bond sale
pursuant to in Section 8 herein, Interest shall be calculated on the basis of a 360-day year
comprised of twelve 30-day months. The 2012 Bonds shall mature annually on December I as
finally determined by the Mayor and the Controller with the advice of the Financial Advisor and
as set forth in the notice of intent to sell referred to herein and as evidenced by delivery of the
executed initial issue of the 2012 Bonds to the Registrar for authentication; provided that the
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original aggregate principal amount does not exceed the amount authorized above, and that the
final maturity shall be no later than December 1, 2032.
All payments of interest on the 2012 Bonds shall be paid by check or draft mailed one
business day prior to the interest payment date to the registered owners thereof as of the fifteenth
(15th) day of the month preceding the interest payment date at the addresses as they appear on
the registration books kept by the Registrar (the "Registration Record") or at such other address
as is provided to the Paying Agent (as defined below) in writing by such registered owner. All
principal payments and premium, if any, on the 2012 Bonds shall be made upon surrender
thereof at the principal corporate trust office of the Paying Agent in any coin or currency of the
United States of America which on the date of such payment shall be legal tender for the
payment of public and private debts.
Interest on 2012 Bonds shall be payable from the interest payment date to which interest
has been paid next preceding the authentication date thereof unless such 2012 Bonds are
authenticated after the fifteenth (15th) day of the month preceding an interest payment date and
on or before such interest payment date in which case they shall bear interest from such interest
payment date, or unless authenticated on or before the fifteenth (15th) day of the month
immediately preceding the first interest payment date, in which case they shall bear interest from
the original date, until the principal shall be fully paid.
The 2012 Bonds and any bonds ranking on a parity therewith, as to principal, premium
and interest, shall be payable from and are hereby secured by an irrevocable pledge of and shall
constitute a charge upon all the Net Revenues, herein defined as the gross revenues of the
Sewage Works after deduction only for payment of the reasonable expenses of operation, repair
and maintenance but not including depreciation and payments in lieu of taxes (the "Net
Revenues"), of the Sewage Works of the City, which bonds constitute a first charge on said Net
Revenues. The City shall not be obligated to pay said bonds or the interest or premium, if any,
thereon except from the Net Revenues of the Works, and said bonds shall not constitute an
indebtedness of the City within the meaning of the provisions and limitations of the constitution
of the State of Indiana.
Each 2012 Bond shall be transferable or exchangeable only upon the Registration Record
by the Registrar, by the registered owner thereof in person, or by his attorney duly authorized in
writing, upon surrender of such 2012 Bond together with a written instrument of transfer or
exchange satisfactory to the Registrar duly executed by the registered owner or his attorney duly
authorized in writing, and thereupon a new fully registered bond or bonds in the same aggregate
principal amount, and of the same maturity, shall be executed and delivered in the name of the
transferee or transferees or the registered owner, as the case may be, in exchange therefor. The
costs of such transfer or exchange shall be borne by the City, except for any tax or governmental
charge required to be paid in connection therewith, which shall be payable by the person
requesting such transfer or exchange. The City, Registrar and Paying Agent may treat and
consider the persons in whose name such 2012 Bonds are registered as the absolute owners
thereof for all purposes including for the purpose of receiving payment of, or on account of, the
principal thereof and interest and premium, if any, due thereon.
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In the event any 2012 Bond is mutilated, lost, stolen or destroyed, the City may execute
and the Registrar may authenticate a new bond of like date, maturity and denomination as that
mutilated, lost,stolen or destroyed, which new bond shall be marked in a manner to distinguish it
from the bond for which it was issued, provided that, in the case of any mutilated bond, such
mutilated bond shall first be surrendered to the Registrar, and in the case of any lost, stolen or
destroyed bond there shall be first furnished to the Registrar evidence of such loss, theft or
destruction satisfactory to the City and the Registrar, together with indemnity satisfactory to
them. In the event any such bond shall have matured, instead of issuing a duplicate bond, the
City and the Registrar may, upon receiving indemnity satisfactory to them, pay the same without
surrender thereof. The City and the Registrar may charge the owner of such 2012 Bond with
their reasonable fees and expenses in this connection. Any bond issued pursuant to this
paragraph shall be deemed an original, substitute contractual obligation of the City, whether or
not the lost, stolen or destroyed 2012 Bond shall be found at any time, and shall be entitled to all
the benefits of this Ordinance, equally and proportionately with any and all other 2012 Bonds
issued hereunder.
SECTION 4. Terms of Redemption,
(a) The Mayor and the Controller, upon consultation with the Financial Advisor, may
designate maturities of the 2012 Bonds (or a portion thereof in integral multiples of$5,000 of
principal amount each) that shall be subject to optional redemption and/or mandatory sinking
fund redemption, and the corresponding redemption dates, amounts and prices (including
premium, if any). Except as otherwise set forth in this Ordinance, the Mayor and the Controller,
upon consultation with the Financial Advisor, are hereby authorized and directed to determine
the terms governing any such redemption, provided that any redemption premium shall not
exceed two percent (2%) of the par amount of the 2012 Bonds to be redeemed..
(b) Notice of redemption shall be given not less than 30 days prior to the date of
redemption and shall be mailed by first-class mail or by registered or certified mail to the address
of each registered owner of a 2012 Bond to be redeemed as shown on the Registration Record 45
days prior to the date fixed for redemption, except to the extent such redemption notice is waived
by owners of 2012 Bonds redeemed; provided, however, that failure to give such notice by
mailing, or any defect therein, with respect to any 2012 Bond shall not affect the validity of any
proceedings for the redemption of any other 2012 Bonds. The notice shall specify the date and
place of redemption, the redemption price and the CUSIP numbers of the 2012 Bonds called for
redemption. The place of redemption may be determined by the City. Interest on the 2012
Bonds so called for redemption shall cease on the redemption date fixed in such notice if
sufficient funds are available at the place of redemption to pay the redemption price on the date
so named, and thereafter, such 2012 Bonds shall no longer be protected by this Ordinance and
shall not be deemed to be outstanding hereunder, and the holders thereof shall have the right only
to receive the redemption price.
(c) The 2012 Bonds may be subject to mandatory sinking fund redemption as set
forth herein. At the option of the successful bidder for each series of the 2012 Bonds, all or a
portion of the 2012 Bonds of a particular series may be aggregated into one or more term bonds
payable from mandatory sinking fund redemption payments (the "Term Bonds") required to be
made as set forth below. The Term Bonds shall have a stated maturity or maturities on December
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I of the years in which the 2012 Bonds are outstanding as determined pursuant to Section 3
hereof or as determined by the successful bidder.
In the event that the successful bidder opts to aggregate certain 2012 Bonds into Term
Bonds, such Term Bonds shall be subject to mandatory sinking fund redemption prior to
maturity at a redemption price equal to 100% of the principal amount thereof, plus accrued
interest to the redemption date, but without premium, on December I of each year and in the
principal amounts corresponding to and consistent with the maturity schedule for the 2012
Bonds set forth in the bond sale notice.
The Registrar and Paying Agent shall credit against the current mandatory sinking fund
requirement for a Term Bond of a particular maturity, any 2012 Bonds of such maturity
delivered to the Registrar and Paying Agent for cancellation or purchased for cancellation by the
Registrar and Paying Agent and cancelled by the Registrar and Paying Agent and not theretofore
applied as a credit against any mandatory sinking fund requirement. Each 2012 Bond so
delivered or purchased shall be credited by the Registrar and Paying Agent at 100% of the
principal amount thereof against the mandatory sinking fund redemption requirements for the
applicable Term Bond in order of mandatory sinking fluid redemption (or final .maturity) dates
determined by the Clerk, and the principal amount of such Term Bond to be redeemed on such
mandatory sinking fund redemption dates by operation of the mandatory sinking fund
requirements shall be reduced accordingly; provided, however, the Registrar and Paying Agent
shall only credit 2012 Bonds against the mandatory sinking fund requirements to the extent such
2012 Bonds are received on or before 45 days preceding the applicable mandatory sinking fund
redemption date.
The Registrar shall determine by lot (treating each $5,000 principal amount of each 2012
Bond as a separate 2012 Bond for such purpose) the 2012 Bonds within a Term Bond of a
particular maturity to be redeemed pursuant to the mandatory sinking fund redemption
requirements on December 1 of each year.
Notice of any such mandatory sinking fund redemption shall be given in the same manner
as notice of optional redemption is required to be given pursuant to this Section 4 of this
Ordinance. If 2012 Bonds are to be redeemed by optional redemption and mandatory sinking
fund redemption on the same date, the Registrar shall select by lot the 2012 Bonds for optional
redemption before selecting the 2012 Bonds by lot for the mandatory sinking fund
redemption.
In the event any of the 2012 Bonds are issued as Term Bonds, the form of the 2012 Bond
set forth in Appendix B to this Ordinance shall be modified accordingly.
Any reference to payment of principal on the 2012 Bonds shall include payment of
scheduled mandatory sinking fund redemption payments described in this Section 4.
(d) All 2012 Bonds which have been redeemed shall be canceled and shall not be
reissued; provided, however, that one or more new registered 2012 Bonds shall be issued for the
unredeemed portion of any 2012 Bond without charge to the holder thereof.
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(e) No later than the date fixed for redemption, funds shall be deposited with the
Paying Agent to pay, and the Paying Agent is hereby authorized and directed to apply such funds
to the payment of, the 2012 Bonds or portions thereof called for redemption, including accrued
interest thereon to the redemption date. No payment shall be made upon any 2012 Bond or
portion thereof called for redemption until such 2012 Bond shall have been delivered for
payment or cancellation or the Registrar shall have received the items required by this Ordinance
with respect to any mutilated, lost, stolen or destroyed 2012 Bond,
SECTION 5. Appointment of Registrar and Paying,Age nt. The Controller is hereby
authorized to appoint a registrar and a paying agent for the 2012 Bonds ("Registrar" or "Paying
Agent"). The Registrar is hereby charged with the responsibility of authenticating the 2012
Bonds, and shall keep and maintain books for the registration and transfer of the 2012 Bonds.
The Mayor is hereby authorized to enter into such agreements or understandings with any
institution serving as Registrar and Paying Agent as will enable the institution to perform the
services required of the Registrar and Paying Agent. The Controller is authorized to pay such
fees as the institution may charge for the services it provides as Registrar and Paying Agent, and
such fees may be paid as fiscal agency charges from the Sinking Fund described herein to pay
the principal of and interest on the 2012 Bonds.
The Registrar and Paying Agent may at any time resign as Registrar and Paying Agent by
gfving thirty (30) days written notice to the City and by first-class mail to each registered owner
of the 2012 Bonds then outstanding, and such resignation will take effect at the end of such thirty
(30) days or upon the earlier appointment of a successor Registrar and Paying Agent by the City.
Such notice to the City may be served personally or be sent by registered mail. The Registrar
and Paying Agent may be removed at any time as Registrar and Paying Agent by the City, in
which event the City may appoint a successor Registrar and Paying Agent. The City shall notify
each registered owner of the 2012 Bonds then outstanding by first-class mail of the removal of
the Registrar and Paying Agent. Notices to registered owners of the 2012 Bonds shall be
deemed to be given when mailed by first-class mail to the addresses of such registered owners as
they appear on the bond register. Any predecessor Registrar and Paying Agent shall deliver all
the 2012 Bonds and cash in its possession and the bond register to the successor Registrar and
Paying Agent. At all times, the same entity shall serve as Registrar and as Paying Agent.
SECTION 6. Form of Bonds. The form and tenor of the 2012 Bonds shall be
substantially as set forth in Appendix B, with all blanks to be filled in properly and all necessary
additions and deletions to be made prior to delivery thereof.
SECTION 7. Authorization for Book-Enter System. The 2012 Bonds may, in
compliance with all applicable laws, initially be issued and held in book-entry form on the books
of the central depository system, The Depository Trust Company, its successors, or any
successor central depository system appointed by the City from time to time (the "Clearing
Agency"), without physical distribution of 2012 Bonds to the purchasers. The following
provisions of this section apply in such event,
One definitive 2012 Bond of each maturity shall be delivered to the Clearing Agency (or
its agent) and held in its custody. The City, the Registrar and the Paying Agent may, in
connection therewith, do or perform or cause to be done or performed any acts or things not
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adverse to the rights of the holders of the 2012 Bonds as are necessary or appropriate to
accomplish or recognize such book-entry form 2012 Bonds.
During any time that the 2012 Bonds remain and are held in book-entry form on the
books of a Clearing Agency: (1) any such 2012 Bond may be registered upon the books kept by
the Registrar in the name of such Clearing Agency, or any nominee thereof, including Cede &
Co., as nominee of The Depository Trust Company; (2) except as otherwise described in the
Continuing Disclosure Contract described below, the Clearing Agency in whose name such 2012
Bond is so registered shall be, and the City, the Registrar and the Paying Agent may deem and
treat such Clearing Agency as, the absolute owner and holder of such 2012 Bond for all purposes
of this Ordinance, including, without limitation, the receiving of payment of the principal of and
interest on such 2012 Bond, the receiving of notice and giving of consent; (3) except as
otherwise described in the Continuing Disclosure Contract, neither the City nor the Registrar or
Paying Agent shall have any responsibility or obligation hereunder to any direct or indirect
participant, within the meaning of Section 17A of the Securities Exchange Act of 1934, as
amended, of such Clearing Agency, or any person on behalf of which, or otherwise in respect of
which, any such participant holds any interest in any 2012 Bond, including, without limitation,
any responsibility or obligation hereunder to maintain accurate records of any interest in any
2012 Bond or any responsibility or obligation hereunder with respect to the receiving of payment
of principal of or interest or premium, if any, on any 2012 Bond, the receiving of notice or the
giving of consent; and (4) the Clearing Agency is not required to present any 2012 Bond called
for partial redemption prior to receiving payment so long as the Registrar, the Paying Agent and
the Clearing Agency have agreed to the method for noting such partial redemption.
If either the City receives notice from the Clearing Agency which is currently the
registered owner of the 2012 Bonds to the effect that such Clearing Agency is unable or
unwilling to discharge its responsibility as a Clearing Agency for the 2012 Bonds, or the City
elects to discontinue its use of such Clearing Agency as a Clearing Agency for the 2012 Bonds,
then the City, the Registrar and the Paying Agent each shall do or perform or cause to be done or
performed all acts or things, not adverse to the rights of the holders of the 2012 Bonds, as are
necessary or appropriate to discontinue use of such Clearing Agency as a Clearing Agency for
the 2012 Bonds and to transfer the ownership of each of the 2012 Bonds to such person or
persons, including any other Clearing Agency, as the holders of the 2012 Bonds may direct in
accordance with this Ordinance. Any expenses of such discontinuance and transfer, including
expenses of printing new certificates to evidence the 2012 Bonds, shall be paid by the City.
During any time that the 2012 Bonds are held in book-entry form on the books of a
Clearing Agency, the Registrar shall be entitled to request and rely upon a certificate or other
written representation from the Clearing Agency or any direct or indirect participant with respect
to the identity of any beneficial owner of 2012 Bonds as of a record date selected by the
Registrar. For purposes of determining whether the consent, advice, direction or demand of a
registered owner of a 2012 Bond has been obtained, the Registrar shall be entitled to treat the
beneficial owners of the 2012 Bonds as the bondholders and any consent, request, direction,
approval, objection or other instrument of such beneficial owner may be obtained in the fashion
described in this Ordinance.
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During any time that the 2012 Bonds are held in book-entry form on the books of a
Clearing Agency, the Mayor, the Controller and/or the Registrar are authorized to execute and
deliver a Letter of Representations agreement with the Clearing Agency or a Blanket Issuer
Letter of Representations (the "DTC Letter of Representations"), and the provisions of any such
DTC Letter of Representations or any successor agreement shall control on the matters set forth
therein. The Registrar, by accepting the duties of Registrar under this Ordinance, agrees that it
will (i) undertake the duties of agent required thereby and that those duties to be undertaken by
either the agent or the issuer shall be the responsibility of the Registrar, and (ii) comply with all
requirements of the Clearing Agency, including, without limitation, same day funds settlement
payment procedures. Further, during any time that the 2012 Bonds are held in book-entry form,
the provisions of this section shall control over conflicting provisions in any other section hereof.
SECTION S. Sale of Bonds.
(a) The Controller is hereby authorized and directed to have the 2012 Bonds
prepared, and the Mayor, Controller and the Clerk are hereby authorized and directed to execute
the 2012 Bonds in substantially the form and the manner herein provided.
(b) The 2012 Bonds shall be sold in a competitive sale. The Controller shall cause to
be published either (i) a notice of sale once each week for two consecutive weeks in accordance
with I.C.§5-3-1-2, in which case the date fixed for the sale shall not be earlier than fifteen (15)
days after the first of such publications and not earlier than three (3) days after the second of
such publications, or (ii) a notice of intent to sell bonds once each week for two weeks in
accordance with I.C. §5-1-11-2 and I.C. §5-3-1-4 and in a newspaper of general circulation
published in the State capital. Said sale notice shall state the time and place of sale, the purpose
for which the 2012 Bonds are being issued, the total amount thereof, the amount and date of each
maturity, the maximum rate or rates of interest thereon, their denominations, the time and place
of payment, the terms and conditions upon which bids will be received and the sale made and
such other information as is required by law or as the Controller shall deem necessary. The
Controller is designated as the officer responsible for the sale of the 2012 Bonds, and shall
provide or cause to be provided all notices required by law.
All bids for the 2012 Bonds shall be presented to the Controller in accord with the terms
set forth in the sale notice. Bidders for the 2012 Bonds shall be required to name the rate or rates
of interest which the 2012 Bonds are to bear, which shall be the same for all 2012 Bonds
maturing on the same date and the interest rate bid on any maturity of 2012 Bonds must be no
less than the interest rate bid on any and all prior maturities, not exceeding eight percent (8%)
per annum, and such interest rate or rates shall be in multiples of one-one hundredth (1/100) of
one percent (1%). The Controller shall award the 2012 Bonds to the bidder who offers the
lowest interest cost, to be determined by computing the total interest on all the 2012 Bonds to
their maturities and deducting therefrom the premium bid, if any, or adding thereto the amount of
the discount, if any. No bid for less than ninety-nine percent (99%) of the par value of the 2012
Bonds, plus accrued interest, shall be considered. The Controller may require that the successful
bidder provide to the City a good faith deposit in the forth of cash, certified or cashier's checks
payable to the order of the City, or wire transfer (as instructed by the City) (the "Deposit"), in an
amount not to exceed one percent (I%) of the aggregate principal amount of the 2012 Bonds as a
guaranty of the performance of said bid. The successful bidder shall be required to submit to the
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City the Deposit not later than 3:30 p,m. (local time) on the next business day following the
award. In the event the successful bidder shall fail or refuse to accept delivery of the 2012
Bonds and pay for the same as soon as the 2012 Bonds are ready for delivery or at the time fixed
in the notice of sale, then such Deposit and the proceeds thereof shall be the property of the City
and shall be considered as its liquidated damages on account of such default. In the event no
satisfactory bids are received on the day named in the sale notice, the sale may be continued
from day to day thereafter for a period of thirty (30) days without readvertisement; provided,
however, that if said sale is continued, no bid shall be accepted which offers an interest cost
which is equal to or higher than the best bid received at the time fixed for sale in the bond sale
notice. The Controller shall have full right to reject any and all bids. The opinion of bond
counsel to the City approving the legality of the 2012 Bonds will be furnished to the purchaser at
the expense of the City.
(c) Upon the consummation of the sale of the 2012 Bonds, the Controller is hereby
authorized and directed to (i) to collect from the purchaser the purchase price for the 2012
Bonds; (ii) deliver the 2012 Bonds to the purchaser; and (iii) take the purchaser's receipt for the
2012 Bonds. The amount to be collected from the purchaser shall be the full amount which the
purchaser has agreed to pay therefor, which shall be not less than 99% of the par value of the
2012 Bonds plus accrued interest to the date of delivery.
(d) The 2012 Bonds, when fully paid for and delivered to the purchasers, shall be the
binding special revenue obligations of the City, payable out of the Net Revenues of the City's
Sewage Works to be set aside into the Sinking Fund as herein provided.
SECTION 9, Use of Bond Proceeds. Any accrued interest and premium received at the
time of delivery of the 2012 Bonds shall be deposited in the Debt Service Account of the Sinking
Fund described below and shall be applied to the payment of interest on the 2012 Bonds on the
earliest interest payment dates. The remaining proceeds received from the sale of the 2012
Bonds shall be deposited in a bank or banks which are legally qualified depositories of the funds
of the City, in a special fund to be designated as the "City of South Bend, Indiana, 2012 Sewage
Works Construction Fund Number 661" (the "Project Fund"). The numeric designation for the
Project Fund may be changed from time to time at the discretion of the Controller, The proceeds
deposited in the Project Fund shall be expended only for the purpose of paying the cost of the
Project and the costs of issuance of the 2012 Bonds. Any balance remaining in the Project Fund
after the completion of the Project, which is not required to meet unpaid obligations incurred in
connection therewith or to pay the costs of issuance of the 2012 Bonds, may be used as provided
in Indiana Code 5-1-13, as amended, or as otherwise permitted by law.
SECTION 10. Official Statement and Continuing Disclosure Contract.
(a) The Mayor and the Controller each are hereby authorized to deem final an official
statement with respect to the 2012 Bonds, as of its date, in accordance with the provisions of
Rule 15c2-12 of the U.S. Securities and Exchange Commission, as amended (the "Rule"),
subject to completion as permitted by the Rule, and the City further authorizes the distribution of
the deemed final official statement, and the execution, delivery and distribution of such
document as further modified and amended with the approval of the Mayor or the Controller in
the form of a final official statement.
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(b) If necessary in order for the purchaser or the underwriter of the 2012 Bonds to
comply with the Rule, the-Mayor and/or the Controller are hereby authorized to execute and
deliver, in the name and on behalf of the City, (i) an agreement by the City to comply with the
requirements for a continuing disclosure undertaking of the City pursuant to subsection (b)(5) or
(d)(2) of the Rule, and (ii) amendments to such agreement from time to time in accordance with
the terms of such agreement (the agreement and any amendments thereto are collectively
referred to herein as the "Continuing Disclosure Contract"). The City hereby covenants and
agrees that it will comply with and carry out all of the provisions of the Continuing Disclosure
Contract. The remedies for any failure of the City to comply with and carry out the provisions of
the Continuing Disclosure Contract shall be as set forth therein.
SECTION 11. Collection of Revenues; Funding Operation, Repair and Maintenance.
All revenues derived from the operation of the Sewage Works and from the collection of sewage
rates and charges shall be deposited in the Sewage Works Revenue Fund (the "Revenue Fund"),
as set forth in the Prior Ordinances and continued hereby, and such revenues shall be segregated
and kept separate and apart from all other funds and bank accounts of the City. Out of said
revenues the proper and reasonable expenses of operation, repair and maintenance of the Sewage
Works shall be paid, the principal and interest of all bonds and fiscal agency charges of bank
paying agents shall be paid, and the costs of replacements, extensions, additions and
improvements shall be paid as hereinafter provided.
On the last day of each calendar month there shall be credited from the Revenue Fund to
the Sewage Works Operations and Maintenance Fund(the "Operations Fund"), as set forth in the
Prior Ordinances and continued hereby, a sufficient amount of the revenues of the Sewage
Works so that the balance in said fund shall be sufficient to pay the expenses of operation, repair
and maintenance for the then next succeeding two calendar months. The moneys credited to this
fund shall be used for the payment of the reasonable and proper operation, repair and
maintenance expenses of the Sewage Works on a day-to-day basis, but none of such moneys in
such fund shall be used for deprecation, replacements, improvements, extensions or additions.
Any balance in the Operations Fund in excess of the expected expenses of operation, repair and
maintenance for the then next succeeding month may be transferred to the Sinking Fund referred
to below if necessary to prevent a default in payment of principal or interest on outstanding
bonds.
SECTION 12. Sewage Works Sinking Fund.
(a) There shall be deposited from the Revenue Fund into the Sewage Works
Sinking Fund (the "Sinking Fund") previously established and continued hereby for the
payment of the interest on and principal of revenue bonds which by their terms are
payable from the Net Revenues of the Sewage Works, and the payment of any fiscal
agency charges in connection with the payment of such bonds and interest thereon, a
sufficient amount of the Net Revenues of said Sewage Works to meet the requirements of
the Bond and Interest Account and the Reserve Account previously established and
continued hereby in said Sinking Fund. Such payments shall continue until the balance
in the Bond and Interest Account, plus the balance in the Reserve Account, equals the
principal of and interest on all of the then outstanding bonds of the Sewage Works to the
final maturity thereof.
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(b) Bond and Interest Account, There shall be transferred, on or before the
last day of each calendar month, from the Revenue Fund and credited to the Bond and
Interest Account, an amount equal to the sum of one-sixth (1/6) of the interest on all then
outstanding bonds of the Sewage Works payable on the then next succeeding Interest
Payment Date, and one-twelfth (1/12) of the amount of principal payable on all then
outstanding bonds of the Sewage Works payable on the then next succeeding principal
payment date, until the amount of interest and principal payable on the next succeeding
respective interest and principal payment dates shall have been so credited; provided that
such fractional amounts shall be appropriately increased, if necessary, to provide for the
first interest and first principal payments on the 2012 Bonds. There shall similarly be
credited to the Bond and Interest Account any amount necessary to pay the bank fiscal
agency charges, if any, for paying the principal of and interest on outstanding bonds of
the Sewage Works as the same become payable. The City shall, from the sums deposited
in the Sinking Fund and credited to the Bond and Interest Account, remit promptly to the
registered owners of the outstanding bonds of the Sewage Works or to the bank fiscal
agency sufficient moneys to pay the principal and interest on the due dates thereof
together with the amount of any bank fiscal agency charges.
(c) Reserve Account. On the date of delivery of the 2012 Bonds or any other
bonds payable from the Reserve Account, funds on hand of the Sewage Works, proceeds
of the 2012 Bonds or such other bonds or a combination thereof may be deposited into
the Reserve Account. Except as otherwise required by the Prior Ordinances, the balance
to be maintained in the Reserve Account shall equal but not exceed an amount (the
"Reserve Requirement") equal to the least of(i) the maximum annual debt service on the
2012 Bonds and any other bonds payable from the Reserve Account, (ii) one hundred
twenty-five percent (125%) of average annual debt service on the 2012 Bonds and any
other bonds payable from the Reserve Account, or (iii) ten percent (10%) of the proceeds
of the 2012 Bonds and any other bonds payable from the Reserve Account, plus if and to
the extent the amount set forth above is less than maximum annual debt service on the
2012 Bonds and any other bonds payable from the Reserve Account, a minor portion of
the proceeds thereof under Section 148(e) of the Internal Revenue Code of 1986, as
amended (the "Code"). Notwithstanding such Reserve Requirement, certain of the Prior
Ordinances require a Reserve Requirement in an amount equal to the maximum annual
debt service on the sewage works revenue bonds payable from the Reserve Account
(including the 2012 Bonds and the Prior Bonds) so long as the Prior Bonds with such a
Reserve Requirement are outstanding. If the initial deposit into the Reserve Account
does not equal the Reserve Requirement, or if no deposit is made, the City shall deposit a
sum of Net Revenues into the Reserve Account on the last day of each calendar month
until the balance equals the Reserve Requirement. The monthly deposits shall be equal in
amount and sufficient to accumulate the Reserve Requirement within five (5) years of the
date of delivery of the 2012 Bonds, The Reserve Account shall constitute the margin for
safety and protection against default in the payment of principal of and interest on the
2012 Bonds and any other bonds payable from the Reserve Account, and the moneys in
the Reserve Account shall be used to pay current principal and interest on the 2012
Bonds and any other bonds payable from the Reserve Account to the extent that moneys
in the Bond and Interest Account are insufficient for that purpose. Any deficiency in the
balance maintained in the Reserve Account shall be made up from the next available Net
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Revenues remaining after credits into the Bond and Interest Account. Any moneys in the
Reserve Account in excess of the Reserve Requirement'shall either be transferred to the
Sewage Works Improvement Fund (as described herein) or be used for the purchase of
outstanding bonds or installments of principal of fully registered, bonds at a price not
exceeding par and accrued interest, and redemption premium, if any.
As an alternative to holding cash funds in the Reserve Account, the City, with the advice
of the Financial Advisor and the City's bond counsel, may satisfy all or any part of its obligation
to maintain any amount in the Reserve Account by depositing a Credit Facility (as defined
below) therein, provided that such deposit does not adversely affect any then existing rating on
the 2012 Bonds. Notwithstanding the prior sentence, certain of the Prior Ordinances require the
City to additionally give notice to (and/or seek the consent of) the holder of certain of the Prior
Bonds so long as such Prior Bonds are outstanding prior to any deposit of a Credit Facility in the
Reserve Account. A "Credit Facility" is hereby defined as a letter of credit, liquidity facility,
insurance policy or comparable instrument furnished by a bank, insurance company, financial
institution or other entity pursuant to a reimbursement agreement or similar instrument between
such entity and the City. As long as any such Credit Facility is in full force and effect, any
valuation of the Reserve Account shall treat the maximum amount available under such Credit
Facility as its value. To the extent that any 2012 Bonds are insured, and the Credit Facility is not
being provided by the insurer of such 2012 Bonds, such insurance policy shall be subject to the
insurer's prior written consent. The Mayor and the Controller are hereby authorized to obtain
such a Credit Facility for each series of 2012 Bonds being sold, and are authorized to enter into
any agreements with such Credit Facility provider that they deem necessary with the advice of
the Financial Advisor.
Prior to applying any funds held in any debt service reserve accounts securing any
obligations payable out of the revenues of the sewage works of the City to the payment of such
obligation, the City shall cause all funds held in the Sinking Fund (or any like fund or account
from which debt service has been structured to be paid) to be applied in full before any such
reserve accounts are so applied.
SECTION 13. Sewa e Works Improvement Fund. On the first day of each calendar
month after the 2012 Bonds are issued, after meeting the requirements for operation, repair, and
maintenance and the Sinking Fund, all available net revenues shall be credited to the Sewage
Works Improvement Fund as set forth in the Prior Ordinances and continued hereby. Said fund
shall be used for improvements, replacements, additions and extensions of the Sewage Works.
Moneys in the Sewage Works Improvement Fund shall be transferred to the Sinking Fund if
necessary to prevent a default in the payment of principal of and interest on the then outstanding
bonds or if necessary to eliminate any deficiencies in credits to or minimum balance in the Debt
Service Reserve Account of the Sinking Fund.
SECTION 14. Investments. The moneys in any of such funds or accounts shall be
invested in accordance with the laws of the State of Indiana relating to the depositing, holding,
securing or investing of public funds, and in accordance with the arbitrage certificate delivered at
the time of delivery of any bonds payable from such funds and accounts,
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All revenues derived from the operation of the Sewage Works and from the collection of
sewage rates and charges and from the investment of moneys in the funds herein created shall be
segregated and kept separate and apart from all other funds and accounts of the City. No moneys
derived from the revenues of the Sewage Works (including investment income) shall be
transferred to the general fund of the City or be used for any purpose not connected with the
Sewage Works if such transfer or use would interfere with the flow of funds set forth herein.
Investment income from such funds and accounts shall, except as otherwise provided
herein, be treated as revenues of the Sewage Works, and shall be used as provided in this
Ordinance.
SECTION 15. Books and Records. The City shall keep proper books of records and
accounts, separate from all of its other records and accounts, in which complete and correct
entries shall be made showing all revenues collected from the Works and deposited in said funds,
all disbursements made therefrom on account of the operation of the Works and to meet the
requirements of the Sinking Fund, and all other transactions relating to the Works, including the
cash balances in each of the funds and accounts described herein as of the close of the preceding
fiscal year. Upon written request, there shall be prepared and furnished to the original
purchasers of the 2012 Bonds and to any subsequent owner of the bonds at the time then
outstanding, not more than four (4) months after the close of each fiscal year, operating income
and expense and balance sheet statements of the Works, covering the preceding fiscal year,
which annual statements shall be certified by the Controller, or the person charged with the duty
of auditing the books and records relating to the Works, or such statements may be prepared by
an independent certified public accountant retained by the City for the purpose of preparing such
statements. Copies of all such statements and reports shall be kept on file in the office of the
Controller. Any owner or owners of the 2012 Bonds then outstanding shall have the right at all
reasonable times to inspect the Works and all records, accounts and data of the City relating
thereto. Such inspections may be made by representatives duly authorized by written instrument.
SECTION 16. Rate Covenant. The City shall, to the fullest extent permitted by law,
establish, maintain and collect just and equitable rates and charges for the use of and the services
rendered by said Sewage Works, to be paid by the owner of each and every lot, parcel of real
estate or building that is connected with and uses said Sewage Works by or through any part of
the sewage system of the City, or that in any way uses or is served by such Works. Such rates or
charges shall be sufficient in each year for the payment of the proper and reasonable expenses of
operation, repair and maintenance of the Works, for depreciation and improvement, and for the
payment of the sums required to be paid into the Sinking Fund. Such rates or charges shall, if
necessary, be changed and readjusted from time to time so that the revenues therefrom shall
always be sufficient to meet the expenses of operation, repair and maintenance, depreciation and
improvement, and the requirements of the Sinking Fund; and such rates or charges shall be in an
amount sufficient in each year to produce Net Revenues at least equal to 1.1 times the greater of
the average annual debt service on the Prior Bonds, the 2012 Bonds and all bonds on a parity
therewith or the debt service payable during the next succeeding twelve calendar months on the
Prior Bonds, the 2012 Bonds and all bonds on a parity therewith. For these purposes, the interest
rate on variable rate debt shall be assumed to be the average interest rate thereon in the preceding
calendar year.
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SECTION 17. Defeasance. If, when the 2012 Bonds or a portion thereof shall have
become due and payable in accordance with their terms or shall have been duly called for
redemption or irrevocable instructions to call the 2012 Bonds or a portion thereof for redemption
shall have been given, and the whole amount of the principal, premium, if any, and the interest
so due and payable upon such 2012 Bonds or any portion thereof then outstanding shall be paid,
or (i) cash, (ii) direct non-callable obligations of(including obligations issued or held in book-
entry form on the books of) the U.S. Department of the Treasury, the principal of and the interest
on which when due without reinvestment will provide sufficient money, or (iii) any combination
of the foregoing, shall be held irrevocably in trust for such purpose, and provision shall also be
made for paying all fees and expenses for the payment, then and in that case the 2012 Bonds or
such designated portion thereof shall no longer be deemed outstanding or secured by this
Ordinance or entitled to the pledge of the Net Revenues.
SECTION 18. Additional Bonds. The City reserves the right to authorize and issue
additional bonds, payable out of the revenue of its Sewage Works, ranking on a parity with the
2012 Bonds for the purpose of financing the cost of future additions, extensions and
improvements to the Sewage Works or to provide for a complete or partial refunding of the 2012
Bonds or other bonds payable out of the revenues of the Sewage Works, subject to the following
conditions:
(a) The interest on and principal of all bonds payable from the revenues of the
Sewage Works shall have been paid to date in accordance with the terms thereof,
provided, this condition shall be deemed satisfied if any required amount is to be
provided from the proceeds of the parity bonds or other funds of the City.
(b) All required deposits to the Sinking Fund shall have been made in
accordance with the provisions of the Ordinance.
(c) The Net Revenues of the Sewage Works in the fiscal year immediately
preceding the issuance of any such bonds ranking on a parity with the 2012 Bonds shall
be not less than one hundred twenty-five percent (125%) of the maximum annual interest
and principal requirements of the then outstanding 2012 Bonds, any then outstanding
parity bonds and the additional parity bonds proposed to be issued; or, prior to the
issuance of said parity bonds, the sewage rates and charges shall be increased sufficiently
so that said increased rates and charges applied to the previous fiscal year's operations
would have produced Net Revenues for said year equal to not less than one hundred
twenty-five percent (125%) of the maximum annual interest and principal requirements
of the then outstanding 2012 Bonds, any then outstanding parity bonds and the additional
parity bonds proposed to be issued. For purposes of this subsection, the records of the
Sewage Works shall be analyzed and all showings shall be prepared by a certified public
accountant or independent financial advisor employed by the City for that purpose.
(d) The principal of the additional parity bonds shall be payable annually on
December 1 and the interest shall be payable semiannually on June 1 and December 1
during the periods in which principal and interest are payable.
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SECTION 19. Additional Covenants of the Cit . For the purpose of further
safeguarding the interests of the holders of the 2012 Bonds, it is specifically provided as follows:
(a) All contracts let by the City in connection with the construction of said
additions and improvement to the Sewage Works in connection with the Project shall be
let after due advertisement as required by the laws of the State of Indiana, and all
contractors shall be required to furnish surety bonds in an amount equal to one hundred
percent (100%) of the amount of such contracts, to insure the completion of said
contracts in accordance with their terms, and such contractors shall also be required to
carry such employers liability and public liability insurance as are required under the
laws of the State of Indiana in the case of public contracts, and shall be governed in all
respects by the laws of the State of Indiana relating to public contracts.
(b) All additions and improvement to the Sewage Works in connection with
the Project shall be constructed under the supervision and subject to the approval of the
Engineers or such other competent engineer as shall be designated by the Board. All
estimates for work done or material furnished shall first be checked by the Engineers or
such other competent engineer as shall be designated by the Board and approved by the
Board.
(c) The City shall at all times maintain its Sewage Works in good condition
and operate the same in an efficient manner and at a reasonable cost.
(d) So long as any of the 2012 Bonds are outstanding, the City shall maintain
insurance on the insurable parts of the Works of a kind and in an amount such as would
normally be carried by private companies engaged in a similar type of business. All
insurance shall be placed with responsible insurance companies qualified to do business
under the laws of the State of Indiana. In addition to or in lieu of the foregoing, the City
may provide for coverage on all or part of the Works comparable to that described above
through a self-insurance program. Insurance proceeds shall be used in replacing or
repairing the property destroyed or damaged; or if not used for that purpose shall be
treated and applied as Net Revenues of the Works.
(e) So long as any of the 2012 Bonds are outstanding, the City shall not
mortgage, pledge or otherwise encumber such Works, or any part thereof, nor shall it sell,
lease or otherwise dispose of any portion thereof except replace equipment which may
become worn out or obsolete or other property not required for proper operation and
maintenance of the Works.
(f) So long as any Prior Bonds are held by the Indiana Finance Authority (the
"Authority") and remain outstanding: (i) the City shall not mortgage, pledge or otherwise
encumber such Works, or any part thereof, nor shall it sell, lease or otherwise dispose of
any portion thereof except replace equipment which may become worn out or obsolete or
other property not required for proper operation and maintenance of the Works, without
the prior written consent of the Authority, and (ii) the City shall not borrow any money,
enter into any contract or agreement or incur any other liabilities in connection with the
Sewage Works, other than for normal operating expenditures, without the prior written
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consent of the Authority if such undertaking would involve, commit, or use the revenues
of the Sewage Works.
(g) Except as provided in Section 18 hereof, so long as any of the 2012 Bonds
are outstanding, no additional bonds or other obligations pledging any portion of the
revenues of the Sewage Works shall be authorized, executed, or issued by the City except
such as shall be made subordinate and junior in all respects to the 2012 Bonds, unless all
of the 2012 Bonds are redeemed, retired, or defeased coincidentally with the delivery of
such additional bonds or other obligations.
(h) The City shall take all action or proceedings necessary and proper to
require connection of all property where liquid and solid waste, sewage, night soil, or
industrial waste is produced with available sanitary sewers. The City shall, insofar as
possible, cause all such sanitary sewers to be connected with the Sewage Works.
(i) This Ordinance shall not be repealed or amended in any respect which will
adversely affect the rights of the owners of any 2012 Bonds, nor shall the Common -
Council adopt any law, ordinance or resolution which in any way adversely affects the
rights of such owners so long as any of said bonds or the interest thereon remains unpaid.
(} The provisions of this Ordinance shall be construed to create a trust in the
proceeds of the sale of the 2012 Bonds for the uses and purposes herein set forth. The
provisions of this Ordinance shall also be construed to create a trust in the portion of the
Net Revenues herein directed to be set apart and paid into the Sinking Fund and for the
uses and purposes of said Fund as set forth in this Ordinance. The owners of the 2012
Bonds shall have all of the rights, remedies and privileges set forth under the Act in the
event of default in the payment of the principal of or interest on any of the 2012 Bonds or
in the event of default with respect to any of the provisions of this Ordinance or the Act.
SEC'T'ION 20. Tax Covenants. In order to preserve the exclusion of interest on the
2012 Bonds from gross income for federal income tax purposes and as an inducement to
purchasers of the 2012 Bonds, the City represents, covenants and agrees that:
(a) No person or entity, other than the City or another state or local
governmental unit, will use proceeds of the 2012 Bonds or property financed by the 2012
Bond proceeds other than as a member of the general public. No person or entity other
than the City or another state or local governmental unit will own property financed by
2012 Bond proceeds or will have actual or beneficial use of such property pursuant to a
lease, a management or incentive payment contract, an arrangement such as take-or-pay
or output contract, or any other type of arrangement that differentiates that person's or
entity's use of such property from the use by the public at large.
(b) No 2012 Bond proceeds will be loaned to any entity or person other than a
state or local governmental unit. No 2012 Bond proceeds will be transferred, directly or
indirectly, or deemed transferred to a non-governmental person in any manner that would
in substance constitute a loan of the 2012 Bond proceeds.
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(c) The City will not take any action or fail to take any action with respect to
the 2012 Bonds that would result in the loss of the exclusion from gross income for
federal income tax purposes of interest on the 2012 Bonds pursuant to Section 103 of the
Code, including, without limitation, the taking of such action as is necessary to rebate or
cause to be rebated arbitrage profits on 2012 Bond proceeds or other monies treated as
2012 Bond proceeds to the federal government as provided in Section 148 of the Code,
and will set aside such monies, which may be paid from investment income on funds and
accounts, in trust for such purposes.
(d) The City will file an information report,Form 8038-G with the Internal
Revenue Service as required by Section 149 of the Code.
(e) The City will not make any investment or do any other act or thing during
the period that any 2012 Bond is outstanding hereunder which would cause any 2012
Bond to be an "arbitrage bond" within the meaning of Section 148 of the Code and the
regulations applicable thereto as in effect on the date of delivery of the 2012 Bonds.
The City will not take any action or fail to take any action with respect to the 2012 Bonds that
would result in the loss of the exclusion from gross income for federal income tax purposes of
interest on the 2012 Bonds pursuant to Section 103(a) of the Code, and the City will not act in
any manner which would adversely affect such exclusion.
Notwithstanding any other provisions of this Ordinance, the foregoing covenants and
authorizations (the "Tax Covenants") which are designed to preserve the exclusion of interest on
the 2012 Bonds from gross income under federal income tax law (the "Tax Exemption") need
not be complied with if the City receives an opinion of nationally recognized bond counsel that
any Tax Covenant is unnecessary to preserve the Tax Exemption.
SECTION 21. Amendments. Subject to the terms and provisions contained in this
section, and not otherwise, the owners of not less than sixty-six and two-thirds per cent (66-
2/3%) in aggregate principal amount of the 2012 Bonds then outstanding shall have the right,
from time to time, anything contained in this Ordinance to the contrary notwithstanding, to
consent to and approve the adoption by the City of such ordinance or ordinances supplemental
hereto as shall be deemed necessary or desirable by the City for the purpose of modifying,
altering, amending, adding to or rescinding in any particular any of the terms or provisions
contained in this Ordinance, or in any supplemental ordinance; provided, however, that'nothing
herein contained shall permit or be construed as permitting:
(a) An extension of the maturity of the principal of or interest or premium, if
any, on any 2012 Bond or an advancement of the earliest redemption date on any 2012
Bond; or
(b) A reduction in the principal amount of any 2012 Bond or the redemption
premium or the rate of interest thereon, or a change in the monetary medium in which
such amounts are payable; or
(c) The creation of a lien upon or a pledge of the revenues of the Sewage
Works ranking prior to the pledge thereof created by this Ordinance; or
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(d) A preference or priority of any 2012 Bond or 2012 Bonds over any other
2012 Bond or 2012 Bonds; or
(e) A reduction in the aggregate principal amount of the 2012 Bonds required
for consent to such supplemental ordinance.
If the City shall desire to obtain any such consent, it shall cause the Registrar to mail a
notice, postage prepaid, to the addresses appearing on the registration books held by the
Registrar. Such notice shall briefly set forth the nature of the proposed supplemental ordinance
and shall state that a copy thereof is on file at the office of the Registrar for inspection by all
owners of the 2012 Bonds. The Registrar shall not, however, be subject to any liability to any
owners of the 2012 Bonds by reason of its failure to mail such notice, and any such failure shall
not affect the validity of such supplemental ordinance when consented to and approved as herein
provided.
Whenever at any time within one year after the date of the mailing of such notice, the
City shall receive any instrument or instruments purporting to be executed by the owners of the
2012 Bonds of not less than sixty-six and two-thirds per cent (66-213%) in aggregate principal
amount of the 2012 Bonds then outstanding, which instrument or instruments shall refer to the
proposed supplemental ordinance described in such notice, and shall specifically consent to and
approve the adoption thereof in substantially the form of the copy thereof referred to in such
notice as on file with the Registrar, thereupon, but not otherwise, the City may adopt such
supplemental ordinance in substantially such form, without liability or responsibility to any
owners of the 2012 Bonds, whether or not such owners shall have consented thereto.
No owner of any 2012 Bond shall have any right to object to the adoption of such
supplemental ordinance or to object to any of the terms and provisions contained therein or the
operation thereof, or in any manner to question the propriety of the adoption thereof, or to enjoin
or restrain the City or its officers from adopting the same, or from taking any action pursuant to
the provisions thereof Upon the adoption of any supplemental ordinance pursuant to the
provisions of this section, this Ordinance shall be, and shall be deemed, modified and amended
in accordance therewith, and the respective rights, duties and obligations under this Ordinance of
the City and all owners of 2012 Bonds then outstanding, shall thereafter be determined exercised
and enforced in accordance with this Ordinance, subject in all respects to such modifications and
amendments. Notwithstanding anything contained in the foregoing provisions of this Ordinance,
the rights and obligations of the City and of the owners of the 2012 Bonds, and the terms and
provisions of the 2012 Bonds and this Ordinance, or any supplemental ordinance, may be
modified or altered in any respect with the consent of the City and the consent of the owners of
all the 2012 Bonds then outstanding.
Without notice to or consent of the owners of the 2012 Bonds, the City may, from time to
time and at any time, adopt such ordinances supplemental hereto as shall not be inconsistent with
the terms and provisions hereof (which supplemental ordinances shall thereafter form a part
hereof),
(a) to cure any ambiguity or formal defect or omission in this Ordinance or in
any supplemental ordinance; or
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(b) to grant to or confer upon the owners of the 2012 Bonds any additional
rights, remedies, powers, authority or security that may lawfully be granted to or
conferred upon the owners of the 2012 Bonds; or
(c) to procure a rating on the 2012 Bonds from a nationally recognized
securities rating agency designated in such supplemental ordinance, if such supplemental
ordinance will not adversely affect the owners of the 2012 Bonds; or
(d) to make any other change which is not to the prejudice of the owners of
the 2012 Bonds; or
(e) to provide for the refunding or advance refunding of the 2012 Bonds.
SECTION 22. Defaults. In the event available moneys hereunder, subject to the
restrictions on use of money held under this Ordinance as set forth herein, are insufficient to pay
debt service on all bonds payable from the revenues of the Sewage Works when due, available
moneys shall be applied, after payment of all costs and expenses associated therewith, to the
2012 Bonds and any bonds issued on parity with the 2012 Bonds as follows:
First - To the payment to the persons entitled thereto of all installments of
interest then due, including interest on any past due principal at the rate borne by
such bond, in the order of the maturity of the installments of such interest and, if
the amount available shall not be sufficient to pay in full any particular
installment, then to such payment ratably, according to the amounts due on such
installments, to the persons entitled thereto, without any discrimination or
privilege; and
Second - To the payment to the persons entitled thereto of the unpaid
principal of and premium on any of such bonds which shall have become due
either at maturity or pursuant to a call for redemption (other than bonds called for
redemption for the payment of which other moneys are held), in the order of their
due dates, and, if the amount available shall not be 'sufficient to pay in the
amounts due on any particular date, then to such payment ratably, according to
the amount due on such date, to the persons entitled thereto without any
discrimination or privilege.
During the continuance of any default in the payment of either principal of or interest or
premium on any 2012 Bond or bonds issue on parity with the 2012 Bonds, no payment shall be
made with respect to any subordinate and junior bonds ("Junior Bonds"). Moneys available for
payment to holders of Junior Bonds shall, in the event of an insufficient amount being available
to pay all debt service with respect to the Junior Bonds when due, be applied to the Junior Bonds
in accordance with the sequence and other terms set forth above with respect to payments
regarding bonds issued on parity with the 2012 Bonds unless otherwise provided in the ordinance
authorizing the Junior Bonds.
SECTION 23. No Conflict. Except as described below, all ordinances and parts of
ordinances in conflict herewith are hereby repealed.
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SECTION 24. Severability. If any section, paragraph or provision of this Ordinance
shall be held to be invalid or unenforceable for any reason, the invalidity or unenforceability of
such section, paragraph or provision shall not affect any of the remaining provisions of this
Ordinance.
SECTION 25. Bond Insurance. In connection with the sale of the 2012 Bonds, the
Mayor, the Controller and the Clerk are each authorized to execute and deliver such agreements
and instruments as they deem advisable to secure bond insurance for the 2012 Bonds, and the
execution and delivery of such agreements and instruments are hereby approved. The premium,
if any, for such bond insurance shall be payable from the proceeds of the 2012 Bonds.
SECTION 26. Rates and Charges. The estimate of rates and charges which will be
needed and charged to the general classes of users of property to be served by the Sewage Works
in order to provide sufficient moneys to make payments of principal and interest on the 2412
Bonds, along with the other payments identified in this Ordinance, is set forth in Ordinance No.
10019-10, adopted by the Common Council on June 28, 2010.
SECTION 27. Holidays" Etc. If the date of making any payment or the last date for
performance of any act or the exercising of any right, as provided in this Ordinance, shall be a
legal holiday or a day on which banking institutions in the City or the city in which the Registrar
or Paying Agent is located are typically closed, such payment may be made or act performed or
right exercised on the next succeeding day not a legal holiday or a day on which such banking
institutions are typically closed, with the same force and effect as if done on the nominal date
provided in this Ordinance, and no interest shall accrue for the period after such nominal date.
SECTION 28. Effectiveness. This Ordinance shall be in full force and effect from and
after its passage, provided, the provisions of the ordinances pursuant to which the Prior Bonds
were issued shall remain in effect and shall supersede the provisions of this Ordinance in the
event of any conflict with this Ordinance until such time as the Prior Bonds are all defeased on
paid in full.
SECTION 29. Notice of Adoption and Purport of this Ordinance. Upon passage of this
Ordinance, the Clerk of the City shall immediately cause to be published in accordance with
Indiana Code 5-3-1, a notice of the adoption and purport of this Ordinance in accordance with
Indiana Code Section 36-9-23-10. In the event that any objecting petition is filed in accordance
with Indiana Code Section 36-9-23-12, no further proceedings shall be taken by the City relating
to the Project until the later of(i)the date on which the court having jurisdiction over such matter
confirms the decision of the City to issue bonds relating to the Project, or (ii) if an appeal is
taken, the date on which the appropriate court of last resort confirms the decision of the City to
issue bonds relating to the Project, except as permitted by Indiana Code Section 36-9-23-12(f).
SECTION 30. Actions and Agreements. Each of the Mayor, the Controller and any
other officer or employee of the City is hereby authorized and directed to execute any
instruments or agreements or take any other actions necessary or desirable to effect the
transactions contemplated by this Ordinance, such necessity or desirability to be conclusively
evidenced by the execution of such instruments or agreements or the taking of such action.
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SECTION 31. This Ordinance shall be in full force and effect from and after its
passage by the Common Council and approval by the Mayor.
Member of the Common Council
Attest:
g ro'l
end
cound aekm on W3 Wo,
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the day of
at o'clock M.
City Clerk
Approved and signed by me on the day of 2—, at o'clock
Mayor, City of South Bend, Indiana
SEP 19 wit
RE A D I N`
-t)j*JLjC HEAVING
1:0T AF,`RQV0
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1ASSED.
APPENDIX A
PROJECT DESCRIPTION
The Project consists of the design, acquisition and installations of certain additions, extensions
and improvements to the Sewage Works, including, but not limited to:
1. Diamond Avenue Separation—Sewer separation improvements along Diamond Avenue
from Vassar Avenue to approximately Euclid.
2. East Bank Separation Phase 4— Sewer Separation improvements for combined Sewage
Overflow("CSO") separation along the east bank of the St. Joseph River within the City.
3. Wastewater Treatment Plant digester improvements.
4. Green Design and Low Impact Design projects recommended in the"South Bend Long
Term Control Plan Optimization" Report.
5. Preparation of CSO Long-Term Control Plan Designs of the City.
5. Making any and all improvements related to and contemplated by the CSO Long-Term
Control Plan of the City.
7. Make any and all additional improvements related to the foregoing.
A-1
B1' R VES&THOR VBVECGLLP 500 istSource Bank Center
100 North Michigan
South Bend,IN 46601-1632 U.S.A.
(574)233.1171
Fax(574) 237-1125
Philip J.F'aceenda,Jr.
(574)237-1148 www.btlaw.com
philip.faccenda@btlaw.com
September 19, 2012
HAND DELIVERED
Mr. John Voorde
Clerk of the City of South Bend
455 County-City Building
227 West Jefferson Boulevard
South Bend, Indiana 45601
Re: City of South Bend, Indiana Sewage Works Revenue Bonds of 2012
Dear Mr. Voorde:
Enclosed for filing are multiple copies of the Ordinance for the above-referenced City of
South Bend, Indiana Sewage Works Revenue Bonds of 2012 for financing sewage works
projects of the City of South Bend as described in the Ordinance for first reading before the
Common Council on September 24, 2012 and second reading on October 8, 2012. Please return
a file-stamped copy to my attention.
Please call me with any questions you may have.
Very truly yours,
BARNES & THORNBURG LLP
Philip J. Faccenda, Jr.
PJF:ske
Enclosures
CC' Aladean M. DeRose, Esq. (w/ene.) ..........
' tl
Mark W. Neal (w lent.) -
Gary A. Gilot, P.E. (w/ene.) _.
John J. Dillon (w lent.)
€ y Z
SBDS42 PFACCENDA 434878 v1
Atlanta Chicago Delaware Indiana Los Angeles Michigan Minneapolis Ohio Washington,D.C.
ORDINANCE NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY"OF SOUTH BEND,
INDIANA CONCERNING THE CURRENT REFUNDING OF OUTSTANDING
WATERWORKS REVENUE BONDS OF 2002,ISSUED TO FINANCE
CONSTRUCTION OF IMPROVEMENTS TO THE MUNICIPAL WATERWORKS OF
THE CITY OF SOUTH BEND,INDIANA; AUTHORIZING THE ISSUANCE OF
REVENUE BONDS FOR SUCH PURPOSE IN THE PRINCIPAL AMOUNT NOT TO
EXCEED FOUR MILLION TWO HUNDRED THOUSAND ($4,200,000); ADDRESSING
OTHER MATTERS CONNECTED THEREWITH, INCLUDING THE ISSUANCE OF
NOTES IN ANTICIPATION OF BONDS; AND REPEALING ORDINANCES
INCONSISTENT HEREWITH
STATEMENT OF PURPOSE AND INTENT
The City of South Bend, Indiana (the "City") has heretofore established, constructed and
financed a municipal waterworks and now owns and operates said works pursuant to I.C. 8-1.5,
as amended, and other applicable laws (together, the "Act").
The City's Municipal Waterworks Utility is subject to the authority and regulation of the
Indiana Utility Regulatory Commission ("IURC") and has not withdrawn from the IURC's
authority and regulation.
The Common Council of the City (the "Council") previously found in its Ordinance No.
9247-01 adopted by the Council on August 27, 2001 (the "2002 Ordinance"), that certain
improvements to said works were necessary; and that plans, specifications and estimates had
been prepared and filed by the engineers employed by the City for the acquisition and
construction of said improvements (as described more fully on Exhibit A to the 2002 Ordinance)
(the "Project"), which plans and specifications or other pertinent information were in a timely
fashion submitted to all government authorities having jurisdiction thereover, particularly the
Indiana Department of Environmental Management ("IDEM"), and were approved by the
aforesaid government authorities.
Pursuant to the 2002 Ordinance, the City issued its "Waterworks Revenue Bonds of
2002" dated June 1, 2002 (the "2002 Bonds") originally issued in the amount of$5,580,000, now
outstanding in the amount of$3,945,000, with a final maturity of January 1, 2023.
The Council has determined, after being duly advised, (i) that the 2002 Bonds should be
currently refunded to obtain a reduction in interest payments and effect a savings to the City (the
"Refunding"); (ii) that the Refunding of the 2002 Bonds, together with redemption premium and
accrued interest thereon and including all costs related to the refunding, cannot be provided for
4
out of funds of the waterworks now on hand, and (iii) that the Refunding should be accomplished
by the issuance of waterworks revenue bonds of the City.
The Council has determined, after being duly advised, that it is beneficial to currently
refund the 2002 Bonds to enable the City to obtain a reduction in interest payments and effect a
savings to the City and hereby authorizes the same by issuance of the 2012B Bonds (described
herein) under the provisions of the Act.
The Council finds that there are also now outstanding bonds issued on account of the
works and payable out of the revenues therefrom designated as the "Waterworks Revenue Bonds
of 2012" dated June 21, 2012 (the "2012A Bonds"), originally issued in the amount of
$8,300,000 authorized by Ordinance No. 10134-11 adopted by the Council on November 28,
2011 (the "2012A Ordinance"), now outstanding in the amount of$8,300,000,
The Council finds that there are now outstanding bonds issued on account of the works
and payable out of the revenues therefrom designated as the "Waterworks Revenue Bonds of
2009, Series B" dated November 19, 2009 (the "2009B Bonds") originally issued in the amount
of$5,380,000 authorized by Ordinance No. 9937-09 adopted by the Council on June 8, 2009 (the
"2009 Ordinance"), now outstanding in the amount of$5,380,000.
The Council finds that there are now outstanding bonds issued on account of the works
and payable out of the revenues therefrom designated as the "Waterworks Revenue Bonds of
2009, Series A" dated September 1, 2009 (the "2009A Bonds") originally issued in the amount
of$429,000 authorized by the 2009 Ordinance, now outstanding in the amount of$427,332.
The Council finds that there are now outstanding bonds issued on account of the works
and payable out of the revenues therefrom designated as the "Waterworks Revenue Bonds of
2006" dated June 1, 2006 (the "2006 Bonds") originally issued in the amount of $4,710,000
authorized by Ordinance No. 9603-05 adopted by the Council on July 25, 2005 (the "2005
Ordinance"), now outstanding in the amount of$3,885,000.
The Council also finds that there are now outstanding the 2002 Bonds, now outstanding
in the amount of$3,945,000.
The Council finds that there are now outstanding bonds issued on account of the works
and payable out of the revenues therefrom designated as the "Waterworks Revenue Bonds of
2000" dated June 12, 2000 (the "2000 Bonds") (the 2012A Bonds, the 2009B Bonds, the 2009A
Bonds, 2006 Bonds, the 2002 Bonds and the 2000 Bonds together, the "Prior Bonds")) originally
issued in the amount of $2,600,000 authorized by Ordinance No. 9095-00 adopted by the
Council on February 28, 2000 (the "2000 Ordinance"), now outstanding in the amount of
$1,321,395.
The Council finds that on or about May 28, 2002, the Council adopted Ordinance No.
9328-02 (the "2002 Supplemental Ordinance"), which supplemented and amended the 2002
Ordinance and the 2000 Ordinance to permit the City to substitute an insurance policy to provide
funds for the Debt Service Reserve Account thereby freeing monies currently held in the Debt
Service Reserve Account for use by and improvement of the waterworks. The 2002
Supplemental Ordinance, together with the 2009 Ordinance, the 2005 Ordinance, the 2002
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Ordinance and the 2000 Ordinance are sometimes collectively referred to herein as the "Prior
Ordinances".
The Council now finds that pursuant to the 2002 Supplemental Ordinance, the City
entered into an Insurance Agreement with Financial Security Assurance Inc. ("FSA"), dated
June 27, 2002 (the "FSA Insurance Agreement"), and pursuant to the FSA Insurance Agreement,
FSA issued its Municipal Bond Debt Service Reserve Insurance Policy No. 29146-R, effective
June 27, 2002 (the "2002 Reserve Insurance Policy").
The 2002 Reserve Insurance Policy covers principal and interest payments on 2000
Bonds and 2002 Bonds, up to the policy limit stated in the 2002 Reserve Insurance Policy. The
initial policy limit of the 2002 Reserve Insurance Policy was set at$2,332,703.
The Council now finds that pursuant to the 2005 Ordinance, the City entered into an
Insurance Agreement with MBIA Insurance Corporation ("MBIA"), dated June 6, 2006 (the
"MBIA Insurance Agreement"), and pursuant to the MBIA Insurance Agreement, MBIA issued
its Debt Service Reserve Surety Bond No. 48026(2), effective June 6, 2006 (the "2006 Reserve -
Insurance Policy").
The 2006 Reserve Insurance Policy covers principal and interest payments on the 2006
Bonds, up to the policy limit stated in the 2006 Reserve Insurance Policy. The initial policy limit
of the 2006 Reserve Insurance Policy was set at$365,826.
The Prior Bonds constitute a first charge upon the Net Revenues (as hereinafter defined).
The Prior Ordinances provide that the City may authorize and issue additional bonds
payable out of the Net Revenues ranking on parity with the Parity Bonds (as hereinafter defined)
for the purpose of financing the cost of future additions, extensions and improvements to the
works subject to the provisions of the Prior Ordinances. The conditions precedent to the
issuance of additional parity bonds set forth in the Prior Ordinances, as described above, have
been satisf ed, subject to approval by the State of Indiana(the "State").
The City desires to authorize the issuance of a bond anticipation note or notes hereunder,
if necessary, payable from the proceeds of the revenue bonds authorized herein (the "BANs"),
and to authorize the refunding of said BANS, if issued.
The Council now finds that all conditions precedent to the adoption of an ordinance
authorizing the issuance of revenue bonds and BANs have been complied with in accordance
with the applicable provisions of the Act.
NOW THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF THE
CITY OF SOUTH BEND, INDIANA, AS FOLLOWS:
SECTION 1. Refunding the 2002 Bonds. The Council hereby determines, after being
duly advised, that it is beneficial to currently refund the 2002 Bonds to enable the City to obtain
a reduction in interest payments and effect a savings to the City. The City may proceed with the
current refunding of the 2002 Bonds the costs of which are not expected to exceed $4,200,000,
without further authorization from the Council. The terms "works" and "utility" and other like
- 3 -
terms where used in this Ordinance shall be construed to mean and include all structures and
property of the City's waterworks utility. The Project has been constructed in accordance with
the plans and specifications heretofore mentioned, which plans and specifications have
previously been approved. All or a portion of the cost of the Refunding will be paid with the
proceeds of the 2012B Bonds to be issued pursuant to the provisions of this Ordinance and the
Act. The City may also use other legally available funds on hand to pay for the remainder of the
cost of the Refunding the 2002 Bonds.
SECTION 2. Authorization of Obligations.
(a) The City shall issue its "Waterworks Refunding Revenue Bonds of
201213" or such other designation as the Executive (as defined below) or the Fiscal Officer (as
defined below) shall determine at the time of issuance of any series of bonds (the "2012B
Bonds"), in one or more series (as designated by the City, a "Series"), in an original principal
amount not to exceed Four Million Two Hundred Thousand Dollars ($4,200,000) (the
"Authorized Amount"), as negotiable, fully registered bonds, for the purpose of procuring funds
to be applied to the costs of the Refunding, and all incidental expenses incurred in connection
therewith (all of which are deemed to be a part of the Refunding), and the costs of selling and
issuing the 2012B Bonds and funding a debt service reserve as described herein. The City
reasonably expects to reimburse expenditures for the Refunding with the proceeds of the 2012B
Bonds and this constitutes a declaration of official intent to reimburse expenditures under Treas.
Reg. 1.150-2(e) and Indiana Code 5-1-14-6(c). The 2012B Bonds shall rank on parity for all
purposes with the Prior Bonds.
The 2012B Bonds shall be issued in denominations of Five Thousand Dollars
($5,000) or any integral multiple thereof, numbered consecutively from 1 upward, and dated the
date of delivery. The 2012B Bonds shall bear interest at a rate or rates not exceeding five
percent (5%) per annum, and interest shall be payable semiannually on January 1 and July 1 in
each year, with the beginning date of interest payments being finally determined by the Mayor as
the executive of the City (the "Executive") and the Controller as the fiscal officer of the City, or
any acting, assistant or deputy controller of the City (the "Fiscal'Officer"), with the advice of the
City's financial advisor, as evidenced by delivery of the executed initial issue of the 2012B
Bonds to the Registrar for authentication. Interest on the BANs and the 2012B Bonds shall be
calculated according to a 360-day calendar year containing twelve 30-day months. The 2012B
Bonds shall mature on January 1 of each year beginning in the year and in such amounts as is
deemed appropriate by the Executive and the Fiscal Officer, with the advice of the City's
financial advisor, as evidenced by delivery of the executed initial issue of the 2012B Bonds to
the Registrar for authentication, and over a period ending not later than January 1, 2023.
All or a portion of the 2012B Bonds may be aggregated into and issued as one or
more term bonds. The term bonds will be subject to mandatory sinking fund redemption with
sinking fund payments and final maturities corresponding to the serial maturities described
above. Sinking fund payments shall be applied to retire a portion of the term bonds as though it
were a redemption of serial bonds and, if more than one term bond of any maturity is
outstanding, redemption of such maturity shall be made by lot. Sinking fund redemption
payments shall be made in a principal amount equal to such serial maturities, plus accrued
interest to the redemption date, but without premium or penalty. For all purposes of this
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"4
Ordinance, such mandatory sinking fund redemption payments shall be deemed to be required
payments of principal which mature on the date of such sinking fund payments, Appropriate
changes shall be made in the definitive form of 2012B Bonds, relative to the form of 2012B
Bonds contained in this Ordinance, to reflect any mandatory sinking fund redemption terms.
(b) The City shall issue, if necessary, BANs for the purpose of procuring
interim financing for the Refunding. Any such issuance shall be in accord with the provisions of
Section 25 of this Ordinance.
SECTION 3. Pledge of Net Revenues; Payment of Principal and Interest. The
2012B Bonds, and any bonds ranking on a parity therewith, including the Prior Bonds, as to
principal, premium, if any, and interest, shall be payable solely from and are secured by an
irrevocable pledge of and shall constitute a charge upon all the Net Revenues (as defined in the
following sentence) of the works. The term "Net Revenues," as used herein, shall be defined as
the gross revenues of the works after deduction only for the payment of the reasonable expenses
of operation, repair and maintenance of the works, and which reasonable expenses of operation,
repair and maintenance specifically do not include any rates or charges in lieu of taxes made and
collected by the works and transferred to the City in accordance with the Act (the "PILOT
Payment"). The City specifically subordinates its right to receive any PILOT Payment to the
rights of the holders of the 2012B Bonds, and any Parity Bonds, including the Prior Bonds, to
receive payment of the principal, premium, if any, and interest,payable on such bonds. PILOT
Payments shall be made not more frequently than semiannually on January 2 and July 2 and may
be made only if all monthly deposits required by this Ordinance are current and held as of such
dates in the Operation and Maintenance Fund and the Sinking Fund (each as defined herein).
Other than PILOT Payments and normal and regular pro rata payments to the City for shared
expenses charged by the City to its various departments, no moneys derived from the revenues of
the works shall be transferred to the General Fund of the City or be used for any purpose not
connected with the works.
All payments of interest on the 2012B Bonds shall be paid by check mailed one business
day prior to the interest payment date to the registered owners thereof as of the fifteenth (15th)
day of the month preceding the interest payment date (the "Record Date") at the addresses as
they appear on the registration and transfer books of the City kept for that purpose by the
Registrar (the "Registration Record") or at such other address as is provided to the Paying Agent
in writing by such registered owner. Each registered owner of$1,000,000 or more in principal
amount of 2012B Bonds shall be entitled to receive interest payments by wire transfer by
providing written wire instructions to the Paying Agent before the Record Date for any payment.
All principal payments and premium payments, if any, on the 2012B Bonds shall be made upon
surrender thereof at the principal office of the Paying Agent, in any U.S. coin or currency which
on the date of such payment shall be Iegal tender for the payment of public and private debts, or
in the case of a registered owner of$1,000,000 or more in principal amount of 2012B Bonds, by
wire transfer on the due date upon written direction of such owner provided at least fifteen (15)
days prior to the maturity date or redemption date.
Interest on 2012B Bonds shall be payable from the interest payment date to which
interest has been paid next preceding the authentication date thereof unless such 2012B Bonds
are authenticated after the Record Date for an interest payment date and on or before such
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interest payment date in which case they shall bear interest from such interest payment date, or
unless authenticated on or before the Record Date for the first interest payment date, in which
case they shall bear interest from the original date, until the principal shall be fully paid.
SECTION 4. Transfer and Exchange of Bonds. Each 2012 Bond shall be transferable
or exchangeable only upon the Registration Record, by the registered owner thereof in writing,
or by the registered owner's attorney duly authorized in writing, upon surrender of such 2012
Bond together with a written instrument of transfer or exchange satisfactory to the Registrar duly
executed by the registered owner or such attorney, and thereupon a new fully registered 2012
Bond or Bonds in the same aggregate principal amount, and of the same maturity, shall be
executed and delivered in the names of the transferee or transferees or the registered owner, as
the case may be, in exchange therefor. The costs of such transfer or exchange shall be borne by
the City except for any tax or governmental charge required to be paid with respect to the
transfer or exchange, which taxes or governmental charges are payable by the person requesting
such transfer or exchange. The City, the Registrar and the Paying Agent may treat and consider
the persons in whose names such 2012B Bonds are registered as the absolute owners thereof for
all purposes including for the purpose of receiving payment of, or on account of, the principal
thereof and interest and premium, if any, due thereon.
In the event any 2012 Bond is mutilated, lost, stolen or destroyed, the City may execute
and the Registrar may authenticate a new bond of like date, maturity and denomination as that
mutilated, lost, stolen or destroyed, which new bond shall be marked in a manner to distinguish it
from the bond for which it was issued, provided that, in the case of any mutilated bond, such
mutilated bond shall first be surrendered to the Registrar, and in the case of any lost, stolen or
destroyed bond there shall be first furnished to the Registrar evidence of such loss, theft or
destruction satisfactory to the Fiscal Officer and the Registrar, together with indemnity
satisfactory to them. In the event any such bond shall have matured, instead of issuing a
duplicate bond, the City and the Registrar may, upon receiving indemnity satisfactory to them,
pay the same without surrender thereof. The City and the Registrar may charge the owner of
such 2012 Bond with their reasonable fees and expenses in this connection. Any 2012 Bond
issued pursuant to this paragraph shall be deemed an original, substitute contractual obligation of
the City, whether or not the lost, stolen or destroyed 2012 Bond shall be found at any time, and
shall be entitled to all the benefits of this Ordinance, equally and proportionately with any and all
other 2012B Bonds issued hereunder.
SECTION 5. Registrar and Paying Agent. The Fiscal Officer is hereby authorized to
appoint a qualified financial institution to serve as Registrar and Paying Agent for the 2012B
Bonds (together with any successor, the "Registrar" or"Paying Agent"). The Registrar is hereby
charged with the responsibility of authenticating the 2012B Bonds, and shall keep and maintain
the Registration Record at its office. The Fiscal Officer is hereby authorized to enter into such
agreements or understandings with such institution as will enable the institution to perform the
services required of a Registrar and Paying Agent. The Fiscal Officer is further authorized to
pay such fees and the institution may charge for the services its provides as Registrar and Paying
Agent and such fees may be paid from the Sinking Fund established to pay the principal of and
interest on the 2012E Bonds as fiscal agency charges.
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The Registrar and Paying Agent may at any time resign as Registrar and Paying Agent by
giving thirty (30) days written notice to the City and by first-class mail to each registered owner
of the 2012B Bonds then outstanding, and such resignation will take effect at the end of such
thirty(30) days or upon the earlier appointment of a successor Registrar and Paying Agent by the
City. Such notice to the City may be served personally or sent by first-class or registered mail.
The Registrar and Paying Agent may be removed at any time as Registrar and Paying Agent by
the City, in which event the City may appoint a successor Registrar and Paying Agent. The City
shall notify each registered owner of the 2012B Bonds then outstanding by first-class mail of the
removal of the Registrar and Paying Agent. Notices to the registered owners of the 2012B
Bonds shall be deemed to be given when mailed by first-class mail to the addresses of such
registered owners as they appear on the Registration Record. Any predecessor Registrar and
Paying Agent shall deliver all the 2012B Bonds, cash or investments related thereto in its
possession and the Registration Record to the successor Registrar and Paying Agent.
As to the BANS, the Fiscal Officer shall serve as Registrar and Paying Agent and is
hereby charged with the duties of Registrar and Paying Agent.
SECTION 6. Terms of Redemption. The 2012B Bonds may be made redeemable at
the option of the City on thirty (30) days' notice, in whole or in part, in any order of maturities
selected by the City and by lot within a maturity, on dates and with premiums and other terms, as
finally determined by the Executive with the advice of the City's financial advisor, as evidenced
by delivery of the executed initial issue of the 2012B Bonds to the Registrar for authentication.
Notice of redemption shall be mailed by first-class mail to the address of each registered
owner of a 2012 Bond to be redeemed as shown on the Registration Record not more than sixty
(60) days and not less than thirty (30) days prior to the date fixed for redemption except to the
extent such redemption notice is waived by owners of 2012B Bonds redeemed, provided,
however, that failure to give such notice by mailing, or any defect therein, with respect to any
2012 Bond shall not affect the validity of any proceedings for the redemption of any other 2012B
Bonds. The notice shall specify the date and place of redemption, the redemption price and the
CUSIP numbers of the 2012B Bonds called for redemption. The place of redemption may be
determined by the City. Interest on the 2012B Bonds so called for redemption shall cease on the
redemption date fixed in such notice if sufficient funds are available at the place of redemption to
pay the redemption price on the date so named, and thereafter, such 2012B Bonds shall no longer
be protected by this Ordinance and shall not be deemed to be outstanding hereunder, and the
holders thereof shall have the right only to receive the redemption price.
All 2012B Bonds which have been redeemed shall be canceled and shall not be reissued;
provided, however, that one or more new registered bonds shall be issued for the unredeemed
portion of any 2012 Bond without charge to the holder thereof.
No later than the date fixed for redemption, funds shall be deposited with the Paying
Agent or another paying agent to pay, and such agent is hereby'authorized and directed to apply
such funds to the payment of, the 2012B Bonds or portions thereof called for redemption,
including accrued interest thereon to the redemption date. No payment shall be made upon any
2012 Bond or portion thereof called for redemption until such 2012 Bond shall have been
- 7 -
delivered for payment or cancellation or the Registrar shall have received the items required by
this Ordinance with respect to any mutilated, lost, stolen or destroyed bond.
The BANs are prepayable by the City, in whole or in part, at any time upon seven (7)
days' notice to the owner of the BANs, without any premium.
SECTION 7. Execution and Negotiability. The 2012B Bonds shall be signed in the
name of the City by the manual or facsimile signature of the Executive and attested by the
manual or facsimile signature of the City Clerk, who also shall affix the seal of the City manually
or shall have the seal imprinted or impressed thereon by facsimile or other means. In case any
officer whose signature or facsimile signature appears thereon shall cease to be such officer
before the delivery of the 2012B Bonds, such signature shall nevertheless be valid and sufficient
for all purposes as if such officer had remained in office until such delivery.
The 2012B Bonds shall also be authenticated by the manual signature of the Registrar,
and no 2012 Bond shall be valid or become obligatory for any purpose until the certificate of
authentication thereon has been so executed.
The 2012B Bonds shall have all of the qualities and incidents of negotiable instruments
under the laws of the State of Indiana, subject to the provisions for registration herein.
SECTION 8. Authorization for Book-Entry System. The 2012B Bonds may, in
compliance with all applicable laws, initially be issued and held in book-entry form on the books
of the central depository system, The Depository Trust Company, its successors, or any
successor central depository system appointed by the City from time to time (the "Clearing
Agency"), without physical distribution of bonds to the purchasers. The following provisions of
this Section apply in such event.
One definitive 2012 Bond of each maturity shall be delivered to the Clearing Agency (or
its agent) and held in its custody. The City and Registrar may, in connection herewith, do or
perform or cause to be done or performed any acts or things not adverse to the rights of the
holders of the 2012B Bonds as are necessary or appropriate to accomplish or recognize such
book-entry form 2012B Bonds.
During any time that the 2012B Bonds are held in book-entry form on the books of a
Clearing Agency, (1) any such 2012 Bond may be registered upon Registration Record in the
name of such Clearing Agency, or any nominee thereof, including Cede & Co.; (2) the Clearing
Agency in whose name such 2012 Bond is so registered shall be, and the City and the Registrar
and Paying Agent may deem and treat such Clearing Agency as, the absolute owner and holder
of such 2012 Bond for all purposes of this Ordinance, including, without limitation,the receiving
of payment of the principal of and interest and premium, if any, on such 2012 Bond, the
receiving of notice and the giving of consent; (3) neither the City nor the Registrar or Paying
Agent shall have any responsibility or obligation hereunder to any direct or indirect participant,
within the meaning of Section 17A of the Securities Exchange Act of 1934, as amended, of such
Clearing Agency, or any person on behalf of which, or otherwise in respect of which, any such
participant holds any interest in any 2012 Bond, including, without limitation, any responsibility
or obligation hereunder to maintain accurate records of any interest in any 2012 Bond or any
_ g _
responsibility or obligation hereunder with respect to the receiving of payment of principal of or
interest or premium, if any, on any 2012 Bond, the receiving of notice or the giving of consent;
and (4) the Clearing Agency is not required to present any 2012 Bond called for partial
redemption, if any, prior to receiving payment so long as the Registrar and Paying Agent and the
Clearing Agency have agreed to the.method for noting such partial redemption.
If either the City receives notice from the Clearing Agency which is currently the
registered owner of the 2012B Bonds to the effect that such Clearing Agency is unable or
unwilling to discharge its responsibility as a Clearing Agency for the 2012B Bonds, or the City
elects to discontinue its use of such Clearing Agency as a Clearing Agency for the 2012E Bonds,
then the City and the Registrar and Paying Agent each shall do or perform or cause to be done or
performed all acts or things, not adverse to the rights of the holders of the 2012B Bonds, as are
necessary or appropriate to discontinue use of such Clearing Agency as a Clearing Agency for
the 2012B Bonds and to transfer the ownership of each of the 201213 Bonds to such person or
persons, including any other Clearing Agency, as the holder of the 2012B Bonds may direct in
accordance with this Ordinance. Any expenses of such discontinuance and transfer, including
expenses of printing new certificates to evidence the 2012B Bonds, shall be paid by the City.
During any time that the 2012B Bonds are held in book-entry form on the books of a
Clearing Agency, the Registrar shall be entitled to request and rely upon a certificate or other
written representation from the Clearing Agency or any participant or indirect participant with
respect to the identity of any beneficial owner of the 2012B Bonds as of a record date selected by
the Registrar. For purposes of determining whether the consent, advice, direction or demand of a
registered owner of a 2012 Bond has been obtained, the Registrar shall be entitled to treat the
beneficial owners of the 2012B Bonds as the bondholders and any consent, request, direction,
approval, objection or other instrument of such beneficial owner may be obtained in the fashion
described in this Ordinance.
During any time that the 2012B Bonds are held in book-entry form on the books of a
Clearing Agency, the Executive, the Fiscal Officer and/or the Registrar are authorized to execute
and deliver a Letter of Representations agreement with the Clearing Agency, or a Blanket Issuer
Letter of Representations, and the provisions of any such Letter of Representations or any
successor agreement shall control on the matters set forth therein. The Registrar, by accepting
the duties of Registrar under this Ordinance, agrees that it will (i) undertake the duties of agent
required thereby and that those duties to be undertaken by either the agent or the issuer shall be
the responsibility of the Registrar, and (ii) comply with all requirements of the Clearing Agency,
including without limitation same day funds settlement payment procedures. Further, during any
time that the 2012B Bonds are held in book-entry form, the provisions of Section 8 of this
Ordinance shall control over conflicting provisions in any other section of this Ordinance.
SECTION 9. Farm of 2012B Bonds. The form and tenor of the 2012B Bonds shall be
substantially as follows, all blanks to be filled in properly and all necessary additions and
deletions to be made prior to delivery:
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R-_
UNITED STATES OF AMERICA
STATE OF INDIANA COUNTY OF ST. JOSEPH
CITY OF SOUTH BEND, INDIANA
WATERWORKS REVENUE REFUNDING BOND OF 20[----j
_�1
Interest Maturity Original Authentication
Rate Date Date I Date CUSIP No.
20 , 2012 , 2012
REGISTERED OWNER:
PRINCIPAL SUM: Dollars ($�)
The City of South Bend, in St. Joseph, County, State of Indiana (the "City"), for
value received, hereby promises to pay to the Registered Owner set forth above, solely
out of the special revenue fund hereinafter referred to, the Principal Sum set forth above
on the Maturity Date set forth above (unless this bond be subject to and be called for
redemption prior to maturity as hereafter provided), and to pay interest thereon until the
Principal Sum shall be fully paid at the Interest Rate per annum specified above from the
interest payment date to which interest has been paid next preceding the Authentication
Date of this bond unless this bond is authenticated after the fifteenth day of the month
preceding the interest payment date (the "Record Date") and on or before such interest
payment date in which case it shall bear interest from such interest payment date, or
unless this bond is authenticated on or before , 20 , in which case it
shall bear interest from the Original Date, which interest is payable semiannually on
January 1 and July 1 of each year, beginning on 1, 20—. Interest shall be
calculated on the basis of a 360-day year comprised of twelve 30-day months.
[The principal of and premium, if any, on this bond are payable at the principal
office of (the "Registrar" or "Paying Agent"), in
, Indiana.] All payments of interest on this bond shall be paid by check
mailed one business day prior to the interest payment date to the Registered Owner as of
the Record Date at the address as it appears on the registration books kept by the
Registrar or at such other address as is provided to the Paying Agent in writing by the
Registered Owner. Each Registered Owner of$1,000,000 or more in principal amount of
bonds shall be entitled to receive interest payments by wire transfer by providing written
wire instructions to the Paying Agent before the Record Date for any payment. All
payments of principal of, and premium, if any, on this bond shall be made upon surrender
thereof at the principal office of the Paying Agent, in any U.S. coin or currency which on
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the date of such payment shall be legal tender for the payment of public and private
debts, or in the case of a Registered Owner of$1,000,000 or more in principal amount of
the Bonds (as hereinafter defined), by wire transfer on the due date upon written direction
of such owner provided at least fifteen (15) days prior to the maturity date or redemption
date.
THE CITY SHALL NOT BE OBLIGATED TO PAY THIS BOND OR THE
INTEREST HEREON EXCEPT FROM THE HEREINAFTER DESCRIBED SPECIAL
FUND, AND NEITHER THIS BOND NOR THE ISSUE OF WHICH IT IS A PART
SHALL IN ANY RESPECT CONSTITUTE A CORPORATE INDEBTEDNESS OF
THE CITY WITHIN THE PROVISIONS AND LIMITATIONS OF THE
CONSTITUTION OF THE STATE OF INDIANA.
It is hereby certified and recited that all acts, conditions and things required to be
done precedent to and in the execution, issuance and delivery of this bond have been
done and performed in regular and due form as provided by law.
This bond shall not be valid or become obligatory for any purpose until the
certificate of authentication hereon shall have been executed by an authorized
representative of the Registrar.
This bond is one of an authorized issue of bonds of the City of South Bend,
Indiana, of like date, tenor and effect, except as to denomination, numbering, rates of
interest, redemption terms and dates of maturity, aggregating
Dollars ($ ), numbered
consecutively from 1 upward (the "Bonds"), issued for the purpose of providing funds to
be applied to the cost of currently refunding outstanding City of South Bend, Indiana
Waterworks Revenue Bonds of 2002 (the "Refunding"), to refund interim notes issued in
anticipation of the Bonds, if any, to fund a debt service reserve, and to pay incidental
expenses and costs of issuance of the Bonds. This bond is issued pursuant to an
ordinance adopted by the Common Council of said City on the day of ,
2012, entitled "An Ordinance of the Common Council of the City of South Bend,
Indiana, Concerning the Current Refunding of Outstanding Waterworks Revenue Bonds
of 2002, Issued to Finance Construction of Improvements to the Municipal Waterworks
of the City of South Bend, Indiana; Authorizing the Issuance of Revenue Bonds for such
Purpose in the Principal Amount not to exceed Four Million Two Hundred Thousand
($4,200,000); Addressing Other Matters Connected Therewith, Including the Issuance of
Notes in Anticipation of Bonds; and Repealing Ordinances Inconsistent Herewith" (the
"Ordinance"), and in accordance with the provisions of Indiana law, including without
limitation Indiana Code 8-1.5, and other applicable laws, as amended (the "Act"), all as
more particularly described in the Ordinance. The owner of this bond, by the acceptance
hereof, agrees to all the terms and provisions contained in the Ordinance and the Act.
Pursuant to the provisions of the Act and the Ordinance, the principal of and
interest on this bond and all other bonds of said issue, the Prior Bonds (as hereinafter
defined), and any bonds hereafter issued on a parity therewith are payable solely from the
Sinking Fund (the "Sinking Fund") maintained under the Ordinance to be provided from
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the Net Revenues (defined as the gross revenues of the works after deduction only for the
payment of the reasonable expenses of operation, repair and maintenance of the works,
and which reasonable expenses of operation, repair and maintenance specifically do not
include any rates or charges in lieu of taxes made and collected by the works and
transferred to the City in accordance with the Act.
The City irrevocably pledges the entire Net Revenues of the works to the prompt
payment of the principal of and interest on the Bonds and any bonds ranking on a parity
therewith, including the "Waterworks Revenue Bonds of 2012, dated June 21, 2012 (the
"2012A Bonds"), "Waterworks Revenue Bonds of 2009, Series B dated November 19,
2009 (the "2009B Bonds"), "Waterworks Revenue Bonds of 2009, Series A" dated
September 1, 2009 (the "2009A Bonds"), "Waterworks Revenue Bonds of 2006" dated
June 1, 2006 (the "2006 Bonds"), "Waterworks Revenue Bonds of 2002" dated June 1,
2002 (the "2002 Bonds") and the "Waterworks Revenue Bonds of 2000" dated June 12,
2000 (the "2000 Bonds"), (the 2012A Bonds, the 2009B Bonds, the 2009A Bonds, the
2006 Bonds, the 2002 Bonds and the 2000 Bonds together, the "Prior Bonds"), each
authorized by ordinance of the City, to the extent necessary for such purposes, and
covenants that it will establish proper rates and charges for services rendered by the
utility as are sufficient in each year for the payment of the proper and reasonable
expenses of operation, repair and maintenance of the works and for the payment of the
sums required to be paid into the Sinking Fund under the provisions of the Act and the
Ordinance. If the City or the proper officers thereof shall fail or refuse to so fix and
collect such rates or charges, or if there be a default in the payment of the interest on or
principal of this bond, the owner of this bond shall have all of the rights and remedies
provided for in the Act.
The City covenants that for so long as the Bonds and any bonds issued on a parity
therewith, including the Prior Bonds, remain outstanding it will set aside and pay into the
Sinking Fund a sufficient amount of the Net Revenues for the payment of (a) the
principal of and interest on all bonds which by their terms are payable from the Net
Revenues, as such principal and interest shall fall due, (b) the necessary fiscal agency
charges for paying bonds and (c) an additional amount to maintain the reserve required
by the Ordinance. Such required payments shall constitute a first charge upon all the Net
Revenues, Reference is made to the Ordinance for a more complete statement of the
revenues from which and conditions under which this bond is payable, a statement of the
conditions on which obligations may hereafter be issued on parity with this bond, the
manner in which the Ordinance may be amended and the general covenants and
provisions pursuant to which this bond has been issued.
The bonds of this issue are not subject to optional redemption prior to maturity.
This bond is subject to defeasance prior to payment or redemption as provided in
the Ordinance.
If this bond shall not be presented for payment or redemption on the date fixed
therefor, the City may deposit in trust with the Paying Agent or another paying agent, an
amount sufficient to pay such bond or the redemption price, as the case may be, and
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thereafter the Registered Owner shall look only to the funds so deposited in trust for
payment and the City shall have no further obligation or liability in respect thereto.
This bond is transferable or exchangeable only upon the registration record kept
for that purpose at the office of the Registrar by the Registered Owner in person, or by his
attorney duly authorized in writing, upon surrender of this bond together with a written
instrument of transfer or exchange satisfactory to the Registrar duly executed by the
Registered Owner or such attorney, and thereupon a new fully registered bond or bonds
in the same aggregate principal amount, and of the same maturity, shall be executed and
delivered in the name of the transferee or transferees or the Registered Owner, as the case
may be, in exchange therefor. This bond may be transferred or exchanged without cost to
the Registered Owner except for any tax or governmental charge required to be paid with
respect to the transfer or exchange. The City, the Registrar, the Paying Agent and any
other registrar or paying agent for this bond may treat and consider the person in whose
name this bond is registered as the absolute owner hereof for all purposes including for
the purpose of receiving payment of, or on account of, the principal hereof and interest
and premium, if any, due hereon.
The bonds maturing on any maturity date are issuable only in the denomination of
$5,000 or any integral multiple thereof.
A Continuing Disclosure Contract from the City to each registered owner or
holder of any bond, dated as of the date of initial issuance of the Bonds (the "Contract"),
has been executed by the City, a copy of which is available from the City and the terms
of which are incorporated herein by this reference. The Contract contains certain
promises of the City to each registered owner or holder of any Bond, including a promise
to provide certain continuing disclosure. By its payment for and acceptance of this bond,
the registered owner or holder of this bond assents to the Contract and to the exchange of
such payment and acceptance for such promises.
IN WITNESS WHEREOF, the City of South Bend, in St. Joseph County, Indiana,
has caused this bond to be executed in its corporate name by the manual or facsimile
signature of the Mayor, and its corporate seal to be hereunto affixed, imprinted or
impressed by any means and attested manually or by facsimile by its Clerk.
CITY OF SOUTH BEND, INDIANA
By;
Mayor
(SEAL)
ATTEST
Clerk
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1
REGISTRAR'S CERTIFICATE OF AUTHENTICATION
It is hereby certified that this bond is one of the bonds described in the
within-mentioned Ordinance duly authenticated by the Registrar.
as Registrar
By
Authorized Representative
The following abbreviations, when used in the inscription of the face of this bond,
shall be construed as through they were written out in full according to applicable laws or
regulations:
TEN. COM, as tenants in common
TEN. ENT. as tenants by the entireties
JT. TEN. as joint tenants with right of survivorship and not as
tenants in common
UNIF. TRAN.
MIN. ACT Custodian
(Cust.) (Minor)
under Uniform Transfer to Minors Act of
(State)
Additional abbreviations may also be used although not in the above list.
ASSIGNMENT
FOR VALUE RECEIVED the undersigned hereby sells, assigns and transfers
unto (Please Print or Typewrite Name and Address and Social
Security or Other Identifying Number) $ __ principal amount (must be a multiple
of $1,000) of the within bond and all rights thereunder, and hereby irrevocably
constitutes and appoints , attorney to transfer the within bond
on the books kept for the registration thereof with full power of substitution in the
premises.
Dated:
NOTICE: The Signature to this assignment
must correspond with the name as it appears
on the face of the within bond in every
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particular, without alteration or enlargement
or any change whatsoever.
Signature Guaranteed:
NOTICE: Signatures) must be guaranteed
by an eligible guarantor institution participating
in a Securities Transfer Association recognized
signature guarantee program.
SECTION 10. Sale of Bonds,
(a) The Fiscal Officer is authorized to negotiate the sale of the 2012B Bonds
at an interest rate or rates not exceeding five percent (5%) per annum. The Executive and the
Fiscal Officer are hereby authorized to (i) execute a purchase agreement with the purchaser, and
(ii) sell such Refunding Bonds upon such terms as are acceptable to the Executive and the Fiscal
Officer consistent with the terms of this Ordinance. The final form of the purchase contract shall
be determined by the Executive and Fiscal Officer, upon advice of the City's Bond Counsel and
Financial Advisor and the Executive and Fiscal Officer are hereby authorized and directed to
complete, execute and attest the same on behalf of the City so long as its provisions are
consistent with the Ordinance.
(b) The Fiscal Officer is hereby authorized to appoint a financial institution to
serve as Escrow Trustee (the "Escrow Trustee") for the 2002 Bonds in accordance with the terms
of an escrow agreement to be entered into between the City and the Escrow Trustee (the "Escrow
Agreement"). The Executive and the Fiscal Officer are hereby authorized and directed to
complete, execute and attest the same on behalf of the City so long as its provisions are
consistent with this Ordinance.
(c) The execution, by either the Executive, Fiscal Officer, or the purchaser, of
a subscription for investments of proceeds of the 2012B Bonds to be held under the Escrow
Agreement in a manner consistent with this Ordinance is hereby approved.
(d) Distribution of an Official Statement (Preliminary and Final) when and if
prepared by the Financial Advisor, on behalf of the City, is hereby authorized and approved, and
the Executive is authorized and directed to execute the Official Statement on behalf of the City in
a form consistent with this Ordinance. The Executive or the Fiscal Officer is authorized to deem
the Preliminary Official Statement as "final" for purposes of Rule 15c2-12 promulgated by the
Securities and Exchange Commission.
(e) After the 2012B Bonds have been properly sold and executed, the Fiscal
Officer shall receive from the purchasers payment for the 2012B Bonds and shall provide for
delivery of the 2012E Bonds to the purchasers.
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(f) The 2012B Bonds, as and to the extent paid for and delivered to the
purchaser shall be the binding special revenue obligations of the City, payable out of the Net
Revenues. The proper officers of the City are hereby directed to sell the 2012B Bonds to the
purchaser, to draw all proper and necessary warrants, and to do whatever acts and things which
may be necessary to carry out the provisions of this Ordinance.
(g) The Executive and the Fiscal Officer each are hereby authorized to deem
final an official statement with respect to the 2012B Bonds, as of its date, in accordance with the
provisions of Rule 15c2-12 of the U.S. Securities and Exchange Commission, as amended (the
"SEC Rule"), subject to completion as permitted by the SEC Rule, and the City further
authorizes the distribution of the deemed final official statement, and the execution, delivery and
distribution of such document as further modified and amended with the approval of the
Executive or the Fiscal Officer in the form of a final official statement.
(h) In order to assist any underwriter of the 2012B Bonds in complying with
paragraph (b)(5) of the SEC Rule by undertaking to make available appropriate disclosure about
the City and the 2012B Bonds to participants in the municipal securities market, the City hereby
covenants, agrees and undertakes, in accordance with the SEC Rule, unless excluded from the
applicability of the SEC Rule or otherwise exempted from the provisions of paragraph (b)(5) of
the SEC Rule, that it will comply with and carry out all of the provisions of the continuing
disclosure contract. "Continuing disclosure contract" shall. mean that certain continuing
disclosure contract executed by the City and dated the date of issuance of the 2012B Bonds, as
originally executed and as it may be amended from time to time in accordance with the terms
thereof: The execution and delivery by the City of the continuing disclosure contract, and the
performance by the City of its obligations thereunder by or through any employee or agent of the
City, are hereby approved, and the City shall comply with and carry out the terms thereof.
(i) The Fiscal Officer is hereby authorized and directed to obtain a legal
opinion as to the validity of the 2012B Bonds from Barnes &. Thornburg LLP, and to furnish
such opinion to the purchasers of the 2012B Bonds or to cause a copy of said legal opinion to be
printed on each 2012 Bond, The cost of such opinion shall be paid out of the proceeds of the
2012E Bonds.
0) In connection with the sale of the 2012B Bonds, the Executive and the
Fiscal Officer each are authorized to take such actions and to execute and deliver such agreements
and instruments as they deem advisable to obtain a rating and/or to obtain bond insurance for the
2012B Bonds, and the taking of such actions and the execution and delivery of such agreements
and instruments are hereby approved.
SECTION 11. Use of Proceeds. The accrued interest received at the time of delivery of
the 2012B Bonds, if any, and premium, if any, shall be deposited in the Bond and Interest
Account of the Sinking Fund (as hereafter defined) and applied to payments on the 2012B Bonds
on the first interest payment date. An amount of proceeds from the sale of the 2012B Bonds of
any Series equal to the amount described in Section 14(b) will be deposited to the 2012
Subaccount of the Debt Service Reserve Account for the 20,12B Bonds of such Series and
applied as described below. An amount of proceeds from the sale of the 2012B Bonds of any
Series equal to the estimated costs of issuance of the 2012B Bonds and other fees and charges
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associated with the issuance of the 2012B Bonds, including the premium for any bond insurance
obtained for the 2012B Bonds, shall be deposited into�a fund of the utility hereby created and
designated as "City of South Bend, Indiana Waterworks 2012B Costs of Issuance Fund" (the
"Costs of Issuance Fund"). The proceeds deposited in the Costs of Issuance Fund, together with
all investment earnings thereon, shall be expended only for the purpose of paying the costs of
issuance of the 2012B Bonds and other fees and charges associated with the issuance of the
2012B Bonds, including the premium for any bond insurance obtained for the 2012B Bonds. The
remaining proceeds from the sale of the 2012B Bonds shall be deposited into a fund of the utility
hereby created and designated as "City of South Bend, Indiana Waterworks 2012B Refunding
Fund" (the "Refunding Fund"). The proceeds deposited in the Refunding Fund, together with all
investment earnings thereon, shall be expended only for the purpose of paying the costs of the
Refunding.
SECTION 12, Revenue Fund. There is hereby continued a fund of the utility created
and designated in the Prior Ordinances as the Revenue Fund (the "Revenue Fund"). All income
and revenues of the works shall be paid into the Revenue Fund for application as described
below.
SECTION 13. Operation and Maintenance Fund. There is hereby continued a fund of
the utility created and designated in the Prior Ordinances as the Operation and Maintenance Fund
(the "Operation and Maintenance Fund") (also shown on the books of the utility as the Operating
Fund). There shall be transferred from the Revenue Fund and credited to the Operation and
Maintenance Fund, on the last day of each calendar month, a sufficient amount so that the
balance in this Fund shall be sufficient to pay the expenses of operation, repair and maintenance
for the then next succeeding two calendar months. The moneys credited to this Fund shall be
used for the payment of the reasonable and proper operation, repair and maintenance expenses of
the works on a day-to-day basis, but none of the moneys in the Operation and Maintenance Fund
shall be used for depreciation, replacements, improvements, extensions or additions. Any
balance in Operation and Maintenance Fund in excess of the expected expenses of operation,
repair and maintenance for the next succeeding two calendar months may be transferred to the
Sinking Fund if necessary to prevent a default in the payment of principal of or interest on the
outstanding bonds of the works.
SECTION 14. Sinkine Fund. There is hereby continued a fund of the utility created
and designated in the Prior Ordinances as the Sinking Fund (the "Sinking Fund"), to be used for
the payment of the principal of and interest on bonds which by their terms are payable from the
Net Revenues, and for the payment of any fiscal agency charges in connection with such
payment. The Sinking Fund is divided into two accounts designated as the Bond and Interest
Account and the Debt Service Reserve Account, which are pledged for the purposes set forth
below. There shall be set aside and deposited in the Sinking Fund, as available, and as
hereinafter provided, a sufficient amount of the Net Revenues to meet the requirements of the
Bond and Interest Account (also shown on the books of the utility as the Bond Sinking Fund)
and of the Debt Service Reserve Account. Such payments shall.continue until the balance in the
Bond and Interest Account, plus the balance in the Debt Service Reserve Account, equals the
amount needed to redeem all of the then outstanding bonds.
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(a) Principal and Interest Account. There shall be transferred, on the last day
of each calendar month, from the Revenue Fund and credited to the Bond and Interest Account
an amount equal to the sum of one-twelfth (1112) of the principal and one-sixth (116) of the
interest on all then outstanding bonds payable from Net Revenues on the next succeeding
principal and interest payment dates, until the amount so credited shall equal the principal
payable during the next succeeding twelve (12) calendar months and the interest payable during
the next succeeding six (6) calendar months. There shall similarly be credited to the account any
amount necessary to pay when due the bank fiscal agency charges for paying principal of and
interest on the bonds as the same become payable. The City shall, from the sums deposited in
the Sinking Fund and credited to the Bond and Interest Account, remit promptly to the bank
fiscal agency sufficient moneys to pay the principal and interest on the due dates thereof together
with the amount of bank fiscal agency charges.
(b) Debt Service Reserve Account. The City may, upon the issuance of the
2012B Bonds of any Series, establish within the Debt Service Reserve Account a subaccount for
the 2012B Bonds of such Series (each, a "2012 Subaccount"). The Debt Service Reserve
Account (excluding any subaccounts established for any of the Bonds (each, a "Subaccount",
and collectively, the "Subaccounts")) shall constitute the margin for safety and as protection
against default in the payment of principal of and interest on the Bonds (as hereinafter defined)
(excluding any Bonds for which a Subaccount was established), and the moneys in the Debt
Service Reserve Account (excluding any Subaccounts) shall be used to pay current principal and
interest on the Bonds (excluding any Bonds for which a Subaccount was established) to the
extent that moneys in the Bond and Interest Account are insufficient for that purpose. The 2012
Subaccount of the Debt Service Reserve Account for the 2012B Bonds of any Series shall
constitute the margin for safety and as protection against default in the payment of principal of
and interest on the 2012B Bonds of such Series, and the moneys in such 2012 Subaccount shall
be used to pay current principal and interest on the 2012B Bonds of such Series to the extent that
moneys in the Bond and Interest Account are insufficient for that purpose.
(c) No amounts in the 2012 Subaccount of the Debt Service Reserve Account
for the 2012B Bonds of any Series shall be available to pay any principal of or interest or
redemption premium, if any, on any Bonds, except the 2012E Bonds of such Series.
(d) No amounts in the Debt Service Reserve Account shall be available to pay
any principal of or interest or redemption premium, if any, on any 2012B Bonds of any Series for
which a 2012 Subaccount was established, except that any amounts in the 2012 Subaccount of
the Debt Service Reserve Account for the 2012B Bonds of any Series shall be available to pay
the principal of or interest or redemption premium, if any, on the 2012B Bonds of such Series.
(e) In this Ordinance the term "Parity Bonds" means any and all bonds
ranking on a parity with the 2012B Bonds issued hereunder (including the Prior Bonds) which
are (i) now outstanding or issued in the fixture by the City and (ii) which are payable from the net
revenues of the City's waterworks.
(f) In this Section 14, the term "Bonds" means the 2012B Bonds issued
hereunder and all Parity Bonds.
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(g) In this Ordinance, the term "Reserve Requirement" for the Bonds
(excluding any Bonds for which a Subaccount was established) means the least of. (i) the
maximum annual debt service on the Bonds (excluding any Bonds for which a Subaccount was
established), (ii) 125% of the average annual debt service on the Bonds (excluding any Bonds for
which a Subaccount was established), or (iii) 10% of the proceeds of the Bonds (excluding any
Bonds for which a Subaccount was established). In this Ordinance, the term "Reserve
Requirement" for the 2012B Bonds of each Series for which a 2012 Subaccount was established
means the least of: (i) the maximum annual debt service on the 2012B Bonds of such series, (ii)
125% of the average annual debt service on the 2012B Bonds of such Series, or (iii) 10% of the
proceeds of the 2012B Bonds of such Series.
(h) Subject to Section 14(i) and Section 140) below, the City shall maintain in
the Debt Service Reserve Account (excluding any Subaccounts) an amount equal to the Reserve
Requirement for the Bonds (excluding any Bonds for which a Subaccount was established).
Subject to Section 14(i) and Section 140) below, the City shall maintain in the wo 11 Subaccount
of the Debt Service Reserve Account for the 2012B Bonds of each Series for which a 2012
Subaccount was established an amount equal to the Reserve Requirement for the 2012B Bonds
of such Series.
(i) To the extent that the amount in the Debt Service Reserve Account
(excluding any Subaccounts) on the date of the issuance of the 2012B Bonds of any Series is less
than the Reserve Requirement for the Bonds (excluding any Bonds for which a Subaccount was
established), that portion of the shortfall which exists as of the date of issuance of the 2012B
Bonds of such Series shall, at the election of the Executive and Fiscal Officer with the advice of
the City's financial advisor, be deposited into the Debt Service Reserve Account (excluding any
Subaccounts) either (i) in a single payment, to be paid on the date of the issuance of the 2012B
Bonds of such Series, or (ii) in equal monthly installments, over a period not to exceed sixty (60)
months after the date of issuance of the 2012B Bonds of such Series, with the first installment
due and payable on the date of the issuance of the 2012B Bonds of such Series, and the
remaining installments payable on the last day of each calendar month, commencing on the last
day of the month in which the 2012B Bonds of such Series are issued. To the extent that the
amount in the 2012 Subaccount of the Debt Service Reserve Account for the 2012B Bonds of
any Series on the date of the issuance of the 2012B Bonds of such Series is less than the Reserve
Requirement for the 2012B Bonds of such Series, that portion of the shortfall which exists as of
the date of issuance of the 2012B Bonds of such Series shall, at the election of the Executive and
Fiscal Officer with the advice of the City's financial advisor, be deposited into such 2012
Subaccount either (i) in a single payment, to be paid on the date of the issuance of the 2012B
Bonds of such Series, or (ii) in equal monthly installments, over a period not to exceed sixty (60)
months after the date of issuance of the 2012B Bonds of such Series, with the first installment
due and payable on the date of the issuance of the 2012B Bonds of such Series, and the
remaining installments payable on the last day of each calendar month, commencing on the last
day of the month in which the 2012B Bonds of such Series are issued.
0) To the extent that additional Parity Bonds are issued subsequent to the
issuance of the 2012B Bonds of any Series, the additional amounts, if any, which are required to
be paid into the Debt Service Reserve Account to satisfy the Reserve Requirement as a result of
the issuance of such additional Parity Bonds shall, at the election of the Executive and Fiscal
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Officer with the advice of the City's financial advisor, be deposited into the Debt Service
Reserve Account either (i) in a single payment, to be paid on the date of the issuance of such
additional Parity Bonds, or (ii) in equal monthly installments, over a period not to exceed sixty
(60) months after the date of issuance of such additional Parity Bonds, with the first installment
due and payable on the date of the issuance of such additional Parity Bonds, and the remaining
installments payable on the last day of each calendar month, commencing on the last day of the
month in which such additional Parity Bonds are issued.
(k) Subject to Section 14(i) and Section 140) above, any deficiency in the
balance maintained in the Debt Service Reserve Account (excluding any Subaccounts) or any
Subaccounts shall be promptly made up from the next available Net Revenues after credits into
the Bond and Interest Account, on a pro rata basis, calculated by reference to the amount of the
deficiency in the Debt Service Revenue Account (excluding any Subaccounts) and each
Subaccount. Any moneys in the Debt Service Reserve Account (excluding any Subaccount) in
excess of the Reserve Requirement for the Bonds (excluding any Bonds for which a Subaccount
was established), and any moneys in the 2012 Subaccount for the 2012B Bonds of any Series for
which a 2012 Subaccount was established in excess of the Reserve Requirement for the 2012B
Bonds of such Series, may be used for the prepayment of installments of principal, together with
interest due thereon, on the then outstanding Bonds which are then callable or prepayable, or for
the purchase of outstanding Bonds or installments of principal of and interest on the Bonds at a
price not exceeding par and accrued interest, or may be transferred to the Improvement Fund.
(1) As an alternative to holding cash funds in the Debt Service Reserve
Account or any Subaccount, the City, with the advice of the City's financial advisor and
nationally recognized bond counsel, may satisfy all or any part of its obligation to maintain any
amount in the Debt Service Reserve Account or such Subaccount by depositing a Credit Facility
(as defined in the next sentence)therein (which, for any 2009 Bonds for which a Subaccount was
established and which were sold to the Indiana Finance Authority through the SRF Program (as
hereafter defined), will require the written consent of the Indiana Finance Authority to the
deposit of any such Credit Facility), provided that such deposit does not adversely affect any
then existing rating on the Bonds. A "Credit Facility" is hereby defined as a letter of credit,
liquidity facility, insurance policy or comparable instrument furnished by a bank, insurance
company, financial institution or other entity pursuant to a reimbursement agreement or similar
instrument between such entity and the City. To the extent that any Bonds are insured, and the
Credit Facility is not being provided by the insurer of such Bonds, such insurance policy shall be
subject to the insurer's prior written consent.
(m) In the event a draw is made against the Credit Facility in the Debt Service
Reserve Account or any Subaccount, the City shall repay the .amount of the draw and related
expenses incurred by the issuer(s) of the Credit Facility (the "Credit Facility Issuer") together
with interest thereon at the rate specified in the Credit Facility and/or the related Credit Facility
Agreement (as defined below). The repayment of the draw amount, related expenses and accrued
interest (the "Credit Facility Costs") shall be paid from the funds that would have been set aside
above to replenish the Debt Service Reserve Account or such Subaccount, respectively.
Repayment of the Credit Facility Costs shall commence in the first month following each draw,
in an amount equal to no less than one twelfth (1/12) of the aggregate Credit Facility Costs
related to such draw ("Monthly Installments"). Each Monthly Installment shall be deposited by
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the City into the Debt Service Reserve Account or such Subaccount, respectively, and then
payments shall be made from the Debt Service Reserve Account or such Subaccount,
respectively, to pay Credit Facility Costs,
(n) If and to the extent cash has been deposited to the Debt Service Reserve
Account or any Subaccount (other than Monthly Installments to pay Credit Facility Costs), all
such cash (or permitted investments) shall be used prior to any drawing under the Credit Facility
therein, and repayment of any Credit Facility Costs shall be made prior to replenishment of any
such cash amounts.
(o) If, in addition to the Credit Facility in the Debt Service Reserve Account
or any Subaccount, any other reserve account substitute instrument ("Additional Credit Facility")
is provided, drawings under the Credit Facility and any such Additional Credit Facility, and
repayment of Credit Facility Costs and reimbursement of amounts due under the Additional
Credit Facility, shall be made on a pro-rata basis (calculated by reference to the maximum
amounts available thereunder) after applying all available cash therein and prior to replenishment
of any such cash draws, respectively.
(p) Inasmuch as the Reserve Requirement pertaining to the 2000 Bonds, the
2002 Bonds and the 2006 Bonds is currently being satisfied by the 2002 Reserve Insurance
Policy and 2006 Reserve Insurance Policy, the City with the advice of the City's financial
advisor and nationally recognized bond counsel, may satisfy the.Reserve Requirement pertaining
to the 2012B Bonds of any Series as follows:
(i) by amending the terms of either the 2002 Reserve Insurance Policy or the
2006 Reserve Insurance Policy to expand the scope of either the 2002
Reserve Insurance Policy or the 2006 Reserve Insurance Policy to include
the 2012B Bonds of such Series, and by adjusting the Policy Limit of the
2002 Reserve Insurance Policy or the 2006 Reserve Insurance Policy
accordingly; or
(ii) by obtaining a separate Additional Credit Facility covering the Reserve
Requirement attributable to the 2012E Bonds of such Series; or
(iii) by funding the Reserve Requirement attributable to the 2012B Bonds of
such Series in cash funds, either (i) in a single payment, to be paid on the
date of the issuance of the 2012B Bonds of such Series, or (ii) in equal
monthly installments, over a period not to exceed sixty (60) months after
the date of issuance of the 2012B Bonds of such Series, with the first
installment due and payable on the date of the issuance of the 2012B
Bonds of such Series, and the remaining installments payable on the last
day of each calendar month, commencing on the last day of the month in
which the 2012B Bonds of such Series are issued.
(q) The City acknowledges that: (i) at the time that the 2009A Bonds were
issued, the City, pursuant to the 2009 Ordinance, established within the Debt Service Reserve
Account a subaccount for the 2009A Bonds (the "2009A Subaccount"); (ii) such 2009A
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Subaccount constitutes the margin for safety and as protection against default in the payment of
principal of and interest on the 2009A Bonds; (iii) the moneys in such 2009A Subaccount shall
be used to pay current principal and interest on the 2009A Bonds, to the extent that moneys in
the Bond and Interest Account are insufficient for that purpose; (iv); the 2009A Bonds were sold
to the Indiana Finance Authority pursuant to its Drinking Water Revolving Loan Program (the
"SRF Program") and pursuant to the 2009 Ordinance the "Reserve Requirement" for the 2009A
Bonds for which the 2009A Subaccount was establish means the maximum annual debt service
on the 2009A Bonds; and (v) each of the provisions in the 2009 Ordinance pertaining to the
2009A Subaccount remain in full force and effect.
SECTION 15. Improvement Fund. After meeting the requirements of the Operation
and Maintenance Fund and the Sinking Fund, any excess revenues may be transferred from the
Revenue Fund and credited to the special utility fund hereby continued which was created and
designated in the Prior Ordinances as the "Waterworks Improvement Fund" (the "Improvement
Fund") (also shown on the books of the utility as the Depreciation Fund), and said Fund shall be
used for improvements, replacements, additions and extensions of the works. Moneys in the
Improvement Fund shall be transferred to the Sinking Fund if necessary to prevent a default in
the payment of principal of and interest on the then outstanding bonds or, if necessary, to
eliminate any deficiencies in credits to or minimum balance in the Debt Service Reserve Account
of the Sinking Fund, or may be transferred to the Operation .and Maintenance Fund to meet
unforeseen contingencies in the operation and maintenance of the works.
SECTION 16. Investment of Funds. The Revenue Fund and the Sinking Fund each
shall be deposited in and maintained as a separate bank account or accounts from all other bank
accounts of the City. The Operation and Maintenance Fund and the Improvement Fund may be
maintained in a single bank! account or accounts, but such bank account or accounts shall
likewise be maintained separate and apart from the Revenue Fund and all other bank accounts of
the City and apart from the Revenue Fund and the Sinking Fund bank accounts. All moneys
deposited in the bank accounts shall be deposited, held and secured as public funds in accordance
with the public depository laws of the State of Indiana; provided, that moneys therein may be
invested in obligations in accordance with the applicable laws, including particularly Indiana
Code, Title 5, Article 13, Chapter 9 as amended or supplemented, and in the event of such
investment the income therefrom shall become a part of the funds invested and shall be used only
as provided in this Ordinance.
SECTION 17. Financial Records and Accounts. The City shall keep proper records
and books of account, separate from all of its other records and accounts, in which complete and
correct entries shall be made showing all revenues received on account of the operation of the
utility and all disbursements made therefrom and all transactions relating to the utility. The City
shall maintain on file the audited financial statements of the utility prepared by the State Board
of Accounts. There shall be furnished, upon written request, to any owner of the 2012B Bonds,
the most recent copy of the audited financial statements of the utility prepared by the State Board
of Accounts. Copies of all such statements and reports shall be kept on file in the office of the
Fiscal Officer.
SECTION 18. Rate Covenant. The City, by and through the Board and to the fullest
extent permitted by law, shall establish, fix, maintain and collect reasonable and just rates and
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charges for the use of and the services rendered by the works so that such rates and charges shall
produce revenues at least sufficient in each year to (a) pay all the legal and other necessary
expenses incident to the operation of the works, including maintenance costs, operating charges,
upkeep, repairs, and interest charges on bonds or other obligations, including leases; (b) provide
a sinking fund for the liquidation of bonds or other obligations, including leases; (c) provide a
debt service reserve on bonds or other obligations, including leases, as required by the terms of
such obligations; (d) prove adequate money for working capital; (e) provide adequate money for
making extensions and replacements; and (f) provide money for the payment of any taxes that
may be assessed against the works. So long as any of the 2012B Bonds are outstanding, none of
the facilities and services afforded by the works shall be furnished without a reasonable and just
charge being made therefor.
SECTION 19. Defeasance. If, when the 2012B Bonds or a portion thereof shall have
become due and payable in accordance with their terms or shall have been duly called for
redemption or irrevocable instructions to call the 2012B Bonds or a portion thereof for
redemption shall have been given, and the whole amount of the principal, premium, if any, and
the interest so due and payable upon such 2012B Bonds or any portion thereof then outstanding
shall be paid, or (i) cash, (ii) direct non-callable obligations of (including obligations issued or
held in book-entry form on the books of) the U.S. Department of the Treasury, the principal of
and the interest on which when due without reinvestment will provide sufficient money, or (iii)
any combination of the foregoing, shall be held irrevocably in trust for such purpose, and
provision shall also be made for paying all fees and expenses for the payment, then and in that
case the 2012B Bonds or such designated portion thereof shall no longer be deemed outstanding
or secured by this Ordinance or entitled to the pledge of the Net Revenues.
SECTION 20. Additional Bonds. The City reserves the right to issue additional bonds
payable out of the Net Revenues ranking on a parity with the 2012B Bonds for the purpose of
financing the cost of future additions, extensions and improvements to the works, or to provide
for a complete or partial refunding of obligations, subject to the following conditions precedent:
(a) The interest on and principal of all bonds payable from the Net Revenues
shall have been paid to date in accordance with the terms thereof, and all required payments into
the Sinking Fund required by this Ordinance shall have been made. The Reserve Requirement
shall be satisfied for the additional Parity Bonds either at the time of delivery of the additional
Parity Bonds or over a five-year or shorter period, in a manner which is commensurate with the
requirements established in Section 14 of this Ordinance.
(b) The Net Revenues in the fiscal year immediately preceding the issuance of
any such bonds ranking on a parity with the 2012B Bonds shall be not less than one hundred
twenty-five percent (125%) of the maximum annual principal and interest requirements of the
then outstanding bonds (including the 2012B Bonds and the Prior Bonds) and the additional
Parity Bonds proposed to be issued; or, prior to the issuance of the additional Parity Bonds, the
water rates and charges shall be increased sufficiently so that'the increased rates and charges
applied to the previous fiscal year's operations would have produced Net Revenues for the year
equal to not less than one hundred twenty-five percent (125%) of the maximum annual principal
and interest requirements of the then outstanding bonds and the additional Parity Bonds
proposed to be issued. For purposes of this subsection, the records of the works shall be
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analyzed and all showings shall be prepared by an independent certified public accountant
employed by the City for that purpose.
(c) To the extent required by law, the issuance of the proposed additional
Parity Bonds and any necessary increase in water rates and charges shall have been approved by
the Indiana Utility Regulatory Commission, or any successor body vested by law with authority
to approve bonds and water rates and charges of municipal waterworks.
(d) The principal of said additional Parity Bonds shall be payable on
January 1 and the interest shall be payable on January 1 and.July 1 during the periods such
principal and interest are payable.
(e) So long as the 2000 Bonds, the 2009A Bonds or any other Parity Bonds
sold to the Indiana Finance Authority through the SRF Program remain outstanding, the City
shall obtain the consent of the Indiana Finance Authority to the issuance of the proposed
additional Parity Bonds.
SECTION 21. Further Covenants of the City. For the purpose of further safeguarding
the interests of the owners of the 2012B Bonds, it is hereby specifically provided as follows:
(a) The City, through the Board, shall at all times maintain the works in good
condition, and operate the same in an efficient manner and at a reasonable cost.
(b) So long as any of the 2012B Bonds are outstanding, the City, through the
Board, shall in insurance on the insurable parts of the works, of a kind and in an amount
such as would normally be carried by private entities engaged in a similar type of business. All
insurance shall be placed with responsible insurance companies qualified to do business under
the laws of the State of Indiana. As an alternative to maintaining such insurance, the City may
maintain a self-insurance program with catastrophic or similar coverage so long as such program
meets the requirements of any applicable laws or regulations and is maintained in a manner
consistent with programs maintained by similarly situated municipalities. Insurance proceeds or
self-insurance proceeds shall be used in replacing or repairing the property destroyed or
damaged, or if not used for that purpose, shall be treated and applied as Net Revenues.
(c) So long as any of the 2012B Bonds are outstanding, the City shall not
mortgage, pledge or otherwise encumber the works, or any part thereof, and shall not sell, lease
or otherwise dispose of any part of the same, excepting only such machinery, equipment or other
property as may be replaced, or shall no longer be necessary for use in connection with said
utility, provided, the foregoing restrictions shall not apply to the extent approved otherwise in
writing by the owners of all 2012E Bonds then outstanding, and the City receives an opinion of
nationally recognized bond counsel to the effect that the transaction will not cause the interest on
the 2012B Bonds to be included in gross income for federal income tax purposes.
(d) Reserved.
(e) Except as otherwise specifically provided in Section 20 of this Ordinance
and in the Prior Ordinances, so long as any of the 2012B Bonds are outstanding, no additional
bonds or other obligations pledging any portion of the revenues of the works shall be issued by
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the City, except such as shall be made junior and subordinate in all respects to the 2012E Bonds,
unless all of the 2012B Bonds are defeased, redeemed or retired coincidentally with the delivery
of such additional bonds or other obligations. Such subordinate obligations shall be subject to the
provisions of Section 20(d).
(f) The provisions of this Ordinance shall constitute a contract by and
between the City and the owners of the 2012B Bonds, all the terms of which shall be enforceable
by any such owner by any and all appropriate proceedings in law or in equity. After the issuance
of the 2012B Bonds and so long as any of the principal thereof or interest or premium, if any,
thereon remains unpaid, except as expressly provided herein, this Ordinance shall not be
repealed or amended in any respect which, in the determination of the Council in its sole
discretion, will materially and adversely affect the rights of such owners, nor shall the Council or
any other body of the City adopt any law, ordinance or resolution which, in the determination of
the Council in its sole discretion, in any way materially and adversely affects the rights of such
owners.
The provisions of this Ordinance shall be construed to create a trust in the proceeds of the sale of
the 2012B Bonds for the uses and purposes herein set forth, and the owners of the 2012B Bonds
shall retain a lien on such proceeds until the same are applied in accordance with the provisions
of this Ordinance and the Act. The provisions of this Ordinance shall also be construed to create
a trust in the Net Revenues herein directed to be set apart and paid into the Sinking Fund for the
uses and purposes of that Fund as set forth in this Ordinance. The owners of the 2012B Bonds
shall have all the rights, remedies and privileges set forth in the Act.
SECTION 22. Amendments With Consent of Bondholders. Subject to the terms and
provisions contained in this section and Sections 21 and 23, the owners of not less than a
majority in aggregate principal amount of the 2012B Bonds and then outstanding shall have the
right, from time to time, to consent to and approve the adoption by the Council of such ordinance
or ordinances supplemental hereto, as shall be deemed necessary or desirable by the City for the
purpose of amending in any particular any of the terms or provisions contained in this Ordinance,
or in any supplemental Ordinance; provided, however, nothing herein contained shall permit or
be construed as permitting:
(a) An extension of the maturity of the principal of or interest or premium, if
any, on any 2012 Bond or an advancement of the earliest redemption date on any 2012 Bond,
without the consent of the holder of each 2012 Bond so affected; or
(b) A reduction in the principal amount of any 2012 Bond, the redemption
premium, the Reserve Requirement therefor or the rate of interest thereon, or a change in the
monetary medium in which such amounts are payable, without the consent of the holder of each
2012 Bond so affected; or
(c) The creation of a lien upon or a pledge of the Net Revenues ranking prior
to the pledge thereof created by this Ordinance, without the consent of the holders of all 2012B
Bonds then outstanding; or
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(d) A preference or priority of any 2012 Bond over any other 2012 Bond,
without the consent of the holders of all 2012B Bonds then outstanding; or
(e) A reduction in the aggregate principal amount of the 2012B Bonds
required for consent to such supplemental ordinance, without the consent of the holders of all
2012B Bonds then outstanding.
If the City shall desire to obtain any such consent, it shall cause the Registrar to mail a
notice, postage prepaid, to the addresses appearing on the Registration Record. Such notice shall
briefly set forth the nature of the proposed supplemental ordinance and shall state that a copy
thereof is on file at the office of the Registrar for inspection by all owners of the 2012B Bonds.
The Registrar shall not, however, be subject to any liability to any owners of the 2012B Bonds
by reason of its failure to mail such notice, and any such failure shall not affect the validity of
such supplemental ordinance when consented to and approved as herein provided,
Whenever at any time within one year after the date of the mailing of such notice, the
City shall receive any instrument or instruments purporting to be executed by the owners of the
2012B Bonds of not less than a majority in aggregate principal amount of the 2012B Bonds then
outstanding, which instrument or instruments shall refer to the proposed supplemental ordinance
described in such notice, and shall specifically consent to and approve the adoption thereof in
substantially the form of the copy thereof referred to in such notice as on file with the Registrar,
thereupon, but not otherwise, the City may adopt such supplemental ordinance in substantially
such form, without liability or responsibility to any owners of the 2012B Bonds, whether or not
such owners shall have consented thereto.
No owner of any 2012 Bond shall have any right to object to the adoption of such
supplemental ordinance or to object to any of the terms and provisions contained therein or the
operation thereof, or in any manner to question the propriety of the adoption thereof, or to enjoin
or restrain the Council from adopting the same, or from taking any action pursuant to the
provisions thereof. Upon the adoption of any supplemental ordinance pursuant to the provisions
of his section, this Ordinance shall be, and shall be deemed, modified and amended in
accordance therewith, and the respective rights, duties and obligations under this Ordinance of
the City and all owners of 2012B Bonds then outstanding shall thereafter be determined,
exercised and enforced in accordance with this Ordinance, subject in all respects to such
modifications and amendments.
Notwithstanding anything contained in the foregoing provisions of this Ordinance, the
rights and obligations of the City and of the owners of the 2012B Bonds, and the terms and
provisions of the 2012B Bonds and this Ordinance, or any supplemental ordinance, may be
modified or amended in any respect with the consent of the City and the consent of the owners of
all the 2012B Bonds then outstanding.
SECTION 23. Amendments Without Consent of Bondholders. The Council may,
from time to time and at any time, and without notice to or consent of the owners of the 2012B
Bonds, adopt such ordinances supplemental hereto (which supplemental ordinances shall
thereafter form a part hereof):
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(a) To cure any ambiguity or formal defect or omission in this Ordinance or in
any supplemental ordinance;
(b) To grant to or confer upon the owners of the 2012B Bonds any additional
rights, remedies, powers, authority or security that may lawfully be granted to or conferred upon
the owners of the 2012B Bonds;
(c) To procure a rating on the 2012B Bonds from a nationally recognized
securities rating agency designated in such supplemental ordinance, if such supplemental
ordinance, in the determination of the Council in its sole discretion, will not materially and
adversely affect the owners of the 2012E Bonds;
(d) To obtain or maintain bond insurance with respect to the 2012B Bonds;
(e) To provide for the refunding or advance refunding of the 2012B Bonds;
(f) To provide for the issuance of additional bonds as provided in Section 20
hereof; or
(g) To make any other change which, in the determination of the Council in
its sole discretion, is not to the material prejudice of the owners of the 2012B Bonds.
SECTION 24. Tax Matters. In order to preserve the exclusion of interest on the 2012B
Bonds from gross income for federal income tax purposes and as an inducement to purchasers of
the 2012B Bonds, the City represents, covenants and agrees that:
(a) No person or entity, other than the City or another state or local
governmental unit, will use proceeds of the 2012B Bonds or property financed by the 2012 Bond
proceeds other than as a member of the general public. No person or entity other than the City or
another state or local governmental unit will own property financed by 2012 Bond proceeds or
will have actual or beneficial use of such property pursuant to a lease, a management or incentive
payment contract, an arrangement such as take-or-pay or output contract, or any other type of
arrangement that differentiates that person's or entity's use of such property from the use by the
public at large.
(b) No 2012 Bond proceeds will be loaned to any entity or person other than a
state or local governmental unit. No 2012 Bond proceeds will be transferred, directly or
indirectly, or deemed transferred to a non-governmental person in any manner that would in
substance constitute a loan of the 2012 Bond proceeds.
(c) The City will not take any action or fail to take any action with respect to
the 2012B Bonds that would result in the loss of the exclusion from gross income for federal
income tax purposes of interest on the 2012B Bonds pursuant to Section 103 of the Internal
Revenue Code of 1986, as amended (the "Code"), and the regulations thereunder as applicable to
the 2012B Bonds, including, without limitation, the taking of such action as is necessary to
rebate or cause to be rebated arbitrage profits on 2012 Bond proceeds or other monies treated as
2012 Bond proceeds to the federal government as provided in Section 148 of the Code, and will
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set aside such monies, which may be paid from investment income on funds and accounts
notwithstanding anything else to the contrary herein, in trust for such purposes.
(d) The City will file an information report on Form 8038-G with the Internal
Revenue Service as required by Section 149 of the Code.
(e) The City will not make any investment or do any other act or thing during
the period that any 2012 Bond is outstanding hereunder which would cause any 2012 Bond to be
an "arbitrage bond" within the meaning of Section 148 of the Code and the regulations
thereunder as applicable to the 2012B Bonds.
Notwithstanding any other provisions of this Ordinance, the foregoing covenants and
authorizations (the "Tax Sections") which are designed to preserve the exclusion of interest on
the 2012E Bonds from gross income under federal law (the "Tax Exemption") need not be
complied with to the extent the City receives an opinion of nationally recognized bond counsel
that compliance with such Tax Section is unnecessary to preserve the Tax Exemption.
SECTION 25. Issuance of BANs; Other Actions.
(a) The City, having satisfied all the statutory requirements for the issuance of
the 2012E Bonds, has the authority to elect to issue a bond anticipation note or notes, repayable
from the proceeds received from the sale of the 2012B Bonds (defined herein as the "BANs").
This Council hereby authorizes the issuance and sale of the BANs pursuant to I.C. §5-1-14-5 in
one or more series, ranking on a parity with each other, in original aggregate principal amount
not to exceed Four Million Two Hundred Thousand Dollars ($4,200,000) to provide interim
financing until permanent financing becomes available and to pay for costs of issuing the BANs,
and the BANs also may fund capitalized interest thereon. The designation of the BANs shall be
"City of South Bend, Indiana Waterworks Bond Anticipation Note of 20_". The BANs shall be
issued in fully registered form in denominations of Five Thousand Dollars ($5,000), or integral
multiples thereof, shall be originally dated the date of delivery, shall be numbered consecutively
from 1 upward, shall mature not more than five (5) years from the date of issuance, may be
renewed or extended from time to time, over a period not exceeding five (5) years from the date
of the original issuance of the BANs, in accord with I.C. §5-1.1-5, shall be prepayable on seven
(7) days' notice in whole or in part in any authorized denomination without premium or penalty,
shall bear interest at a rate not exceeding eight percent (8%) per annum, and shall be sold at a
discount not exceeding ninety-nine percent (99%) of the principal amount thereof. Interest on the
BANs shall be payable at maturity. It shall not be necessary for,the City to repeat the procedures
for the issuance of the 2012E Bonds as the procedures followed before the issuance of the BANs
are for all purposes sufficient to authorize the issuance of the 2012B Bonds and to use proceeds
thereof to repay the BANs.
The principal of the BANs herein authorized is payable solely from proceeds received
from the sale of the 2012B Bonds, and the interest thereon may be paid from such proceeds or
from the Net Revenues or a combination thereof, and the proceeds received by the City from the
sale of the 2012B Bonds and such Net Revenues are hereby irrevocably pledged to the payment
of the principal of and interest on the BANs. The Executive is hereby authorized to determine
the form of the BANs and to execute the BANs, the Fiscal Officer is hereby authorized to have
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the BANs prepared, and to attest to the BANs and affix the seal the City or cause a facsimile of
the seal of the City to be imprinted or impressed on the BANs. The Fiscal Officer is hereby
authorized and directed to obtain the legal opinion as to the validity of the BANS from Barnes &
Thornburg LLP. After the BANs shall have been properly executed, the Fiscal Officer shall be
authorized to receive from the purchaser thereof payment for the BANS and to provide for
delivery of the BANS to the purchaser. The City may receive payment for the BANs in
installments. Proceeds received from the sale of the BANS shall be deposited in the funds set
forth in Section 11 of this Ordinance. The Fiscal Officer is authorized to sell the BANs to any
investor, and to work with the investor to facilitate the sale of the BANS. In any case any officer
whose signature or a facsimile signature appears on the BANS shall cease to be such officer
before delivery of the BANs, such signature shall nevertheless be valid and sufficient for all
purposes as if such officer had remained in office until delivery of the BANS.
Upon execution of the BANs by the Executive and attestation thereof by the City Clerk,
the BANS shall constitute the legal, valid and binding obligations of the City.
No action shall be taken that would impair the exclusion from gross income of interest on
the BANS provided by the Code (as defined in Section 24). In furtherance of the foregoing, the
provisions of Section 24 of this Ordinance shall apply to the BANs in the same manner as they
apply to the 2012B Bonds.
The BANS shall be subject to transfer or exchange in the same manner as the 2012B
Bonds, as described in Section 4, and to amendment in the same manner as the 2012B Bonds, as
described in Sections 22 and 23.
The Executive and the Fiscal Officer each are authorized and directed to execute a
purchase agreement with respect to the BANS in such form or substance as they shall approve.
As an alternative to any terms of the BANS set forth above and,to the method of sale referred to
above, the Fiscal Officer may negotiate the sale to the Indiana Finance Authority or the Indiana
Bond Bank upon such terms as are acceptable to the Executive and the Fiscal Officer and as are
authorized by law for such sale, and the Executive and the Fiscal Officer each are authorized to
execute a purchase agreement with the Indiana Finance Authority or the Indiana Bond Bank
reflecting such terms.
'(b) The Executive and the Fiscal Officer may take such other actions or
deliver such other certificates and documents needed for the Refunding or the financing as they
deem necessary or desirable in connection therewith.
SECTION 26. )hate Ordinance. The rates and charges of the works are set forth or
described in Ordinance No. 9651-05 adopted by the Council on January 10, 2005. Such
ordinance is hereby incorporated by reference as if set forth in full at this place, two copies of
which are on file and available for public inspection in the office of the City Clerk pursuant to
I.C. §36-1-5-4.
SECTION 27. Non-Business Days. If the date of making any payment or the last date
for performance of any act or the exercising of any right, as provided in this Ordinance, shall be
a legal holiday or a day on which banking institutions in the City or the jurisdiction in which the
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Registrar or Paying Agent is located are typically closed, such payment may be made or act
performed or right exercised on the next succeeding day not a legal holiday or a day on which
such banking institutions are typically closed, with the same force and effect as if done on the
nominal date provided in this Ordinance, and no interest shall accrue for the period after such
nominal date.
SECTION 28, No Conflict. The Council hereby finds and determines that the adoption
of this Ordinance and the issuance of the 2012B Bonds are in compliance with the Prior
Ordinances. The Prior Ordinances shall remain in full force and effect. All ordinances and
resolutions and parts thereof in conflict herewith, except the Prior Ordinances, are to the extent
of such conflict hereby repealed. None of the provisions of this Ordinance shall be construed to
adversely affect the rights of the owners of the Parity Bonds.
SECTION 29. Sevearalbilit'. If any section, paragraph or provision of this Ordinance
shall be held to be invalid or unenforceable for any reason, the invalidity or unenforceability of
such section, paragraph or provision shall not affect any of the remaining provisions of this
Ordinance.
SECTION 30. Inter retation. Unless the context or laws clearly require otherwise,
references herein to statutes or other laws include the same as modified, supplemented or
superseded from time to time.
SECTION 31. Effectiveness. This Ordinance shall be in full force and effect from and
after its passage and compliance with the procedures required by law.
SECTION 32, Credit Facilit . The Executive and the Fiscal Officer, on behalf of the
City, are hereby authorized to obtain a Credit Facility or Additional Credit Facility as set forth in
Section 14 herein. The Executive and the Fiscal Officer, on behalf of the City, are also
authorized to enter into an agreement with the Credit Facility Issuer for either the Credit Facility
or Additional Credit Facility (the "Credit Facility Agreement") and negotiate the terms of the
Credit Facility Agreement, with the advice of the City's financial advisor and nationally
recognized bond counsel. The Executive and the Fiscal Officer, on behalf of the City, are also
authorized to execute any and all other documents required to obtain the Credit Facility. The
City hereby agrees that:
(a) If the waterworks fails to pay any Credit Facility Costs in accordance with
the requirements set forth above, the Credit Facility Issuer shall be entitled to exercise any and
all remedies available at law or under the authorized documents other than (i) acceleration of the
maturity of the 2012B Bonds or (ii) remedies which would adversely affect the owners of the
2012B Bonds.
(b) This Ordinance shall not be discharged and the 2012B Bonds defeased
until all Credit Facility Costs owing to the Credit Facility Issuer shall have been paid in full.
(c) The Credit Facility Issuer is granted a security interest (subordinate to that
of the owners of the 2012E Bonds) in all revenues and collateral pledged as security for the
2012B Bonds, for the repayment of the Credit Facility Costs.
- 30 -
i
(d) No additional bonds payable from the Net Revenues will be issued
without the Credit Facility Issuer's prior written consent as long as Credit Facility Costs are past
due and still owing to the Credit Facility Issuer.
(e) This Ordinance shall not be modified or amended, except as provided in
Section 23 herein, without the prior written consent of the Credit Facility Issuer.
The Credit Facility Issuer shall be provided with written notice of the resignation or removal of
the Registrar and Paying Agent and the appointment of a successor thereto and of the issuance of
additional indebtedness of the City's waterworks at such address as may be specified, from time
to time, by the Credit Facility Issuer.
SECTION 33. Payment on Bonds in the Event of Default. In the event available
moneys are insufficient to pay debt service on the 2012B Bonds and any Parity Bonds when due,
available moneys shall be applied, after payment of all costs and expenses associated therewith,
to the 2012B Bonds and any Parity Bonds as follows; to the payment to the persons entitled
thereto of all unpaid installments of interest then due on, and the unpaid principal of, the 2012B
Bonds and any Parity Bonds, including interest on any past due principal of any 2012 Bond or
Parity Bond at the rate borne by such 2012 Bond or Parity Bond, in the order of the maturity of
the installments of such interest and the due dates of such principal and, if the amount available
shall not be sufficient to pay in full any particular installment of interest or maturity of principal,
then to such payment ratably, according to the amounts so due, to the persons entitled thereto,
without any discrimination or privilege or any preference of or priority of interest over principal
or principal over interest.
During the continuance of any default in the payment of either principal of or interest or
premium on any 2012B Bonds or Parity Bonds, no payment shall be made with respect to any
subordinate obligations issued pursuant to Section 21(e). Moneys available for payment to
holders of such subordinate obligations shall, in the event of an insufficient amount being
available to pay all debt service with respect to the subordinate obligations when due, be applied
to the subordinate obligations in accordance with the sequence and other terms set forth above
with respect to payments regarding 2012B Bonds and Parity Bonds unless otherwise provided in
the ordinance authorizing the subordinate obligations.
SECTION 34. _Actions and Agreements. Each of the Executive, the Fiscal Officer and
any other officer or employee of the City is hereby authorized and directed to execute any
instruments or agreements or take any other actions necessary or desirable to effect the
transactions contemplated by this Ordinance, such necessity or desirability to be conclusively
evidenced by the execution of such instruments or agreements or the taking of such action.
- 31 -
SECTION 35. This Ordinance shall be in full force and effect from and after its passage
by the Common Council and approval by the Mayor.
Member of the Common Council
Attest:
app-v 7m'�
ad
Council aeon on thw-Issue,
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the day of
2_, at o'clock In.
City Clerk
Approved and signed by me on the day of 2_, at o'clock
.m.
Mayor, City of South Bend, Indiana
�4-
SBDS02 434813A
q
READING
P-J9,UC HEAPING
3 rd FUANNG - 32 -
NOT APPROVEb
R,EF-ERRED
Bl" R V ES&TEOR BURG LLP 600 1st Source Sank Center
100 North Michigan
South Bend,IN 46601-1.632 U.S.A.
(574)233-1171
Fax(574)Z37-1125
Philip J.Faccenda,Jr.
(574)237.1148 www.btlaw.ccm
philip.faccendAbdaw.corn
September 19, 2012
HAND DELIVERED
Mr. John Voorde
Clerk of the City of South Bend
455 County-City Building
227 West Jefferson Boulevard
South Bend, Indiana 46601
Re: City of South Bend, Indiana Waterworks Refunding Revenue Bonds of 2012B
Dear Mr. Voorde:
Enclosed for filling are multiple copies of the Ordinance for the above-referenced City of
South Bend, Indiana Waterworks Refunding Revenue Bonds of 2012B regarding the refunding
of prior bonds of the Waterworks of the City of South Bend as described in the Ordinance for
first reading before the Common Council on September 24, 2012 and second reading on October
8, 2012. Please return a file-stamped copy to my attention.
Please call me with any questions you may have.
Very truly yours,
BARNES ÞBURG LLP
IT14a
Philip J. Faccenda, Jr.
PJF:ske Po
Enclosures
cc: Aladean M. DeRose, Esq. (w lent.) ;.
Mark W. Neal (w lent.)
Edward Herman (w lent.)
Gary A. Gilot, P.E. (w lent.)
SEDS02 PFACCENDA 43487?vI
ArLmra Chicago DdawarQ Indiana Lns Angles Michigan Minncapolis (thin Washington, C).C.
SECTION II. The Common Council hereby determines that the property owner is qualified for
and is granted Real property tax deduction for a period of three (3) years, and further determines
that the petition, the Memorandum of Agreement between the Petitioner and the City of South
Bend, and the Statement of Benefits comply with Chapter 2, Article 6, of the Municipal Code of
the City of South Bend and Indiana Code 6-1.1-12 et seq.
SECTION III. This Resolution shall be in full force and effect from and after its adoption by the
Common Council and approved by the Mayor.
Member of the Common Council
SEA' 2 0 [u 11
4'PE-Ertl TED
NOT APPROVEDJ�
L03
RESOLUTION NO.
A RESOLUTION OF THE COMMON COUNCIL OF THE
CITY OF SOUTH BEND DESIGNATING CERTAIN AREAS WITHIN
THE CITY OF SOUTH BEND, INDIANA, COMMONLY KNOWN AS
3340 DOUGLAS ROAD
AN ECONOMIC REVITALIZATION AREA FOR PURPOSES OF UP TO A
FIVE (5) YEAR REAL PROPERTY TAX ABATEMENT FOR
HARRINGTON ORTHODONTICS
WHEREAS, a petition for real property tax abatement has been filed with the City Clerk for
consideration by the Common Council of the City of South Bend, Indiana requesting that the
area located at 3340 Douglas Road which is more particularly described ass:
A parcel of land being a part of the Northeast Quarter of the Northeast Quarter of Section 32,
Township 38 North, Range 3 East and being more particularly described as follows:
Commencing at the Northwest corner of the Northeast Quarter of the Northeast Quarter of said
section 32, thence North 89 degrees 16' 18"East along the North Line of said Section 32, 140.70
Feet; Thence South 00 degrees 12 ` 28" West, 45.01 Feet to the point of beginning; thence North
89 degrees 16' 18"East parallel to the North Line of said Section 32, 188.55 Feet to a point on
the West Line of Douglas Road Partners Minor,recorded in Instrument Number 0917426 in the
Office of the Recorder of St. Joseph County, Indiana; thence South 00 degrees 29' 43"East
along said West Line of said Minor, 175.00 Feet; thence South 89 degrees 16' 18" West along
the Northerly Line of Lot 3 in said Minor, 187.70 feet to the East Line of a parcel of land
recorded in Deed Record 784, Page 80 in said Recorders Office; thence North 00 degrees 12'
28"East along said East Line, 175.02 Feet to the point of beginning, said parcel containing 0.75
acres, more or less, and subject to all right- of- way, easements, covenants, and restrictions of
record..
And which has Key Numbers 02-2023-054801 presently at this point in time, be designated as an
Economic Revitalization Area under the provisions of Indiana Code § 6-1.1-12.1 et seq., and
South Bend Municipal Code Sections 2-76 et seq., and;
WHEREAS, petitioner has agreed to and has accepted responsibility to report any
changes in the final legal description and to report the final, appropriate Key Number to the
Department of Community and Economic Development and to the Office of the City Clerk; and
WHEREAS, the Department of Community and Economic Development has concluded
Bend, and that the Statement of Benefits form completed by the petitioner, said form being
prescribed by the State Board of Accounts, are sufficient to justify the deduction granted under
Indiana Code § 6-1.1-12.1-3.
SECTION IV. The Common Council hereby accepts the report and recommendation of the
Community and Economic Development Committee that the area herein described be designated
as an Economic Revitalization Area and hereby adopts a Resolution designating this area as an
Economic Revitalization Area for purposes of real property tax abatement.
SECTION V. The designation as an Economic Revitalization Area shall be limited to two (2)
calendar years from the date of the adoption of this Resolution by the Common Council.
SECTION VI. The Common Council hereby determines that the property owner is qualified for
and is granted property tax deduction for a period of up to five (5) years.
SECTION VII. The Common Council directs the City Clerk to cause notice of the adoption of
this Declaratory Resolution for Real Property Tax Abatement to be published pursuant to Indiana
Code § 5-3-1 and Indiana Code § 6-1.1-12.1-2.5, said publication providing notice of the public
hearing before the Common Council on the proposed confirming of said declaration.
SECTION VIII. This Resolution shall be in full force and effect from and after its adoption by
the Common Council and approval by the Mayor.
Member of the Co n Council
anda s
7.i5„"On Gn L,"'.f a
Fled j1
17 IN
NOT APPRovir�)
raoPrED.
pia T$[g
120000uNTY-CTYBurc.DrNG .` PHONE 574/235-9371
� , ,,
227 W.IE�ERsoN Bou�.vnaD w Z"� FAx 574/235-9021
SouTx BENL),INDIANA 46601-1830
1865
CITY OF SOUTF-1 BEND PETE B=JGJEG, MAYOR
COMMUNITY & ECONOMIC .DEVELOPMENT
October 2, 2012
Council Member Henry Davis, Chairperson
Community&Economic Development Committee
South Bend Common Council
4th Floor, County City Building
South Bend, IN 46601
RE: Commercial Real Property Tax Abatement Petition for:
Douglas Road Land Partners South, L.P. /Harrington Orthodontics
Dear Council Member Davis:
When the petitioner first submitted their petition,the petition said that Douglas Road Land Partners
South LP was the owner of the land, and that Harrington Orthodontics would be a tenant. In
discussion with Paul Phair of Holliday Properties it was brought to staff's attention that the land will
soon be sold to Harrington Orthodontics, and that Harrington Orthodontics will be the taxpayer.
This would be an exception to policy as office buildings are not approved for tax abatement in that
location. A representative of the Petitioner will be available to meet with the Committee on
Monday, October 8, 2012.
Should you or any of the other Council members have any questions concerning the report, or need
additional information, please feel free to call me at 235-9278.
Sincerely,
Kathy Hahn
Economic Development Specialist
Attachments
cc: South Bend Common Council Members
Mayor Pete Buttigieg
Scott Ford
Don Inks
CoMMuNn*Y DEVELOPMENT Ecoxomic Dwa,oiwENT
PAMELA C.MEYER DUNAuD P..TNK
574135-9660 5741235-9371
Plx: 574/235-9469
Ordinance No.
Bill No.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH BEND,
INDIANA, FIXING THE ANNUAL PAY AND MONETARY FRINGE BENEFITS OF SWORN
MEMBERS OF THE SOUTH BEND POLICE DEPARTMENT FOR CALENDAR YEARS
2013 2014 AND 2015
STATEMENT OF PURPOSE AND INTENT
Pursuant to Indiana Code § 36-8-3-3, T (d), the South Bend Common Council, as the
legislative body of a second class Indiana city, is charged with establishing before November 1" the
annual compensation of all members of the South Bend Police Department.
On May 14, 2012, the South Bend Common Council unanimously adopted Resolution No.
4179-12 which appointed an agent/chief negotiator for the labor negotiations to work with the City
Advisory Negotiating Team for Police Negotiations. The Council's Agent and the City Advisory
Negotiating Team have been meeting with the Police Negotiating Team representing sworn
members of the Fraternal Order of Police South Bend Lodge No. 36.
The City Advisory Negotiating Team's membership includes Council Member at Large
Karen L. White, 1 ac District Council Member Tim Scott, Council Member at Large Gavin Ferlic
(Alternate), City Controller Mark Neal, Uniform Division Chief Jeff Walters, and Division Chief
for Services Gary Horvath; with Kathleen Cekanski-Farrand serving as the Council's Agent and Ed
Sullivan serving as the Board of Public Safety's Agent.
The Fraternal Order of Police South Bend Lodge No. 36 Negotiating Team includes 3rd
Detail Lieutenant and FOP President Steven G. Noonan, 1" Class Patrolman (Police Special
Crimes) James M. Taylor, 3rd Detail Sergeant Daniel S. Moryl, Ist Detail Sergeant James M. Wolff,
1St Detail Sergeant William G. Kraus, Sergeant Daniel D. Demler, Jr., Police K-9 Unit, and their
attorney Leo T. Blackwell.
This ordinance sets forth the recommended salaries and monetary fringe benefits to be paid
to sworn members of the South Bend Police Department. It is believed to be in the best interest of
the Police Department, the best interest of the City of South Bend which is fiscally responsible to
the citizens.
Ordinance No.
Bill No.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH BEND,
INDIANA, FIXING THE ANNUAL PAY AND MONETARY FRINGE BENEFITS OF
FIREFIGHTERS OF THE SOUTH BEND FIRE DEPARTMENT FOR CALENDAR YEARS
2013,_ 2014 AND 2015
STATEMENT OF PURPOSE AND INTENT
Pursuant to Indiana Code § 36-5-3-3, T (d); the South Bend Common Council, as the
legislative body of a second class Indiana city, is charged with establishing before November 0 the
annual compensation of all members of the South Bend Fire Department.
On May 14, 2012, the South Bend Common Council unanimously adopted Resolution No.
4179-12 which appointed an agent/chief negotiator for the labor negotiations to work with the City
Advisory Negotiating Team for Fire Negotiations. The Council's Agent and the City Advisory
Negotiating Team have been meeting with the Fire Negotiating Team representing sworn members
of the South Bend Firefighters' Association Local No. 362 of the International Association of
Firefighters ALF-CIO.
The City Advisory Negotiating Team's membership includes 2"a District Council Member
Henry Davis, Jr., 4t' District Council Member Dr. Fred Ferlic, 6'h District Council Member Oliver
Davis (Alternate), City Controller Mark Neal, Assistant Fire Chief for Operations Jim Lopez, and
Assistant Fire Chief for Services Todd Skwarcan; with Kathleen Cekanski-Farrand serving as the
Council's Agent and Ed Sullivan serving as the Board of Public Safety's Agent,
The IAFF South Bend Local No. 362 Fire Negotiating Team includes Captain Patrick J.
Kottkamp, IAFF Local 362 President, Captain Christopher C. Baker, Local 362 Vice-President,
Captain James K. Weinberg, Firefighter I" Class Michael W. Lagodney, Captain Russell C.
Buysse, and their attorney Tim Curran.
Each of the negotiating teams committed themselves to the principles of interest-based
negotiations. This is a negotiation strategy where the parties collaborate to be problem-solvers and
seek "win-win" solutions. Interest-based negotiations encourage the respective teams to focus on
developing mutually beneficial agreements.
This ordinance sets forth the recommended salaries and monetary fringe benefits to be paid
to sworn members of the South Bend Fire Department. It is believed to be in the best interest of the
Fire Department, the best interest of the City of South Bend which is fiscally responsible to the
citizens.
Ordinance No.
Bill No.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH
BEND, INDIANA, SETTING THE ANNUAL SALARIES FOR THE COUNCIL
MEMBERS FOR CALENDAR YEAR 2093
STATEMENT OF PURPOSE AND INTENT
Indiana Code § 36-4-7-2 sets forth the governing law for the legislative branch of
city government be requiring it to "fix the annual compensation of all elected officials".
This law provides in part that such compensation may "...not be changed in the year for
which it is fixed, nor may it be reduced below the amount fixed for the previous year".
This ordinance proposes a maximum of a two percent increase for 2013,
representing a proposed increase of $343.
Am_v&4 4l6arA&w!2( by the Common Council of the City of South Bend,
Indiana, as follows:
Section I. The maximum salaries for the members of the South Bend Common Council
in calendar year 2013 shall be established as follows:
2012 2013
$17,238 $17,581
Section 11. This Ordinance shall be in full force and effect from and after its passage by
the Common Council and approval by the Mayor.
Member of the Common Council
John Voorde, City Clerk
gdLBIY FL. G c� and
2013 South Bend Council Salary Ordinance
Page 2
66rdwoW by me to the Mayor of the City of South Bend, Indiana on the
day of 2012, at o'clock m.
Janice Talboom, Deputy City Clerk
--�, and 4qwtd by me on the day of
2012, at o 'clock rn.
Pete Buttigieg
Mayor of the City of South Bend, Indiana
--�..... ........
F114W 113
1 J READ!XG
PUBBUC Hu,,,,:NG
3 rd RED DNG Cfff CLARK, ,Nl t
NOT APPROV.16.
PASSED
*ty- of o uth Bend
®pinion Council
x .1865 441 County-City Building . 227 W.Jefferson Blvd (574) 235-9321
South Bend,Indiana 466o1-1830 Fax (574) 235-9173
http://www.southbendin.gov
Derek D. Dieter
President
Oliver J. Davis October 1, 2012
Vice-President Members of the Common Council
Karen L. White 0'Floor County-City Building
Chairperson, Committee South Bend, Indiana 46601
of the Whole
Re: Draft Council Salary Ordinance for 2013
Tim Scott
First District Dear Council Members:
Henry Davis, Jr. As described at the recent Personnel and Finance Committee meeting
Second District when the Common Council's proposed budget was reviewed, the proposed
Valerie Scbey 2013 salary for the Common Council is for an increase of $343. If
Third District approved, this would represent a 2 % increase.
Fred Ferlic By way of comparison, the following salaries are the current 2012 salaries
Fourth District for Common Councils in the following Indiana second class cities in
David Varner Indiana Association of Cities and Town's annual salary summary:
Fifth District Elkhart $14,858
Oliver J. Davis Fort Wayne $21,414
Sixth District Kokomo $29,839
Michigan City $13,645
Derek D. Dieter Terre Haute $13,753
At Large
Evansville and South Bend were not listed in IACT's review.
Gavin Ferlic
At Large Thank you.
Karen L. White
At Large Sincerely,
Derek D. Dieter
Council President . Office
Attachment _ N
ORDINANCE NO.
BILL NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH
BEND,INDIANA, SETTING THE ANNUAL SALARY FOR THE CITY CLERK
FOR CALENDAR YEAR 2013
STATEMENT OF PURPOSE AND INTENT
The City Clerk serves as Clerk of the Common Council under Indiana Code § 36-
4-6-9 and maintains custody of its records. The City Clerk is also charged with
maintaining all records as required by law; keeping the city seal; administering oaths;
taking depositions; attending all regular and special meetings of the Council; and
performing other duties as required by the Common Council.
The Common Council is required by under Indiana Code § 36-4-7-2 to fix the
annual compensation of all elected city officers.
Indiana Code § 36-4-11-4 authorizes the City Clerk to appoint "the number of
deputies and employees authorized by the city legislative body". In the interest of
fairness, the following ordinance sets forth the same percentage increase for the City
Clerk as requested for the deputies and employees in the City Clerk's Office.
The City Clerk currently oversees a staff of four(4) which includes the Ordinance
Violations Bureau.
�, Ae aft&wed �P 016 ammea �
lweneK Awmna� ad -
Section I. The annual compensation for the City Clerk of the city of South Bend,
Indiana, for calendar year 2013 shall be and hereby is established at$56,037.00.
Section II. This ordinance shall be in full force and effect from and after its
passage by the Common Council, approval by the Mayor and legal publication.
Member of the Common CouncOr
and
2013 City Clerk Salary Ordinance
Page 2
Office of the City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana, on the day
of , 2012 at o'clock m.
Office o the City Clerk
oaaarad by me on the day of , 2012 at
o'clock .in.
Pete Buttigieg, Mayor
City of South Bend, Indiana
Fib in z___
1 st REAC�,4G c�— OCT
Fj,!L< NEARING
JOHN vook%�fi
NO, t,,:,?ROVED
RLFE€RED
PASSED
5p13 Tif��p
a
it +�
I8G5
office of the City Clerk
John Voorde, City Clerk
October 1, 2012
Derek D. Dieter, President
South Bend Common Council
4th Floor County-City Building
227 W. Jefferson Blvd.,
South Bend, Indiana 46601
Re: 2013 Salary Ordinance
Dear President Dieter:
As you are aware state law requires a separate salary ordinance for the City Clerk.
Meeting that requirement this bill requesting a 2% salary increase is submitted for your
consideration. Other non-bargaining City employees have been budgeted for this
increase including the four in this office.
Thank you in advance for your favorable consideration.
ost ' eerely,
John oorde, � r
Jerk
OCT - I zuiz
8 s
joy , :,,;.: .
crry CL.IERK,50 Ua°�
455 County-City Building•227 W.Jefferson Blvd, South Bend, Indiana 46601• 574/235-9221 . Fax 5741235-9173
Mary Beth Wisniewski JanieeTalboom Kareemah Fowler
Chief Deputy Deputy Ordinance Violation Clerk
L 1�
ORDINANCE NO.
AN ORDINANCE AMENDING THE ZONING ORDINANCE FOR PROPERTY
LOCATED AT 4626 BURNETT DRIVE, SOUTH BEND, INDIANA, 46614,
COUNCILMANIC DISTRICT N0. 6 IN THE CITY OF SOUTH BEND, INDIANA
STATEMENT OF PURPOSE AND INTENT
PETITIONERS DESIRE TO REZONE THE PROPERTY FROM GI GENERAL
INDUSTRIAL DISTRICT TO GB GENERAL BUSINESS DISTRICT TO OPERATE A
KENNEL WITH OUTDOOR RUNS.
NOW THEREFORE BE IT ORDAINED by the Common Council of the City of
South Bend, Indiana as follows:
SECTION 1. Ordinance No. 9495-04, as amended, which ordinance is commonly
known as the Zoning Ordinance of the City of South Bend, Indiana, be and the same
hereby is amended in order that the zoning classification of the following described real
estate in the City of South Bend, St. Joseph County, State of Indiana:
THAT PART OF THE SOUTHEAST QUARTER OF SECTION 26, TOWNSHIP 37
NORTH, RANGE 2 EAST, CENTRE TOWNSHIP, CITY OF SOUTH BEND, ST. JOSEPH
COUNTY, INDIANA WHICH IS DESCRIBED AS: LOT 4 11 OF THE PLAT OF
"BURNETT INDUSTRIAL PARK" AS RECORDED IN THE RECORDS OF THE ST.
JOSEPH COUNTY, INDIANA RECORDER'S OFFICE.
CONTAINING 1.24 ACRES MORE OR LESS.
SUBJECT TO ALL LEGAL HIGHWAYS, EASEMENTS AND RESTRICTIONS OF
RECORD.
be and the same is hereby established as GB General Business District.
SECTION II. This ordinance shall be in full force and effect from and after its passage by
the Common Council, approval by the Mayor, and legal publication.
Member of the Common CoiZil
2
Attest:
City Clerk
Presented by the to the Mayor of the City of South Bend, Indiana on the
day of , 20 , at o'clock M.
City Clerk
Approved and signed by me on the day of
20 , at o'clock m.
Mayor of the City of South Bend, Indiana
Flied In r 's "ice
o
PUSL`€C F ,-.'J=1N1G
I €aa
Pi,. �E yG
L!nQtXF4K.ADM NAND,IN
NOT /-.>tPG.OM
PErERPED
PASSED
..d
2
deciduaus tree every forty (40) feet to providing perimeter trees at a spacing of a maximum of eighty
(80)feet on center along the frontage of Burnett Drive and no additional perimeter trees along the north
or east property lines of the site. This site is part of an old industrial park in the City and the addition of
Mm along the north and east property lines adjacent to existing industrial sites would be extreme, as this
type of landscaping is not needed against industrial sites.The continent purchaser is willing to place trees
every 80 feet along the Burnett street frontage,where they can provide a pleasant streetscape for the new
use. The petitioner and contingent purchaser do not believe approval of this Variance would have a
detrimental affect on any adjacent properly.
2).A Variance frown the requirement of providing a minimum 241 aisleway in the shown north parking
area and south parking:area to a minimum of 16.5 ft.as shown.The petitioners are requesting to be able
to have a smaller than required driveway for their proposed parking area.They would state that the
existing driveways accessing the north and south parking areas were built previously for ire industrial
use.They would state that the Pet Refuge could use these existing driveways without creating any
difficulties for patrons visiting the facility.They do not have the same turnover rate for cars entering and
exiting the site,as world a retail use.They believe the existing driveways are quite satisfactory for their
facility.The Petitioners do not believe approval of this Variance will adversely affect the surrounding,
properties.
3).A Variance from the requirement of providing a minimum of 38 parking spaces(i.e. 12 spaces for
15 3.200
spaces ces s office area and 25 spaces for 10,400 sq.ft of Veterinary Hospital area)to a minimum of
1 S spaces as shown.
The Petitioners are requesting to reduce the required number of provided parldng spaces for the new
use.The Zoning ordinance bases the number of spares to be provided on the use of the building.
Parking for office space is calculated at a rate of 3.5 spaces per 1,0€10 sq.fL of office area.The Pet
Refuge does not need to have 12 spaces for the existing office area.They will have on site not more than
5 employees.The second amount of spaces required for the building is based on providing parking for a
Veterinary Hospital.That is the closest use that is listed in the ordinance for the Kennel areal for the Pet
Refuge.Again this amount of parking does not relate to the proposed use.The Pet Refuge will not
require 26 parking spaces for the area used to house the animals that they care for on site.The
Petitioners and contingent purchaser would not want to pave additional parking spaces,which would go
unused and would create additional storm water runoff on the site.The Petitioners do not believe
approval of this Variance will have a negative impact on adjacent properties.
8) A statement on how each of the following standards for the granting of variances is met;
The Petitioners would state that their property is located in the urban core on an old industrial site.
The Petitioners believe that the reuse of the industrial site to a new use,the Pet Refuge would fit well in
this industrial subdivision. The few requested Variances reflect a situation that exists for reuse of
existing building sites.The building has existed for decades and predates revised zoning ordinance
developmental standards.The Petitioners would state that the approval of the above requested Variances
will not be injurious to the public health,safety,morals and general welfare of the community.As
envisioned the proposed improvements will place landscaping on-site where none presently exists.This
will increase the public health,safety,morals and general welfare of the community.
The Petitioners would also state that the use and value of the area adjacent to the property included in
the Variances will not be affected in a substantially adverse manner.The site as proposed will provide
more streetscape landscaping than has existed before.The proposed improvements should help to
stabilize values for industrial properties adjacent to the site.
The Petitioners would state that the strict application of the terms of this Ordinance would result in
practical difficulties in the use of the property.
4).Ifnot clearly shown on the Preliminary Site Plan,a site plan showing the requested variances shall also
be submitted.
The Petitioners have supplied a site plan to help show the proposed improvetents and reflect the
J*14 Danch, ®amer~ & Associates, Inc.
MICHAEL J. RANCH, L.A. Lanni Surveyors w Professional Engineers
RON HARNER, P.S. Landscape ,Architects o Land Planners
Honorable Members of the City of October 3, 2012
South Bend Common Council
4t," Floor County-City Building
South Bend, Indiana 46601
RE: Rezoning Petition for 4626 Burnett Drive,
South Bend:
Dear Council Members:
Our clients are requesting the approval of a Rezoning
Petition for the property located at 4626 Burnett Drive,
South Bend, Indiana. This requested Rezoning would allow
for the re-use of an existing vacant industrial building.
Pet Refuge would like to renovate the vacant building for
their new animal care facility. Our clients believe the
renovation of an old industrial building would be a
compatible use in the surrounding industrial park.
If you have any questions concerning this matter, please
feel free to give me a call at 234-4003.
Sincerely,
Michael J. Danch
President
Danch, Harner & Associates
File No. 120213 "C" Md.
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1643 Commerce Drive South Bead, IN 46628 208 West Mars io Berrien Springs,M149103
Office 5741234-4003 n 8001594-4003 n Fax 5741234-4119 office 2691471-3010 ■ Fax 2691471-7237
ORDINANCE NO.
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF SOUTH BEND,
INDIANA AMENDING CHAPTER 2, ARTICLE 4, SECTION 2-13 (A) AND (B) OF THE
SOUTH BEND MUNICIPLE CODE TO CHANGE THE NAME OF THE COMMUNITY
AND ECONOMIC DEVELOPMENT DEPARTMENT TO THE COMMUNITY
INVESTMENT DEPARTMENT, AND TO MAKE ALL OTHER CHANGES
CONSISTENT THEREWITH
STATEMENT OF PURPOSE AND INTENT
The South Bend Municipal Code at Chapter 2, Article 4, Section 2-13 (A) (7) establishes
a Community and Economic Development Department (the Department) as one of nine City
executive departments, and Section 2-13 (B) (7) (a) through (f) of that Chapter and Article Iists
the various functions of the Department.
The Community and Economic Development Department (the Department) has been
reorganized, and now desires to change its name to the Community Investment Department to
reflect a comprehensive approach to improving the quality of life for all in South Bend, with
Departmental functions that include, but are not limited to, business assistance, administration of
economic resources, neighborhood and community engagement, and urban planning. The
Department's current title, Community and Economic Development, may suggest that the two
roles of community development and economic development are separate functions, while the
new title integrates these two into a more holistic approach that invites a broader spectrum of
considerations into any policy action. Further, the title Community Investment, itself, reflects the
policy position that applications of community resources are to be viewed as an investment
rather than a subsidy, with leveraged return for benefit of the entire South Bend community.
This ordinance effectuates the desired change of name, and is in the best interests of the
City of South Bend.
NOW, THEREFORE, BE IT ORDAINED BY THE COMMON COUNCIL OF
THE CITY OF SOUTH BEND, INDIANA as follows:
Section I. Chapter 2, Article 4, Section 2-13 (A) (7) of the South Bend Municipal Code
be and hereby is amended to read as follows:
Section 2.13 Departments established
(A) The following executive departments are established to perform
administrative functions required to fulfill the needs of the City's citizens:
(7) Community and Investment Department;
Section Il. Chapter 2, Article 4, Section 2-13 (B) (7) of the South Bend Municipal Code
be and hereby is amended to read as follows:
(B) In addition to functions statutorily provided, the administrative functions of the
departments of the City shall be as follows:
(7) Community and Eeenemie DeN,elopmeHt Investment Department:
Section III. Any other reference to the Community and Economic Development
Department within the entire South Bend Municipal Code shall be replaced with: Community
Investment Department.
Section IV. This ordinance shall be in full force and effect from and after its passage by
the Common Council and approval by the Mayor.
Member, South Bend Commd Council
Attest: ` `ul�� A
City Clerk
Presented by me to the Mayor of the City of South Bend, Indiana on the day
of
2 , at o'clock M
City Clerk
Approved and signed by me on the day of 2_, at
o'clock M.
Mayor, City of South Bend, Indiana
Filed In Clerk'S Offk'-
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CITY OF SOUTH BEND
PETE BUTTIGIEG, MAYOR
OFFICE OF THE MAYOR
October 2, 2012
South Bend Common Council
Fourth Floor Council Chambers
400 County-City Building
South Bend, IN 46601
Dear Council Member:
The attached bill for your consideration and approval will change the formal name of the
Community& Economic Development Department to the Community Investment Department.
As part of my administration's goal to re-energize the City's approach to improving the quality of
life for all in South Bend, an updated name seems apt.
Instead of suggesting that the roles of community development and economic development are
separate functions, the new title integrates them into a more holistic approach which invites a
broader spectrum of considerations into any policy action. The proposed title, Community
Investment, also reflects the policy position which views applications of community resources as
investments through which we expect to realize a leveraged return for the benefit of our entire
South Bend community.
I will be pleased to present this bill at your October 22'a meeting.
Sincerely,
■
�a1 in Clerk's ffic
5
Pete Buttigieg, Mayor w
City of South Bend �[1'1�CtERKN SOUTH VOOR SEND,IN
1400 CouNTY-Cm BLULDTNG' 227 W JPFFERSoNT BOULEVARD+ So A 14 BEND, INDIANA 46601
PHONP 574/235-9261+ FAx 574/235-9892